Submission Filing Decisionmaking Normal decision issuing Legal management clock management clock clock Comments Reply to notice of probable violation, § 155.85. (2) Reply to remedial order, § 155.85. IRS key district. Requests for reconsideration under subpt. F, § 155.103 10/30 Category I and II letter of intent for (or certification of) IRS key district. profit margin repurification, § 155.194; § 155.197. IRS key district. IRS key district. Request for interpretation, § 155.2. do. IRS key distirct/ do. (2) (2) Written statement by district (1) Only issued by CLC G.C. when (a) CHAPTER I: CASE CONTROL-REPORTS RECEIPT, CONTROL AND STATUS REPORTING OF FORMS CLC-22 AND RELATED PHASE IV DOCUMENTS Section 1. Purpose .01 This chapter provides instructions for the receipt, control, and status reporting of Forms CLC-22 and related Phase IV documents, by the key district offices. .02 There is an interactive computer system between IRS key districts, regions, National Office and Cost of Living Council. Instruction for inputting and retrieving data and reports are contained in the IRS/ESP Terminal Operators Manual (8/7/73). Instructions for converting Form S-66 data files are being prepared and will be issued in a separate document. Section 2. General .01 The principal variation in the flow of submissions described in this procedure is between: (1) those which require editing and entry to the IRS-CLC Data Processing System, and (2) those which are processed manually. .02 Figure 1-a depicts a typical key office functional area organization and the work flow patterns of the principal submissions received. The patterns are general and will vary depending on the type of submission, i.e., Form CLC-22, Prenotification, Quarterly Report, Request for Exception, Volatile Pricing Agreement, etc. .03 An overview of the control and validation functions is as follows: (a) Receipt This function opens, segregates and classifies incoming mail. As defined below, mail is categorized into three categories: 1. IRS/COLC Forms.-use Form 3210 Document Transmittal and send to destination. (a) COLC-Forms S-52, CLC-90, CLC-91, Volatile Pricing Agreements, Class Exceptions, Exemptions. (b) IRS National-CLC-13, CLC-14. 2. IRS/CLC Computer Controlled Forms.-These fall into two classes, each of which is a separate computer system described in Section 4 and 5 of this Chapter. (a) Quarterly Reports, CLC-22 Prenotifications. (b) Exceptions, and reconsiderations of partially or wholly denied price prenotification requests, and reconsiderations of exception request. 3. Manually Controlled Forms.-This system is described in Section 6 of this Chapter. (a) Merchandising Plans (Schedule T). (b) Price Modification (CLC-55). (c) CLC-22 Forms submitted to: (1) Modify an existing CLC-22 prenotification. (2) A resubmission of a Quarterly Report. (b) Control-This function acts as a liaison and recording section interfacing the other parts of the system : Edit/Validate, Data Entry, and Analysis. All forms are processed through Control. These include: 1. receipt of submissions, assignment of control numbers, and maintenance of the Control Register. 2. receipt of rejected submissions from Edit/Validation. with cause. 3. receipt, assignment and forwarding of accepted submis sions to Data Entry. 4. receipt from Data Entry of entered accepted submissions which are then forwarded to the analyst. 5. receipt of status/location changes to cases for verification and forwarding to Data Entry. 6. receipt of materials to be forwarded out of the District Office (includes review or transfer to higher authority, return of rejects to Company). 7. inventory control and verification of case closing. 8. maintenance of Key District Master File. (c) Edit/Validation-This function assures that the submission is acceptable within the regulatory requirements, and forms a logically consistent basis for analysis. Thus a case accepted at this station can not be later rejected; sufficient material to at least form a closing action (deny, partially deny, approve) is present. Further, this branch determines whether a submission is in a sensitive industry or of high enough dollar impact to require transfer to COLC. (d) Data Entry-This is primarily a technical function, and is described in Section 5.05 and in the IRS/ESP Terminal Operators Manual (8/7/73). Section 3. Definitions .01 Submission.-A submission is a controlled document and its back up material and schedules. Each submission will be assigned a unique nine digit control number. An example of one type of submission would be a CLC-22 (Prenotification) with 15 product lines, however, any Form submitted by a company under the requirements of Title 6, Code of Federal Regulations is a submission. .02 Case.-A case is each separate product line described in Part VI of a CLC-22 (Prenotification). Every product line on the CLC-2 (Prenotification) carries the same nine digit control number. For documents other than a Prenotification, the entire submission, i.e., a Quarterly Report with schedules and back up material, is considered a case. If a Prenotification is received with more than one Part VI. the key district control unit must assign separate control numbers for each Part VI page that contains at least one prenotified price increase. .03 Resubmission.