EMPLOYEE MANUAL 2014

Transcription

EMPLOYEE MANUAL
2014
Table of Contents
INTRODUCTION.................................................................................................................................... 1
Welcome ................................................................................................................................................... 1
Mission ...................................................................................................................................................... 1
History ....................................................................................................................................................... 1
Changes in Policy ..................................................................................................................................... 1
EMPLOYEE DEFINITION AND STATUS .............................................................................................. 2
Employment Classification ........................................................................................................................ 2
Employment at Will ................................................................................................................................... 2
EMPLOYMENT POLICIES .................................................................................................................... 2
Equal Employment Opportunity ................................................................................................................ 2
Americans with Disabilities Act ................................................................................................................. 2
Immigration Law Compliance .................................................................................................................... 2
Employee Background Check ................................................................................................................... 2
Criminal Records ....................................................................................................................................... 2
Personal Tax Identification Number (PTIN) .............................................................................................. 3
Personal Records and Administration....................................................................................................... 3
Change of Personal Data .......................................................................................................................... 3
Building Security ....................................................................................................................................... 3
Personal Property ..................................................................................................................................... 3
Personal Computers & Media Storage Devices ....................................................................................... 3
Health-Related Issues ............................................................................................................................... 3
Employee Requiring Medical Attention ..................................................................................................... 3
Customers Requiring Medical Attention ................................................................................................... 4
Unconsciousness: ................................................................................................................................. 4
Semi-consciousness: ............................................................................................................................ 4
Weather Emergencies............................................................................................................................... 4
Children and Visitors in the Workplace ..................................................................................................... 4
Employment of Relatives .......................................................................................................................... 4
STANDARDS OF CONDUCT ................................................................................................................ 5
General Guidelines ................................................................................................................................... 5
Attendance and Punctuality ...................................................................................................................... 5
Office Phone Use ...................................................................................................................................... 5
Cellular Phone/Text Messenger/E-Mail Use/Instant Messengers ............................................................ 5
Sexual Harassment ................................................................................................................................... 5
Drug and Alcohol Use ............................................................................................................................... 5
Tobacco Use ............................................................................................................................................. 6
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No Weapon(s) Policy ................................................................................................................................ 6
Company Property .................................................................................................................................... 6
Company Name (Identity) ......................................................................................................................... 6
Dress/Hygiene Code ................................................................................................................................. 6
Confidential Information and Non-Disclosure (Client Identity Theft) ......................................................... 6
Document Disposal/Shredding Bin ........................................................................................................... 7
Ethical Standards ...................................................................................................................................... 7
Theft/Embezzlement ................................................................................................................................. 7
How Does Embezzlement Relate to Employee Theft? ............................................................................. 8
ETC Theft/Embezzlement Policy .............................................................................................................. 8
What is Your Duty in Detecting Theft/Embezzlement? ............................................................................. 8
Use of Internet........................................................................................................................................... 8
Use of Computer Software ........................................................................................................................ 9
Solicitations and Distributions ................................................................................................................... 9
Complaint Procedure ................................................................................................................................ 9
Corrective Procedure ................................................................................................................................ 9
Crisis Suspension ..................................................................................................................................... 9
Outside Employment ................................................................................................................................. 9
Return of Company Property .................................................................................................................... 9
Employees Filing Personal Returns ........................................................................................................ 10
Customer Receipts/Customer Referral Coupons ................................................................................... 10
Tax Fraud/Due Diligence/Ethics ............................................................................................................. 10
Client Tax Fraud...................................................................................................................................... 10
Employee Tax Fraud ............................................................................................................................... 12
What is Employee Tax Fraud? ................................................................................................................ 12
Criminal Investigation Division of the U.S. Treasury ............................................................................... 12
Tax Fraud Policy ..................................................................................................................................... 13
Ethics ...................................................................................................................................................... 13
COMPENSATION POLICIES .............................................................................................................. 14
Base Compensation ................................................................................................................................ 14
Payroll ..................................................................................................................................................... 14
Overtime Pay .......................................................................................................................................... 14
Payroll Schedules ................................................................................................................................... 14
Direct Deposit .......................................................................................................................................... 14
Paycheck Records (paycheckrecords.com) ........................................................................................... 14
Performance Bonuses ............................................................................................................................ 15
Commission(s) ........................................................................................................................................ 15
Opportunities for Advancement-Progression and Promotion ................................................................. 15
Time and Attendance .............................................................................................................................. 15
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Time Clock .............................................................................................................................................. 16
Time Clock Procedures ........................................................................................................................... 16
How to Use the Time Clock: ................................................................................................................ 16
That’s all it takes to Clock In and Out, if you need assistance please call the main office, 1-800-3503278, to resolve any issues you may have. ........................................................................................ 19
Web Based Time Clock Malfunctions ..................................................................................................... 19
Punch In & Out Corrections .................................................................................................................... 19
Time Clock Ethics ................................................................................................................................... 19
ETC BENEFITS ................................................................................................................................... 20
Retirement Plans..................................................................................................................................... 20
Unemployment Compensation ................................................................................................................ 20
Social Security ........................................................................................................................................ 20
TIME-OFF BENEFITS.......................................................................................................................... 20
Sick Leave ............................................................................................................................................... 20
Bereavement Leave ................................................................................................................................ 20
Jury Duty ................................................................................................................................................. 20
Military Leave .......................................................................................................................................... 21
Personal Leave of Absence .................................................................................................................... 21
EMPLOYEE COMMUNICATIONS ....................................................................................................... 22
Open Communication ............................................................................................................................. 22
Managers’ Meeting.................................................................................................................................. 22
E-Mail ...................................................................................................................................................... 22
Suggestions ............................................................................................................................................ 22
EMPLOYEE INTERNET & E-PORTAL ACCESS ................................................................................ 22
E-portal ................................................................................................................................................. 23
Accessing E-Portal .................................................................................................................................. 23
Using the E-Portal System ...................................................................................................................... 23
The Menu ................................................................................................................................................ 25
Email .................................................................................................................................................... 25
Compose an Email .............................................................................................................................. 26
Credit Card Processing ........................................................................................................................... 28
Paycheck Records (Paycheckrecords.com) ........................................................................................... 28
Online Forms........................................................................................................................................... 29
Requests Online...................................................................................................................................... 29
Schedules ............................................................................................................................................... 31
Links ........................................................................................................................................................ 32
Computer, Hardware, Software, Network, Printer and Internet Problems .............................................. 32
OUR SERVICES .................................................................................................................................. 33
Federal Income Tax Preparation ............................................................................................................ 33
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State Income Tax Preparation ................................................................................................................ 33
Business Tax Returns ............................................................................................................................. 33
Electronic Tax Filing or E-Filing .............................................................................................................. 33
Lightning Fast Dinero ® (Fast Refunds or Bank Products) .................................................................... 34
Amended Returns (Form 1040X) and IRS Resolution Assistance ......................................................... 34
W-7 Application for Individual Taxpayer Identification Number .............................................................. 34
Online Income Tax Filing ........................................................................................................................ 34
Returns Not Eligible for IRS e-file ........................................................................................................... 34
Refund Distribution Methods ................................................................................................................... 35
E-1 Visa Card .......................................................................................................................................... 35
EPS ...................................................................................................................................................... 35
E-Collect Check ...................................................................................................................................... 35
E-Collect Product Features & Benefits ................................................................................................ 35
E-Collect Direct Deposit .......................................................................................................................... 36
Direct Deposits (Non-Bank Product) ....................................................................................................... 36
Proof of Account .................................................................................................................................. 37
Routing Transit Numbers .................................................................................................................... 37
Modernized E-File ................................................................................................................................... 38
IRS Drain Periods ................................................................................................................................... 38
E-File (IRS Paper Check Non-Bank Product) ......................................................................................... 38
Tax Preparation Only, Federal and State ............................................................................................... 38
IRS Mailing Address’s ............................................................................................................................. 41
What If a Client Cannot E-File ................................................................................................................ 42
Refund Timeliness Non-Guarantee ........................................................................................................ 42
REFUNDS ARRIVE, NOW WHAT? ..................................................................................................... 43
E-Collect Check ...................................................................................................................................... 43
E-Collect Direct Deposit .......................................................................................................................... 43
Refund Status Hotline (Bank Products) .................................................................................................. 43
Check Pick Up......................................................................................................................................... 43
Check Registers ...................................................................................................................................... 43
Direct Deposit Clients.............................................................................................................................. 44
E-File Clients ........................................................................................................................................... 44
Prep-Only Returns .................................................................................................................................. 44
Check Cashing ........................................................................................................................................ 44
Deposit Directly Into an Account ............................................................................................................. 45
Client Damages Check (Void and Reissue) ........................................................................................... 45
Client Loses Check (Indemnity Bonds) ................................................................................................... 45
Deceased Taxpayers .............................................................................................................................. 45
Client Requests Check to Be Mailed To Them ....................................................................................... 45
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CAUSES AND DELAYS IN REFUND .................................................................................................. 46
IRS Filtering System ............................................................................................................................... 46
IRS & FMS Refund Delays ..................................................................................................................... 46
Incorrect RTN and/or DAN ...................................................................................................................... 47
Incorrect Address .................................................................................................................................... 47
E-Collect Direct Deposits ........................................................................................................................ 48
OFFICE OPENING PROCEDURES .................................................................................................... 49
Daily Procedures ..................................................................................................................................... 49
Phone Line Activation ............................................................................................................................. 49
Signage ................................................................................................................................................... 49
FILE COMPLETION AND FOLDER CONTENTS................................................................................ 50
Tax Return With Bank Product & You are the Paid Preparer: ................................................................ 50
RAL, ERC, RTDD, RT and Instant RAL .............................................................................................. 50
Tax Return with E-File or Direct Deposit & You are The Paid Preparer (Left Side): .............................. 50
Tax Preparation Only – Client to Mail in the Return ............................................................................... 51
Self-Prepared Tax Returns ..................................................................................................................... 51
Third Party Paid Preparers .................................................................................................................. 51
State Returns .......................................................................................................................................... 52
What you need to do: .......................................................................................................................... 52
Form 1040X (Amended Return) .............................................................................................................. 52
What’s required for a Form 1040X: ..................................................................................................... 53
How much will it cost? ......................................................................................................................... 53
Balance Due Returns .............................................................................................................................. 53
File Folder Placement ............................................................................................................................. 54
ETC FILE CABINET SYSTEM ............................................................................................................. 55
Drawer 1 (Outgoing):............................................................................................................................... 55
Drawer 2 (Awaiting Acknowledgement): ................................................................................................. 55
Drawer 3 (New Files): ............................................................................................................................. 55
Drawer 4 (Rejected & Pending): ............................................................................................................. 55
Overview: ................................................................................................................................................ 55
CASH BOX METHOD .......................................................................................................................... 56
Cash Box Tendering Procedures: ........................................................................................................... 56
Cash Box Balance Sheet: ................................................................................................................... 56
Checks & Credit Card Payments......................................................................................................... 58
Paid Outs: ............................................................................................................................................ 58
Credit Card Payment Procedures ........................................................................................................... 59
Payment Via A Personal Check .............................................................................................................. 64
Coupons .................................................................................................................................................. 65
Entering Coupons into Drake .............................................................................................................. 66
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How to Enter a JDRF Donation: .......................................................................................................... 67
ETC MARKETING PROMOTIONS ...................................................................................................... 68
Customer Receipt Referral Program....................................................................................................... 68
How Does This Work?......................................................................................................................... 68
How to Accept Customer Referral Coupons: ...................................................................................... 69
Standard Mailer ....................................................................................................................................... 70
We Want You Back Mailer ...................................................................................................................... 71
OUR GUARANTEE POLICY................................................................................................................ 72
Guaranteed Done Right or It’s Free ........................................................................................................ 72
What We Do Guarantee: ......................................................................................................................... 72
Refund Timeliness Policy ........................................................................................................................ 73
DRAKE DAILY DUTIES ....................................................................................................................... 74
Preparer’s vs. Office Managers Duties: .................................................................................................. 74
Preparer’s Duties: ................................................................................................................................ 74
Manager’s Duties................................................................................................................................. 74
DRAKE TAX SOFTWARE AND YOUR DAILY DUTIES ..................................................................... 75
Client Status ............................................................................................................................................ 75
Search EF Database: .......................................................................................................................... 75
IRS ACKNOWLEDGEMENT & CHECK PRINT AUTHORIZATIONS.................................................. 79
Check Print Authorizations ...................................................................................................................... 81
IRS EF REJECTIONS .......................................................................................................................... 82
What is an IRS Reject? ........................................................................................................................... 82
Using the Search EF Database for IRS Rejects ..................................................................................... 82
Correcting IRS Rejects ........................................................................................................................... 84
Re-Sending a Corrected Return/Un-Corrected Returns ......................................................................... 84
CHECK PRINTING .............................................................................................................................. 85
Check Printing Procedures ..................................................................................................................... 85
Check Error Recovery ............................................................................................................................. 91
CUSTOMER SERVICE ........................................................................................................................ 93
Introduction ............................................................................................................................................. 93
The Three Basic Elements ...................................................................................................................... 93
Expanding Your Definition of Service .................................................................................................. 94
Reconsider Who Your Customers Are ................................................................................................ 94
The External Customer ....................................................................................................................... 94
The Internal Customer ......................................................................................................................... 94
The Customer Chain ............................................................................................................................... 95
Develop a Customer Friendly Attitude .................................................................................................... 95
Two Common Threads ........................................................................................................................... 96
#1 Communication with Other People ................................................................................................. 96
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#2 Establishing Relationships ............................................................................................................. 96
Instant Connections ................................................................................................................................ 96
Moments of Truth .................................................................................................................................... 96
Function vs. Essence .............................................................................................................................. 97
Are The Functions Winning? ............................................................................................................... 98
Telephone Etiquette ................................................................................................................................ 98
Correctly Answering the Phone ........................................................................................................... 98
HOW TO PUT A CUSTOMER ON HOLD ........................................................................................... 99
Ending the Call .................................................................................................................................. 100
Sign In Sheets ....................................................................................................................................... 100
Speed in Processing ............................................................................................................................. 100
ETC PHONE NUMBERS ................................................................................................................... 101
ELECTRONIC TAX CENTER ............................................................................................................... 101
ELECTRONIC TAX CENTER REFUND HOTLINE .............................................................................. 101
Electronic Tax Center Locations & Phone Numbers ............................................................................ 101
Electronic Tax Center Web Sites .......................................................................................................... 102
IRS AND GOVT. PHONE NUMBERS ............................................................................................... 103
IRS National Phone Number ................................................................................................................. 103
IRS Taxpayer Return/Refund Status Hotline ........................................................................................ 103
IRS Teletax ........................................................................................................................................... 103
IRS Tax Preparer Hotline ...................................................................................................................... 103
IRS to File Extension............................................................................................................................. 103
IRS ITIN Help Number .......................................................................................................................... 103
Internal Revenue Service Website........................................................................................................ 103
Where’s My Refund? ......................................................................................................................... 104
IRS Criminal Investigation Division (CID) ............................................................................................. 104
Financial Management Service ............................................................................................................. 105
Social Security Administration .............................................................................................................. 105
BANK & Software PHONE NUMBERS .............................................................................................. 106
EPS Financial Helpline: ........................................................................................................................ 106
EPS Financial Website ......................................................................................................................... 106
Drake Preparer Help Line ..................................................................................................................... 106
bank - ROUTING Transit numbers (rtn) ............................................................................................. 107
credit union – routing transit numbers ................................................................................................ 108
Scripts ................................................................................................................................................ 109
Greeting ................................................................................................................................................ 109
Pricing Question .................................................................................................................................... 109
W-2 Question ........................................................................................................................................ 110
CONCLUSION ................................................................................................................................... 111
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ELECTRONIC TAX CENTER
Employee Hand Book
INTRODUCTION
This document has been developed by the Human Resources Department in order to familiarize
employees with Electronic Tax Center and provide information about working conditions, key policies,
procedures, and benefits affecting employment at Electronic Tax Center (ETC).
Welcome
Welcome to the Electronic Tax Center! We are happy to have you as a member of our team, as we
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celebrate our 24 year in business! As the start of tax season nears let’s get very familiar with the
contents of this manual and make this a prosperous and error free year.
Mission
The mission of the Electronic Tax Center is to provide excellent customer service and to consistently
achieve the highest standard in income tax preparation and electronic filing while maintaining a cost
value to our customers. What does this mean? We do it right and at a fair price to our customers.
History
Electronic Tax Center was conceived and incorporated in the fall of 1989 by Reyes Salinas and David
Rodriguez.
Due to the tremendous growth which occurred in 1991, ETC was prompted to bring in Joe Salinas
due to his valuable knowledge and experience information technology.
Through the direction of Rey, David, and Joe and, with the addition of Alex Bermudez and Betty
Valadez, ETC has grown to cover the Valley and is committed to continue that growth into the future.
Changes in Policy
This manual supersedes all previous employee manuals and memos.
While every effort is made to keep the contents of this document current, Electronic Tax Center
reserves the right to modify, suspend, or terminate any of the policies, procedures, and or benefits
described in the manual with or without prior notice to employees.
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EMPLOYEE DEFINITION AND STATUS
An “employee” of Electronic Tax Center is a person who regularly or temporarily works for Electronic
Tax Center on a wage or salary basis. Temporary employees are those that work seasonally from
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January 2 to April 17 of 2012.
Employment Classification
Employees of Electronic Tax Center are classified as either “exempt” (salaried) or “non-exempt”
(hourly). This is classification is necessary because, by law, employees in certain types of jobs are
entitled to overtime pay for hours worked in excess of forty (40) hours per workweek.
In addition to the above overtime classifications, every employee is assigned an employment status
classification: regular full-time, regular part-time, temporary (full-time or part-time).
Employment at Will
You agree that the Electronic Tax Center, with or without cause, may end your employment and
compensation at any time. The State of Texas is a hire and fire at will state.
EMPLOYMENT POLICIES
Equal Employment Opportunity
Electronic Tax Center is an Equal Opportunity Employer who hires the most qualified individuals
without regard to ancestry, race, color, religion, creed, sex, handicap, age, or any other illegal criteria
under state or federal law. This policy extends to hiring, layoff, and termination.
Americans with Disabilities Act
It is the policy of the Electronic Tax Center to comply with all the relevant and applicable provisions of
the Americans with Disabilities Act (ADA). Electronic Tax Center will not discriminate against any
qualified employee or job applicant with respect to any terms, privileges, or conditions of employment
because of a person’s physical or mental disability.
Immigration Law Compliance
All offers of employment are contingent of verification of the candidate’s right to work in the United
States. At the time of hire, every employee will be asked to provide original documents verifying his
or her right to work and, as required by federal law, to sign Federal Form I-9, Employment Eligibility
Verification Form.
Employee Background Check
Prior to making an offer of employment, The Electronic Tax Center may conduct a job related background check. A comprehensive background check may consist of prior employment verification,
professional reference checks, and education confirmation. Permission to perform a background
check is given when you sign your application of employment.
Criminal Records
A criminal record check is performed to protect Electronic Tax Center’s interest and that of its
employees’ and client’s interest. Consent to perform a criminal background check is located on your
application and is mandatory for employment. Permission to perform a criminal history check is given
when you sign your application of employment.
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Personal Tax Identification Number (PTIN)
All income tax preparer’s must have a valid PTIN that was either newly obtained or your existing
PTIN was re-registered under the new IRS guidelines for PTINS for Tax Season 2011. Without a
valid & current PTIN you will not be eligible to prepare income tax returns as a paid preparer.
Personal Records and Administration
The task of handling personnel records and related administration functions at Electronic Tax Center
has been assigned to the Human Resource Department. Personnel files will be kept confidential at all
times.
Change of Personal Data
Any change in an employee’s name, address, telephone number, marital status, dependents, or a
change in the number of tax withholding exemptions, needs to be reported to the Human Resource
Department (HR) immediately by using the E-portal or contacting the HR department at (956) 6871000.
Building Security
Employees are not allowed on property of the Electronic Tax Centers after hours without prior
authorization from management at the main office.
Personal Property
Employees are not to leave personal property on company premises. Electronic Tax Center’s liability
insurance does not cover employee’s personal property. Electronic Tax Center will not be held liable
for personal property that is stolen or damaged.
Personal Computers & Media Storage Devices
Electronic Tax Center strictly forbids personal computers, tablet devices, media storage devices, and
flash drives on company property, employees found to have these devices on company premises
may be subject to termination.
Many common devices used every day, now have the capability to store data i.e. cell/smart phones,
iPods, MP3 players etc. You may not use these devices on site with the exception of a mobile phone
as approved by management. Never attach any device to ETC computers.
Health-Related Issues
Employee’s who become aware of any health related issues, especially contagious diseases, should
notify their supervisor of their health status as soon as possible.
Employee Requiring Medical Attention
Employees should report all illnesses, work-related injuries and accidents immediately to their
supervisor.
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If you are well enough to leave the premises, you may be dismissed.
If you are not well enough to leave on your own, your supervisor will call a relative or
someone who can drive you safely home or to a medical professional.
In the event that you need immediate medical attention, your supervisor will notify 911 of
your medical situation.
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Your wellness is of the utmost importance to us; please notify your supervisor immediately of any
health, medical or emergency situations.
Customers Requiring Medical Attention
Unconsciousness:
In the event a customer or other person becomes unconscious, you must notify your supervisor
immediately. Your supervisor will call 911 and notify them of the situation. Your supervisor will then
call the main office for further instruction.
Semi-consciousness:
In the event a customer or other person becomes ill, incapacitated, or becomes incoherent for any
reason you must ask them if they require medical attention. If they request medical attention then you
must notify 911 of the situation and then call the main office and give us a situational report, we will
then give you further instruction.
Weather Emergencies
It is this company’s policy to continue operations despite weather conditions unless the conditions
threaten to make employee transportation to or from work impossible or dangerous. When in doubt,
call your supervisor. If the branch opens and is forced to close early because of weather, all
employees who report to work will be paid for their time. Employees who made no effort to come to
work will not be paid.
Children and Visitors in the Workplace
For safety, insurance, and other business considerations, Electronic Tax Center does not allow
children and visitors in the workplace.
Employment of Relatives
Electronic Tax Center is pleased to consider for employment qualified applicants who are related to
employees. When Electronic Tax Center employs more than one member of a family, one family
member may not supervise the other. If such a situation should arise and the employees are unable
to develop a workable solution, management will decide which employee may be transferred.
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STANDARDS OF CONDUCT
General Guidelines
All employees are required to become familiar with Electronic Tax Center’s rules and standards of
conduct and are expected to follow these rules and standards faithfully in doing their own jobs and
conducting the company’s business.
Attendance and Punctuality
All employees are to report to work on time, as scheduled. If you are going to be late you must call
your supervisor or the main office before your scheduled work time and inform management of your
situation and expected arrival or return time. This is crucial, because we may need time to find a
replacement for you during your time of absence.
Your punctuality is important because retail centers, such as the mall, monitor store openings and
closings and have the right to levy monetary fines for not opening or closing on time.
Office Phone Use
There are times when personal phone calls are unavoidable. Employees are required to limit these
phone calls to only those deemed necessary and to keep the conversation at a minimum. Please
advise your family and friends to call you at work only if it is urgent or an emergency. Personal long
distance phone calls are not allowed unless it is an emergency. You must notify your supervisor in
advance before you make the call.
Cellular Phone/Text Messenger/E-Mail Use/Instant Messengers
The use of any hand held device e.g. smart phones, cellular phones, tablets (IPad), or MP3/Ipod is
not permitted during working hours. Handheld devices are a major source of distraction and
interruption while at work and customer service is severely affected. Please turn off all hand held
devices while at work. Using/answering your hand held device, while with a customer, is extremely
unprofessional and considered rude behavior and is not tolerated.
An exception will be made for medical, child care, and other pre-arranged needs. Contact the main
office for authorization beforehand. If an exception is given and if you must answer your cell phone,
you must ask your customer for permission to answer the call. Simply state to your customer, “Sorry, I
have to answer this call, do you mind?” Once the customer gives you an approval, step away from
the desk and answer or return the call. Do not carry on a persona cellular conversation with your
customer seated in front of you; keep your call to a minimum, less than 2 minutes. Exceptions are
given to phone calls only; texting is not permitted in any circumstance.
Sexual Harassment
Electronic Tax Center strictly forbids sexual harassment of any type. Electronic Tax Center defines
sexual harassment as any unwelcome sexual advances, requests for sexual favors, and other
sexually verbal comments or physical contact. Employees, including supervisors and managers, who
are found to have engaged in sexual harassment will be subject to disciplinary action up to and
including dismissal or legal action/prosecution. Report any sexual harassment to management
immediately at 800-350-3278.
Drug and Alcohol Use
Employees possessing, distributing or manufacturing a controlled substance while on Electronic Tax
Center Property will be terminated immediately. Any employee found working in a condition impaired
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by alcohol, illegal drugs, or any other impairing substances not prescribed by a doctor for legitimate
medical reasons will be terminated immediately.
Tobacco Use
Tobacco use of any kind is prohibited on company property except in designated areas.
employee breaking this policy will be subject to disciplinary action up to dismissal.
Any
No Weapon(s) Policy
Weapon(s) possession of any type including, but not exclusive to: handguns, rifles, shotguns, knives
and objects meant to harm, maim, injure, or impair are strictly prohibited on company premises.
Company Property
All employees are expected to exercise care in the use of company property and to use such property
only for authorized purposes. Negligence in the care and use of company property may be
considered cause for suspension and/or dismissal. Unauthorized removal of company property from
the premises or its conversion to personal use will be considered cause for suspension and/or
dismissal. Company property issued to an employee must be returned at the time the employee
terminates employment or when the employee’s supervisor requests its return.
Company Name (Identity)
Electronic Tax Center’s name, logos, or trademarks are not to be used in connection with any event
or community program or with any recreations, sports, or social activities, which is not sponsored by
the Electronic Tax Center. This rule applies specifically to off premise parties and activities which are
arranged and paid for by employees or organizations other than the Electronic Tax Center.
Dress/Hygiene Code
Employees of Electronic Tax Center are expected to present a clean and professional appearance
while conducting business, in or outside of the office. We require business casual wear during
working hours. Dressing in a fashion that is clearly unprofessional, that is deemed unsafe, or that
negatively affects Electronic Tax Center’s reputation or image is not acceptable. Shorts are never
permitted under any circumstance and non-faded denim jeans are permitted without rips, tears, or
holes. All employees will maintain proper grooming and hygiene at all times.
Confidential Information and Non-Disclosure (Client Identity Theft)
All employees agree that they will not disclose or use any of Electronic Tax Center’s confidential
information, either during or after their employment.
All employees agree to safeguard information belonging to Electronic Tax Center and its clients. All
information obtained is the property of Electronic Tax Center and must remain on site at all times.
All documents obtained from our clients such as social security cards, ID’S, W-2’S, tax forms, and
any other sensitive personal information must be returned to the client, filed away or disposed of
properly. Electronic Tax Center provides shredding bins in every office to properly dispose of all
sensitive information. Proper use of shredding bins is explained in the next section.
Any employee found to be violating this policy will be prosecuted to the fullest extent of the law.
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Document Disposal/Shredding Bin
Each office is equipped with a document disposal/shredding bin (bin), these bins are essentially a
secure locked cabinet that allows you to properly dispose of sensitive personal information. These
bins are emptied regularly; the contents are shredded securely by a licensed and bonded company.
You are to dispose of sensitive and confidential personal information only in the bins, do not dispose
of regular trash in these cabinets.
Remember to only dispose
of personal and sensitive
information in the
Shredding Bins.
All other trash is to be
disposed of in your trash
can at your desk.
Shredding bins are to remain
locked at all times.
Shredding bins are emptied
regularly by a professional
licensed and bonded
document disposal company.
Ethical Standards
Electronic Tax Center insists on the highest ethical standards in conducting its business. Doing the
right thing and acting with integrity are the two driving forces behind Electronic Tax Center’s great
success story. When faced with ethical issues, employees are expected to make the right
professional decision consistent with Electronic Tax Center’s principals and standards, the laws
governing the United States of America and the State of Texas, and the Internal Revenue Code.
Theft/Embezzlement
Embezzlement is defined as the misappropriation of items with which a person has been entrusted.
Embezzlement differs from larceny in that the perpetrator of embezzlement comes into possession of
property legally, but fraudulently assumes rights to it. Charges of embezzlement can even be levied if
the embezzler intended to return the property later.
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How Does Embezzlement Relate to Employee Theft?
One of the most common instances of embezzlement in today’s society is employee theft. Employees
of many companies have access to company property, accounts, and customers creating a potential
for embezzlement. Examples include such crimes as:
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Theft of petty cash
Theft of fees from services rendered
Un-authorized discounts given to clients
Theft from the cash box
Solicitation of Electronic Tax Center (ETC) clients and customers*
Soliciting ETC’S clients for personal gain
Unauthorized use of ETC equipment to prepare returns outside of ETC
Theft of office property or supplies
*Solicitation takes the form of offering OUR client your personal tax service outside of ETC’S
premises, soliciting our customers while on ETC’S property and preparing our costumers tax return
while still on ETC property, and using ETC’S equipment to prepare personal tax returns for your
clients.
ETC Theft/Embezzlement Policy
ETC has a zero tolerance policy for any employee who is committing theft and/or embezzlement. Any
violation of this policy will cause immediate termination and prosecution. Defendants convicted of
theft/embezzlement may incur enormous fines, be ordered to pay restitution, and/spend time confined
to a prison. Today there is a trend toward stricter punishment for embezzlement, as people recognize
the financial damage white collar criminals (embezzlers) inflict on society.
What is Your Duty in Detecting Theft/Embezzlement?
It is your duty to report to your supervisor any illegal or suspicious activities by your co-workers
concerning this subject. It is amazing how many employees tell us after the fact that they suspected
or knew that something was going on with XYZ employee, but failed to inform management. Listed
below are some of the signs that a theft may be occurring:




