1.4.19 Automated Underreporter Managers and Coordinators Handbook (Cont. 2)

1.4.19.4
Monitoring and Reports

1.4.19.4.14
Aging Reports

1.4.19.4.14.3  (06-01-2006)
Suspense Aged Batch Report

  1. This report indicates which suspense batches have met the appropriate suspense time frames.
  2. The Suspense Aged Batch Report displays the following in two series:
    • Suspense Batch
    • Notice Date of the Suspense Batch
  3. Use this report to monitor suspense batches, ensuring all cases that have met the appropriate suspense time frames continue through AUR processing. Each week, clerical builds the cases physically present in the suspense batches listed on the report.
  4. The report is system generated weekly and can be viewed or printed by the AUR Coordinator and the clerical managers.

1.4.19.4.14.4  (06-01-2006)
Early Suspense Report

  1. The Early Suspense Report shows batches that have been prematurely aged by the AUR coordinator. The report displays batch number(s) and notice date(s).
  2. This report can be viewed or printed by the AUR Coordinator and the clerical managers.

1.4.19.4.14.5  (06-01-2006)
Partially Agreed Aging Listing

  1. This listing shows Partial Agreed Batches (Batch Types 67 and 87) that have been in AB batch status for two or more processing cycles and need to be updated to RB.
  2. The Partially Agreed Aging Report displays the Batch Number and Status Date, the date the batch status was updated.
  3. Use this report to determine which Partial Agreed Batch Types 67 and 87 batches require updating to RB batch status, to ensure timely actions and minimal cycle time.
  4. This report can be viewed or printed by the AUR Coordinator and the clerical managers.

1.4.19.4.15  (06-01-2006)
Closed Research Reports

  1. Closed research reports provide information on cases that either have no return transaction information or the tax return cannot be obtained from the Federal Record Centers.
  2. The closed researc H option under the Report option has a pull-right drop down menu. Select one of the following closed research reports:
    • Closed Missing Data Case Report
    • Unavailable Return Report
  3. These reports are generated weekly and can be printed or viewed by the AUR coordinator or clerical managers.

1.4.19.4.15.1  (06-01-2006)
Closed Missing Data Case Report

  1. This report displays information on cases in Missing Data Suspense BT 32.
  2. The Closed Missing Data Case Report displays SSNs in four columns. Cases are filed in the Missing Data Suspense area in SSN order.
  3. The report is used to pull the cases from the suspense file to be refiled at the appropriate Federal Records Center.
  4. This report is system generated weekly and can be viewed or printed by the AUR Coordinator and the clerical managers.
  5. The Closed Missing Data Report shows SSNs that have been closed since being assigned to Missing Data Suspense batch (Batch Type 32). If data is not secured within 45 days, these cases are systemically closed.

1.4.19.4.15.2  (06-01-2006)
Unavailable Return Report

  1. This report displays information on cases in Research Batch Types 30 and 34 that have been systemically closed when the research/return has not been received. The system suspends the SSN’s for 60 days before systemically closing with either PC 28 or 29.
  2. The system does NOT automatically close Married Filing Separate (filing status 3) cases. These cases display at the end of the Closed Unavailable Return Case Report and must be manually closed.
  3. The Closed Unavailable Return Case Report displays two series of SSN and the CSN. The Total Volume is shown at the end of the report.
  4. This report is used 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.
  5. This report is system generated weekly and can be viewed or printed by the AUR Coordinator and the clerical managers.

1.4.19.4.16  (06-01-2006)
Notice/Mailout Date Report

  1. The Notice/Mailout Date Report lists the mail out dates for the various types of notices listed below. The report lists the Upload Date, Notice Date, the established parameter, Released Volume, Print Notice Date and Print Volume for each notice date. The information on this report updates as the clerical function “RBs” batches. This report is generated on demand and can be printed or viewed by the AUR coordinator or clerical managers.
    • CP 2501 Notice
    • CP 2000 Notice
    • Recomp/Amended/PC57/PC95
    • Stat Notice

1.4.19.4.17  (06-01-2006)
Payer Agent List

  1. The Payer Agent list provides a listing of all identified payer agents. This listing is system generated and can be viewed or printed by the AUR coordinator.

