1.4.61 Automated Collection System Guide for Managers and Systems Analysts 1.4.61.1 Program Scope and Objectives 1.4.61.1.1 Background 1.4.61.1.2 Authority 1.4.61.1.3 Roles and Responsibilities 1.4.61.1.4 Program Management and Review 1.4.61.1.5 Program Controls 1.4.61.1.6 Terms/Definitions/Acronyms 1.4.61.1.7 Related Resources 1.4.61.2 Case Routing and Selection 1.4.61.3 ACS Managers Responsibilities 1.4.61.3.1 ACS Managerial Approval Process 1.4.61.3.2 ACS Managerial Approval Actions 1.4.61.3.3 ACS Managerial Approval Contact Person's Responsibility 1.4.61.4 ACS Systems Analysts Roles and Responsibilities 1.4.61.5 ACS System Extract 1.4.61.5.1 Managers Menu 1.4.61.5.2 National Office Menu 1.4.61.5.3 Levy Review Menu 1.4.61.6 Resource Allocation File (RACF) 1.4.61.6.1 Profile Resume Procedures 1.4.61.6.2 Profile Revoke Procedures 1.4.61.7 ACS Security 1.4.61.7.1 System Security Responsibilities 1.4.61.7.2 Quarterly Certifications 1.4.61.8 ACS Reporting QMF 1.4.61.8.1 Securing Access 1.4.61.8.2 ACS QMF Reports 1.4.61.9 Telephone Systems 1.4.61.9.1 Predictive Dialer 1.4.61.9.2 Phone System (UCCE/CTIOS/UIP) 1.4.61.10 Other Systems or Applications 1.4.61.10.1 Security 1.4.61.10.2 Account Management Systems (AMS) 1.4.61.10.2.1 Employee User Portal (EUP) 1.4.61.10.3 eWorkforce Management (EWFM) 1.4.61.10.4 E-Leave 1.4.61.10.5 E-Gain (ACS Text Chat) 1.4.61.10.6 Automated Time Tracking System (ATTS) 1.4.61.11 Workplans and Staffing 1.4.61.12 ACS Quality 1.4.61.13 ACS Training Exhibit 1.4.61-1 Actions to Display a User on ACS Exhibit 1.4.61-2 Actions To Resume a User on ACS Exhibit 1.4.61-3 Actions to Resume and Assign New Passwords Exhibit 1.4.61-4 Management Codes Exhibit 1.4.61-5 ACS Profiles: Roles and Permissions Exhibit 1.4.61-6 ACS Applications Exhibit 1.4.61-7 Predictive Dialer System Case Assignment Program Reference IRM 5.19.5.5 Exhibit 1.4.61-8 ACS Support Site Addresses Part 1. Organization, Finance, and Management Chapter 4. Resource Guide for Managers Section 61. Automated Collection System Guide for Managers and Systems Analysts 1.4.61 Automated Collection System Guide for Managers and Systems Analysts Manual Transmittal April 27, 2023 Purpose (1) This transmits revised IRM 1.4.61, Resource Guide for Managers, Automated Collection System Guide for Managers and Systems Analysts. Material Changes (1) IPU 22U0840 submitted 07-28-2022 IRM 1.4.61.1.5 Updated to replace OL5081 with BEARS (2) IPU 22U0840 submitted 07-28-2022 IRM 1.4.61.6.2 Updated to replace OL5081 with BEARS (3) IPU 22U0840 submitted 07-28-2022 IRM 1.4.61.8.1 Updated to replace OL5081 with BEARS (4) IPU 22U0840 submitted 07-28-2022 IRM 1.4.61.10.5 Updated to re place OL5081 with BEARS and revised guidelines for securing access (5) IPU 22U0840 submitted 07-28-2022 IRM 1.4.61.2 Updated Retention (risk) Categories and Priority Codes (6) IPU 22U0840 submitted 07-28-2022 IRM 1.4.61-8 Updated mailing address for Fresno Support site Effect on Other Documents IRM 1.4.61 dated December 16, 2020 is superseded. Audience Small Business/Self Employed (SB/SE) Effective Date (04-27-2023) Erick Martinez, Director, Collection Inventory Delivery and Selection 1.4.61.1 (12-16-2020) Program Scope and Objectives Overview: This IRM provides guidance on process and procedures for managing systems related to answering taxpayer telephone calls in Compliance. It provides general operational objectives, various techniques, methods, and guidelines for managing the call center. The IRM should be used in conjunction with other guidelines provided by call center management and staff, the business operating division (BOD), and the Joint Operations Center (JOC) and is not intended to circumvent established lines of authority. Additionally, this IRM is not intended to supersede negotiated agreements. Some subsections are directed to a specific operation identified in the subsection title. Purpose: Management and the telephone system staff (TSS) works with the BOD and JOC to effectively manage the call center systems and staffing. Audience: The primary users of this IRM are Management and the telephone system administrators and analysts in the call sites and the BOD analysts. Policy Owner: Director, Collection Inventory Delivery and Selection (CIDS) Program Owner: Director, Collection Inventory Delivery and Selection (CIDS), Automated Collection System, Systems and Inventory (ACSSI). Primary Stakeholders: ACS. Program Goals: This IRM will provide guidance for managers, telephone system administrators and analysts to effectively manage the call center systems and staff to meet the business goals of the organization 1.4.61.1.1 (12-16-2020) Background This IRM section outlines the expectations and duties of an ACS manager based on their level in management. For the telephone system staff, the section outlines their duties with system maintenance, site telephone schedules, monitoring of telephone staff delivery and consultation with management on telephone staffing issues. 1.4.61.1.2 (12-16-2020) Authority CFR Part 2635, Standards of Ethical Conduct for Employees of the Executive Branch. IRM 1.2.1.6, Policy Statements for Collecting Process Activities, related to this section include: Policy Statement 5-1, Enforcement is a necessary component of a voluntary assessment system Policy Statement 5-2, Collecting Principles Policy Statement 5-71, Reporting accounts receivable as currently not collectible Policy Statement 5-133 Delinquent returns - enforcement of filing requirements The IRS Restructuring and Reform Act of 1998 (IRS RRA 98), Section 3705(a), provides identification requirements for all IRS employees working tax related matters. The IRS adopted the Taxpayer Bill of Rights (TBOR) in June 2014. Employees are responsible for being familiar with and acting in accordance with taxpayer rights. See IRS 7803(a)(3), Execution of Duties in Accord wit Taxpayer Rights. For additional information about the TBOR, see https://www.irs.gov/taxpayer-bill-of-rights. 