Co-worker does not give the customer a receipt after service was performed.
You witness fees being kept by a co-worker.
You do not see your co-worker completing the required paper work, receipt, file folder, or
customer envelope for a customer.
You witness a co-worker taking documents from a customer and then the co-worker places
those documents in his/her own personal file, brief case, satchel, purse, bag, or any other
type of storing device or hands a our customer a personal business card.
Unfortunately, one or two employees every year will be fired for these same offences. It is worth
mentioning that sooner or later all clients call the main office for assistance. If we do not have the
return on file or within our system, the next questions we ask is what preparer did your return and
were you given a receipt? Did you pay in cash? As you can see it is not difficult to fine the guilty party.
Don’t do it, it’s not worth the embarrassment and the possible legal problems it can bring you.
Use of Internet
Employees are responsible for using the internet in a manner that is ethical and lawful. Use of the
internet must solely be for business purposes and must not interfere with productivity.
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Every system within ETC is loaded with internet surf control software. This software limits the access
to internet sites not approved by management. Anyone found tampering, disabling, or overriding this
software will be subject to immediate termination.
Use of Computer Software
Electronic Tax Center does not permit the illegal duplication of software. Software installed on
Electronic Tax Centers systems is exclusively owned by Electronic Tax Center. The copyright law is
clear, title 17 of the U.S. code states that “it is illegal to make or distribute copies of copyrighted
material.” ETC will prosecute anyone attempting to copy software owned by ETC.
Solicitations and Distributions
Personal solicitation for any cause during working time and in working areas is not permitted.
Employees are not permitted to distribute non-company literature in work areas at any time during
working time.
Complaint Procedure
Employees who have a job-related issue, question, or complaint should first discuss it with their
immediate supervisor. If the issue cannot be resolved at this level, Electronic Tax Center encourages
employees to contact the main office. Employees, who observe, learn of, or in good faith, suspect a
violation of the Standards of Conduct of Electronic Tax Center should immediately report the violation
to the main office.
Corrective Procedure
Unacceptable behavior that does not lead to immediate dismissal may be dealt with in any of the
following manners:




Oral Reminder
Written Warning
Decision Making Non- Paid Leave/Counseling Session
Termination.
Crisis Suspension
An employee who commits any serious violation of Electronic Tax Center’s policies at minimum will
be suspended without pay pending an investigation of the situation. Following the investigation, the
employee may be terminated without any previous disciplinary action having been taken.
Outside Employment
Employees may not take an outside job, either for pay or as a donation of their personal time, with a
customer or competitor of Electronic Tax Center. Nor will employees do work on their own if it
competes or interferes in any way with the sales of services or products that Electronic Tax Center
provides to its clients.
Return of Company Property
Any Electronic Tax Center property issued to employees, such as your employee manual, computer
equipment, keys, company vehicles, or company credit cards, must be returned to Electronic Tax
Center at the time of termination. Employees will be responsible for any lost or damaged items.
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Employees Filing Personal Returns
As a benefit to you, you are allowed to Direct Deposit or E-File your own personal tax return
electronically at no cost to you. Those wanting to file their personal tax return with a bank product are
subject to the same pricing posted to the public.
This benefit is non transferable to another person and it may be used only once. Employees of the
Electronic Tax Center are subject to the same IRS regulations concerning due diligence. For the
same reasons you cannot file a client return that you know to be false; you may not file your own
return knowing that it is false.
Customer Receipts/Customer Referral Coupons
We want to ensure that all clients receive their (Yellow) completed receipt and the accompanying set
of (Customer Referral Coupons) upon completion of service. All clients will always be given a
completed receipt upon completion of service or their service is FREE, excluding bank fees We can
at our discretion, take the actual fee that was given away out of your paycheck. . Any employee that
does not comply with these procedures is subject to termination.
Tax Fraud/Due Diligence/Ethics
The Internal Revenue Department defines income tax fraud as:
“Those individuals (taxpayers) who willfully and intentionally violate their known legal duty of
voluntarily filing income tax returns and/or paying the correct amount of income, employment, or
excise taxes”.
This statement also includes those individuals who falsely claim dependents, deductions, and or
falsely file an incorrect filing status to obtain a refund or larger refund than would be normally due.
We generally see 3 types of tax fraud: client tax fraud, preparer tax fraud, and tax schemes.
Client Tax Fraud
Fraud is a deliberately practiced deception in order to secure unfair or unlawful gain. Tax preparers
have an obligation to prepare tax returns honestly and as accurately as possible. If a tax preparer
has reason to believe the information given to him to prepare a taxpayer’s return is fraudulent, he
should research the situation thoroughly by questioning the taxpayer for validity and accuracy of the
information provided. You have the right to refuse to complete the return if you believe after
investigating, that the client is attempting to commit fraud. You have a further obligation to alert the
Criminal Investigation Division (CID) of the Internal Revenue Service of any fraud being committed.
What to look for in suspicious individuals:







The taxpayer has no address and/or phone numbers
They do not have picture identification
They posses suspicious identification
They have not filed a return last year or for a period of years
They cannot be reached at a phone number given
Person appears to be following a script
Suspicious person accompanying filer and observed on previous occasions
What to look for on Social Security Cards:
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



Social Security Card that appears to be typed, rather than computer generated
Social Security Card is in upper and lower case lettering, rather than all in upper case
lettering.
Social Security Card has one or more smooth edges rather than all perforated.
Social Security Card is not a government issued card i.e. metal card or some other format.
What to look for on form W-2, 1099R, 1099G, and form 4862 (subst. W-2)












Forms are typed, with strikeouts, erasures, or type over
Forms are hand written or photocopied
Forms are incomplete or altered
Forms that contain errors in income amounts and tax amounts
Forms that contain incorrect SSN’s, names, or address’s
Taxpayer presents employer’s copy of the W-2
FICA and/or Medicare withholding are incorrect or not included at all
Unusually high withholding for no apparent reason
Dollar signs used on the form
Form is different than used on other forms from same employer
Missing Barcode
Forms do not conform to IRS requirements
What to look for in the Tax Return:





Maximum EITC is claimed, but taxpayer is unable to supply information on dependent or
spouse and is self-employed with no expenses. Refuses to complete our Schedule C
Worksheet.
Filing status claimed as Head of Household, but spouse and/or other wage earning adults live
at the same address.
You notice a trend in which refund amounts, number of dependents, and employers are
similar. This can also include self employment information being similar i.e. you notice a
string of similar type returns with self employment information being similar and the
descriptions being similar.
You notice a trend of multiple returns from the same address.
Gross wages and other W-2 information are exactly the same, but with different employers.
Other items to look for:







Income reported is low and the amount of dependents being claimed is numerous.
Particularly in a HOH situation the IRS may hold that return. The IRS usually will require this
person to file Single. The IRS believes this income is too low for a filing status of HOH.
A person is calling about a check for a “spouse” who filed HOH. This is an opportunity to
educate them on proper filing status.
Last name of dependent(s) is different than the taxpayer’s. It may be a case of the dependent
having the father’s last name or it could be someone claiming a dependent they are not
entitled to.
Taxpayer has no documents to prove the validity of dependents he/she is claiming.
Description of dependents is inaccurate i.e. niece/nephew vs. daughter/son.
Couples living together and holding themselves as married, but yet are filing separately.
Texas is a common law state and recognizes un-wed couples (man/woman) who live
together and who hold themselves as married as common law married. They therefore are
subject to married filing jointly rules.
Do not have proper documentation to validate credit claims.
When you suspect suspicious activities and need advice, contact your office supervisor for advice.
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If they cannot address the situation you may call the main office for further direction. Remember, if
you determine that the taxpayer is committing fraud than you must decline service to them.
Employee Tax Fraud
Equally important to detecting and reporting “Client Tax Fraud” is detecting and reporting “Employee
Tax Fraud”.
What is Employee Tax Fraud?
Tax return preparer fraud generally involves the preparation and filing of false income tax returns by
preparers who claim inflated personal or business expenses, false deductions, unallowable credits, or
excessive exemptions, falsely manipulating due diligence requirements on income tax returns
prepared for their clients e.g. manipulating income tax figures, deductions, exemptions, and credits to
obtain fraudulent tax credits such as the Earned Income Tax Credit (EITC).
Criminal Investigation Division of the U.S. Treasury
Has anyone at ETC ever been convicted by CID? Yes. Several years ago we detected a tax scam
that was operating out of one of our offices. This tax preparer was knowingly manipulating and falsely
claiming self-employment income for clients who wished to receive EITC when it was not deserved.
This
person
was
reported to CID and
was
eventually
convicted
and
sentenced to 6 months
in a federal prison, 6
months
of
home
confinement,
and
multiple
years
of
probation. She was
also sentenced to pay
a large fine. Below is
the actual letter we
received for CID after
the conviction.
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Recently another tax preparer was recently called into an IRS Audit on
a return she completed for a taxpayer. The IRS determined that the return was incorrect and the
taxpayer was fined and penalized. The taxpayer then said my tax preparer said I could deduct all
these deductions on a Schedule C. This tax preparer was called into the audit to substantiate the
claims on the return and could not. The tax preparer tried to tell the IRS that we trained her to do that.
We then showed the IRS our manuals and that dispute was quickly put to rest. The outcome to our
former tax preparer was a fine of $1500 for claiming false deductions. It could have been much worse
for her, but the IRS was somewhat lenient. They could have just as easily convicted her of fraud and
sentenced her to prison.
As you can see, committing tax fraud is just not worth it. If you suspect tax fraud being committed in
your office please notify your supervisor immediately, if you cannot notify your supervisor, then please
call the main office immediately at 1-800-350-3278 and ask to speak to David Rodriguez, Joe
Salinas, or Rey Salinas.
Tax Fraud Policy
You need to remember that we do review all files and we do look for tax fraud as part of Due
Diligence as required by the IRS. If tax fraud is detected or suspected we do the following:



If we detect or suspect tax fraud we will launch a full scale investigation
If we determine that tax fraud is not being committed intentionally and the errors committed
are from ignorance of tax subject matter, we will educate and train you to correctly complete
an accurate return.
But on the other hand, if we determine that you are intentionally creating fraudulent tax
returns, we will gather the necessary evidence and forward the information to the proper
agent at CID and you will be terminated.
Being reported to CID and being terminated are non-negotiable when you engage in deceptive and
fraudulent income tax preparation.
Ethics
As of January 1, 2011 all paid tax preparers must be registered with a PTIN and are subject to
Circular 230 rules and regulations.
In accordance with the U.S. Treasury Circular 230 we as tax preparers must adhere to “Best
Practices for tax advisors’, which means we as “Tax advisors should provide clients with the highest
quality representation concerning Federal tax issues by adhering to best practices in providing advice
and in preparing or assisting in the preparation of a submission to the Internal Revenue Service.”
In other words, as tax preparers you have to adhere to IRS Code/Ethics and apply these codes/ethics
when preparing a tax return for a client.
You will be instructed in more detail during your tax training concerning Circular 230. The IRS is
paying more attention to tax preparers and their application of circular 230 in their practice more so
than ever before. Take it seriously and always remember you are professionals.
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COMPENSATION POLICIES
Base Compensation
It is the Electronic Tax Center’s desire to pay all employees wages or salaries that are competitive
with other employers in the marketplace and in a way that will be motivational, fair, and equitable.
Compensation may vary based on roles and responsibilities, individual, and company performance,
and in compliance with all applicable laws.
Payroll
Employees of the Electronic Tax Center are paid bi-weekly. After each bi-weekly pay period time
reports are produced and processed. Paychecks are delivered to each office the Friday following the
end of a payroll period. Attached to each check is a statement of gross earnings, commissions,
payroll deductions, and net earnings for the pay period just ended and for the year to date (YTD).
Overtime Pay
Overtime compensation is paid to non-exempt employees in accordance with federal and state wage
and hour restrictions. All overtime work performed must receive the supervisor’s prior authorization.
Payroll Schedules
A payroll schedule is posted on the E-Portal. Please refer to this schedule for pay period and check
delivery information before calling the main office. We recommend direct deposit.
Direct Deposit
As a service to Electronic Tax Center employees, ETC offers free direct deposit to all of its
employees excluding temp employees. You may have your paycheck direct deposited into one or two
accounts and at various percentage ratios i.e. 60% into your checking account and 40% into a
savings account.
All employees of Electronic Tax Center are eligible for direct deposit, except for temp agency
employees. Anyone interested in receiving their paycheck via direct deposit may request it by
completing the Direct Deposit Request found in the appendix of this manual or by downloading via
the E-portal. You can submit your request by going to Request and entering your info online or you
can download the form and submit it to me by going to Forms – Employment.
Paycheck Records (paycheckrecords.com)
Continuing in 2012 we will no longer print Advice of Deposit for those who receive Direct Deposit. You
will however have full access to your paycheck records online, there you can view your year to date
payroll history and print out any paycheck stub you need.
After the first payroll is run, you will receive an email to your fastrefund.com account informing you of
your impending payroll deposit/check. It will look like this:
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You may click directly on the link provided or you can find the link on our E-Portal system.
Performance Bonuses
Performance bonuses may be given to Electronic Tax Center employees at the discretion of
management. There are two factors that typically determine bonus availability and amounts: (a) Office
Performance, (b) Personal Performance.
Commission(s)
A three dollar commission is paid for every federal income tax return prepared and filed electronically
and IRS accepted by those who are hired as federal income tax preparers.
The following exceptions apply:




Commissions are not paid for electronically filed returns that have not been accepted or have
been rejected by the Internal Revenue Service (IRS). Once a rejected return is corrected and
accepted by the IRS, your commission will be paid the following pay period after acceptance.
Temporary agency employees (temps) are not eligible for commissions; they are paid directly
from the Temp Agency.
Data entry employees are paid on an hourly basis and our not eligible for commissions.
Hostesses, secretaries, clerks, and mascots are paid on an hourly basis and are not eligible
for commissions.
Any questions concerning commissions should be directed to the Human Resources at 800-3503278.
Opportunities for Advancement-Progression and Promotion
Electronic Tax Center would like to provide employees with every opportunity for advancing to other
positions or opportunities within the company. Approval of progression moves or promotions depends
largely upon training, experience, work record, and business need. However, Electronic Tax Center
reserves the right to look outside the company for potential employees as well.
Time and Attendance
By law, Electronic Tax Center is obligated to keep accurate records of the time worked by employees.
Each employee must, except non-exempt employees, use daily the provided time and attendance
program. Payroll time is calculated the Monday after the bi-weekly period closes. All corrections must
be completed no later than noon on Monday after the bi-weekly period ends.
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Time Clock
ETC uses an online web based time clock. This time clock is accessible from your screen desktop
only. You may not access the web based time clock anywhere else.
Time Clock Procedures
You can access your web based time clock from the computer that is designated as the time clock
computer. The program is generally left open and is not closed, however if you should find it closed
you need only click on this icon within the desktop screen.
How to Use the Time Clock:
By clicking on this icon, the time clock program will open as shown below:
Normally the time clock ID and password will appear and you only need to click Log In. If the ID and
password is missing, then please enter etc11 for the ID and etc2011 for the pass code and then click
Log In.
Your Time clock screen will look like this:
This time clock could not be anymore easier to use.
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To clock in you simply click on the “IN” button next to your name, as shown below:
In this Example, if you were Rita J. Rodriguez, you would click on the “In” button to clock yourself in for
the day.
To prevent someone other than you clocking in or out, you will need to enter your 4 digit pin, which is the
last four numbers of your SSN.
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If you’ve entered your pin correctly your status will change to “IN”, as shown below.
To clock out at the end of your shift, or to clock out for a lunch break, you again access the time clock
program and this time click on “OUT” and enter your pin. Once you do this you “IN” status will be
removed. See the diagrams below:
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That’s all it takes to Clock In and Out, if you need assistance please call the main office, 1-800-3503278, to resolve any issues you may have.
Web Based Time Clock Malfunctions
Our web based time clock has eliminated any mechanical malfunctions, missed time card deliveries,
and missed calculated time cards. The only possible errors will be those from human errors e.g.
failing to punch in and out.
Punch In & Out Corrections
It is understandable that you may forget from time to time to either punch in or out. On those rare
occasions you may call the main office and speak to Betty Valadez or David R. Rodriguez
immediately after you discover the error at 956-687-1000.
While we will adjust your time records, we frown upon individuals who constantly fail to clock in and
out. It is to your benefit to take this seriously and responsibly, while it may be just one call for you,
but to us it is a major distraction in a busy day. The main office is the central clearing house for all
offices and we become quite busy. Take this required duty seriously and please keep forgotten or late
clock ins and outs to a minimum.
Time Clock Ethics
It is your sole responsibility to punch in and out using your login information. No one may do this for
you, nor may you do this for someone else. Security features will only allow for you to punch in and
out from any ETC office, you will not be able to do this from a location outside of ETC.
Buddy punching is the process of clocking in or out a fellow co-worker who is not present to do so for
himself. Here are some scenarios:



Co-worker is running late and calls you to clock him/her in.
Co-worker leaves without clocking out and calls you to do it for him/her without having your
supervisor properly mark the time of departure.
You clock in a co-worker who is not scheduled for that day, is out due to sickness, is out
running personal errands, or is trying to commit fraud.
In each of these scenarios fraud is being committed by reporting time that was not worked. In fact,
being paid for time you did not work is a punishable white collar crime.
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ETC BENEFITS
Electronic Tax Center has certain benefits that pertain to regular full time employees.
Retirement Plans
Electronic Tax Center supports employee retirement preparation and investment by providing a
government-approved and regulated plan for qualifying regular employees i.e. a 401(K) Plan.
Participation is voluntary and is limited to those regular employees who work more than 1000 hours in
the year. The details regarding participation, contributions, vesting, administration, and investments
are provided in the Summary Plan Description.
Unemployment Compensation
Unemployment compensation is designed to provide a temporary income for those who are out of
work through no fault of their own. Depending upon the circumstances, employees may be eligible for
unemployment compensation upon termination of employment with Electronic Tax Center. The Texas
Workforce Commission determines eligibility for unemployment compensation. The Texas Workforce
Commission may be reached at 800-939-6631 or via the web at www.twc.state.tx.us
Social Security
The United States Government operates a system of mandated insurance known as Social Security.
As a wage earner, employees are required by law to contribute a set amount of weekly wages to the
trust fund from which benefits are paid. As employer, Electronic Tax Center is required to deduct this
amount from each paycheck an employee receives. In addition, Electronic Tax Center, matches
employee contribution dollar for dollar, thereby paying one-half of the cost of employee Social
Security benefits. For further information, you may visit the Social Security Administration at
www.ssa.gov.
TIME-OFF BENEFITS
Sick Leave
Regular employee sick leave may be used during an employee’s own illness or for an illness in the
employee’s immediate family. Sick leave will be limited to six (6) paid 8-hour days per year for all
regular full time employees.
Seasonal/temporary employees are granted unpaid sick leave for illnesses and accidents that disable
you. Please notify your supervisor ASAP so we may schedule accordingly. Due to the nature of our
business please limit your time away to 3 days or less. If more time is needed you must call your
supervisor immediately.
Bereavement Leave
Employees shall be entitled to bereavement leave upon the death of a spouse or immediate family
member. Please notify your supervisor immediately so we may adjust the schedule accordingly.
Jury Duty
Electronic Tax Center is committed to supporting the communities in which we operate. This includes
supporting Electronic Tax Center’s employees in fulfilling their responsibilities to serve as jurors
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whenever it is possible. When an employee receives notification regarding upcoming jury duty, it is
his/her responsibility to notify his/her direct supervisor within one business day of receiving the notice.
Military Leave
Employees who serve in the U.S. military reserves or State National Guard may take the necessary
time off to fulfill this obligation and will retain all of their legal rights for continued employment under
existing laws.
Personal Leave of Absence
In special circumstances, Electronic Tax Center, may grant a leave of absence for a personal reason
except for reasons of another job or of self employment. Personal leaves of absence must be
requested in advance and are subject to the discretion of management.
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EMPLOYEE COMMUNICATIONS
Open Communication
Electronic Tax Center encourages employees to discuss any issues they may have with a co-worker
directly with that person. If a resolution is not reached, employees should arrange a meeting with
their direct supervisor. If the concern, problem, or issue is not properly addressed, employees should
contact the main office and speak to David Rodriguez, Jose Salinas, Alex Bermudez, Betty Valadez,
or Rey Salinas.
Any information discussed in an Open Communication meeting is considered confidential, to the
extent possible while still allowing management to respond to the problem. Retaliation against any
employee for appropriate usage of Open Communication channels is unacceptable and may lead to
termination.
Managers’ Meeting
Electronic Tax Center, from time to time, will issue a paid mandatory managers meeting notification.
These meetings are generally held on Saturdays. The purpose of these meetings is to keep the
channels of communication open and discuss current concerns and solutions.
E-Mail
ETC provides each employee with an email address and access to companywide email. Your email
account is for ETC purposes only. We reserve the right to randomly view any and all email accounts.
It is your responsibility to use your email account professionally. Any abnormalities or misuse of your
email account can lead to disciplinary action or termination. You will learn more about ETC’S E-MAIL
service later in the manual.
Suggestions
Electronic Tax Center encourages all employees to bring forward their suggestions and good ideas
about making Electronic Tax Center a better place to work and enhancing service to Electronic Tax
Center customers. Any employee who sees an opportunity for improvement is encouraged to talk it
over with management. Management can help bring ideas to the attention of the people in the
organization that will be responsible for possibly implementing them. All suggestions are valued and
encouraged. Please feel free to call us anytime at 1-800-350-3278 or email anyone of us at:
David Rodriguez
David@fastrefunds.com
Joe Salinas
Joe@fastrefunds.com
Rey Salinas
Rey@fastrefunds.com
Alex Bermudez
Alex@fastrefunds.com
Betty Valadez
Betty@fastrefunds.com
EMPLOYEE INTERNET & E-PORTAL ACCESS
The last couple of years you have had access to the web and various other different web based
programs that were located on your desktop with the corresponding icons.
This year everything is located in one web based program called the Electronic Tax Center Portal
a.k.a. the E-Portal. It’s your one stop shop for all your communicating needs.
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E-PORTAL
What is E-Portal? ETC’S E-Portal system is a web based office designed to make your job much
easier. ETC’S E-Portal is a centralized site that acts as a remote office for you. You can:






Download all office forms;
You can make online requests/comments;
You can view your work schedule;
You can check your email;
Process Credit Cards;
You can access links to the IRS, SBBT, Refund Status Sites, etc.
Accessing E-Portal
From your desktop you will open the E-Portal by clicking on the E-Portal symbol
.
If your E-Portal icon is not there, you can simply type in daveportal.net to access it.
Using the E-Portal System
Once you have opened successfully our E-Portal system you will be greeted with the following
screen:
“See next page”
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The menu is simple to use, simply place your cursor on a menu item and click on it to open that
particular menu or use the drop down menu and select the item you want to open as shown below:
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The Menu
The Menu contains only those items you need to perform your job more effectively. Here is a brief
description of the menu items:
1.
2.
3.
4.
5.
6.
7.
Check Email
Credit Card Processing
View My Paycheck Online
Online Forms
Requests Online
Work Schedules
Links
Email
ETC provides all employees with a companywide email address. This email address is for use within
ETC only and is not for personal use. Your email account is to be used for communicating within ETC
and for us to communicate with you when a phone call is not necessary. We will notify you personally
at times or to globally broadcast information you will need to complete your job more efficiently. You
must of course check your email frequently for new updates. You may also communicate within ETC
with other offices and employees. To access your email you need only to click on the E-Portal button
on your desktop, login, and click on the email button. .
Access & Login
When you click on the email icon, one of two login windows will appear, one where the cookies have
been cleared as shown below; one where the cookies have not been cleared, shown later.
Email login screen cleared of cookies:
In this example the
screen has been cleared
of cookies. Cookies are
bits of information that
remembers previous
login information. Either
the previous user
cleared the cookies or
the system has been
rebooted and all cookies
have been lost.
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If you see this screen you must type in your compete email address, in this example we are using
mine david@fastrefunds.com, then entire your password, your password is your social security
number.
Click on the Login button to access your email account.
Email screen not cleared of cookies:
In this example the
cookies have not
been cleared
and the computer
remembers the
previous
information. Our
domain name of
Fastrefunds.com
has been
remembered and is
ready to be used.
You need only to
enter your email
name and password
which is your SSN.
You need only to enter the first part of your email address that was assigned to you. In this example
we are the email address of david@fastrefunds.com, so in this example you would only enter “david”
as shown below and the SSN as the password. Click on “Login”.
After you access your account, the inbox will display current email to the oldest email, top to bottom.
If your email is not shown, simply click on the inbox and it will display as shown below.
Compose an Email
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To create an email, click on the “Compose” tab.
After clicking the Compose tab, your blank email form will appear:
Four things must occur before an email can be sent, they are:
1. Enter the recipient email address in the To: section.
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2. Enter the subject of the email in the Subject section.
3. Compose/write your email, KISS Keep It Simple Stupid. Don’t write a novel.
4. Send your email by clicking on the Send button.
If you need further help or training on this topic, please ask your supervisor for instruction. Everyone
is expected to access and use our email system.
Email Responsibilities
Your assigned email account is for office use only and is not intended for personal use. By using it
for business use only, you can avoid your account from being “spammed”. Spam is the unwanted
avalanche of junk mail that accumulates in your inbox once your email address has been tagged by a
company that sends out junk mail. Spammers love it when you unknowingly use your email address
to open certain web pages or when asked for you to provide an email address to obtain features of a
webpage. Unfortunately you just gave your email address and it has been sold to a spammer.
ETC prohibits the use of your email account to transmit anything that can be construed to be sexual
or offending in nature.
Anyone found to be abusing the use of their email account will be disciplined or fired, depending on
the nature of the offense.
If you receive email from a fellow worker and it is offensive in nature, please contact the main office
immediately at 956-687-1000, ask for David Rodriguez.
ETC Email Company Rights
ETC reserves the right to randomly review any or all email accounts at their discretion for compliance.
You are required to sign and date an Email and Internet Policy Acknowledgement Agreement.
ETC Email Technical Issues
Please report any technical difficulties immediately to David Rodriguez at 956-687-1000. It is
important that you have access to your email. ETC relies on email often to get time sensitive
information out to you; therefore it is important that you check your email frequently.
Credit Card Processing
This topic will discussed further in the manual under the chapter “Cash Box Method” where it is more
relevant.
Paycheck Records (Paycheckrecords.com)
As a service to you we are now uploading your paycheck information online for easy viewing and
access.
You can view and print out your paycheck stubs online easily. You can also view your taxes paid. So
how do you access View My Paycheck online?
Before your first paycheck you will receive an email inviting you to sign up. Within the email click on
the link that they ask you to and follow the instructions. Once you have signed up you can login from
our E-Portal web site and login or you can access it from the email itself. You will receive an email
every time payroll is run informing you of the pending deposit and that you can view the details online.
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Online Forms
These are downloadable forms we use every day in our daily operation. There are 4 sections to
choose from:
1. Bank Forms (forms EPS Financial)
2. Office Forms
3. Employee Forms
4. Tax Worksheet Forms
Requests Online
As the name implies, you can make and submit a request online, we receive these fairly instantly.
You don’t have to call or fill out a manual form. This frees us from having to spend more time on the
phone then necessary and a request cannot be lost in transit.
Listed are the requests that you can make online:
1.
2.
3.
4.
5.
Supply Request
Repair Request
Time Off Request
Concerns or Comments
Client Refund Consideration Request
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As you can see it’s easy to use. You only have to fill out the form and click on Submit. Once you do
this you will receive a message on a separate screen indicating that your message was sent.
It is sometime a little too easy to use the online request forms, you should wisely use the online form
request; combine all supplies request into one request. I do not want 10 requests for items from one
store.
The Client Refund Consideration Request is not an automatic refund for the client. As the title implies
we must first research the issue and then make a decision on whether to refund a client. This is only
to be used when we clearly made a mistake and the client has requested a refund. You do not
automatically request a refund for every little issue. A delay in a refund does not necessarily warrant
a refund of fees. You can never make a promise to a client that the fees will be returned; only the
main office can make that determination. Your only job is to inform the client, who’s requesting their
fees that the main office needs to review the issue first, then if a refund is warranted, the main office
will issue that refund to the client via regular mail. You never give a client a refund from the cash box.
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Schedules
Click on Schedules to see your particular work schedule for the week. Schedules are updated by
Saturday for the following week.
Once you click on your work location, a PDF will appear with your current work schedule.
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Links
The links page is a collection of important and frequently used web sites that you access by clicking
on a hyperlink. These hyperlinks are the only websites that are currently allowed to be accessed.
If you have a website that you find beneficial in completing your job, then submit a request to have it
added to the list of currently accepted hyperlinks. If approved, the web page will be included on the
links page.
Computer, Hardware, Software, Network, Printer and Internet Problems
These types of problems directly affect your store’s production and in some cases, as with network
issues, can bring you to a halt.
Call the Main office immediately at 956-687-1000 and ask for Joe Salinas, ETC’S I.T. Manager. If Joe
Salinas is not available, please ask for Alex Bermudez or David Rodriguez.
ETC’s hardware and software, networks, printers and internet access is for your use in helping you do
your job more efficiently and are configured to ETC’S specs.
Tampering with these systems and their configuration can lead to termination. If you suspect any
improper use or abuse of these systems please call David Rodriguez, Joe Salinas, or Alex Bermudez
at 800-350-3278 immediately. Your identity will be kept confidential at all times.
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OUR SERVICES
Before we discuss operating procedures, cash box management, file folder creation, and the ETC file
cabinet system we need to discuss what ETC “sells”, what services we offer to our customers.
They are as follows:




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Federal income tax preparation
State income tax preparation
Business tax return preparation
Form 1120, 1120S, and 1065
Quarterly Employee Tax Returns Form 941
Form W-3 and W-2’S
State Sales Tax Reports and Returns
Electronic tax filing, including bank products (Lightning Fast Dinero®)
Fast Refunds (Our brand is “Lightning Fast Dinero®)
Amended Returns (Form 1040X) and IRS Resolution Assistance.
Online Income Tax Filing via our website at www.fastrefunds.com.
Federal Income Tax Preparation
Simply put, this is the paid preparation of a U.S. Federal Income Tax Return by you for our customer.
This service is paid upfront and before they leave the store. We also prepare extensions.
Your tax program will calculate the total fee for the prepared return, the fee is based on a per form
charge. This fee is collected at the time of service.
State Income Tax Preparation
While Texas does not currently have a state income tax many other states do. We can prepare a
single state return or multiple state returns for a customer. Many people who work out of state may
have one or multiple state returns to be filed as well. The W-2 will state at the bottom of the form the
state initial and amount of taxed paid. You must notify your customer of their state filing requirements.
This service is paid upfront as well. State returns are completed in the main office. Follow your X-file
instructions when submitting a state return to be completed.
Business Tax Returns
All business tax returns (Form 1065, 1120S, and 1120 etc.) are completed in the main office only.
Please contact Alex Bermudez at 1-800-350-3278 for instructions and pricing.
Electronic Tax Filing or E-Filing
This is a method of either filing a tax return with a refund or filing a tax return with a debt owed. We
can accept a return that is brought to us prepared already or we can prepare it and then E-File it by
either two methods:


Direct Deposit – Refund is deposited into either a checking or savings account (may use up
to 2 accounts with Form 8888)
Simple E-File – Refund is mailed to their mailing address.
Returns with a balance due can also file electronically. They can pay their debt with a credit card or
through a withdrawal from a bank account or they can mail the voucher with payment to the IRS.
Remember that they should not include the actual tax return with payment they’ve already filed
electronically.
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Lightning Fast Dinero ® (Fast Refunds or Bank Products)
Our bank, EPS Financial offers several low cost methods of filing a tax return and not having to pay
anything up front, under the name of E-Collect:

E-Collect Check, the main benefit of this service is the ability to take the entire fee out of our
customers check without them paying up front. This refund is usually released within 7 to 14
days officially, but unofficially could be 4 to 7 days. It too can be distributed either by check
(Electronic Refund Check or ERC) or direct deposited into a checking account, savings
account, or debit card. When released as direct deposit it is called an E-Collect Direct
Deposit.
State Refund Transfer (SRT) is a State refund that is also distributed either by check (SERC) or direct
deposited (SRTDD). Funds are distributed to taxpayer by the same method chosen for the federal
product. State tax return must be filed electronically in order to receive an SERC or SRTDD.
Amended Returns (Form 1040X) and IRS Resolution Assistance
On occasion a client may need to change or amend their tax return for various reasons. Some
examples may be to add or remove a dependent, add or remove income, or add or remove a
deduction. These requests can be completed utilizing Form 1040X. This form is completed only in
the main office and is paid up front; the cost of an amended return is $95. Use an X-File to
package the request.
All 1040X Amended returns are completed in the main office, no exceptions. You are not to
attempt to complete one.
W-7 Application for Individual Taxpayer Identification Number
For a small fee we will assist taxpayers in filling out Form W-7 accurately with and with the correct
requested information the IRS requires. If you need assistance in completing this form, do not
hesitate to ask your supervisor or call the main office for assistance.
Online Income Tax Filing
Our customers who wish to file their taxes online can now do it through us! Fastrefunds.com is the
answer for them.
Returns Not Eligible for IRS e-file
The following individual income tax returns and related return conditions cannot be processed using
IRS e-file:

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

Other than current year tax returns;
Tax returns with fiscal year tax periods;
Amended tax returns;
Returns containing forms or schedules that cannot be processed by IRS e-file other than
those forms and schedules that are required to be submitted with Form 8453, U.S. Individual
Income Tax Transmittal for an IRS e-file Return.
Tax returns with Taxpayer Identification Numbers (TIN) within the range of 900-00-0000
through 999-99-9999. Exception: Adopted Taxpayer Identification Numbers (ATIN) and
Individual Taxpayer Identification Numbers (ITIN) may fall within the range above. Valid
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
ATINs contain the digits 93 in the fourth and fifth positions. Valid ITINs contain digits within a
range of 70 through 88 in the fourth and fifth digits.
The IRS cannot electronically process tax returns with rare or unusual processing conditions
or that exceed the specifications for returns allowable in IRS e-file. These conditions change
from year to year. The software should alert Providers to these conditions when they occur. If
Providers transmit electronic return data with one of these conditions to the IRS, it rejects,
and the taxpayer may have to file the tax return on paper. The software package
documentation or the software’s support program should provide more specific information.
Refund Distribution Methods
Before we begin to discuss the different types, speeds or ways of transmitting a refund request, we
need to discuss the different methods of receiving a refund; in other words, in what method will the
refund come in.
There are three ways a client can receive their refund:



Direct Deposit – Using this method the client never physically picks up their refund; instead, it
is deposited directly into their checking or savings account or a combination of either one.
Check – We print and issue a check. when it is authorized by our lending bank. This is
typically the preferred method of our clients. They may cash it or deposit it directly into their
own account.
Debit Card
E-1 Visa Card
EPS Financial offers a low cost prepaid debit card that our client’s refund can be loaded onto. We will
talk more about this card in a bit.
EPS
EPS Financial is our lending bank for 2013, and it’s program is almost identical to last years’ program.
EPS is partially owned by Drake Tax Software and is great low cost method our clients to file and
receive a refund without having to pay anything up front.
EPS Financial offers their line of bank products under the product name of E-Collect.
E-Collect Check
The E-Collect Check is a quick and cost effective method for our client to receive their federal tax
refund. This method requires no money up front. The IRS has switched all customers to the their new
Modernized E-File system and they state officially that refunds will take from 7 to 14 days to be
released, however our experience from 2013 is that it can be as fast 3 to 7 days unofficially. When
the IRS deposits our client's refund with EPS, EPS deducts all applicable fees from the refund
amount and disburses the balance of the refund to our client in a E-Collect Check or E-1 Visa Debit
Card.
E-Collect Product Features & Benefits

Most popular e-file bank product chosen by taxpayers
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
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




A cost effective and convenient way for our clients to receive their federal tax refund
Our clients can receive their refund within 7 to 14 days officially, but may be as fast as 4 to 7
days unofficially, after the IRS acknowledges their tax return.
No out of pocket expenses for your clients
E-Collect refund amount available through a variety of disbursement methods upon IRS
funding
Fees: All fees are withheld from a refund nothing is paid up front.
Consent form must be completed and signed by taxpayer(s).
No limit on refund amount, however check cashing places may have a limit on the amount
they will cash.
E-Collect Check products allow our client to speed up their refund and have all fees including tax
preparation withheld. There is no limit on the amount of the refund that can be requested and it will
be deposited or printed in the whole amount.
E-Collect Direct Deposit
A refund that is direct deposited in a checking, savings account, or a debit card. The E-Collect
Application requires the client’s routing transit number and deposit account number. Remember, the
client does not return to the branch office to pick or inquire about their refund. The client must be
instructed to contact their bank institution to determine if the IRS has issued their refund. Neither, the
IRS, EPS nor the Electronic Tax Center will inform a client when their refund is deposited into their
account. They may check their refund status online with the IRS at www.IRS.GOV, then click on
“Where’s my Refund” or call 800-829-4477.



