| [ Audit System Manual- TOC ] [ Ch 1 - Introduction ] [ Ch 2 - Preparing for an Audit ] [ Ch 3 - Conducting the Audit ] [ Ch 4 - Completing the Audit Forms and Schedules ] [ Ch 5 - Audit System Screens ] [ Ch 6 - Miscellaneous ] [ Ch 7 - USDOL - Tax Performance System ] [ Ch 8 - Computer Fundamentals & Hardware ] [ Appendix ] | |
| [ 5.1 - Audit System Screens Accessed Through the Field Tax Main Menu ] [ 5.2 - Audit Screens Accessed Through the Field Tax Audit System ] [ 5.3 - Field Tax Audit System Main Menu - (FA01) ] [ 5.4 - Work with Audits Menu - (FA02) ] [ 5.5 - Select Audit Letters Menu - (FA20) ] [ 5.6 - Select Reports Menu - (FA12) ] | |
Chapter 5: Audit System Screens |
comments to: Tax Department |
On any command line in the TPTX1 tax system, enter "FA02", which stands for Field Audit system, menu #2. The Work With Audits menu appears. If you are already in the audit system, you may reach this menu by entering WA on the command line.
Menu Format:
Purpose: The Browse Audit Candidate Menu allows users to:
Screen Access: At the Browse Audit Candidate Screen Menu choose Active Audit Candidates - (FA04), Completed Audits for the Current Month - (FA05), or History Audits Prior to the Current Month - (FA06).
Special Hints for Using the Browse Audit Candidates Menu:
Screen Format:
Display Fields on the Browse Audit Candidate Screens:
| EID | Key the Employer Identification Number on the EID line. |
| STATUS CODE | Key either "U" or "R" for unreleased or released audit assignments. An audit assignment remains unreleased until the audit results are keyed, and then it becomes a released audit assignment. |
| ACTION | Select "I" or "C". The inquire (I) screen displays the audit. The Change (C) screen displays the audit to be changed. |
| ASGMT NBR | Unique identifier of the assignment. |
| EID | Account number for the assignment. |
| ZIP | Zip code location of account. |
| EMPLOYER NAME | Name on account. |
| SRC | Source of audit. |
The Completed Audit Candidates Screen and the History Audit Candidates Screen have an additional column on the right side of the screen.
CHANGE DTE The
date audit results were keyed.
The Audit Detail screen is used to enter the results
of a recently completed audit. The screen may also
be used to view and/or correct the results of a
previously keyed audit.
Audit results entered on the Audit Detail Screen must be reviewed
by the Supervisor/Manager to ensure accuracy and agreement with the audit documentation.
Changes to previously keyed audit data may be made in the local office if the original data was keyed during the current month. Changes required after the month ends must be made by Field Tax Operations.
Purpose: The Audit Detail Screen allows users to:
Screen Access:
Screen Format:
Display Fields on the Audit Detail Screen:
| ACTION | Always has a "C", indicating completion of the audit assignment. The assignment is completed on the mainframe system when data has been entered for all quarters in the audit scope. | |
| ASSIGNMENT NBR | Unique identifier of the assignment. | |
| EID | Employers account number. | |
| TAX AREA | Field Tax region of the account. | |
| EXAMINER | Accounts Examiner responsible for account. | |
| AUDIT DATE | Date audit was conducted, or last date of contact for additional records. Keyed as mm-dd-yy or mmddyy. IMPORTANT: Key the last two digits of the year when completing this field. | |
| AUDITED | Enter the results of the audit for total wages, taxable wages, and tax due. These amounts match what appears on the C-51 Field Audit Report, and are summary totals for all quarters included in the audit scope. | |
| REPORTED | Enter total wages, taxable wages, and tax due as reported by the employer. These amounts match what is on the C-51 Field Audit Report, and are summary totals for all quarters included in the audit scope. | |
| UNDER REPORTED | Enter the under reported amounts for total wages, taxable wages, and tax due. These amounts match what appears on the C-51 Field Audit Report, and are summary totals for under reported amounts found for all quarters included in the audit scope. Do not net under reported and over reported amounts. | |
| OVER REPORTED | Enter the over reported amounts for total wages, taxable wages, and tax due. These amounts match what appears on the C-51 Field Audit Report, and are summary totals for all over reported amounts found for all quarters included in the audit scope. Do not net over reported and under reported amounts. | |
| CHANGE AUDIT? | A change audit is an audit that required a change in the Agency posted amounts for total wages, taxable wages, or taxes owed. Enter a 1 for No, or a 2 for Yes. | |