1.4.61.1.3 (12-16-2020) Roles and Responsibilities This section will outline the roles and responsibilities for Automated Collection System (ACS) managerial staff and telephone system staff. There will be specific IRM sections to outline these different responsibilities for these roles. The manager section will provide guidance for all levels of management in ACS. The telephone system staff section will provide guidance for all positions within a System Support team. 1.4.61.1.4 (12-16-2020) Program Management and Review Program Reports: Section 1204 reports. Managers are required to submit quarterly certifications of compliance with section 1204 of the Internal Revenue Service Restructuring and Reform Act of 1998, prohibiting the use of tax enforcement results. Daily and weekly reports are performed by management. Headquarters gathers monthly data to communicate targets and objectives. Managers are required to manage work programs and perform program and employee reviews to ensure Compliance work is completed according to procedural guidelines contained in applicable IRMs. Program management and review guidelines are detailed in IRM 1.4.20.5. The following reports assist with management controls: Embedded Quality Review System (EQRS) Reports National Quality Review System (NQRS) Reports Accounts Management Services (AMS) Reports Overage Report Compiler and Sorter (ORCAS) ACS Reports Monthly Monitoring Report (MMR) Work Planning and Control (WP&C) Reports Case Control Activity System (CCA) Report Collection Activity Report (CAR) Program objectives for phones are compiled by the JOC and reported on the JOC Web page. These reports are frequently reviewed and discussed at various levels of the organization, including BOD directors, BOD analysts, and site management. Program Effectiveness: Program goals are measured against guidelines contained in the BOD program letters and established BOD business measures for each fiscal year. 1.4.61.1.5 (04-27-2023) Program Controls Restructuring & Reform Act of 1998 (RRA 98), Section 1204, prohibits the use of records of tax enforcement results to evaluate employees, impose or suggest production quotas or goals with respect to such employees. This applies to all employees regardless of position held or location in which the work is performed. For purpose of implementing this section, IRM 1.5.1, The IRS Balanced Measurement System, refers to employees exercising judgment in determining tax liability or ability to pay as "Section 1204 Employees." IRS has access control measures in place to provide protection from unauthorized alteration, loss, unavailability, or disclosure of information. These access controls are developed according to assigned user duties, i.e., telephone agents, managers, telephone system analyst, or headquarters analyst. Systems users are required to obtain On-Line Business Entitlement Access Request System (BEARS) permissions to access servers and programs, i.e., Contact Recording, Account, Management Service (AMS), Automated Lien System (ALS),Unified Contact Center Enterprise (UCCE), Aceyus, and E-Workforce Management (eWFM ). Information is available from system reports to monitor the efficiency of telephone staff and performance of telephone systems staff. Some of the most common reports and report systems include: Enterprise Telephone Data (ETD) reports Aceyus reports Agent Activity Report Sign On/Sign Off Report Ready Report Agent Transfer Report eWFM reports 1.4.61.1.6 (12-16-2020) Terms/Definitions/Acronyms The following table lists commonly used acronyms and their definitions: Acronym Definition AAB Aggregate Assessed Balance ACD Aspect Automated Call Data ACS Automated Collection System ACSS Automated Collection System Support AHT Average Handle Time AMC Alternative Media Center AMS Account Management Services AO Accessibility Office APM Administrative Procedures for Managers ATTS Automated Time Tracking System AWOL Absent without Leave AWSS Agency-Wide Shared Services BD Balance Due BMF Business Master File BOD Business Operating Division BRP Business Resumption Plan CAC Chief Accessibility Coordinator CAP Collection Appeal Program CDP Collection Due Process CJE Critical Job Element COBR Campus Operation Business Results CPE Continuing Professional Education CQRS Centralized Quality Review System CR Collection Representative CSS Customer Satisfaction Survey CTDWA Control-D Web Access CUIC Cisco Unified Intelligence Center DCI Data Collection Instrument DOJ Department of Justice EEOD Equal Employment Opportunity and Diversity ELITE Enterprise Logistics Information Technology EONS Electronic On-line Network EPF Employee Performance Folder EQ Embedded Quality EQRS Embedded Quality Review System ER/LR Employee Relations/Labor Relations Skill for Managers ESP Employee Suggestion Program ETA Electronic Tax Law Assistance EUP Employee User Portal FLRP Front-line Leader Readiness Program FMLA Family and Medical Leave Act FR Financial Review FTE Full-Time Equivalent FUNCO Functional Coordinator FUTA Federal Unemployment Tax Act ICP Integrated Case Processing IDRS Integrated Data Retrieval System IRM Internal Revenue Manual ISD Information System Division ITM Integrated Talent Management IUP Infrastructure Upgrade Project JOC Joint Operation Center LAC Local Accessibility Coordinator LEM Law Enforcement Manual LWOP Leave Without Pay LWSB Lions World Services for the Blind MAAG Month at a Glance MFT Master File Tax MIS Management Information Statistics MITS Modernization Information Technology & Security NCD Non-Competitive Detail NMF Non-Master File NQRS National Quality Review System NTEU National Treasury Employees Union OEP Occupational Emergency OFP Organization Function Program OJI On-The-Job Instructor P&A Policy and Analysis PMS Performance Management System POA Power of Attorney QMF Query Master File RAC Reasonable Accommodation Coordinator RACF Resource Allocation Control File RCA Reasonable Cause Assistant RD Return Delinquency ROTERs Records of Tax Enforcement Results RRA 98 Restructuring and Reform Act of 1998 (Law) RTA Real Time Adherence RTC Resource Training Coordinator RTR Remittance Transaction Research SAFE Security Awareness for Employees SERP Servicewide Electronic Research Program SSO System Security Officer TAO Taxpayer Assistance Order TBOR2 Taxpayer Bill of Rights 2 TEACH Temporary Employee Action Code History TERs Tax Enforcement Results TIGTA Treasury Inspector General for Tax Administration TIN Tax Identification Number TMT Tax Motivated Transactions or Temporary Manager Training TQM Total Quality Measurement TRIS Telephone Routing Interactive Systems UNAX Unauthorized Access UTC Unable to Contact UTL Unable to Locate UWR Unified work Request VMS Voice Messaging System WP&C Work Planning & Control Complete lists of commonly used terms and their definitions are contained in IRM 1.4.21.6, Glossary, for non-eWFM terms and IRM 1.4.21.7 , eWFM Glossary, for eWFM terms 1.4.61.1.7 (12-16-2020) Related Resources When using this chapter to perform your daily duties, it may be necessary to use other resources listed below: IRM 1.5.1, IRS Balanced Performance Measurement System