1.4.19.4.18  (06-01-2006)
Action 61 Report

  1. The Action 61 (2645C) Letter Report provides a list of batches for which the system has generated 2645C letters.
  2. The report displays the batch number, batch status, batch volume, IRS Recd Date, 2645C Date, and the 2645C volume. The IRS received date displayed is the oldest received date for the letters generated. The report also displays total volumes of 2645C letters generated and mailed daily, weekly mailed and a cumulative total of letters mailed at the end of the report.
  3. The report is generated when AURX075 is run and can be printed by the AUR coordinator, technical managers, and clerical managers.

1.4.19.4.19  (06-01-2006)
Pull Listings

  1. Pull Listings are used to identify the location of a case once correspondence has been received.
  2. The report displays Notice Date, Suspense Sequence Number, SSN, Response Sequence Number and Routing Unit and a total report volume. Pull Listings can be sorted and generated by Sequence Number or by Notice Date
  3. Clerical uses this listing after received responses have been built into response batches in the system. The listing can be printed or viewed by the AUR coordinator and clerical managers.

1.4.19.4.20  (06-01-2006)
Reworked Cases Report

  1. The Reworked Cases listing shows cases that have gone to Notice Review, Pre-Stat Review, etc., and because the case was changed, a new PC was assigned.
  2. The Reworked Case Listing displays three series of Sequence Number and SSN, and the Total Volume of cases in the batch.
  3. The listing is used to identify the cases which must go through the Batch Disassembly Process. The cases in Batch Type 95 that do not appear on the list are refiled to the appropriate suspense batch after the batch status is updated to RB.
  4. This listing may be printed or viewed by the AUR coordinator or managers.

1.4.19.4.21  (06-01-2006)
Misc. Letter Report

  1. 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 process codes other than 3L, 3S, 6L, 6S, or 8L.
  2. The Miscellaneous Letter Listing displays three series of Sequence Number and SSN. The listing also displays the total volume of cases.
  3. Clerical generates and prints this report when a disagreed response batch is updated to RB batch status. The list is used to pull and mail the manual letters (prepared by the tax examiner) from the identified cases.

1.4.19.4.22  (06-01-2006)
Stop CP Mailout Listing

  1. This listing displays all of the cases that have had a request to stop CP 2000 notices from being generated within the next seven days. The Stop CP Mailout List is generated in CSN order and displays the following case information:
    • CSN
    • Old CSN
    • SSN
    • UID Number
    • Name Control
    • Zip Code
    • Spousal and POA indicators

    Note:

    For TY 2003 and beyond, when a case is assigned to Stop Notice, the AUR system automatically updates the process code to the appropriate notice-not-mailed PC 34, 54, 58, 60 79 or 81. If the notice should be mailed, the AUR coordinator has to delete the notice-not-mailed PC. The appropriate PC must be entered for TY 2002 and prior cases.

  2. The listing also provides Total Volume, Total Spousal Volume and Total POA Volume.
  3. The Stop CP Mailout List can be viewed or printed by the AUR coordinator or clerical managers.

1.4.19.4.23  (06-01-2006)
Auto Assessment Report

  1. 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.
  2. This report displays PC, sequence number, SSN and a No Source Document field for each case on the report. An asterisk (*) displays in NO SOURCE DOC field when there are no attachments to associate with the CF 5147.
  3. The Auto Assessment Report is used by clerical to ensure cases are in correct adjustment sequence series order for shipment to files. This report should be run after a Disagreed Response batch is completed and updated to “RB” status. The report may be printed or viewed by the AUR coordinator and clerical managers. This report is generated daily by the system and must be printed daily. Each time the AURX060 is run, the report displays new information.

1.4.19.4.24  (06-01-2006)
Undeliverable New Action Listing

  1. This listing displays cases in Aged CP2000 Stat Prep Batch Type 59 with new actions for the case since the notice was mailed. The listing is generated after the undeliverables are Built into Batch Type 59 and before the batch status is updated to AB. The listing has two columns of the following data:
    • Sequence Number
    • SSN
    • Action
  2. The listing is used to pull cases with new actions and build them into Cases with New Actions Batch Type 84500-84799.
  3. This listing can be viewed or printed by the AUR Coordinator or Clerical Managers.