-A resubmission may be in two classes: (1) pertaining to a submission under consideration; (2) refers to a matter not under consideration at this time (treat as a new case). It is important for the control function to determine whether the resubmission affects a case currently being analyzed. If the case is currently being analyzed the resubmission is not controlled with a new control number and a determination must be made regarding the entries that must be made on the computer data base. Lack of attention to this point will result in multiple entries on the IRS-CLC data base. If a resubmission is for a matter not actively being analyzed at either Cost of Living Coun cil or IRS, assign a new control number and process pursuant to procedures in this Handbook for all other submissions. Submissions pr viously rejected, or withdrawn after acceptance, are reasons for these resubmissions. 04 Submissions Controlled on the CLC Computer.-There are cerin submissions which must be input to the CLC Computer via the ey district office remote terminals: (a) each parent or entity Quarterly Report, (b) each CLC-22-Prenotification, (e) each adjudicable entity for exception requests, (d) each reconsideration of decision on exception requests, (e) each reconsideration of decisions on prenotified price increase requests. It is important to recognize that initial prenotifications of price inreases and reconsiderations of same are not processed in the same ashion. .05 Exception.-Under the provisions of Phase IV companies are ermitted to file for exceptions from the regulations for their firms. The exception request will be submitted to district offices. The general requirements are that the exception is required to corect or prevent a serious hardship or gross inequity. Categories of exeptions are given in Exhibit 1-d. 06 Reconsideration. A reconsideration is a request for review of decision previously made on an exception or a prenotified price inrease request. Section 4.-Control Unit Processing-Receipt, Sorting, Time/Date Stamping, Numbering-All Submissions .01 Receipts (a) All forms submitted by a company pursuant to Title 6, Code of Federal Regulations, will be delivered to a central receiving station of the key district office. (b) United States Postal Service Deliveries: 1. All regular, special, or registered mail deliveries should be received by the central receiving unit of Stabilization. 2. If a receipt of delivery is attached, complete and return to the firm. If the receipt is time/date stamped, be sure that the documentation in the delivery has the same date stamped on it. Exhibit 1-b is the recommended IRS document receipt, Form 2725. (c) Walk-in Submissions: 1. Walk-in documents will be received Monday through Friday during normal working hours. 2. A receipt will be issued to all persons submitting walk-in documents (see exhibit 1-b). Time stamp ONLY the company receipt and the controlled document. Do not time stamp any other document. (d) The date entered on the receipt must agree with the date stamped on the submission as described in section 4.02b. 02 Sorting and Time/Date Stamping Receipts (a) Sort the contents of each firm's mail or walk-in delivery to determine how many separate controllable documents are contained therein. For instance, one mailing envelope or walk-in delivery may contain more than one Form CLC-22 and, in addition, documentation which may or may not be related to the reports being filed. The determination of what documents are to be controlled must be made by an employee who is knowledgeable of the regulations. 1. The types of documents that may be received are: (b) Quarterly Report (Form CLC-22) (d) Certification of no price increase (f) IRS National Office (Forms CLC-13 or CLC-14) (h) Merchandising Plans (Schedule T) (i) Class exception requests (k) Volatile pricing requests (7) Other miscellaneous documents (b) Stamp the documentation included in the submission with the time and date received at the IRS Stabilization office. Each separate controllable document should be stamped. The date entered on any delivery receipt returned to the submitting firm should agree with the date stamped on the documentation. (c) Any document, required by Title 6 of the Code of Federal Regulations to be filed at either CLC or IRS National Office, should be mailed immediately to the proper filing location. Form 3210, Document Transmittal, should accompany the document. 1. Prepare acknowledgement of receipt letter to the firm, explaining that the document was transferred and requesting that all future filings of this type of form be made at that location. File a copy of this letter in the Master File for that firm. 2. Examples of documents not to be controlled by IRS district offices are: Forms S-52, CLC-90, CLC-91, CLC-13, CLC-14, exemptions, class exceptions and Volatile price request. (d) All documents properly received at the key district office should be controlled. 1. If a firm requests, in writing, for a change in their filing situs of all forms required by 6 CFR, the following procedure is applicable: (a) Generally, the only reason for this change would be because the firm's books and records are located in a key district other than the location of the corporate headquarters. (b) Secure concurrence of the Chief Stabilization Division of the key district office to which the transfer is requested. (c) Contact the Assistant Director, System & Procedures. COLC (Telephone 212-254-8750) and inform them of the change so the IRS/CLC computer system record of that firm will be referenced with the proper key district office location. (d) Prepare a letter to the firm informing them of the change and that henceforth all submissions should be filed with the transferee district office. Mail copies of this letter to National Office, Price Analysis Branch, Room 6501, and Cost of Living Council, Office of Assistant Director, Systems and Procedures. |