IRM 5.19, Liability Collection IRM 6.451, Employee Performance and Utilization IRM 13, Taxpayer Advocate Service IRM 21, Customer Account Services The following is a list of the primary sources of guidance for telephone system operations: :Accounts Management (AM) BOD Web site :Compliance BOD Web site Joint Operations Center Web site: AM Field SharePoint site BOD annual program letter provided on each BOD Web site: the program letter provides specific guidelines, goals and strategies used to ensure consistent telephone and inventory program delivery and offers assistance and guidance to the sites as they create their strategic and operational goals Memorandum of Understanding (MOU) covering Customer Service Operations between Internal Revenue Service and National Treasury Employees Union (NTEU), also known as the Customer Service Agreement (CSA): the CSA applies to all bargaining unit employees assigned to campus and remote sites and is intended to enhance taxpayer service and business efficiency by taking full advantage of changes in technology, while at the same time promoting employee satisfaction Vendor-provided user guides for telephone-related systems 1.4.61.2 (04-27-2023) Case Routing and Selection The work priority and selection process is designed to ensure that cases are selected with integrity and fairness. Work priority generally falls into two categories; immediate (customers calling in) and delayed (inventory processing) demand. Cases in the immediate demand category have the same priority for selection whereas inventory work selection uses a priority scheme. Work selection is based on a combination of factors such as case priority, current organizational program needs, and available staff. Case selection generally occurs as shown below. Systemic Processes: FERDI and Non-FERDI /FPLP – no limits are placed on these systemic processes. ACS systemic levies and letters – limited as part of the phone demand forecast prepared by the SB/SE HQ Collection Joint Operations Center (JOC) liaison staff. Calls from taxpayers requiring assistance to resolve their accounts. Use the table below to identify types of inventory work maintained by various work factors:. Inventory Work Factors Types of inventory account work Priority Programs IMF-FERDI HINF International Payroll Trust Fund Taxes General Programs (Non-FERDI IMF, non-trust fund, etc.) Work Categories (determined by function/unit assignment) See IRM 5.19.5.4.9, ACS Case Inventory Enforcement Research Investigation Retention (or risk) Categories and ACS Priority Codes Retention Categories are A-Z (A= highest priority) Priority Codes 0-99 (0 = the highest priority) To ensure adequate case coverage, cases with the oldest expired follow-up date are selected first. 1.4.61.3 (12-16-2020) ACS Managers Responsibilities ACS Call Site or Operations Managers: Provide general oversight to ensure approvals are done promptly. ACS Call Site Team Managers: should take the following actions on a daily basis: Address your own employee's cases requiring approval and ensure your employees are making case prints when approvals are required or a query/listing process is used. Address cases remaining in the zero functions by working through the managerial approval inventory assigned to your team using next case access. If the work is correct, approve the case or if it can be resolved with a simple input, that action should be taken without referring the account Address work done by another Call Site employee that is not correct and/or cannot be resolved by providing your Call Site's ACS managerial approval process contact person with the TIN, the employee ID, and the date moved to the managerial function (or Screen 1 print). The information will be forwarded daily to the Call Site of the employee taking the case action for appropriate follow-up. Please DO NOT forward cases that you can correct easily. 1.4.61.3.1 (12-16-2020) ACS Managerial Approval Process ACS Employee's Responsibility: With nationwide call routing (Enterprise) , we process accounts residing in other ACS Call Sites inventories, so case prints or other action is required to inform the manager that an approval is needed. ACS employees taking the following actions must inform their manager of the need to review and approve the case when it is moved to the managerial inventory (C0, R0, I0, or S0). There is a systemic check that prevents non-managers from inputting these approvals on ACS. Other actions that either initiate or cease collection activities may require managerial approval as well. Procedures may be established locally to require managerial approval of other actions, but there will be no systemic checks to ensure this. 1.4.61.3.2 (12-16-2020) ACS Managerial Approval Actions Any disposition requiring approval on an account residing on a different Call Site's inventory. See IRM 5.19.5 ,ACS Inventory. Levy / Lien Action: Any manual levy IRM 5.19.4.3.11(8) Levies on Social Security income IRM 5.19.4.3.12(7) Levies or liens issued while pending an appeal or IRM 5.19.8.4.6, "Equivalent Hearing" Lien filing on AAB less than $10,000 IRM 5.19.4.5.2(9) Decision not to file a lien on AAB over $10,000 IRM 5.19.4.5.3.4(1) Installment Agreement Dispositions Above streamlined criteria, including liens filed because the taxpayer is not able to full pay within 60 months or defaulted within the past 12 months IRM 5.19.1.6.4.8 PPIA IRM 5.19.1.6.5.2 Currently Not Collectible Dispositions Certain hardship cases warranting currently not collectible closings IRM 5.19.17.2.4 Decedent, UTL and UTC with AAB over $10,000 IRM 5.19.17.2.6 I CNC on defunct/insolvent corporations IRM 5.19.17.2.7 Return Delinquency Dispositions Little or no Tax due except 6+ year old mods IRM 5.19.2.6.4.6.2(5) I HINF Closures IRM 5.19.2.8.12 ASFR Referrals (W&I Only, 25 percent of referrals require approval) IRM 5.19.2.6.4.6.4 I Request for Appeal, Collection Appeal Program (CAP) IRM 5.19.8.4.16.4(2)I Referrals to Examination or Criminal Investigation - R3 Inventory IRM 5.19.5.7.3.1I 1.4.61.3.3 (12-16-2020) ACS Managerial Approval Contact Person's Responsibility Inform the other ACS Call Sites of cases in your site's managerial approval inventories that require additional attention prior to closure via fax promptly. Your site's team leaders will provide this information. Promptly resolve or direct cases identified by other Sites as needing additional work to the appropriate team manager for follow-up. To ensure that information is properly transmitted, verify that the fax was sent successfully. The contact person will enter AMS comments on cases (both the person sending the account and the person responding in the originating site) to clearly record actions taken. If the referred account has not been resolved after two attempts, contact the managerial approval fax contact person in the receiving site by phone or secure e-mail (if the site accepts this type of transmission) to resolve the outstanding issue promptly. Local practice will be followed to elevate the issue if the account remains unresolved after that contact. 