1.4.19.4.25  (06-01-2006)
Undeliverable Report

  1. This report tracks the volume of undelivereds and those with better addresses by notice type.
  2. This report can be viewed or printed by the AUR Coordinator or clerical managers.

1.4.19.4.26  (06-01-2006)
Check Notice/Letter Date Listing

  1. The Check Notice/Letter Date Listing identifies cases the system has identified as missing after no response cases have been purged (batched) into CP 2501 No Response BT 49, Aged CP 2000 Stat Prep BT 59, or Stat Default BT 79.
  2. This listing can be viewed or printed and is generated by batch type and notice date. The Check Notice/Letter Date Listing displays SSN and CSN in two series. The report also provides the total number of cases.
  3. Use the Check Notice/Letter Date Listing to either enter those cases into the purge batches to continue AUR processing or as a special search listing to locate the cases. This listing may be viewed and printed by the AUR coordinator or clerical managers.

1.4.19.4.27  (06-01-2006)
Batch Address Update Report

  1. The Batch Address Update Report provides a listing of cases with a new address since the case was batched into Aged CP 2000 Stat Prep 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.
  2. This report displays three series of sequence number and SSN.
  3. Use this report to pull the cases with updated addresses and build them to Remail CP 2000/Recomp BT 38. This report can be generated in CSN or SSN order and can be viewed or printed by the AUR coordinator or clerical managers.

1.4.19.4.28  (06-01-2006)
New Transaction Report

  1. The New Transactions Report provides a listing, by SSN/CSN, of all cases that contain a new transaction prior to the upload for printing the notice.
  2. This listing is used to identify cases that have to be reviewed to clear the system identified condition (new transaction). This report can be viewed or printed by the AUR coordinator or clerical managers.

1.4.19.4.29  (06-01-2006)
New Payer Agent Report

  1. The New Payer Agent report provides a SSN/CSN listing of cases that have potential payer agent issue(s) identified. This listing is used to identify cases that the tax examiners may have to rework based on new payer agent information.

    Note:

    See IRM 4.19.3.5.2 and 4.19.3.5.3, IMF Automated Underreporter Program, for more information about the payer agent file and AUR payer agent responsibilities.

1.4.19.4.30  (06-01-2006)
Re-Order Dates Report

  1. The Re-order Dates report displays the information from the re-order date screen without being required to change or update the reorder dates that have already been established. Only the AUR coordinator can view or print this report.

1.4.19.4.31  (06-01-2006)
Batch Released Report

  1. The Batch Released Report displays a list of each batch type that has been updated to Batch Finished (BF) status from all locations. The listing displays a summary by location and a “grand total summary” of all locations.
  2. This report is generated on demand by entering a “beginning ” and “ending” date.
  3. 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, including training. this report can be viewed or printed by the AUR coordinator and technical managers.

    Note:

    This report has been designated “Most Important” .

1.4.19.4.32  (06-01-2006)
Notice Review List

  1. This listing is a statistically valid sample of cases for notice review. The list is system generated by CP2000 Mail Date, for each week that notices are generated.
  2. The listing is formatted in two columns (CSN and SSN). The Notice Review List contains the following information:
    • Notice Date as part of the header
    • Tax Year, as part of the header
    • CSN
    • SSN
    • Total Samples, as Summary
  3. This report can be viewed or printed by the AUR Coordinator and Clerical Managers.

1.4.19.4.33  (06-01-2006)
RLS Batch Status Report

  1. This report identifies cases that have been worked and released through the technical unit release but have not yet been processed by clerical.
  2. This report is used to monitor cases in RLS status to ensure timely clerical processing.
  3. This report can be generated on demand and can be viewed and printed by the AUR Coordinator and Managers.
  4. The following information displays on the report:
    • Batch (36, 45, 56, 65, 75)
    • SSN
    • PC
    • PC Date
    • UID
    • Previous Location
    • CSN

1.4.19.4.34  (06-01-2006)
UVC Action List

  1. This report identifies cases that have been viewed by another site (per phone call) and determined to have some type of action needed on the case.
  2. This report is used to ensure that timely actions are taken on these cases.
  3. The following information displays on the report:
    • CSN
    • STATUS
    • SSN
    • Contact Date
    • Age From Contact Date
    • UID
  4. This report can be generated on demand and can be viewed and printed by the AUR Coordinator and Managers.