| HOURS FOR AUDIT? | Enter up to three digits. Hours are entered in whole numbers. | |
| EMPLOYMENT | Key in number of employees. | |
| TECAS AUDIT? | Default is 1 for NO. TECAS Auditors enter 2 for YES. | |
| AUDIT SOURCE | Enter the correct code. A = State Office Assignment |
|
| MISCLASSIFIED WRKRS: | Enter the number of misclassified workers (new employees) discovered during the audit investigation. | |
| MISCLASSIFIED WRKR WGS: | Enter the wages attributed to the misclassified workers (new employees) discovered during the audit investigation. | |
| Q-YY | Enter the Quarter and Year of the data to be keyed. Enter the quarter first and then the year, such as q-yy or qyy. There is one Audit Detail Screen for each quarter in the audit scope. | |
| TAX RATE | Enter the employer's tax rate. | |
| AUDITED | For each quarter, enter the audited amounts for total wages, taxable wages, and tax due. These amounts must match the C-51 Field Audit Report for each quarter. | |
| REPORTED | Enter total wages, taxable wages, and tax as reported by the employer. The amounts must match the C-51 Field Audit Report for each quarter. | |
| UNDER REPORTED | Enter under reported amounts per quarter for total wages, taxable wages, and tax due. Do not net the under reported and over reported amounts. The amounts must match the C-51 Field Audit Report for each quarter. | |
| OVER REPORTED | Enter the over reported amounts per quarter for total wages, taxable wages, and tax due. Do not net the over reported and under reported amounts. The amounts must match the C-51 Field Audit Report for each quarter. | |
Audit Detail Screen & Audits with more than 12 Quarters:
The audit detail screen allows users to enter 12 quarters of data, however in some situations it's possible for a expanded audit to exceed this limit.
Solution: Key the audits data from the most recent quarter first, working backwards until you reach the 12th and last quarter on the audit detail screen. Manually add the number up for each additional quarter and key the results using the Qtr/Yr of the 12th quarter in the audit.
A supervisor uses this screen to view the audit
candidate list for an Accounts Examiner. It also
is used to view the results of a completed audit.
Move the cursor onto the same line as the particular
assignment, and press <ENTER>. The Maintain
Audit screen appears, and allows the supervisor
to take further action.
Purpose: A supervisor may use this screen
to:
Screen Format:
Display Fields on the Supervisor's Screen:
| AE | Enter Accounts Examiner number. |
| STATUS OF AUDIT | A - Active Audit. C - Completed audit in current month. H - Completed audit prior to current month. |
| RELEASE STATUS | R - Released. A
released audit assignment indicates the audit
was completed and the audit results have been
keyed. U - Unreleased. The audit assignment has not been completed. |
Display Fields on the Audit Detail Screen:
| ASGMT NBR | Unique identifier of the assignment. | |
| AE | Accounts Examiner responsible for account. | |
| EID | Account number for the audit assignment. | |
| ZIP | Zip code location of the account. | |
| EMPLOYER NAME | Name on account. | |
| SRC | Source
of audit. |
|
| ASSIGNED OR COMPLETED | Date of the original audit assignment. When the audit results are keyed, the date changes to the current date and it becomes the audit completion date. | |
Purpose: This screen is used to request active, unreleased audit candidates.
Screen Access: SA
System will automatically refresh the audit candidate list each year on the 3rd Wednesday of December.
Special Hints for Using the Select Audit Candidates Screen:
Screen Format:
Display Fields on the Select Audit Candidates Screen:
| AUDITS REQUESTED | Enter the number of candidates requested. The system allows a maximum of 50 audit candidates on the work list. Press Enter. |
Purpose: The examiner's active audit candidate list is displayed on this screen. A particular audit candidate may be chosen by entering an account number. This screen allows you to:
Screen Access: RC
Special Hints for Using the Reject Audit Candidates Screen:
Screen Format:
Display Fields on the Reject Audit Candidates Screen:
| ACTION | Select "I" for Inquiry or "C" for Change. Both options take you to the Reject Audit Candidates Screen. |
| ASGMT NBR | Unique identifiers of the assignment. |
| AE NBR | Accounts Examiner responsible for the account. |
| EID | Account number for the audit assignment. |
| TAX AREA | Tax region of the account. |
| REJECT REASON | Enter an appropriate
code for rejecting the audit.
1 = Employer not in tax area. |
IMPORTANT: Supervisor / Manager must approve and document FTC with the justification for rejecting an audit.