1.4.61.4 (12-16-2020) ACS Systems Analysts Roles and Responsibilities The role and responsibilities of a system administrator (analyst) are as follows: Ensuring system is properly configured to meet organizational and operational objectives; Maintaining a trouble log to monitor response time problems, circuit problems, unusual staffing situations (snow days, building closures, etc.) or any other factor which could distort telephone data and affect circuitry or staffing plans; Ensuring circuitry meets standardization requirements; Adhering to schedule; Checking the Automated Collection System/Integrated Collection System (ACS/ICS) Parameter File for the correct date and cycle; Reviewing the reports that are generated from the system to determine if the operation is achieving its goal and identify system problems that may exist within the system; Distributing ACS/ICS and QMF Reports to appropriate managerial levels, providing assistance to managers and employees, and creating user profiles and assigning passwords; Checking voice disk space; Printing and reviewing Telephone Routing Interactive Systems Management Information Statistics (TRIS MIS); Monitoring agents for long wrap and idle times as needed; Analyzing systems impact resulting from Headquarter office maintenance, TRIS Project Office Master Customer Service Script changes, etc.; Advising Operation management and facilitate implementation with involved parties; Instructing site employees on new features and procedures and troubleshoot system and equipment problems resulting from changes; Creating QMF and Aceyus reports as requested by the Operation Manager. 1.4.61.5 (12-16-2020) ACS System Extract Each site should have Query Master File (QMF) extracts to allow for a complete picture of the status of inventories in the site. Those extracts should be requested as needed or on a regular basis and be reviewed by the appropriate level of management to look for possible inventory issues or problems. Systems Analysts have the ability to create, modify and run extracts Extracts should be reviewed for various reasons, including but not limited to: Age of the inventory related to past follow-up dates in each inventory, Inventory levels in conjunction with priority case definitions, Closures and new inventory receipts on a weekly basis. Operation management should identify inventories beyond the time-frames established in IRM IRM 5.19 ,Liability Collection, as well as from Headquarter Operations, and take immediate steps to resolve the situation(s). Some possible solutions include: Reassignment of work among other operation employees, Consideration for overtime, Consideration of details from other functions. Next level management and Headquarter Operations should be notified when inventory is beyond the established guidelines. 1.4.61.5.1 (12-16-2020) Managers Menu The ACSWeb Manager Menu consists of the following tables: Title Description Daily Workload (MR00) Table allows managers to run reports by site, function, team/function or search with no criteria for results by team Teach List (ER00) Table allows managers to run reports on cases worked by team or employee ID number Employee Summary Report (ES00) Table allows managers to run reports for time statistics using employee ID number Parameter File Maintenance (PM00) Table allows managers to view various parameter table that were set up by Analysts to take systemic actions on ACS accounts Team Assignment (TA00) Table used to add or delete various inventories by site Employee List by Name (EMPL) Table allows search for employees by various criteria such as site, RACF, Name Time Statistics Report (TS00) Table allows managers to run reports by various criteria such as: Employee Case Summary, Call site and Support site Security Maintenance (SM00) Table managers can view that displays the Security Maintenance screen which maintains security information on employees . Management Reports (RP00) Table allows managers to extract reports based on various criteria such as National, BOD, Team, Site/Support site 1.4.61.5.2 (12-16-2020) National Office Menu The ACSWeb National Office Menu consists of the following tables: Title of Table Description of Table Levy Source Priority Table (PL00) Table allows user to add different types of levy source documents by completing various fields. Use guidelines in IRM 5.19.4, Enforcement Action, to input valid sources Batch Action Request (BA00) Table is used by Analysts to systemically close cases based on various criteria and obvious results National Inventory (NI00) Table displays Inventories assigned to various sites Parameter File Maintenance (PM00) Table is used by Analysts to set up various systemic actions from the ACS database such as issuing letters or levies Restriction by Profile (RS00) Table is used by Analysts to restrict access to various inventories by ACS profile Business Priority (BP00) Table lists inventories by business priority and Consolidated Decision Analytics (CDA) score Levy Source Deletion (LD00) Table is used by Analyst to systemically delete levy sources by batch Disaster Assignment Table (DA00) Table is used by Analysts to set up systemic letter issuance for disaster cases Special Inventory Assignment (SI00) Table is used by Analyst to set up various inventories for distribution to specific sites National Site Table (NS00) Table is used by Analyst to change or add call site information Levy Source Block (LB00) Table lists levy sources that are blocked from being added to the ACS database example: State Refunds 1.4.61.5.3 (12-16-2020) Levy Review Menu The ACSWeb Levy Review Menu contains the following tables: Title of Table Description of Table Summary Levies Processed (LR00) Table used by Analysts to run reports of volumes of levies processed by specific Support site Inventory Worked by TE (LI00) Table allows analysts to run reports of inventory worked by a specific employee Levy Review Inventory for Site (LS00) Table used by Analysts to run reports of levy review inventory by Support site or BOD