1.4.19.4.35  (06-01-2006)
Return Chargeout

  1. This option allows the user to reprint Forms 4251 for an individual case or a batch when the return chargeouts are not available.
  2. This option can be viewed and printed by the AUR Coordinator and Managers.

1.4.19.4.36  (06-01-2006)
UVC Activity Report

  1. This report is generated on demand by entering a “beginning ” ; and “ending” ; date and can be viewed and printed by the AUR coordinator and technical managers.
  2. This report displays the following information:
    • number of cases that have been accessed as “info only” through Universal View Case
    • number of cases that have been accessed as an “action required ” through Universal View Case
    • a breakdown of each by site

1.4.19.4.37  (06-01-2006)
ADHOC Reports

  1. This option contains various reports that have been requested by the sites or HQ. These reports can only be accessed by the AUR Coordinator.

1.4.19.4.38  (06-01-2006)
Cancel Batch/Completed Work Unit Report

  1. The Cancel Batch/Completed Work Unit Report is generated by batch number and shows the completed work units in that batch.
  2. This report is generated when the message “WORK UNITS IN THIS BATCH ARE COMPLETED. PRINT COMPLETED WORK UNIT REPORT” appears. Select the Report option in the Status/Location window and Complt work unit to print the report.
  3. Use this report to identify work units that need to be completed to continue processing the entire batch.

1.4.19.5  (06-01-2006)
Security

  1. 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.

1.4.19.5.1  (06-01-2006)
Roles and Responsibilities

  1. ) The System Security Analyst (SSA) duties are usually assigned to the AUR coordinator. SSA responsibilities include:
    1. Completing the actions necessary to add new users, delete users and/or update existing users.
    2. Notifying management officials of any known or suspected security breaches.
  2. AUR managers and the AUR coordinator responsibilities include
    1. 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).
    2. Initiating the addition, update and deletion of users.
    3. 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.
    4. Unlocking UID’s and/or AUR terminals.
    5. Assigning/updating appropriate status and profile codes for users.
    6. Changing a user’s unit location number when appropriate. This function should only be used when an employee is reassigned to another unit.
    7. Informing employees about their Security responsibilities.
  3. AUR users are responsible for the following:
    1. Using the AUR system and data only in performing their official duties.
    2. Safeguarding data and equipment.
    3. Reporting any infractions to the manager.
    4. Protecting their passwords.

1.4.19.5.2  (06-01-2006)
Logins and Passwords

  1. Each user is assigned a unique login by the system.
    1. The first two characters are the first letters of the User’s first and middle name.

      Note:

      If the User does not have a middle name, an “X” is used for the middle initial.

    2. The next four characters are the first four letters of the User’s last name.
    3. The last two digits are the Campus code for the User’s site.

    Caution:

    If there is more than one user with the same login, the middle initial must be changed.

    Note:

    Once a UID is assigned to a user, it will never be reused by another user. If a user returns to AUR after an absence, they are assigned the same UID number.

  2. Passwords are also required to login to the system. The AUR System assigns a temporary password when a user is added to the AUR System, or brought back from furlough or extended detail.
  3. 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 120 days.
  4. When a user forgets their password, the manager, lead, or AUR coordinator issues a temporary password. To issue a temporary password:
    1. Select Security from the main menu
    2. Select Temp password. The Temporary Password window displays with the cursor in the USER LOGIN NAME field.
    3. Enter the user’s login (e.g., abcdef00)
    4. Click in the NEW PASSWORD field and enter a temporary password. Passwords must be at least six characters.
    5. Click in the RETYPE NEW PASSWORD field and enter the temporary password again

      Caution:

      Be sure to write the password down, since the system only displays the new password once.

    6. Click on OK
  5. 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.
  6. The system requires a password change at least every 120 days. Shortly before this time expires the user is prompted to choose a new password.