Reject Reason #2
If an audit candidate appears on an examiner's work list and that account was previously audited within the last 36 months:
Reject Reason #6
There are several reasons that an audit candidate might be rejected using Reason Code 6 listed above. In the first four cases listed below, the Regional Tax Manager should update the FTC screen.
Purpose: This screen is used to add an audit candidate to an examiner's list. An audit candidate may be assigned to any AE regardless of zip code or tax area.
Screen Access: AA
Special Hints for Using the Add Audit Candidates Screen:
Screen Format:
Display Fields on the Add Audit Candidates Screen:
| ACTION | Enter "A" to add an audit candidate to the examiner's list. Enter "E" to erase the contents of the page. Erase does not delete an audit assignment, it merely erases the page. |
| EID | Enter account number for the audit assignment. |
| ZIP CD | Zip code location of the account. |
| EXAMINER | 4-digit AE ID number of the Auditor responsible for assignment. |
| ORIGIN | Enter "F" for an assignment created in a Field Tax office, or "S" for an assignment that came from a system-generated audit assignment. |
| SOURCE | Source of audit. A = State Office B = B-27 C = Chargeback F = Fictitious Employer H = Old Audits Candidates, Annual Refresh – DO NOT USE J = Converted M = RTM O = OIG R = Random S = Stratified |
| STATUS | "U" for an unreleased audit assignment or "R" for a released audit assignment. Unreleased is the default. |
| RELEASE DATE | Defaults to the current date unless another date is keyed over the current date. Enter the date as mm-dd-yy or mmddyy. |
| ISSUE DATE | Defaults to the current date unless another date is keyed over the current date. Enter the date as mm-dd-yy or mmddyy. |
A Tax Department Directive was issued stating that A CANDIDATE SELECTED BY USING THIS SCREEN MUST BE APPROVED BY THE REGIONAL TAX MANAGER.
The routine employed by this screen does not meet the requirement to randomly select candidates for audit, and is therefore known as a "targeted" system. All audit candidates chosen via this screen must be approved by the Regional Tax Manager.
The RTM may approve using this screen to complete a special investigation that is being conducted, however all accounts selected for audit via this screen must have FTC documented by the RTM showing the specific reason for the audit. The audit will be coded with a source code of "M" Regional Tax Manager.
Purpose:This screen allows audit candidates to be selected by targeting certain specific criteria. Candidates may be selected by zip code, number of employees, SIC code, or Tax rate.
Screen Access: RA
Special Hints for Using the Request Audit Candidates by Criteria Screen:
NOTE: Remember that any audit candidate selected for audit through this screen does not meet the minimum requirement for randomly selecting audit candidates. SELECTION OF AUDIT CANDIDATES THROUGH THIS SCREEN MUST BE APPROVED BY THE REGIONAL TAX MANAGER. The Regional Tax Manager may approve using this screen to complete special investigations, however all accounts selected for audit via this screen must have FTC documented by the RTM showing the specific reason for the audit. The audit will be coded with a source code of "M" Regional Tax Manager.
Screen Format:
Display Fields on the RA Screen:
| AE# | The AE's number. |
| ZIP CODE | The target zip code. Retrieves up to 10 candidates found in that zip code. |
| NBR OF EMPLOYEES | Key the targeted number of employees. Retrieves up to 10 candidates based on range and size of account. |
| NAICS CODE | Key the targeted NAICS Code. Retrieves up to 10 candidates found under that code. |
| TAX RATE | Key the targeted Tax Rate. Retrieves up to 10 candidates based on the range of tax rates. |
After the program selects 10 audit candidates, it displays them on the screen:
| ACTION | Enter "S" and the Add Audit Candidates Screen appears. Enter information to be added. Assign audit candidate. |
| EID | TWC account number. |
| TAX RATE | Rate assigned to the employer. |
| EMPLOYMENT | Average number of employees per quarter. |
Occasionally audit results get keyed, and at a later date it is determined that the audit must be deleted from the file of completed audits. Perhaps the audit was keyed to the wrong account number, or the audit does not meet minimum audit requirements, or the scope of the audit was wrong. Mistakes happen, and because of that, a process exists for deleting already keyed audits.
Purpose: To delete a completed audit assignment.
Screen Access: DA
Special Hints for Using the Delete Completed Audits Screen:
Screen Format:
Display Fields on the Delete Completed Audits Screen:
| ACTION | Enter a D for Delete, or an E for Erase. |
| ASSIGNMENT NBR | The assignment number of the audit that is being deleted. |