National Office Levy Review (LN00) Table used by Analysts to run reports by date and site or category 1.4.61.6 (12-16-2020) Resource Allocation File (RACF) The ACS security system exists in the appropriate campus and is used to control access to the ACS host system. To add or remove users from the ACS system the following steps must take place: The ACS employee must complete an online Form 5081 request. These are routed through the appropriate channels for management approval and then routed to the security office at the campus. The security office issues a RACF user number for all new employees. Following issuance of the RACF user number, the ACS systems analyst will create a temporary RACF password. The RACF user member is entered on the ACS Security Maintenance Screen (SMOO) with the appropriate team, function and unit. 1.4.61.6.1 (12-16-2020) Profile Resume Procedures This process is utilized to specify that a user is to be allowed access to the system again. The analyst would normally use RESUME to restore a users access to the system that has been revoked by: Three consecutive unsuccessful password/log in attempts A prior REVOKE command You can assign a new entry password and RESUME the profile at any time. See Exhibit 1.4.61-2 detailed instructions. Always remember to do the following: DISPLAY the user before resuming that user. See Exhibit 1.4.61-1 for detailed instructions. Verify the appropriate action is taken on the correct user. 1.4.61.6.2 (04-27-2023) Profile Revoke Procedures When an employees profile is "REVOKED" , this specifies that RACF is to prevent a user from accessing the system. The users profile and DATA SETS are not deleted. The user cannot access the system, and the employee will be denied access at their next log in attempt. A user should always be "REVOKED" if detailed to another position for 30 days or more. If a user no longer needs ACS/ICS access DELETE the user by completing a BEARS request.. Note: Remember to "DISPLAY" the user id before revoking or resuming and verify that the appropriate action is being taken on the correct user. See Exhibit 1.4.61-1 for detailed instructions. 1.4.61.7 (12-16-2020) ACS Security The ACS application is subject to Federal Information Security Management Act (FISMA) and Cybersecurity guidelines which requires annual testing of the application to ensure security guidelines are maintained. In addition, annual disaster recovery testing is completed to ensure the system can be recovered should a disaster occur. ACS HQ participates in theses annual tests on behalf of the business to provide evidence of compliance to security requirements The ACS application is two tiered which requires user to have a valid RACF ID, ACS User ID and a password to access. The ACS application has a systemic process to inactive RACF IDs after 45 days of inactivity then delete them after 90 days. ACS HQ receives daily reports of users meeting the deleted criteria then inactivates the ACS ID on these accounts. ACS HQ notifies the site SA staffs weekly of the accounts that have been deleted. In addition, since ACS also provides access to external customers such as TAC offices and TAS, ACS HQ also deletes these accounts based on the daily reports and notifies the areas. The process of granting access to the ACS system uses a multi-step approval process. This ensures that only users who have a business need to obtain access to the ACS system are granted the correct permissions. To protect system integrity and taxpayer information the Online 5081 process has three levels of approval at the site. The first level is for the employee to request access, the second level is for manager approval, and the third level is for the system office SA approval. This process was setup to conform to FISMA and Cybersecurity procedures which operate under three primary principles Separation of duties – separate levels to ensure that the request for access are reviewed by more than one person. Least Privileged Access – employees should be granted the lowest level of permission necessary to perform their required duties. Accountability – audit trails that ensure that Agency has taken steps to protect taxpayer information from unauthorized access. 1.4.61.7.1 (12-16-2020) System Security Responsibilities System's management begins with the establishment of the Security database for IDRS, ACS and the Resource Allocation Control File (RACF). Information input to the Security database authorizes employees to use the system and keeps track of employee information for reporting purposes. Note: System's management begins with the establishment of the Security database for IDRS, ACS and the Resource Allocation Control File (RACF). Information input to the Security database authorizes employees to use the system and keeps track of employee information for reporting purposes. For ACS security, refer to IRM 5.19.5.2 For security purposes, perform the following tasks: Prepare written instructions to users and conduct training to promote overall system security; Maintain a current and historical master record of all control numbers, ACS, and IDRS users within the call-site; Maintain a complete listing of all call site hardware; Maintain system-wide records concerning security on the parameter file; Perform periodic reviews of IDRS command code profiles with managers to ensure that employees have only those command codes that are required to complete the job; Assure that profile change requests are appropriate and meet security criteria; Monitor security reports; Ensure that RACF and IDRS security violations are identified and appropriate remedial actions are taken Inform the operation of continuing violations and provide appropriate documentation Maintain appropriate records of security violations. 1.4.61.7.2 (12-16-2020) Quarterly Certifications Call Center SAs are required to perform quarterly certification of active ACS users. These reviews protect the integrity of the ACS system by ensuring that only authorized users have access. This is action required for all ACS Centers regardless of the number of profiles. After the review, a signed quarterly certification document must be submitted to HQ no later than 28 days after the end of the quarter. 