    Caution:

    This message should not be ignored.

    Note:

    “GRACE” displays in the PASSWORD ACCOUNT STATUS field when the User has been notified that their password is about to expire, but the User is within a “grace period” .

  7. The user is allowed to change his/her password at any time by selecting the Change Password option on the Security menu.

1.4.19.5.3  (06-01-2006)
Locking and Unlocking Terminals

  1. Users can lock their workstations without exiting the system. The workstation should be locked anytime a user is logged on and must be away from the workstation for any length of time.

    Note:

    If there is no keyboard activity for 15 minutes at anytime the user is logged on, the workstation automatically locks. The screen remains locked until the current user’s Windows password is reentered.

  2. Users must log off at the end of a shift.

1.4.19.5.4  (06-01-2006)
Unauthorized SSN Access

  1. 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.
  2. Locked UID: The system locks a user’s UID 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

1.4.19.5.5  (06-01-2006)
Locking/Unlocking UIDs

  1. 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 UID and the user cannot proceed. The User Administration screen, displays “Locked” in the Password Account Status field.
  2. To unlock a UID:
    1. Select Security from the main menu
    2. Select the user Administration option
    3. Enter the locked UID in the UID field
    4. Click on the PASSWORD ACCOUNT STATUS field. The field changes to “Open”
    5. Press <Esc> to exit
  3. When a user needs their session restarted due to a power outage, screen freeze, ungraceful logout (i.e. Ctrl/Alt/Del), etc., the AUR System automatically resets the session upon login.

    Caution:

    If the process did not automatically restart the session, the AUR coordinator, manager or lead can allow relogin by entering the User’s UID in the User Administration screen and clicking the Reset Session button.

1.4.19.5.6  (06-01-2006)
Profile Codes and Security Roles

  1. Profile Codes are established so that managers can give users access to the segments of the system (menu options) that the users need to perform their responsibilities. The different working segments are separated and defined by functional “roles” as follows:
    1. Analysis — All windows/menu options needed for screening
    2. Response — All windows/menu options needed for responses
    3. Clerks — All the control menu options and some reports
    4. Clerk Lead — All the control menu options, with all reports except reports accessible only to the AUR coordinator
    5. Clerk Mgr — All the control menu options, with all reports except reports accessible only to the AUR coordinator
    6. Mgr Control — Controlling of batches, work units, and cases to assign, release, transfer, accept transfer, and update work
    7. Mgr Review — Management review of employees’ work
    8. Mgr Reports — All technical reports
    9. Quality Review — Quality Review function review of employees’ work
    10. View Case — Research of cases not assigned to the user (i.e., telephone assistance TE’s)
    11. Security — Management capabilities for adding, updating and deleting users, and unlocking certain system locks
    12. Security Lead — Lead capabilities for unlocking certain system locks
    13. Payer/Agent Coordinator — Payer/Agent capabilities for identifying potential and confirmed payer agent data and printing payer agent reports
    14. AUR Coordinator — Control capabilities for setting up parameters, dates for run controls, notices and other miscellaneous dates, local paragraphs, and Security functions
  2. See Exhibit 1.4.19-4 for a complete list of the Profile Codes and assigned roles.

1.4.19.5.7  (06-01-2006)
Status Codes

  1. Status Codes 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.
    • R (Reactivated) — user is returning to AUR following Status Code F, I, or D.

    Note:

    To reactivate a user, access the User Administration window and follow the instructions in (3) below.

  2. The following status codes are assigned by the system:
    • A (Added user) — new to AUR, or after being deleted.
    • S (SSA Actions) — following Status Code A, when the SSA adds a new use.
    • C (Completion of SSA actions) - following Status Code S, when the SSA actions are completed. Managers can then update the user to Status P.
    • O (Name Change) – user has changed their last name.

      Note:

      After name changes are made, SSA actions must be completed.

      Note:

      Beginning in Nov. 2006, the system will assign status code ” Z” to a user who has not accessed the AUR system for 45 days. The functionality of status code “Z” will be the same as assigned status code “I” .

1.4.19.5.8  (06-01-2006)
Adding/Reactivating Users

  1. Managers are responsible for initiating a “request to add” action for adding their employees to the system. If the user’s manager is not available, another manager can add the user. The online Form 5081 process is used to obtain access to the AUR System.
  2. The employee agrees to all AUR Security rules by electronically signing the on-line Form 5081, which is electronically maintained at each site.
  3. To add or reactivate users:
    1. Select Security from the main menu.
    2. Select the user Administration option - User Administration screen displays.
    3. SSN/UID — Enter the user’s SSN, or UID if known.

      Note:

      The system checks to see if the SSN or UID is for a past user. If the information is found, the system displays the remaining fields, update the status code. If no information is found, the remaining fields must be entered by the manager or AUR coordinator.

    4. LAST NAME — Enter the user’s last name.
    5. FIRST NAME — Enter the user’s first name.
    6. MIDDLE INITIAL — Enter the user’s middle initial. If no middle initial, enter “X” .
    7. EMPLOYEE PHONE NUMBER — Enter the phone number used for taxpayer contact on Correspondex Letters created by the AUR system. For further details see the Letter Parameter section.
    8. HOURS — Enter the hours used for taxpayer contact.
    9. UNIVERSAL WORK CASE – Click on this field if the user needs access to Universal case permissions.
    10. ORG # — Verify the information on the screen. If the user should be assigned to a different ORG #, make the appropriate change.

      Note:

      The information in the UNIT NAME, MANAGER, PHONE, and MAIL STOP fields automatically display when the ORG # field is entered. This information is pulled from the Unit Reference Tables.

    11. UNIT LOCATION # — Enter the user’s assigned location number.
    12. PROFILE — Enter the appropriate profile code. See Exhibit 1.4.19-4.
    13. IDRS — Enter the user’s IDRS # (optional).
  4. After a User has been added or re-activated, the AUR coordinator and manager is notified by E-mail of necessary updates, when there is an entry in the EMAIL ADDRESS field on the User Administration Screen
  5. The SSA or the AUR coordinator adds all managers to the system. Follow the instructions for adding and reactivating users in (3) above.
  6. 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.
    1. Enter the updated information in the NEW ENTRY FOR UNIT REFERENCE
    2. 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

    Note:

    The profile code of the current manager automatically changes to a lead tax examiner profile.

  7. After the User’s data has been entered in the User Administration window, the AUR coordinator must complete the processing. To complete the actions:
    1. Click on the ACCESS tab in the User Administration window.
    2. Click in the CMPT UPDT field. The User’s status changes from “A” (Add) to “C” (Complete), and the system generates a login for the User. The manager then updates the User to the appropriate status code.

      Note:

      A Security Form automatically prints for the User to sign. Follow Campus directions for maintaining a copy of this form.

1.4.19.5.9  (06-01-2006)
Updating and Deleting Users

  1. 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.

    Exception:

    The SSN can only be changed by the AUR coordinator.

  2. To update the status code and Default UID of individual or multiple users in the same unit, the Update Group Status window can also be used.
    1. Select Security from the main menu.
    2. Select the user Administration option - User Administration screen displays.
    3. Click on the GROUP tab in User Administration. The Group Status window displays with the cursor in the UNIT field.
    4. Press <Enter>. The system generates the unit number of the manager taking the action.

      Note:

      If another unit number is desired, click in the UNIT field and enter the desired unit.

    5. Press <Enter>. The cursor moves to the REVIEW/UPDATE STATUS field.
    6. 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.
    7. To update every user on the screen to the same status code, enter the new status code in the CHANGE STATUS TO field.
    8. 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).

      Note:

      Whenever users are updated to F, D, or I status, the system requires the default UID to be updated. The same validity checks and error messages display when updating the default UID.

      Caution:

      If the Default User is changed to F, D, or I status, the Default User window displays. The cursor displays in the Update All to Default UID NUM field. Enter the UID of the new Default User.

    9. To update the default UID for every user on the screen to the same default UID, enter the new default UID in the CHG DEFAULT UID TO field.
    10. To update the default UID of only some of the users, or to update users to different default UIDs, enter the new default UID for each user in the corresponding DEFAULT CODE field(s).
  3. To view the current default users, click on the DEFAULT tab in the User Administration Screen.
  4. Enter a default UID in the DEFAULT RESPONSE UID # field, if the User who worked the case will not be working second/additional responses for any tax year.