1.4.61.8 (12-16-2020) ACS Reporting QMF Telephone Systems Analysts (TSA) can use the Query Management Facility (QMF for Windows) desktop application to query for information and create reports for ACS. QMF offers multiple interfaces, (build, prompted, or SQL) to help users build queries based on their skill level. TSAs can query most fields in the ACS database for open and closed cases. An ACS data dictionary provides the definitions of each field and can be used to assist with creating queries. The ACS Data Dictionary is stored on the ACSSI Systems Analyst (SA) SharePoint site. Note: For account related queries/reports, the ACS Case Reference Number (CRN) should be used in lieu of the TIN. The CRN allows users to access taxpayer accounts assigned to ACS and was created to protect the privacy of taxpayers’ accounts. 1.4.61.8.1 (04-27-2023) Securing Access TSAs will automatically have access to QMF through the approval of the BEARS "PROD SA (SRP) ‘site’ ACS " application (where ‘site’ is the call site location). Upon approval, TSAs shall submit an OS GetServices ticket for IT to install QMF for Windows. After QMF has been installed, users will need to import an "*.ini " file to configure QMF. Job aids and training material are located on the ACSSI Customer SharePoint. The site contains instructions for importing the "*.ini" file, configure QMF, and creating personal workspace. 1.4.61.8.2 (12-16-2020) ACS QMF Reports To assist TSAs with site operations, the ACSSI group creates and uploads queries to the SA SharePoint site. These queries include: ACS ACCESS – displays list of Active users on the ACS system APPROVAL – Approval cases sent by the site’s employees that needs to be worked APPROVAL AGED – Site approval inventory that will be aged at the end of the week CASES WORKED BY _EMPLOYEE – Cases worked by Operators (O profile) not signed into I9 CASES WORKED BY SITE – Count of cases worked by Operators (O profile) not signed into I9 (incoming calls) 1.4.61.9 (12-16-2020) Telephone Systems Follow IRM 1.4.20.29, ACS Telephone Program and System Reports. 1.4.61.9.1 (12-16-2020) Predictive Dialer Follow IRM 1.4.20.18, Workload Management, Outgoing Call Program that makes outgoing call on ACS cases. 1.4.61.9.2 (12-16-2020) Phone System (UCCE/CTIOS/UIP) Follow IRM 1.4.21.2.3, Best Practices, and job aids for management of the UCCE Call Sites. 1.4.61.10 (12-16-2020) Other Systems or Applications Other systems and applications are used by the ACS program as follows: Account Management Systems (AMS) Employee User Portal (EUP) eWorkforce Management (EWFM) E-Leave E-Gain (ACS Text Chat) Automated Time Tracking System (ATTS) 1.4.61.10.1 (12-16-2020) Security Follow IRM 1.4.20.16.4, Security, for managers’ responsibilities for managing employees’ ACS, IDRS AND AOIC profiles. 1.4.61.10.2 (12-16-2020) Account Management Systems (AMS) Follow IRM 1.4.20.18.4, Accounts Management Services, for guidance on AMS access, management tools and AMS reports. 1.4.61.10.2.1 (12-16-2020) Employee User Portal (EUP) Follow IRM 1.4.18.8.1.2, Roles in the Employee User Portal. 1.4.61.10.3 (12-16-2020) eWorkforce Management (EWFM) Follow IRM 1.4.21.4, eWFM for guidance on the eWorkforce Management application. 1.4.61.10.4 (12-16-2020) E-Leave Follow IRM 1.4.21.2.1, System Analyst Roles and Responsibilities for E-Leave. 1.4.61.10.5 (04-27-2023) E-Gain (ACS Text Chat) ACS Text chat uses the E-Gain application as the Hub to manage interactions with customers. Channels use a common desktop, knowledge base, customer history and business logic. Access to the E-Gain application is secured by submitting a BEARS request for the Prod User TDC Chat SBSE (Taxpayer Digital Communications) application based on access needed. Requests should include name, position, SEID, Badge number, shift and whether the user is bilingual. 1.4.61.10.6 (12-16-2020) Automated Time Tracking System (ATTS) Follow IRM 1.4.21.2.1, System Analyst Roles and Responsibilities for ATTS. 1.4.61.11 (12-16-2020) Workplans and Staffing The ACS work planning process begins with labor review resource funding estimates provided by the Finance Office. Finance builds their analysis on: Current staff on-rolls counts as of certain pay-periods Expected future hiring Projected attrition and unpaid leave factors Once Finance provides these resource needs estimates in terms of Full-Time Equivalent funding (FTE), Collection Planning and Performance Analysis (PPA), works with ACS Headquarters, JOC and Campus Collection to establish assumptions and set ACS Enterprise level targets for the upcoming fiscal year. Assumptions and targets are established at the ACS Enterprise level based on history and known changes that will affect business results and include: Direct time – expressed as a percentage of total time ACS expends on taxpayer service and supporting activities Phone time – expressed as a percentage of total time ACS expends handling taxpayer phone calls Telephone level-of-service (LOS) – the percent of total calls ACS expects to answer based on JOC projected call volumes for the upcoming year, total ACS FTE and projected phone hours Balance Due (TDA) and Return Delinquency (TDI) case closures Customer Accuracy – expectations are based on past National Quality Review Service (NQRS) results ACS work plan resources are allocated to three planning periods; October – December, January – June, and July – September. While work plan resources are allocated to the ACS sites based on each site’s staff levels, most work-plan targets remain at the Enterprise level. Campus Collection staff and Directors may choose to set Directorate level targets such as a direct time target based on the ACS Enterprise level target. ACS Headquarters monitors proper function and program usage as well as ACS performance against plan and periodically make recommendations to Campus Collection and the ACS sites based on their analysis. More information about the overall Campus Collection Work Plan Process is contained in IRM 1.4.20.5, Work Plans and Staffing. 1.4.61.12 (12-16-2020) ACS Quality Follow IRM 1.4.20.25, Quality for guidelines on the Quality Measurement Process, Role of Centralized Quality Review (CQRS) and Program Analysis System Reviewer (PAS), EQRS/NQRS Standard Reports and Role of the Campus Analyst. 1.4.61.13 (12-16-2020) ACS Training Follow IRM 1.4.20.22, Training and Employee Development for guidance on Core Training, ACS Interactive Training, On the Job Training and Training for All Employees. Exhibit 1.4.61-1 Actions to Display a User on ACS To DISPLAY an employee on ACS to see if they are REVOKED take the following actions: AT YOUR IAP SCREEN TypeLogon HitSpace Bar Type your RACF ID HitControl Type in yourPassword HitControl When you see *** hitControlagain Type inTSO Hit Space Bar TypeALU HitSpace Bar Type inEmployees’ RACF ID HitControl If your screen looks like this (see example below) before you hit your final Control you are correct. Example: TSO LU J955555 Exhibit 1.4.61-2 Actions To Resume a User on ACS To RESUME an employee on ACS that has been REVOKED take the following actions: AT YOUR IAP SCREEN TypeLOGON HitSpace Bar Type yourRACF ID Hit Control Type in yourPassword HitControl Type inTSO HitSpace Bar TypeALU Hit Space Bar Type inEmployee’s RACF ID HitSpace Bar TypeRESUME HitControl If your screen looks like this (see the example below) before you hit your final Control, you are correct Example: TSO ALU J955555 RESUME Exhibit 1.4.61-3 Actions to Resume and Assign New Passwords To Resume an employee on ACS that has been Revoked and issue a new password, take the following actions From your IAP Screen TypeLogon HitSpace Bar Type yourRACF ID Hit Control When you see *** hitControlagain Type inTSO HitSpace Bar TypeALU TypeSpace Bar Type inEmployees’ RACF ID HitSpace Bar Type the wordPassword HitSpace Bar Type( Typethe temporary password you want to assign to the employee Type) HitControl Note: If your screen looks like this (see Example below) before you hit your final Control you are correct. Example: TSO ALU J955555 PASSWORD (NEW9$you) Note: Passwords should be a combination of 8 letters/numbers including capital and small and also special characters. This format works the best. Exhibit 1.4.61-4 Management Codes Code Description ER, TFU, mm T = Team, F = Function, U = Unit, m-m = an eight -digit employee number; designation. Used by a manager to call up all cases worked by this employee the current date while signed on in the particular function/unit designated. Employees’s work will be sequenced and displayed on the terminal in the order it was processed. If m-m is not entered, the system will list all work performed by the designated function/unit in employee number order. ACS validates that requester is in unit. EL, TFU, m-m Same as ER except prints a hard copy listing at the call site overnight. EMPL Used to view alphabetical listing of employees with employee numbers entered on ACS. MRXX XX = team/function. Used to view the daily real time inventory report by team, function and unit. MR00 Displays Daily Workload Report by team for this call site. ACS validates that requester is in the unit. RP00 Used to access the Management Report Query Menu SM00 Used to display the Security Maintenance screen and maintain security information on employees in their team within the same function. Exhibit 1.4.61-5 ACS Profiles: Roles and Permissions RACF Profile ACS User Type Profile Description of Role Access to ACS Screens MGR L-Levy Review Manager Review inventory processed and levies suspended by Levy Review Operators Access to Levy Review application and Manager screens USER E – Levy Review Operator Manually reviews pending levies meeting certain conditions. Access to Levy Review application screens. MGR Q – Quality Review Completes quality review on actions taken by the Levy Review Operators Access to Levy Review Menu Screen. USER A – NLS Coordinator Update, add and/or delete levy sources information. NLSD System USER N- National Office Able to access and make changes on the following: Security Maintenance File Parameter Tables Special Inventory Teams, Batch Action, Disaster Assignment Table Restriction by Profile Levy Review Menu. Access to the following: Security Maintenance File Parameter Tables Special Inventory Teams Batch Action Screens Disaster Assignment Table Restriction by Profile Levy Review Menu. SRP (Privleged User) N- National Office In addition to the access of USER N Profile, the SRP profile also approves , resets passwords and adds HQ users to the to ACS application Access to the following: Security Maintenance File Parameter Tables Special Inventory Teams Batch Action Screens Disaster Assignment Table Restriction by Profile Levy Review Menu. SRP (Privleged User) M – Master Review case actions and monitors telephone calls of CRs Add and inactivate CRs to the ACS Data Base, View the ACS Parameter Tables Revoke and Unrevoked CR RACF User ID for any one in the call site including another M profile. Unlock an employee or an account assigned to an employee. QMF permissions allow creation and modification of queries and have ability to request table access. . Access to the following: Entity data Summary information and account data provided on all account screens Security Maintenance File TSO (Time Sharing Option) System QMF (Query Management Facility) System MGR S – Supervisor Reviews case actions taken to perform certain managerial approvals Monitors telephone calls of CRs assigned to their team Revoke and unrevoked CR RACF User ID for any operator or another supervisor in the call site but not a master profile QMF permissions allow creation and modification of queries but no ability for table access Access to the following: Entity data Summary information and account data provided on all account screens TSO (Time Sharing Option) System QMF (Query Management Facility) System. USER O-Operator Review case information, work and update case actions on ACS inventory Access to the following: Entity Data Summary information and account data provided on all account screens Does not have access to any manager screens USER V-View Only Employees needing access to ACS to view actions taken. No ability to take actions on ACS. Access to the following: Entity data Summary information and account data provided on all account screens MGR B-CDP Supervisor Place cases into, access or remove cases in S8 inventory. Review case actions taken by the CDP Operators. Access to the following: Entity data Summary information and account data provided on all account screens in the S8 Support Inventory Has managerial access. USER C-CDP Operator Place cases into, access/ remove or work cases in S8 inventory Access to the following: Entity data Summary information Account data provided on all account screens in the S8 Support Inventory USER D-View Only HQ Analysts needing access to ACS HQ tables. They have no ability to take actions on ACS. Access to the following: Security Maintenance File Parameter Tables Special Inventory Teams Batch Action Screens Disaster Assignment Table Restriction by Profile Levy Review Menu MGR P: Supervisor (SCP only) Review case actions taken to perform certain managerial approvals Monitors telephone calls of CRs assigned to their team Revoke and unrevoked CR RACF User ID for any operator or another supervisor in the call site but not a master profile QMF permissions allow creation and modification of queries but no ability for table access