    Note:

    The User and Default Response User must not be the same. Both Users must be in “P” status.

    Caution:

    If the Default Response User is placed in “F” , ” D” , or “I” status, the Default Response User must be removed from the DEFAULT RESPONSE UID # field.

  5. During the night, the AURx071 checks for cases assigned to or being transferred to the user. If there are no outstanding cases, the status update is completed after the check. If there are outstanding cases:
    1. Status Code F, D, or I is replaced by an * (asterisk) in any year with outstanding cases.

      Note:

      Effective November 2006, if a user has not logged onto the AUR System within 45 days, the User’s status automatically updates to a “Z” ; (systemic inactive) status. The “Z” ; status follows the same system checks as the ” I” ; status.

    2. When the user’s manager logs onto the system, this message displays: “There is a Status Error Report to print for your unit.”
    3. This report can be viewed or printed by accessing the Status error option of the Security menu. The IND field displays either a ” T” for a transferred case or “W” for work still assigned to the user. The SSNs of all such cases displays, for any user in the unit who is placed in a non-work status. See IRM 1.4.19.5.12.3. for more information on the Status Error Report.
    4. After all the cases are worked or reassigned, the manager must go back and change any status code that is (*) to the correct status; this should be done using the above screens.
  6. When updating a user’s status code to “R” , the AUR coordinator reactivates the user by clicking the ACCESS tab on the User Administration Screen and clicking in the CMPT UPDT field. After the actions are completed, the reactivated user’s status is updated to a “C” . The manager must then update the user to the appropriate status code.
  7. 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:
    1. Organization Code
    2. Profile Code
    3. Location Code

1.4.19.5.10  (06-01-2006)
Changing a User’s Unit Location Number

  1. A user’s UNIT LOCATION # can be changed if a user needs to work in a different location.
  2. To change a user’s Unit Location number:
    1. Select Security from the menu.
    2. Select the user Administration option.
    3. Enter either the user’s SSN or UID. The system generates the data for remaining fields.
    4. Click on the UNIT LOCATION # field. The system checks for any cases assigned to or being transferred to the user.
    5. If there are outstanding cases, the system displays the message; “THERE IS STILL WORK ASSIGNED OR OUTSTANDING TRANSFERS. LOCATION CHANGE IS NOT ALLOWED.” ;
    6. The system then displays the message “REPORT OF WORK ASSIGNED OR OUTSTANDING TRANSFERS FOR USER XXX IS PRINTING AT DEFAULT PRINTER.” ;
    7. Before the Location change can be completed, all outstanding cases must be closed or reassigned.

      Note:

      The system will NOT check for the UID designated as a Default UID since this is not pertinent for moving a user to another location.

    8. Delete the current UNIT LOCATION# and enter the new one.
    9. Update the ORG# to match the new UNIT LOCATION #.
  3. The AUR coordinator’s unit location can be temporarily changed so the Coordinator can perform managerial/clerical functions for a specific unit.
    1. Select Security from the Main Menu.
    2. Select the user Administration option.
    3. Enter the UID of the AUR coordinator in the UID field.
    4. Change the UNIT LOCATION # field to the specified unit
    5. Press <F4>to commit

    Note:

    When managerial/clerical functions are finished, the UNIT LOCATION # field must be changed back to the same entry as in the PRIMARY LOCATION # field.

1.4.19.5.11  (06-01-2006)
Creating a New Location (AUR Coordinator Only)

  1. The AUR coordinator can create a New Location for new employees or to re-organize existing locations.
  2. To add a New Location:
    1. Select Security from the main menu.
    2. Select the user Administration option.
    3. Click on the NEW LOC tab.
    4. Enter the new location in the ENTER A NEW LOCATION field.
    5. Enter the name of the location in the ENTER THE NAME OF THE LOCATION field.

      Note:

      The new location is created for all AUR tax years and the corresponding suspense batches.

    6. Press <F4>to commit.

1.4.19.5.12  (06-01-2006)
Security Reports/User Administration Screen Tabs

  1. The AUR system generates several reports designed to help managers monitor system security issues.
  2. The AUR system also stores various information that can be accessed by clicking on the appropriate tab in the User Administration screen.

1.4.19.5.12.1  (06-01-2006)
Profile Code Reports

  1. 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.
    1. The Unit report lists each employee in a unit by last name, first name, SSN, status, profile code, and profile date.
    2. The Section report lists only the number of users in work and non-work status for each profile code.
    3. The Branch report lists only the number of users in work and non-work status for each profile code.

1.4.19.5.12.2  (06-01-2006)
AUR User List

  1. The AUR User List is a listing of users on the AUR system. There are three types of AUR user lists. The entire list can be accessed and printed by the AUR coordinator. Unit managers can print a list of their users.
    1. TheUID list provides a complete list of users in numerical order.
    2. The Unitlist can be selected by either UID (lists all the users in the unit in UID order) or by Name (lists all the users in the unit in alphabetical order).
    3. The Name list provides a complete list of users in alphabetical order.

1.4.19.5.12.3  (06-01-2006)
Status Error Report

  1. The Status Error Report can be viewed or printed the day after a user was placed in a non-work status (codes D, F, I or Z). The user’s manager receives a system prompt to print the report when they log onto the system.

    Note:

    Effective November 2006, if a user has not logged onto the AUR System within 45 days, the User’s status automatically updates to a “Z” ; (systemic inactive) status. The “Z” ; status follows the same system checks as the ” I” ; status and will generate to the Status Error Report.

  2. To print the report:
    1. Select the applicable tax year(s) from the main menu.
    2. Select Security.
    3. Select the Reports option.
    4. Select Unit status error from the pull-right options to obtain the report for the assigned unit or
    5. Select Status error from the pull-right options to obtain the report for all users.
  3. The report identifies any outstanding cases assigned to the users being put in non-work status (codes D, F, I or Z). The manager or lead must reassign the outstanding cases before the status code update can be completed.

1.4.19.5.12.4  (06-01-2006)
Audit Tab - Displaying Audit Trail Information

  1. The Audit tab displays actions taken by the User to change taxpayer data and is recorded in an Audit Trail table. SSN’s accessed by the employee appear on the screen. In addition to the SSN field, the window displays the following fields:
    • TASK - All task codes used while working a case

      Note:

      When a row is highlighted, the hint text displays the description of the corresponding task code.

    • TASK DATE – the date and time of access
    • ACCESS IND – the Access indicator field displays a code that identifies if the request for an SSN was successfully completed. The codes and descriptions are shown below:
      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
    • YEAR - the applicable AUR tax year
    • LOC, UID, and Unit # - the User’s Location, UID, and Unit number.

    (2) To access the Audit Trail data for a User:

    1. Select Security from the main menu.
    2. Select the user Administration option.
    3. Click on the AUDIT tab in the User Administration screen. The cursor displays in the UID field.
    4. Enter the User’s UID.
    5. Press <Enter>. The cursor moves to the TY field.
    6. Enter the appropriate tax year.
    7. Press <Enter>. The cursor moves to the ORG # field.
    8. Enter the User’s Org Code.
    9. Click on the Query button to display the records.

      Note:

      The screen displays all cases worked for the current and previous day.

1.4.19.5.12.5  (06-01-2006)
Archive Tab - Displaying Archived Audit Trail Information

  1. The Archive Audit Trail Information window contains a Users Audit trail of all cases worked in a specified timeframe.
  2. The data is used to track the time spent working each case by viewing the start and end time of each task code.
  3. To access the archived information:
    1. Select Security from the main menu.
    2. Select the user Administration option.
    3. Click on the ARCHIVE tab.
    4. Enter the UID of the User.
    5. Enter the range of dates in the BEGIN QUERY DATE field and the END QUERY DATE field.

      Note:

      The data is available beginning with tax year 2000.

  4. Each block contains the records for one day. Use the scroll bar to view all the days contained in the data range query.
  5. Enter a Task Code in the Task CD field to view the description of the Task code(s) displayed in the daily records.
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