Access to the following: Entity data Summary Information and account data provided on all account screens, TSO (Time Sharing Option) System QMF (Query Management Facility) System. USER R-Operator (SCP only) Review case information, work and update case actions on ACS inventory. Access to the following: Entity data Summary information and account data provided on all account screens Does not have access to any manager screens. Exhibit 1.4.61-6 ACS Applications ACS applications were created for each call site and/or support sites with separate applications for each RACF profiles. In addition, applications were created for TAC offices based on region, Lions World Service clients and HQ applications for Analysts and Quality. The RACF profiles are as follows: USER applications for the Customer Service Representatives (CSRS) with the RACF "USR" profile MGR applications for Supervisors with the RACF "MGR" profile SA (SRP) applications for Systems Analysts with the RACF "SRP" profile Note: The XXX in the chart below represents the" USER" , "MGR " or "SA (SRP)" application Application Description PROD XXX ASC ACS (ICS/ACS/PRINT - SC) Andover ACS call site PROD XXX ATLANTA ACS (ICS/ACS/PRINT - SC Atlanta ACS call site PROD XXX AUSTIN ACS (ICS/ACS/PRINT - SC) Austin ACS call site PROD XXX BSC ACS (ICS/ACS/PRINT - SC) Brook haven ACS call site PROD XXX BUFFALO ACS (ICS/ACS/PRINT - SC) Buffalo ACS call site PROD XXX CSC ACS (ICS/ACS/PRINT - SC) Cincinnati ACS call site PROD XXX DENVER ACS (ICS/ACS/PRINT - SC) Denver ACS call site PROD XXX DES MOINES ACS (ICS/ACS/PRINT - SC) Des Moines ACS call site PROD XXX Detroit / CSC ACS (ICS/ACS/PRINT - SC) Detroit ACS call site/ Cincinnati Support PROD XXX FRESNO ACS (ICS/ACS/PRINT - SC) Fresno ACS call site and Fresno Support PROD XXX JACKSONVILLE ACS (ICS/ACS/PRINT - SC) Jacksonville ACS call site PROD XXX KANSAS CITY ACS (ICS/ACS/PRINT - SC) Kansas City ACS call site and Kansas City Support PROD XXX MEMPHIS ACS (ICS/ACS/PRINT - SC) Memphis ACS call site PROD XXX NASHVILLE ACS (ICS/ACS/PRINT - SC) Nashville ACS call site PROD XXX OAKLAND ACS (ICS/ACS/PRINT - SC) Oakland ACS call site PROD XXX OSC ACS (ICS/ACS/PRINT - SC) Ogden ACS call site PROD XXX PSC ACS (ICS/ACS/PRINT - SC) Philadelphia ACS call site and Philadelphia Support PROD XXX PUERTO RICO ACS (ICS/ACS/PRINT - SC) Puerto Rico ACS call site PROD XXX SEATTLE ACS (ICS/ACS/PRINT - SC) Seattle ACS call site PROD XXX CENTRAL REGION TAC ACS (ICS/ACS/PRINT - SC) Central Region TAC office maintained by Kansas City PROD XXX EASTERN REGION TAC ACS (ICS/ACS/PRINT - SC) Eastern Region TAC office maintained by Jacksonville PROD XXX WESTERN REGION TAC ACS (ICS/ACS/PRINT - SC) Western Region TAC office maintained by Seattle PROD XXX SCP ACS (ICS/ACS/PRINT - SC) ACS Special Compliance Personnel PROD USER LIONS WORLD SERVICES ACS (ICS/ACS/PRINT - SC) Lions World Service Clients to request ACS training profile maintained by Austin PROD XXX MCC IAP SYSM - APACSHQ (CT)(ICS/ACS/PRINT-MCC) (ICS/ACS/PRINT-MCC) ACS HQ Analysts PROD USER MCC IAP SYSM QUALITY (CQ) (ICS/ACS/PRINT-MCC) HQ PAS Quality Analysts Exhibit 1.4.61-7 Predictive Dialer System Case Assignment Program Reference IRM 5.19.5.5 Note: When cases are sent to S2 or I2 due to a bad phone number, the bad phone number will be zeroed out on ACS and a Terup record sent to IDRS Predictive Dialer Comment Value If Levy Source Available (TDA or Combo) Send to: If No Levy Source Available (TDA or Combo) Send To: If TDI MFT 01,10,11 with a 6020(b) indicator Open TDI last 3 calendar years, Send To: If TDI Only Send To: B, N, or Q B>3 or N>3 or Q>3 or B+N+Q>3 Ignore any Values in T&M. E3 if the primary final notice date (PRI FNL NOT) and the third party (3rd PRTY) date is on each module; otherwise send to E2. I2 or I4 if I2 ,,LOCDONE is found in the History. LPS Return amount between 0 and $1,500 for the delinquent module and/or credit balance is between 0 and $1,500 send TOI7,TFRO8600. No LPS or over $1,500 and/or no credit balance or over $1,500 send TOI7,,TFQU. I5 T T>0 and B, N, M, Q=0 E3 if the primary final notice date (PRI FNL NOT) and the third party (3rd PRTY) date is on each module; otherwise send to E2. If home, work or cell phone send to I4. If or POA phone number send to I2 or I4 if I2,,LOCDONE is found in the History. LPS Return amount between 0 and $1,500 for the delinquent module and/or credit balance is between 0 and $1,500 send TOI7,,TFRO8600. No LPS or over $1,500 and/or no credit balance or over $1,500 send TOI7,,TFQU. If is home or cell phone sent to I5. If POA phone, send to I2 or I5 if I2,,LOCDONE is in the History. M M>0 E3 if the primary final notice date (PRI FNL NOT) and the third party (3rd PRTY) date is on each module; otherwise send to E2. I2 or I4 if I2 ,,LOCDONE is found in the history. A four day follow up will automatically be placed on the account.. LPS Return amount between 0 and $1,500 for the delinquent module and/or credit balance is between 0 and $1,500 send TOI7,,TFRO8600. No LPS or over $1,500 and/or no credit balance or over $1,500 send TOI7,,TFQU. I5 Predictive Dialer New Alerts Description PDAO,,BNQ This is when a busy, no answer or taxpayer hung up in the queue. For systemic movement of cases after four attempts, refer to chart above for B, N or Q PDAO,,TEL This is when a telephone company intercept message is received. For systemic movement of cases after one message, refer to chart above to T PDAO,,MSG This is when an automated message is played. For systemic movement of cases refer to chart above for M Predictive Dialer Codes Description Date The date the dialer attempts were made H/W For the 10 digits home or work phone number that was dialed B Number of busy signals N Number of no answers T Number of bad telephone number/signals M Number of pre-recorded answering machine messages Q Number of times a taxpayer hung up while waiting for an assistor to become available Exhibit 1.4.61-8 ACS Support Site Addresses Support Site General/Business Reply Address Remittance Address Cincinnati ACS Support-Stop 813G PO Box 145566 Cincinnati, OH 45250-5566 ACS Support Stop 6052 PO Box 3894 Ogden UT, 84409 Fresno ACS Support PO Box 24017 Fresno, CA 93779-4017 Internal Revenue Service PO Box 219980 Kansas City MO, 64121-9980 Kansas City ACS Support Stop 5050 PO Box 219236 Kansas City, MO 64121-9236 ACS Support Stop 5050 PO Box 219236 Kansas City, MO 64121-9236 Philadelphia ACS Support PO Box 8208 Philadelphia, PA 19101-8208 Internal Revenue Service PO Box 219690 Kansas City, MO. 64121-9690 More Internal Revenue Manual