Estimated time to receive refund is 7 to 14 days officially, but can be as quick a 4 to 7 days.
While the IRS deposits their refund on Wednesday, their personal bank may not make the
funds available for a 1 to 2 days afterwards; this differs bank to bank.
Fees: All fees are deducted nothing is paid up front.
Maximum refund: There is not a maximum refund amount limitation.
To do a Refund Transfer Direct Deposit the client must provide you with proof of their account such
as a cancelled check, deposit slip or account identification number card. Place the proof of the
account or a copy of the proof in the client’s file folder. For further details on properly entering RTN’S
and DANS see below under Direct Deposit “Proof of Account”.
Direct Deposits (Non-Bank Product)
Direct deposit is an IRS program. Direct Deposits are electronically transferred to a taxpayer’s bank
or credit union account directly from the IRS. The account must be a checking, savings or other
consumer asset account such as an IRA, debit card, paycheck card. Keep in mind that this is not a
bank product as such we cannot deduct the taxpayers fees from this product. Do not confuse this
type of refund with a Refund Transfer Direct Deposit (see above). On a Direct deposit you must
collect all fees up front. The fees are not deducted.
Estimated time to receive refund is 7 to 14 days officially, but may be as quick as 3 to 4 days unofficially. ALL fees are paid up front.
If you incorrectly enter a client’s RTN or account number and the refund is delayed, you the tax
preparer will be assessed a $60 deduction out of your paycheck. This is the cost of a direct deposit
and this is the amount that the company has to reimburse the client for your error. Hopefully this will
encourage you to double check all RTN’S and DAN’S and have the client verify and initialize to the
accuracy of the RTN and DAN.
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Proof of Account
To complete a direct deposit the client must provide you with proof of their account such as a
cancelled check, deposit slip or account identification number card. Place the proof of account or a
copy of the proof in the client’s file folder.
The information needed from the canceled check or deposit slip is the following:


Account number
Routing transit number
Enter the routing transit number (RTN) and the account number into Drake exactly.
Routing Transit Numbers
A routing transit number is the financial institution’s identification number in an ACH system. For all
credit unions and banks use the list of RTN’S found in the index, these have been checked and
verified. When in doubt, call the institute and:


Make a note on the file that you have called and verified the routing transit number the
customer account number.
Place a voided check in the file as proof of the RTN and account number used.
IMPORTANT: Some financial institutions are considered a “payable through” bank.
Small banks and especially small credit unions may use larger institutions to route their customer
drafts through, though this is not as common as it once was. If so, you will notice the words "payable
through" imprinted in the lower left-hand corner. The routing transit number on a payable through
check will be that of the payable through institution and not that of the local bank or credit union. If
you have a payable through account use the RTN listed in the index.
Note: The RTN list located in the index of this manual is not all inclusive of the financial
Institutions of the Valley, only the most common. When in doubt call the financial
institution for verification.
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Modernized E-File
Modernized E-File (MEF) is the New IRS data engine for processing returns. What it offers is faster
turnaround on tax return processing. According to the IRS all tax returns for tax season 2014 will be
processed through MEF and we should expect refunds to be funded in 7 to 14 days officially and 3 to
4 days unofficially.
IRS Drain Periods
The IRS has three drain periods throughout the day. These drain periods are the actual time periods
the IRS will take all returns sent to them before a designated time period and begin the
acknowledgement process. The four daily drain periods are as follows.
11AM, 6pm, and 2AM
Simply put any return that is electronically sent will be processed by the IRS at the next drain period.
For example, if you send a return at 10:00AM then that return will be processed by the IRS at 12PM
for acknowledgement purposes only. This means that the IRS will either accept the return or reject it
for errors. Once a return is accepted, the IRS typically batches files together and will process them
once a week.
This date is very important because any return that is not sent or fixed before Wednesday 11AM will
not get processed by the IRS until the following week. As you can see, this can significantly delay a
client’s refund and will probably make them unhappy to say the least. This affects anyone who wants
a Direct Deposit or E-File, but can delay a person applying for a bank product as well.
The moral of the story is to never leave files in the cabinet drawer without checking them regularly
and always correct your IRS rejected files ASAP.
You will learn about correcting files in a later section.
E-File (IRS Paper Check Non-Bank Product)
The E-File option is also an IRS program and is a low cost method to file electronically when you do
not have means of direct deposit. A taxpayer can select this method and have their tax return filed
electronically and have their refund in a paper check format mailed to them directly from the IRS in
usually about 21 days or 3 weeks. All fees must be collected at time of service; we cannot deduct the
fees.


Estimated time to receive paper check refund is approximately 14 days, depending upon mail
service.
Fees: All fees are paid up front
Preparers will be charged $60.00 if they miss-enter a client’s address. This will be deducted from
payroll.
Tax Preparation Only, Federal and State
Estimated time to receive refund is 6-8 weeks.
Fees: All fees are paid up front.
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Tax preparation service is simply stated as: we prepare the return for a fee and the client mails the
return in, However…
The new 2010 E-File Mandate requires us to E-File all tax returns we prepare and furthermore all
taxpayers are supposed to file their federal income tax returns electronically; however there are
always circumstances that will prohibit an individual from filing electronically such as:



Uncorrectable reject code
Return contains a form that cannot be E-Filed
Clients absolutely refuses to file electronically
Currently the IRS requires the tax preparer to attach form 8948 to the return explaining why
the return was not filed electronically. This form is found within your software and must be
filed out correctly and attached to the return before it is mailed, we also must keep one in the
file. See example below:
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When a taxpayer refuses to E-File may use the list below to explain why E-Filing is beneficial:

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
IRS requires it to be E-Filed under the new E-File Mandate.
Client never mails off return thinking it was filed electronically.
Client mails return to the IRS. IRS or postal service loses tax return.
Tax preparer miss-enters social security numbers, dates of birth, address etc.
Return has a math error.
Inadequate postage on the envelope
Tax forms/schedules missing
Client’s refund is stolen from mailbox.
May take 8 to 12 weeks to process.
Any of the aforementioned scenarios will cause at least an additional 8 to 12-week delay in the client
receiving their refund. The client will usually be upset with you and our service, even when we are
not in error.
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IRS Mailing Address’s
The IRS now requires the use of the proper receiving address when a return is mailed in, here are the
correct address’s as of our print date. If the mailing addresses should change will notify you.
We do not complete 1040A’s or 1040EZ’s, so you don’t have to worry about those addresses.
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What If a Client Cannot E-File
There are many reasons why a client cannot file electronically successfully:



IRS Reject that cannot be resolved.
Filing a form that cannot be accepted electronically i.e. Form W-7
Identity theft issues.
Regardless of the situation the outcome is always the same; your client will have to mail their return
to the IRS.
If your client has requested a bank product with their E-File, then you must adhere to the following
steps without fail:
1. Contact the taxpayer and inform them of the situation.
2. Have them come back in and convert their tax return to one that is mailed in. Make sure the ECollect deposit information is not on the return.
3. Attach the required statement stating why the return is being mailed in.
4. Give to the taxpayer a copy of the return, the copy to be mailed to the IRS with correct envelope.
5. And….Collect our Fee’s associated with a tax preparation only return.
Following up on every return is essential; it is done throughout the day.
Refund Timeliness Non-Guarantee
Having discussed all the refund options, we have to note that we never guarantee the timeliness of
any refund nor does the Internal Revenue Service.
We always state general times never a concrete time, because even though most refunds do come
in on time there is always a chance that it can be delayed for various reasons, such as:




IRS delays due to technical issues, legislative issues, or procedural changes.
Bank product delays due to technical issues
Software delays due to technical issues
ETC delays due to technical delays or errors
As you can see there are many ways a return/refund can be delayed. It’s imperative to never give a
firm date or guarantee when a refund will be ready. You must use general terms when giving a time
estimate.
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REFUNDS ARRIVE, NOW WHAT?
E-Collect Check
Anyone who requests an E-Collect Check will have a check in 7 to 14 business days officially from
the date they E-Filed, however unofficially it may be as fast as 4 to 7 business days.
When the check is authorized you print it in your office. Call your client immediately and inform them
that their check is here. The check you print will be net of bank and our fees. There is no limit amount
of the check, so you will print only one check per client. In the past we sometimes had to print two
checks to accommodate the amount received.
E-Collect Direct Deposit
E-Collect Direct Deposits operate essentially the same as an E-Collect Check; with the exception that
the client’s funds will be deposited into the account they choose at the time of service.
Even if our client’s financial institution receives the ACH or direct deposit it is still subject to the
financial institutions availability policy, which means it could possibly be available 1 to 3 days after the
IRS releases the refund. Make sure your clients are aware of these timing issues.
Refund Status Hotline (Bank Products)
ETC provides a toll free hotline number that any ETC client who has a bank product can call and find
out the current status of his/her return/refund. The system will tell them if it’s been accepted or
rejected (what to do if it is rejected), if a check has printed, and the anticipated deposit date of a direct
deposit. The toll free number is 1-866- 730-2274. They may also check online at www.taxinfonet.com
or directly with EPS at www.myecollect.com or they may call them directly at 877-503-0788.
Check Pick Up
Only the person or persons listed on the check are allowed to pick up a check. Under no
circumstances are you to release a check to anyone who is not listed on the actual check. A current
picture ID is required.
Check Registers
The check release register is to be used every time you release a check to a taxpayer. The check
release registers documents to whom and when a check was issued. This information is critical in the
instance of a dispute as to whom and when a check was picked up. It is your proof and backup in
instances of disputes. All registers must be kept for the entire tax season, once the register is full you
must properly store the register in a folder marked Check Release Register and kept in the file
cabinet. I cannot stress enough the importance and requirement for all checks being issued must be
properly released by using the Check Release Register.
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Direct Deposit Clients
Direct Deposit client should be instructed to call ETC’s hotline to ensure their return has been
accepted at the IRS and has not been rejected, but you should have called them by then. They
should do this 1-2 days after filing at the office. In 7 to 14 days from the day they file their return, they
need to check with their bank to see if the deposit has arrived. Some banks may not make our client’s
funds available until after the weekend. Remember, each bank has its own policies concerning this.
E-File Clients
E-File clients (21days) should be instructed to call the ETC hotline to ensure their return has been
accepted by the IRS and has not been rejected in 1 to 2 days after filing (again you should have
already called them). These refunds take about 14 -21 days and are usually delivered on Mondays by
the Postal Service. If it has been more than 21 days have the client call the IRS at 1-800-829-4477.
Prep-Only Returns
Prep only returns are mailed through the postal service and our hotline will NOT give them status of
their refund. A tax refund may take 8 to 12 weeks to be received during peak time under this method.
If a client wishes to learn the status of his/her tax return they must call the IRS’S Tele-Tax number at:
1-800-829-4477 or go online to the IRS at www.irs.gov and then click on “Where’s my Refund”.
Check Cashing
EPS Financial belongs to the Certegy Network and E-Collect Checks may be cashed at any
institution that is on the Certegy Network. In the RGV HEB, Wal-Mart and Ace Cash Express are on
the Certegy Network, however your client may also deposit into their own bank account if they have
one.
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Of course our customer may take their cashier check to any check cashing establishment, but the
fees may be higher.
Deposit Directly Into an Account
EPS checks are cashiers’ checks. If a client has a checking or savings account they can deposit the
cashier’s check into their bank account directly.
Client Damages Check (Void and Reissue)
If a client’s check becomes damaged have them return to your office with the remains of the check.
Once the check is brought in you need to take possession of the damaged check. Once the
damaged check is in our possession, you will need to write “Void” on the check, we will then instruct
you on how to reprint a check, all voids and reissues are handled within our tax software. Call the
main office for further instructions. We keep all voided checks.
Client Loses Check (Indemnity Bonds)
If a client loses his check he will be required to fill out a “Stop Payment Request and Indemnification
Form” This form is available online using the E-portal system; we also have the form in the main
office. Once the client(s) fills out the form, it must be faxed to EPS (phone number is listed on the
form). EPS will verify that the missing check has not cleared. A stop payment is placed on the
original check, after 5 business days from the date of issue and, a new check print authorization is
generated. If the check has not cleared the bank, then EPS will re-authorize the check to be
reprinted. A check re-issue request will be denied if the check has cleared the bank, that is someone
has cashed the check.
If the stolen check has been cashed, then it should be noted that only those checks on
which EPS receives payment from the cashing bank will be re-issued to the taxpayer. The
process is lengthy and can, unfortunately, take as long as six months as it cannot be
accelerated by EPS
Deceased Taxpayers
If the circumstance arises where a taxpayer passes away after submitting an application for a bank
product, please follow the applicable procedure below:
1. Filling status of “Married filing Joint” – If the bank will not cash the check, fax the voided check,
death certificate, surviving spouse ID, and written request to re-issue the check to TRS at 1-866300-3528. TRS will reissue the check in the surviving spouse’s name only.
2. All other filing statuses – Fax a “Taxpayer Maintenance Form”, along with a copy of the death
certificate, the voided check, to TRS at 1-866-300-3528 and the check will be re-issued with a
“Deceased” designation that should enable the estate to cash it.
If after the changes have been made, and the check still cannot be cashed, then the original check
and all preparer fees will have to be returned to EPS Financial. EPS will then return the funds to the
IRS and /or State. It will then be up to the estate to follow up the IRS and /or State for the
redistribution of the funds to the appropriate surviving party.
Client Requests Check to Be Mailed To Them
We do not allow mailing of E-Collect Cashier Checks to clients. The obvious reason for this is the
U.S. Postal Service, UPS or FedEx losing the check or delivering it to the wrong address, but more
importantly, EPS requires a current picture ID in order to release a check to a client.
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CAUSES AND DELAYS IN REFUND
IRS Filtering System
IRS filtering systems are computer programs, which are based on prior IRS statistics and research
that will select returns that the IRS deems may not merit the Earned Income Tax Credit (EITC) or
other refundable credits. These filtering programs may delay a return until the IRS is satisfied that the
person(s) claiming EITC
is eligible to receive it.
The following are the most likely returns to be delayed by the IRS:
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Male head of household claiming EITC,
Tax refund contains maximum EITC, such as $5751 with 3 or more qualifying dependents.
Did not respond in time to the “Earned Income Tax Credit Certification Test,”
Schedule C present with no expenses listed and high EITC is claimed.
New Head of Household regulations
Children/dependents that are not qualified dependents
Form 8862 required
Same address used multiple times for tax returns
Unrealistic deductions claimed.
Generally taxpayers who fit the above scenarios may have their refunds delayed while the IRS
determines whether they are eligible for the EITC or other refundable credits.. The IRS will send a
notice to the taxpayer(s) and may request more information from them substantiating their claim for a
refundable credit. If your client is experiencing delays you may have them call one of the numbers
listed below.
1-800-829-1040 IRS General Help Line
1-800-829-4477 IRS Automated Help line (Tele-Tax System)
1-877-777-4778 Taxpayer Advocate Office
1-800-829-1954 IRS Refund Hotline
If they received a notice, they should comply with the IRS request and call the number specifically
listed on the notice for further help.
IRS & FMS Refund Delays
Tax refunds may be delayed by the IRS or by the Financial Management Service (FMS) in the form of
a debt offset. What is an offset? An offset is a situation where the taxpayer owes an amount to the
IRS or FMS. This amount could be from back taxes owed or other liabilities owed to the IRS. It could
also be an amount owed to another government agency or state agency as in defaulted government
loans, defaulted student loans or even back child support. These monies are collected by FMS for the
asking government branch. After the offset is collected, then any remaining money is released to the
taxpayer. This process may take up to two funding cycles, which is one to two weeks per funding
cycle after the original missed release date. ETC is not responsible for any delays caused by offsets.
Taxpayers can call either one of the phone numbers below for further help:
1-800-829-4477
1-800-829-1040
1-800-304-3107
1-800-829-1954
IRS Tele-tax system for IRS debt
IRS national number
FMS for debts owed other than to the IRS
IRS Refund hotline
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Incorrect RTN and/or DAN
If you enter an incorrect Routing Transit Number (RTN) and/or Deposit Account Number (DAN) for a
direct deposit, it will cause an incredibly long delay. Once a return is e-filed and accepted it cannot be
changed. The IRS will attempt to ACH all Direct Deposit requests. When a bank receives the ACH, it
will further deposit all monies into the accounts that match up with the ACH. All accounts that do not
match up are held for three days and then returned to the IRS. From this point the IRS will reprocess
the refund and mail the client’s refund directly to them. This will take weeks perhaps months. Check
the RTN & deposit account number (DAN) before transmitting the return and have the client
initial page two of the 1040 that the information is correct.
If a client return is e-filed with an incorrect RTN and/or DAN without having the client check and initial
page two of the form 1040, we will deduct the cost of the return from your paycheck. This is an
avoidable situation if you follow these instructions:
1. Verify account information from a reliable source document e.g. a voided check, bank issued
account card, or deposit slip.
2. When you have printed the Tax forms have the client confirm the DAN and RTN printed on
page 2 of form 1040, and then have it initialed by the taxpayer in confirmation of the accuracy
of the DAN and RTN. They must initial our copy and theirs.
Incorrect Address
When a client wants to e-file only, the IRS will mail them a check directly to the address listed on
page one of the form 1040. If an incorrect address is given then the client’(s) refund will be mailed to
an incorrect address. The IRS cannot change the address once a return is sent to him. If this occurs
you will have one angry client to deal with. It could take months before they get their refund.
This is another delay that can be totally avoided by having your client verify and initial the address
line of page one of form 1040 (our copy).
So what do you do to avoid this situation? You must have your client check his address on front of
Form 1040 to insure a correct address is listed on the return, and then have him initial the address
area. The initialed copy is for our records. This confirms that the address is correct and protects us if
it should be incorrect.
What happens if it gets by you and it is sent electronically with an incorrect address? The first thing
you do is contact the main office. Secondly you will need to contact your client directly. Your client
will have to come back into the office and sign form 8822 Change of Address form. We will ascertain
who is at fault. If you incorrectly enter a clients mail address or do not verify the address of a
returning taxpayer than the preparation fees from that return will be deducted from your paycheck and
we will mail them a complete refund of fees. If you followed procedures and obtained their verification
initials, then the fault falls on the taxpayer and we are not responsible.
Always ask for their current MAIL address, where they receive their mail! Prior year information is not
always correct and do not take for granted that the address on the W-2 is their mail address. The
physical residential address and the actual mail address are sometimes different for those who live in
a small town and a have a post office box for mail delivery or have chosen to receive their mail at a
post office box.
So remember that:


The IRS requires the current mail address listed on the Form 1040.
EPS requires the both the mail address and physical address if they are different on the bank
application.
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E-Collect Direct Deposits
If you incorrectly enter the clients RTN and/or deposit account number similarly to a direct deposit it
will also cause a delay. You can avoid this by having them review the screen where there information
is entered and have them initial the bank application where you manually enter the RTN & DAN. With
a bank product RTDD it can be fixed if caught early enough and it can take considerably shorter time
to reissue a refund even if the error was after the fact. Why is this? Because the ACH does not go
back to the IRS, it gets returned to EPS. EPS Financial can have them re-route it to the correct RTN
and/or DAN with a much shorter delay.
Call us immediately once you learn of the error at the following number:
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OFFICE OPENING PROCEDURES
Daily Procedures
Office opening procedures are normally performed by your office supervisor and any employee
assigned these duties. The following is a list of opening procedures:
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Turn on all lights.
Turn on the open sign!
Turn on copier, printer, and fax machine if needed.
Refill the paper trays of the copier, printer, and fax machine.
Check if your internet connection is operating properly.
Check your e-mail for important messages.
Check your supplies, if you are in need of supplies use the e-portal and request the supplies
you need online and submit.
Check your bank supplies: bank checks and bank application forms. Do not wait until you are
low, this may cause delays in our customers receiving their check on a timely basis.
Check your cash box and make sure you have enough change for your shift. Balance the
Cash box. Your office will be issued a defined amount at the beginning of tax season that is
to be maintained every day.
Check your incoming drawer of your filing cabinet for any memo’s, 1040X’S, state returns,
checks, payroll etc. Post and inform your staff of any internal memo’s
Check and clear all pending files daily. You will learn how to do this important function in a
later section.
Clean and organize your office: vacuum or sweep the floor, empty trash cans, dust
appropriately, clean the restroom, and make sure each desk is clean and organized. Each
Shift is responsible for the cleaning and organizing of the office before they leave.
Check all phone lines for activation. Report repairs if needed.
Report repairs required in building, HVAC systems, etc.
Report any employee absences immediately.
Phone Line Activation
Periodically check your phone and internet connection to make sure it is operating properly. Also
make sure the ringer on your phone is on. You would be surprised how many times we field calls from
clients complaining that a branch office is not answering the phone. Usually it turns out that the phone
is off the hook or the ringer has been accidentally turned off.
Signage
Each office has two very important signs that must be on and functioning properly:
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
Open Sign – This sign must be on and operating correctly, turn this sign on as soon as you
walk in to the store.
Canopy Sign/Channel box – The canopy/channel box sign is essential to our advertising as
we make reference to it in our advertisement, “Look for the yellow lightning bolt”. In the
evening this sign should turn on automatically, please verify that it is on and brightly lit.
Report any burned out fluorescent lights immediately by calling the main office and by
requesting a repair via the E-Portal. A dimly lit sign defeats its purpose.
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FILE COMPLETION AND FOLDER CONTENTS
The outside of the file folder is very important for processing at the branch office and at the main
office. The following are the basics of all file folders.
1. On the file tab we want you to first write the clients’ last name then first name.
2. Below the last name, write the five digits Document Control Number (DCN). For example, if
the DCN, which is located on the upper left hand corner of Form 8879, is 740784-00152-05,
you will write only 00152 above the last name on the file folder. The only time you will not
put a DCN on the tab is when it is a prep only file.
3. You must circle your store number on the outside of the file
4. Mark the type of refund requested. It must match what you entered in the tax program.
5. The file must have a contact phone number written on the file.
WE MUST HAVE A VALID PHONE FOR ALL CLIENTS AND IT MUST BE ENTERED INTO THE
TAX PROGRAM, IF THEY DO NOT HAVE A PHONE NUMBER, HAVE THEM GIVE YOU THEIR
NEIGHBOR’S OR A FAMILY MEMBER’S PHONE NUMBER.
Tax Return With Bank Product & You are the Paid Preparer:
RAL, ERC, RTDD, RT and Instant RAL
Stapled to the left inside cover the following should be present, from the bottom up.
Copy of ID’S and social security numbers.
Signed copy of Electronic Tax Center Exit Questionnaire.
Original signed various worksheets, if necessary.
Interview notes supporting conclusion.
Signed Form 8867 Paid Preparer Earned Income Tax Credit Checklist, if required.
Original signed copy of form 1040 (pg.1 and 2.)
Original signed copy of form 8879. Staple to form 8879, Attach original form W-2 and any
relevant form, especially those containing federal withholding such as W-2G, 1099R etc.
8. White receipt.
1.
2.
3.
4.
5.
6.
7.
The right side of the file should consist of:
1.
2.
3.
4.
Signed copy of Consent to Disclose of Tax Retun Information.
Singed copy of Consent to Use Tax Return Information.
Singed copy of Bank Product Information Sheet.
Singed copy of Bank Product Application and Agreement.
NOTE: if a client requests a Refund Transfer direct deposit (RTDD) you will treat the file folder
contents similar to a RAL. The only difference is you will need to fill out the RAL/RT application with
the client’s deposit account number and include a voided check or deposit slip stapled to the clients
receipt. Client must initialize the RTN and DAN for correctness after they visually approve it on the
screen and compare it to the application.
Tax Return with E-File or Direct Deposit & You are The Paid Preparer (Left Side):
Direct Deposit & E-file, all fees are collected up front.
Beginning with the left inside of the file folder from the bottom up:
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Copy of ID’S and Social Security Numbers.
Copy of ETC exit questionnaire.
Original signed various worksheets, if necessary.
Signed original file copy of form 1040 pages 1 and 2.
Signed original copy of form 8879. Attach original form W-2 and any relevant income forms,
particularly those containing federal withholding, such as W-2G, 1099R etc.
8. To ensure the accuracy of a direct deposit, a voided check or deposit slip should also be
included in the file.
1.
2.
3.
4.
5.
6.
7.
The white receipt should be placed loosely in the crease of the file. Staple payments to the receipt,
payments include check, cash, or credit card receipt.
Tax Preparation Only – Client to Mail in the Return
Beginning with the left inside of the file folder from the bottom up:
Copy of ID’S and Social Security Numbers
Copy of ETC exit questionnaire.
Original signed Schedule C worksheet, if necessary.
Signed original file copy of form 1040 pages 1 and 2.
Attach original form W-2 and any relevant income forms, particularly those containing federal
withholding, such as W-2G, 1099R etc.
8. To ensure the accuracy of a direct deposit, voided check, or deposit slip should also be
included in the file.
9. Form 8948 – Preparer Explanation for not Filing Electronically.
1.
2.
3.
4.
5.
6.
7.
The white receipt should be placed loosely in the crease of the file. Staple payments to the receipt,
payments include check, cash, or credit card receipt.
Self-Prepared Tax Returns
The client brings in their tax return already completed; the file folder will be completed the same way
with only two changes.
They are as follow:
1. Instead of having a printed Form 1040, page one & two, you will insert the client’s own 1040
form and all supporting schedules on the left side of the folder.
2. Even though we did not complete the tax return, if there is EITC involved will still have to
complete Form 8867.
Third Party Paid Preparers
If our clients have their return prepared by another paid preparer i.e. CPA, bookkeeper, other tax
service, we do the following:
1. You assume the client has copy from the other paid preparer. Therefore we keep pages one
and two of form 1040. Page two must be signed by the other paid preparer.
2. Even though we did not complete the tax return, if there is EITC involved we will still have to
complete Form 8867.
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State Returns
As you know Texas does not collect a state tax, but other states do and our customers often work in
these states.
Most of them will know they will need a state return completed, but others may not. You as the tax
preparer must examine your clients W-2’S for state tax information. If you see state tax withheld
amounts than you can presume that they will need to file a state tax return for that state. It is not
unheard of for a client who has worked in multiple states having to file multiple state tax returns..
For those states that require a state tax returns, the rules vary from state to state, however the one
constant is that if you meet the filing requirements you must file a tax return by law. Please use the
Tax Book online for filing requirements on a state to state basis. The online Tax Book is available
through the E-Portal. The benefits of filing the return electronically is the same for the federal return:
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Most states take only 1 to 7 seven days to release a refund when it is filed electronically. It
will take weeks if mailed in. So, of course, insist that it is filed electronically.
The return is acknowledged after receiving it. No guessing game if they ever received it.
Any errors are caught immediately as opposed to months.
What you need to do:
1. Complete the federal return as usual and If the client wants it filed electronically, then do so
as normal. Complete the file folder as normal. Be sure to enter everything on the W-2
including state tax information.
2. After you tell your client that a state return will have to be completed and you have gone
through the cost of preparing it and filing it electronically, complete a “State Tax Information
Sheet”, you can find one in the appendix of this manual. Make copies for future use. This
document is very important in the completion of the state tax return. This information tells us
what state to complete, are the residents, part time residents or non-residents of the state,
did they own a home in that state, and other useful information
3. Place the entire file folder in an X-File folder and properly fill out the front areas for a state
return.
4. Attach the “State Tax Information Sheet” to left inside cover of the X-File.
5. If the federal return is being prepared electronically, then you may go into the federal billing
and add the cost of the state return to “other fees”. This must be done before it is sent
electronically. Notate on the X-File that the fees are being deducted on the federal return.
6. Place entire file folder bundle into drawer 3 “Incoming” if it is a new file and has not been
reviewed or sent electronically yet.
7. If the federal return is a Prep only or if the Federal return has already been prepared and they
only need the state return to be completed, then you must collect all fees in advance and upfront. Follow “Cash Tendering Procedures”. Place the X-file with the cash into file drawer 1
“outgoing”.
All state returns are completed in the main office and may take 2 to three days for completion. No
exceptions. For state return completion status, please call Alex Bermudez at 956-687-1000.
Form 1040X (Amended Return)
Form 1040X returns are completed at the main office in McAllen only.
What is a Form1040X? Generally it is the form used to correct, change, and amend tax return
information that has been previously filed.
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What’s required for a Form 1040X:
Form 1040X requires a copy of the client’s original tax return. If we prepared the return, we usually
can print a copy. If we did not prepare the return, we definitely need a copy of the original return.
We also need DETAILED information as to why Form 1040X is needed. Remember when in doubt, it
is better to have more info than too little. Please write this information on the cover of the X-File
folder.
We can amend a return back 3 years for a refund.
It generally takes only 1 to 3 days to complete a 1040X, but if a client wants a current year return
amended, the client will have to wait until the original return has been processed and the refund has
been released before form 1040X can be mailed in. If a taxpayer mails in form 1040X before the
original is processed and the refund is released, it may cause a major delay at the IRS. The IRS will
take considerable time in analyzing the situation. Because of this, we do not release form 1040X to a
client until the original is processed and the refund is released.
How much will it cost?
If form 1040X is needed due to an error by us, then there is no charge to the taxpayer for form 1040X.
If form 1040X is required due to an error by the client or the client’s preparer, a fee of $95.00 is to be
paid in advance or by deducted it from their federal return, this fee would be added to billing as
“other fees”. We have this policy in effect because some clients are reluctant to pay our fee if form
1040X shows them owing money back to the IRS.
Place form 1040X information in an X-FILE folder and completely fill out all information required then
place it in the outgoing file drawer.
Form1040X, once completed at the main office, is sent back to the branch office to be mailed to the
IRS by the client. We do not mail form 1040X for the client. Make sure the client signs form 1040X.
Form 1040X usually takes about 8-12 weeks for the IRS to process. Any additional refund will be
mailed directly to the taxpayer. If the client owes they must mail a check for the amount owed with
Form 1040X.
Balance Due Returns
Most balance due returns are done in the months of March and April. We try to encourage taxpayers
who owe money to have their return filed electronically. If the client files a balance due electronically
they need to have a form 1040V, payment voucher printed. The balance due tax return is filed
th
electronically the day the client is at the office. The client then has until April 15 to send their
payment along with their 1040V voucher to the IRS. They may also choose to have the payment
deducted from their checking account directly. This is done within the program and is similar to
someone receiving a refund except the IRS will not deposit money, but they will deduct it.
The file folders are completed as mentioned above.
If the client chooses to mail in their balance due return, make the client a complete copy of the return.
Have them sign it, you sign it, attach all pertinent schedules and forms, and have them make a check
payable to “United States Treasury” for the amount owed and send it all off with the form 1040V
payment voucher in an IRS envelope. The file folder is completed a tax preparation only.
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File Folder Placement
Client’s paper work must be contained in a client folder and can never be left unassembled on your
desktop or file drawer. All paperwork must be properly assembled using a client folder according to
ETC procedures. Client folders are never to be left on your desktop or in a desk drawer and must be
filed properly according to ETC Procedures. These required procedures will prevent client identity
theft and potentially mixing client data; creating a nightmare of amended returns and angry clients.
Any employee improperly handling sensitive documents or stealing sensitive information will be
terminated immediately and/or prosecuted to the fullest extent of the law.
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ETC FILE CABINET SYSTEM
In an earlier section you learned how ETC requires all client files to be assembled in a like style
format. In this section you will learn where and how to properly file away your client files. You will
never leave any completed files in your desk drawers. All files must be properly filed away.
Each file cabinet has four drawers. Each drawer has specific function and order. No matter what
office you work in, the filing cabinet set up is always the same.
Drawer 1 (Outgoing):
This is the top drawer and is used only for files that are ready to be picked up and sent back to the
main office. These files, if sent as an e-file have been reviewed, sent and acknowledged and
accepted by the IRS. If the file is a “Prep Only” file, it has also been reviewed by the store manager
and is now ready for pick up. This drawer is also used for X-files and other outgoing paperwork that
needs to be sent to the main office.
Drawer 2 (Awaiting Acknowledgement):
This is the second drawer from the top and this drawer is used only for those files that have been
reviewed but have not yet, in the case of an e-file, been acknowledged or accepted by the IRS. Once
the IRS acknowledgement is received, those files that have been accepted and those reviewed files
that are prep only move to the first drawer for outgoing.
Drawer 3 (New Files):
This is the third drawer from the top and is used only for new client files that were created that day.
These files have not been reviewed yet and/or sent electronically. The person responsible for
reviewing and selecting and sending files electronically will get them from here. Once you finish a file,
this is the drawer where you will place it. This drawer is split into two the first having being reserved
for cash files only. These are files that are paid with cash only. The second half is for all other files.
Drawer 4 (Rejected & Pending):
This drawer is also split in two. The first half is for IRS rejected files. Normally these files are notated,
corrected immediately, selected again for transmission and then placed back in drawer 2. If they
cannot be corrected immediately than you must properly notate the file and place it in this drawer.
These files must be corrected as soon as possible.
The second half of the drawer is for files that cannot be completed because of pending information or
signatures. These files must be checked regularly for completion. Do not let these files to build up.
Review, correct and transmit a.s.a.p.
Overview:
The file system is identical to every office. Be careful not to place your client files in the wrong drawer.
Only persons reviewing and sending e-files will move folders from INCOMING to AWAITING
ACKNOWLEDGEMENTS TO OUTGOING.
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CASH BOX METHOD
Your office will be accepting cash, checks and credit card payments for tax
preparation fees. Electronic Tax Center has the following policies for cash
tendering.
Cash Box Tendering Procedures:
The cash box, which is kept at your manager’s desk, is merely a change box. The box must maintain
a daily balance of the amount allocated to your office at the beginning of tax season at all times.
Here’s how you use it:
Cash Payment Scenario:
1. Our customer only wants to prepare his tax return with us and will mail it in himself. The cost
of the tax preparation is $45 and he pays it with a hundred dollar bill.
2. The tax preparer fills out the receipt and brings the receipt plus the $100 bill to you.
3. You simply put the hundred dollar bill into the box and give back to the tax preparer the
change for the $100 dollar bill.
4. The tax preparer than gives the customer his change of $55 and then staples as prescribed
in the Associate Handbook, the $45 dollars and the receipt into the client folder.
5. Client folder is placed into the filing cabinet.
Your office driver will change out your big bills daily. After the change out, you must count and
confirm the correct amount is in the box.
Cash Box Balance Sheet:
Part of the daily duties of the manager is to reconcile the cash box. However in the absence of the
manager you may be required to this. Change Box Balance Sheet, found in the manager’s office
binder, is the statement that you will use daily as follows:
1. When you open the office you will count your cash in the box and use the reconcile statement
to note the balance. Also sign and date the reconciliation statement to verify the cash box
balance. The balance should and must be the original amount issued to you at the beginning
of tax season. If you have anything other than your original allocated amount, notify the main
office at once.
2. When your shift is over you must reconcile the cash box again before your replacement takes
over. At this time the incoming manager/associate will perform his/her own reconcile and
notate the statement as well.
See attached the attached document:
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Checks & Credit Card Payments
When a client pays via check or credit card, the personal check or credit card receipt is stapled to the
white receipt and placed in the folder as prescribed in the Employee Handbook.
Paid Outs:
To keep the cash box method simple, all paid outs are done by check from the main office. If you
need a refund for a customer than you simply login to E-Portal (discussed later) and request one. A
check will be created and mailed to the client for all approved refunds. This keeps our accounting in
order and maintains a correct balance in the cash box.
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Credit Card Payment Procedures
We accept all major credit cards excluding the Diners Club card. All credit cards are easily processed
online eliminating the need for a dedicated credit card processing machine. Accessing the online
credit card processing site is easy.
1. Access the ETC E-Portal
2. Click on the Credit Card Processing link on the home page.
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Once you click on this link, a page will open requesting you to enter your ID and password.
The login is etcoffice1
The password is etaxc2014
Keep in mind that every 90 days I will have to change the password, you will be notified when this
occurs.
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Once you login, you will be taken directly to the credit card processing main screen as seen below.
From here you simply click on POS on the upper right hand screen.
From here you will be taken to the actual credit card processing screen:
See below…
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Enter the amount to be
charged here.
Take the customers CC and
swipe the card. Name, number
and expiration date will auto fill.
Enter the reference number,
which is the actual receipt
number.
Click Process Transaction
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Once you have entered the information and clicked on “Process Transaction” the next screen will be
your confirmation screen on the data you just entered.
Print two copies of this receipt and have the client sign both of them. We keep one attached to the
actual receipt and kept in the folder and the client gets the other one.
If the credit card gets declined again try it one more time, but if it is declined again, then you
must ask for another form of accepted payment.
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Payment Via A Personal Check
ETC accepts personal checks as payment with the following conditions and restrictions:
1. We only accept checks directly from the taxpayer. Name and address on the check must
match the name and address on the tax return.
2. We do not accept two or three party checks.
3. You must write the receipt number in the memo section of the check.
4. Checks must be made payable to “ETC.
5. Checks cannot have corrections on them; most banks will not accept checks that have been
corrected, even if the check writer has initialed it. See the example below.
6. We will charge a NSF fee of $35 plus any applicable bank charges for a returned non-funded
check.
Name and address must
match the name and
address on the tax return.
Example of a
corrected check
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Coupons
As part of our marketing campaign we use different types of mass mailers, coupons and referral
coupons to attract new clients and to retain our existing customer base.
Each of these coupons will have a discount offer associated with them. These discount offers may or
may not be the same on each different type of coupon. Because of this, we have guidelines for you to
follow when handling these coupons. They are as follows:



We accept one coupon per customer only.
We do not allow combining of coupon offers.
Coupon must be present at time of service.
We understand that some customers will show up without their coupon in hand. Our coupon is a
special offer that has to be present to be redeemed. Hence the reason for spending the money to
produce and mail out these coupon offers. It is designed to bring in customers. Many times
employees have allowed a customer the discount without a coupon. This defeats the whole purpose
of the coupon, however In certain circumstances we will allow a discount without a coupon, i.e., our
customer moved and did not get the mailer; the client has been with us many years, etc.

All coupons are valid until April 15 , 2014.

You must not only write the discount on the receipt, but you must also enter the discount
manually within the program itself. Once you finish a return, you can access billing. Simply
enter the discount. If you do not enter the discount, the client fee will be higher than the
receipt, as you can imagine this will produce an upset customer.

Coupon must be attached to the pink copy of the receipt, which is then attached to the inside
of the folder.

You may not retain unused coupons for future use. Remember a client must bring in his/her
own coupon.

Unused coupons must be given back to the customer so he may give them to another
person. If you find yourself with unused coupons, you must discard them.

We will match a competitor’s coupon in most circumstances. The offer must be for a similar
service we offer, and it must be legitimate and easily verified.

We may, during the tax season, offer different specials and discounts. You will be informed of
these specials, and it will be up to you to stay on top of all offers. Check your e-mail often for
changes in specials and offers.
Th
It is important to remember that we do not allow you to keep unused coupons in your desk or on
yourself. The customer must bring in his/her coupon. If a client is un-able to use his/her coupon you
should suggest that the coupon should be given to someone else they know. Mention the referral
program, and show them how to use the referral coupons.
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Entering Coupons into Drake
The most difficult part about entering a discount into the system is for you to remember to do it!
Drake Tax Software does not notify or warn you to enter a discount if one is present. The simple truth
is, if you forget to enter a discount, the customer is over charged. As you can imagine this does not
build a feel good emotion with our customer. Most people, who are not given their discount, when
they do their job and present the coupon, feel they are getting ripped off.
So it’s imperative that you enter the discount when given to you, in drake it’s very easy. Follow the
directions below:
To access billing within Drake, just type BILL in the form box below.
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This short cut will take you directly to the billing screen. Here you can enter various discounts.
How to Enter a JDRF Donation:
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ETC MARKETING PROMOTIONS
ETC currently has several marketing promotions in place and each one operates separately from the
rest. The list below is a brief description of each marketing promo and how it works:
Customer Receipt Referral Program
The Customer Referral Program is simply a great way to attract new business by offering the best
source (our customers) an incentive to recommend our services to others. We will pay our client $20
per new customer, up to $60, that they send to us as a referral.
How Does This Work?
You simply explain what they are and what the client can do to make $20 a referral. Every receipt
has a corresponding sheet of referral coupons that are numerically matched. Each coupon in that
sheet belongs only to the customer on the receipt. The receipt number and coupon numbers coincide
with each other and are not interchangeable with other receipt numbers.
Our “Customer Referral Program” is an integral part of our marketing campaign. As such we require
that you fully participate and comply with the following guidelines for this program.
Each ETC receipt has an accompanying set of referral coupons that are numerically matched to the
receipt number. That set of coupons can only belong to that specific receipt and vice versa. The set
of coupons can only be used for that customer since the receipt number and referral coupon number
is a match. We track who gets paid from these numbers and must not be interchanged with other
clients. This will cause payment to the incorrect individual.
Explain to them that this is an opportunity for them to make up to $60 dollars for just referring 3 new
customers to us. Remember, each referred client must be new to us and not a former client. Each
referral coupon is worth $20 to the original client who referred the new client. Our client can make
copies of the coupons if he/she wants to give out more. It is critical and mandatory for you to
personally hand each customer the coupons; explain the purpose for them, and the customer’s
opportunity to make money for simply referring a new customer to us.
It is important for the customer to know that we pay only referrals that are new (have never filed with
us) and/or have not filed with us in at least one tax year (did not file with us in 2011).
Late February and early March we start to issue the checks for those that have been used and that
qualify. It is important that your customer uses his or her correct mailing address at time of service.
Many times a customer will file using his physical address when he receives mail at a P.O. Box and
the check we send comes back un-deliverable.
If a customer chooses not to accept the referral coupons you must destroy them by shredding them.
You may not keep them in your desk drawer. Remember that each coupon is specific to that
customer and only that customer can or will be paid.
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How to Accept Customer Referral Coupons:
The value is $20 off tax preparation only and can be used by the client who is referred and cannot
be used in conjunction with any other offer.
You must enter the name and SSN of the referred person in the spaces provided.
After service you must attach this coupon in the file folder with the receipt.
Only one per customer is allowed.
Enter the referred person’s name
here. No exceptions!
Enter the person’s social security
number here. No exceptions!
The person referring should enter
their name here.
Entering the clients name and SSN must be completed at the time of service. Without the name and
SSN we cannot properly pay our client who took the time to refer a new client to us. This absolutely
defeats the whole purpose of the program if this information is not properly entered at the time of
service. Please write legibly and be careful not to smear the name and SSN area.
If you have any questions concerning this program, feel free to ask your supervisor or call the main
office anytime for clarification.
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Standard Mailer
ETC sends out yearly to our previous customers, a mailer with an income tax preparation discount
offer. This year our mailer will be a scratch off mailer where our customers will scratch off to reveal
their discount. The lowest discount is the same as last year, but they could scratch off a larger
discount or the best being free income tax preparation. Customers do not have to scratch it off in the
store; they may scratch off the mailer at home. The discount levels are as follows:
$15
$25
$50
Free Income Tax Preparation
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We Want You Back Mailer
We also send out a mailer to those customers who have not returned to us. This mailer is similar the
standard mailer with the only difference being the prize levels. In this mailer, the discounts are:
$25
$50
Free Income Tax Preparation
The same rules apply as to the standard mailer. We must prepare their 2011 Federal Income Tax
Return for the discount to be used
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OUR GUARANTEE POLICY
Guaranteed Done Right or It’s Free
Our “Guaranteed done right or it’s free,” policy was established as a selling point, but more
importantly, one that we can back up. This one policy alone puts us above most of the competition.
This policy is founded in our belief that we have the best-trained tax associates around. It also reflects
our deep core belief that the customer always comes first.
With that said, we expect nothing but your utmost attention to detail when you’re on the clock. We can
avoid most errors by following our guidelines detailed in this manual and observing these following
helpful hints:
1. Work at a steady even pace.
2. Avoid distractions such as cell phones, personal phone calls etc.
3. Come in prepared to work. Do not bring other work or personal problems into the office.
Leave all unfinished business at the door.
4. If you are ill to the point that you cannot concentrate effectively, then you should probably call
in for a sick day.
5. Avoid office gossip.
6. Take mini-breaks once in a while by standing and stretching.
7. Have only the current file on your desk. NEVER and I mean NEVER have multiple files on
your desk at one time. You must finish each file folder and then file it away immediately. We
have had on one or more occasions two files mixed up and combined on a desk. The result
was a direct deposit being sent to the wrong account, and another return with a completely
different person getting someone else’s refund. Do not allow this to happen.
What We Do Guarantee:
We guarantee the accuracy of our client’s federal income tax return only when it is prepared by us
using our tax preparation software and on information provided by the taxpayer(s) at time of service.
Here are the exceptions to our guarantee that will null and void our guarantee:
1.
2.
3.
4.
Any relevant tax information not presented at the time of service.
Any Incorrect/Incomplete information given at time of service.
Taxpayer(s) knowingly commit fraud.
Taxpayer(s) are involved in a tax scam or scheme.
As stated below in our “Refund Timeliness Policy” we do not guarantee refund timeliness and refund
amounts. Examples that may delay the timeliness and amount of the refund are:
1.
2.
3.
4.
5.
Adverse weather conditions
IRS malfunctions
Software glitches
Provider Bank malfunctions/glitches
National, state, and city crisis’s affecting service
Electronic Tax Center reimbursement is limited to tax preparation fees, initial IRS interest and
penalties. All other fees incurred by the client are not covered by the Electronic Tax Center.
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Refund Timeliness Policy
You must inform all clients that:
We do not guarantee the amount or the timeliness of refunds
You can tell the client that past history tells us that RALS take 1-2 days and direct deposits, according
to the IRS Funding Cycle Chart, take 7-14 days, not including the 1 to 3 day ACH delay.
Client must sign and date all receipts. By signing the receipt, our client, acknowledges that he/she
understands and accepts our limited guarantees.
Every year we hear that XYZ associate is informing clients that their RAL will take only one day or
that their direct deposit will take only 7 to14 days. While these time frames are usually met if they
are sent at the right drain times, you still need to tell the client it can take one to two days for a RAL
and 7 to 14 days for a direct deposit and 14-21 days to receive a check at home if they E-File.
You can make your job and co-workers’ environment pleasant if you set the expectation level of the
client ahead of time.
Your working environment will be a much more pleasant place to work at if all employees are giving
the clients the same information as to the availability of their refunds
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DRAKE DAILY DUTIES
There is a daily cycle of duties that must be performed without fail throughout the day. Aside from
preparing income tax returns and transmitting them, you must complete the entire cycle of the return.
Preparer’s vs. Office Managers Duties:
Duties vary between tax preparers and office managers, below is listed the different duties.
Preparer’s Duties:

Prepare the tax return, sign all documents, make complete copies of all necessary forms,
complete file folder, collect payment if necessary, and place file drawer 3 “New Files”
Manager’s Duties











Same as above with the added duties below.
Review, correct (if necessary) and transmit all eligible e-file returns from file drawer 3. Place
transmitted files into file drawer 2 “Awaiting Acknowledgment”
Review and correct (If necessary) all “Prep Returns from file drawer 3. Once reviewed and
approved by you place these files into drawer 1 “Outgoing”.
Transmit to Drake to send new files and to receive IRS acknowledgements and Check Print
Authorizations. You should transmit new files in accordance with IRS posted drain period.
Remove all Files from the “Awaiting Acknowledgment Drawer and one by one check them for
IRS acknowledgement. The return will be Acknowledged, Rejected, or still Pending
Acknowledgement. You will confirm the status of the return using the “Search EF Database”
screen. This is a database status screen that you will learn about in the next section.
All files that are accepted will go immediately into the top drawer, “Outgoing”
All files that are rejected must be fixed immediately and resent electronically, then placed
back into the “Awaiting Acknowledgement file drawer until an ACK arrives for them and they
are checked again for acknowledgement or rejection.
Any files that are found in the “Awaiting Acknowledgement” drawer and have not been sent
must be transmitted immediately. These are files that were not properly selected for
transmission and were still placed in the drawer. Sometimes the file contains errors that must
be fixed before it can be sent.
Print all checks that were authorized by EPS.
Call all clients who have received a check and inform them to pick them up with proper ID.
Any file that cannot be fixed immediately will have to go into the last file cabinet drawer called
“Pending”. Throughout the day you must attempt to resolve any issues with each file and
transmit those that can be transmitted. To protect you from any acquisitions in which you did
not attempt to contact the client, you must notate on the file when and what you did to correct
the issues. This is critical because often a client will blame you for never contacting them.
Your defense is the notes and dates that you contacted them and what you did or could not
do. If a file is unfixable you must notify the client of the situation and have them pick up their
personal information. Do not give any ETC paper work back.
Check your Pending Files Daily!
This must be done as soon as the office opens and throughout the day. During the peak period you
may want to come in 15 to 20 minutes early to perform these duties to avoid any interference from
helping customers.
In the next sections you will learn how to perform these functions with the Drake Software.
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DRAKE TAX SOFTWARE AND YOUR DAILY DUTIES
You have been trained on preparing tax returns in Drake, but the following sections will teach you
how to use its other features such as:
1.
2.
3.
4.
How to find the status of a return
How to get IRS acknowledgements
How to fix IRS rejects, how do I get check print authorizations and more importantly
How to print checks.
All of this and more will be covered in the following sections which are the most important sections in
this manual.
Client Status
Drake has two methods to check the status of a client:
1. Search EF Database (EF returns only)
2. Client Status Manager or CSM
Search EF Database:
The Search EF Database will give you the complete status of any return E-Filed, this does not include
returns that are paper filed or mailed.
Some of the main bits of information that you can obtain from the Search EF Database are:
a) General information such as names, SSN’S, address, phone numbers, filing status, who
began and finished the return, when the return was started and finished, etc.
b) EF information such as the date it was e-filed and when it was accepted or rejected,
c) If it was rejected, then what are the reject codes
d) Bank information such as bank accepted or denial codes, check print information, check
status, check cleared date, check number, etc.
As you can see the Search EF database is a wealth of information at your finger tips when you need
information on a client and client status where a return was e-filed
Accessing the Search EF Database is simple and only requires a few steps.
From the Drake main menu click on the EF button and select the Search EF Database as it appears
below.
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Once you click on the Search EF Database your search EF database window will open.
To search for a record (client) simply type in the primary SSN for the client and click GO. If you
entered the SSN correctly and the client exists in our database, the fields will populate with the
specific client information, as seen below:
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This is the General Information Screen or F1. There are three other tabbed screens within this
screen, which are:
1.
2.
3.
4.
F1
F2
F3
F4
General Information
Bank/Direct Deposit Info
Fees/Miscellaneous Info
Reject Code Lookup
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Just from the General Information screen alone you have a great deal of information at your
fingertips.
You can go directly to the return from this screen as well by clicking on F5, and you can also go
directly to a reject by simply clicking on the reject code itself.
You can also click on any of the other tabs for more information.
The F10 button and tab is for management only and is login and pass word protected. You will not be
able to access this site.
Acknowledged
Or
Rejected
Reject Codes
Bank Code I.E. Denial codes
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IRS ACKNOWLEDGEMENT & CHECK PRINT AUTHORIZATIONS
A very important part of your day-to-day tasks is to check for IRS acknowledgements and EPS check
authorizations.
In your tax class you learned to how to prepare and transmit a return in Drake, but what happens
after it’s been transmitted? How do you find out if it’s been accepted or rejected by the IRS?
In this section you will learn how to check for IRS acknowledgements (ACKS) and check print
authorizations.
Your Search EF Database and Client Status Manager are updated when you call into Drake
requesting ACKS and check print Authorizations. If you don’t regularly transmit to Drake for updated
ACKS and check print authorizations, your records will not be current. You can call into Drake as
much as you want and it will not harm any part of the program. So let’s begin on the process of
retrieving your ACKS and check print authorizations.
Step One:
From your Drake main menu select EF and click on it.
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Then from the drop down menu select and click on Process ACKS.
The Transmit/Receive screen will appear, you need only to click on Acks Only button to receive your
IRS Acknowledgements and Check Print Authorizations. This one transmission will retrieve both for
you at the same time.
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If there are IRS ACKS available, they will be processed and a printable report will appear as seen
below:
Your client databases will be updated with the most current statuses and you can now give the most
current status if a client should call you for information
Previously you learned how to use both the Search EF database and the Client Status Manager.
You’ve also were taught how to properly update your databases by checking for IRS ACKS and
check print Authorizations.
Using the Search EF database and CSM is critical in completing a very important part or your daily
duties which are reviewing all transmitted files for IRS acceptance or IRS rejection and fixing all your
rejected returns.
Check Print Authorizations
Transmitting to Drake serves a dual purpose, aside from receiving IRS ACKS, you will also receive
check print authorizations simultaneously if they bank has released them. Once you receive them you
will able to print checks that have authorized by EPS. You will learn more about this in a later section.
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IRS EF REJECTIONS
One of your most important daily duties is to clear out the IRS rejected returns ASAP.
In an earlier section we talked about the importance of e-filing returns before the drain periods and
getting all returns prepared before the Thursday noon drain e-filed to avoid them being processed the
following week.
With that knowledge we will now discuss what an IRS rejected file is, how to locate them using our
Drake Tax Software, what are IRS reject codes, how to correct the return, and how to re-send them.
What is an IRS Reject?
As part of Drake Daily Duties, discussed earlier, you are to:
1. Transmit to the Drake filing center to receive your IRS Acknowledgements from returns you
sent earlier in the day.
2. Process your Received Acknowledgments
3. Retrieve the files that are “Awaiting IRS Acknowledgement”
4. Check your files for either IRS Acceptance or Rejection using the Search EF Database
function in Drake.
5. Files that are accepted are placed in the top drawer for pickup
6. Those files that are rejected are corrected if possible, re-selected for transmission, and
transmitted. Be aware at all time of important drain times.
A return that is IRS rejected is a return that may contain an error in:
a)
b)
c)
d)
Age or Date of Birth
Name
SSN
Form error
Any one of these can cause a return to reject. Sometimes it’s a combination of them.
Using the Search EF Database for IRS Rejects
Previously you were taught how to use the Search EF Database function of Drake. We will now
discuss it further in the application of correcting an IRS rejected return:

From the Drake main menu you select EF► Search EF Database:

Your database screen will appear, as shown on the next page.
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
Take your first rejected file and type in the SSN and click on GO.

The data for the file will populate the fields.
Reject code
R
Reject Code
is a 501; you
can click here
to go directly
to the error.
For more
details on
code 501 click
the F4 tab
and enter the
code for more
detail.
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Correcting IRS Rejects
You can see here return was rejected by the IRS and has a reject code of 501. New for Drake 2009 is
the ability to click directly on the reject code and let you know what the problem is with the client.
After you correct the return you just press F9 on your keyboard to be taken back to the Search EF
Database.
Re-Sending a Corrected Return/Un-Corrected Returns
After you have corrected all your reject files you must follow procedure and resend those returns
again to the Drake filing center. Those files that were resent go back into the cabinet drawer “Awaiting
Acknowledgement.”
Those files that you were not able to correct immediately must go into the pending file drawer until
you have the information you need to correct them. Remember to:
a)
b)
c)
d)
e)
f)
Properly notate each file of the reject code(s)
When you attempted to correct and
Why you were unable to correct.
Attempt to notify you client of the reject code and what you need from them to correct it.
Constantly check your pending files and attempt to correct them ASAP.
Keep in mind important drain periods, including the dreaded Thursday Noon Drain.
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CHECK PRINTING
Check printing-- the final outcome of all your hard work and the one thing your client wants the most.
Check printing is a simple process that will take your concentration, but a process that does not take
long.
Check Printing Procedures
To print a check you must have transmitted a bank product return. After that you must have received
an IRS acknowledgement and a check print authorization as previously discussed.
From the Drake Main menu select EF then Check Print.
If there are available checks to print they will be listed in the Select checks Screen as shown on the
following page. See the next page…
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From this screen you can select one check, multiple checks, or Select All to print.
Once you have selected the checks to print click on Continue.
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Once you select your checks to print you will be prompted to enter check setup information:
EPS
1.
2.
3.
4.
5.
Bank selection will ALWAYS be EPS.
Enter the starting check number, this will always be the first check in your supply.
Enter the ending check number, this will always be the last check in your supply.
Never mark the “Print Checks in Reverse Order” box.
Place check(s) into the printer as illustrated below.
Placing Checks in the Printer:
Place the correct range of checks into the printer’s manual feed tray as illustrated below.
Open the manual feed tray as shown below:
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Next take the range of check(s) to the printer:
Enter the checks into the manual paper tray face up, lowest check number on top, and the white
voucher in first.
Return back to Drake and click on OK to continue…
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The next screen to appear will ask you to verify the number of checks to print:
Click on Yes to verify the number of checks to print.
st
The next verification screen will ask you to verify if the 1 check to print matches the 1
number.
st
check
Click on Continue if the check numbers match. If they do not then you must enter into Setup Checks
and re-enter the correct range of checks and continue again.
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Once you click on Continue you will be taken to the Select Printer Screen:
Make sure our HP printer is selected and that the tray is selected to Manual Tray.
Click Print to print checks.
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If your checks printed without errors, then you must transmit to Drake at once. to send the check
register and to validate the checks you just printed. If you fail to transmit after printing then the checks
cannot be cashed or deposited by our clients. This is not going to make them happy and it’s
embarrassing to us.
Check Error Recovery
In the event your check(s) do not print correctly you have the capability to reprint a single check,
multiple checks, or reassigning check numbers in the event of a misfeed.
Mistakes and errors happen and the printer is not perfect either, some of the reasons for reprinting a
check are as follows:
1.
2.
3.
4.
5.
6.
7.
8.
Two checks feed at the same time.
Check jams in the printer.
Incorrect check range is used.
Toner runs out or does not print dark enough.
Power outage during check printing.
You forget to put the checks in the printer and they print on white paper.
You did not put enough checks in the printer and some have printed on white paper.
Checks are misaligned.
Drake has a solution to correct all check printing issues.
To reprint checks go to EF>Check Print and click on Yes:
Click on Yes to enter the Check
Reprint Screen.
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This is the Check Reprint Screen
Take the first check that has not printed correctly and enter the SSN in the space marked “Enter the
client’s SSN and click Print.”
Once you click “print” the system will ask you, “Do you have the original check in hand” If you answer
yes it will void the check and it cannot be used again. Once you answer yes it will allow you to reprint
the new check.
You will go through the check print process as before, follow the same guide lines as before and print
the check. Again you must transmit into Drake immediately to validate the correct check and to void
the incorrect check. This is very important.
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CUSTOMER SERVICE
The following informative piece on providing great customer service is taken directly and word for
word from “Customer Service for Dummies” chapter 1. Having read this chapter I could not find any
other literature that came close to describing the art of giving good customer service. The authors of
this chapter are Karen Leland and Keith Bailey.
Introduction
“I couldn’t care less about my customers!”
In all our years of consulting, we’ve never heard any CEO, manager, or staff person utter this phrasein so many words. You probably believe, as we do, that satisfied customers are as essential to your
business success as healthy profits are to the bottom line. Yet if you look at service from the point of
view of being a customer (and we all are), you don’t have to go much further than your local mall to
see that what companies say about service and how they actually deliver it can be worlds apart.
In our daily dealings with banks, stores, and restaurants, we often feel like service and even common
courtesy, have fallen by the wayside. If, for example, your insurance company really understood the
importance of giving personal service, why would it install a voice mail system that does not give you
the option of speaking with a real, live person? Or if your local post office realized that it is competing
for your business, would the staff be allowed to go on lunch break the same time that you do every
day?
Sooner or later we hang up or walk out, scratching our heads and wondering whatever happened to
good customer service? Is it possible to be profitable and keep customers happy? Do people have to
take second place to technology?
As we are forced to do more with less, will service be inevitability sacrificed? We think not. In fact,
survey after survey confirms that the companies and individuals whom we like to deal with, the ones
who win our business over and over again, are the ones who understand and act upon the three
basic elements that form the rock solid foundation of excellent service.
The Three Basic Elements
This book gives you hundreds of great ideas for improving the service you offer your customers.
However, when all is said and done, you must have three basic elements in place in order for those
hundreds of ideas to take root and flourish. If not, no amount of smiling or saying please and thank
you will lead to good service. You may find yourself looking at these oblivious basics and thinking:
No big deal, these ideas are Business 101 But, beware, looks are deceiving. These elements are not
necessarily easy to do (If they were, everyone would be doing them). The difference between
knowing them and living them takes commitment and practice. The basics are:
1. Expanding your definition of service.
2. Reconsidering who your customers are.
3. Developing a customer-friendly attitude.
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Expanding Your Definition of Service
Your definition of service shapes every interaction you have with your customers. If you hold common
idea that service is only giving customers what they want, you may well paint yourself into a corner
every time customer asks for something that is impossible for you to provide. If, on the other hand,
you expand your definition of service to include fulfilling the multitude of less obvious customer needs,
you will never encounter a time when you can’t provide your customers with some level of service.
By addressing less obvious customer needs such as listening with sympathy to customers when they
have a problem or providing options and alternatives when you can’t give customers exactly what
they want, you widen the gap between you and your competitors.
Reconsider Who Your Customers Are
Who are your customers, really? Too often we limit our definition of a customer to someone who is
outside of our company. Look up customer in any dictionary. The first definition of customer is a
person who buys. The second definition is a person with whom one has dealings.
In fact, everyone who works in a company has customers regardless of whether they work with
external, paying customers or internal co-workers. Customers fall into external and internal
categories.
The External Customer
These are the people you deal with, either face to face or over the phone, who buy products or
services from you. They are customers in the traditional sense of the word. Without them there would
be no sales, no business, and no paychecks. If our definition of a customer stops here, you are only
seeing half the picture.
The Internal Customer
The other half of the picture is the people who work inside your company and rely on you for the
services, products, and information that they will need to get their job done. They are not traditional
customers, yet they need the same tender, loving care you give to your external customers.
By expanding your definition of a customer to include your co-workers, you are taking a vital step
toward excellent service.
The internal customer chain works both ways. Sometimes you are the customer and other times you
are the service provider. For example, a co-worker may come to you and ask for a printout of a
report. In this case, you are the service provider because you are giving him what he needs.
However, ten minutes later, you may turn around and go to that same co-worker and ask for help on
a tax return, now you are the customer.
Many years ago, I worked as a waiter in a restaurant. One of the cooks was moody and had the habit
of throwing kitchen utensils at the wall on the far side of the kitchen. The noise of the clattering metal
let us all know when the cook wasn’t a happy camper and to be beware! One day, I was taking the
order of two dinner patrons. One of them asked to substitute steamed vegetable for the French fries
that usually accompanied this meal. As my smile congealed, I immediately thought of the unhappy
cook and my desire to live. Eventually, I nervously said, “I’m sure that will be no problem.” My trip
back to the kitchen felt like walking up the steps to the gallows. I poked my head into the kitchen,
quickly threw down the order, and left before the spoons started flying. As I waited on my next table, I
noticed that the cook’s attitude had put a wet blanket on my enthusiasm. His job, as written on his job
description, was to prepare food. No mention was made of how his dealings with or attitude toward
other employees might indirectly affect the customers’ dining experience.
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The Customer Chain
The relationship between internal and external customers is what forms the customer chain. If you
have a back room kind of job where you rarely see the light of day, let
alone a living, breathing customer, you can easily begin to feel that your
“No matter how busy you
work has little or no impact on external customers. But if you look at the
are, you only get one
bigger picture, you can see that everyone in a company plays some part
chance to make a first
in fulfilling the customers’ needs. Barely an hour goes by during the day
impression
when you are not, in some form or another, providing something for
somebody. Each interaction with an internal customer is an important
link in a chain of events that always ends up at the external customer’s
feet.
About two years ago, The Wall Street Journal ran an article entitled, “Poorly treated employees treat
the customer just as poorly.” Boy, does that hit the nail on the head! We have dealt with a frightening
percentage of managers who do not realize that their staffs are their internal customers. We are
convinced that the quality of service that a company provides to its customer is a direct reflection of
how the staff of the company is treated by their managers. Make viewing your staff as one of your
most important customers and treating them accordingly a priority. Doing so means focusing not on
what your staff can do to make your job easier, but on what you can do to make their jobs easier.
Develop a Customer Friendly Attitude
One thing all companies and individuals who give great service have in common is that they have a
genuine customer-friendly attitude. By customer friendly attitude, we mean viewing your customers
as the most important part of your job and having a sincere appreciation that they choose to do
business with you. We don’t mean viewing your customers as an interruption of your job and then
pasting of a false smile, all the while wishing they would leave so you could get on with your work. In
other to understand how to create a customer friendly attitude, you need to step back and take a look
at what you do during your work day.
One way to easily see what you do during the day is to imagine that you’re at work and Oprah
Winfrey shows up and says she is doing a special on “The Workers of America.” She wants to follow
you around with a camera for an entire day and videotape everything you do (with the exception of a
few personal moments). At the end of the day, Oprah invites you to view the tape. As you watch, you
notice that you are resourceful under pressure, productive, efficient, and very good looking. (That’s
probably the reason they picked you.) Seeing yourself on the video has confirmed your suspicions: A
day at work is rather like a day in a blender. Once you walk in, everything switches into high gear and
is a crazy blur of doing this, that, and the other things until you leave for the day. The tape
demonstrates how surrounded and submerged you are by:
1.
2.
3.
4.
5.
6.
7.
Ringing telephones
Emails
Memos to read
Paperwork to process
Computer data to enter
Waiting room distractions
Fires to put out, and so on
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Two Common Threads
These incessant tasks that make up your day are the functions of your job. Thinking that all the
paperwork, data entry, memos to be read and meetings to attend are the whole story is easy. If you
look a little deeper though, you will find two common threads that link together everything that you do
at work whether you are plumber, a teacher, or a tax preparer.
#1 Communication with Other People
The first of these two common threads is communicating with other people. Plumbers, for example,
may spend most of the their day alone under a sink –with only a wrench for company – but when they
explain to you what the problem is (and what it will cost to fix it) their communication skills will be what
counts. A teacher’s ability to make a subject utterly fascinating or utterly boring has a lot to do with
the way they talk about it. What can we say tax preparer’s and their communication skills? We leave
that to your imagination. The bottom line is that everyone, regardless of whether he works alone or in
a group, uses some form of communication to get his job done.
Communication isn’t just talking. It’s also body language, writing, and in today’s world, electronic
interaction (email).
#2 Establishing Relationships
The second common thread is developing relationships with people. When we use the word
relationship, we are often describing a personal relationship. But here we mean connecting with
another person in order to accomplish something. If you go back under the sink and visit your solitary
plumber, you’ll find that he or she has relationships with customers, vendors, and fellow plumbers.
The same applies to the schoolteacher, who not only has a relationship with the students, but also
has relationships with parents, other teachers, and the school administration. Tax preparers have
relationships with their clients, with other staff members, upper management, and the government.
Instant Connections
Communicating and establishing relationships are really the essence of your job. They don’t have to
take a long time and they often happen in an instant. For example, at the department store, you feel
more recognized – and consequently more connected – if the sales assistant smiles at you and calls
you by your name when handling you back your credit card. Simple actions such as these keep the
customer coming back for more.
The bad news is that making a customer an enemy for life can take just as little time. When you call a
company on the phone and the telephone rings ten times before someone picks it up, what kind of
connection has that company made with you? More than likely, a negative relationship has been
created before any business has even been made. These connections, as simple and quick as they
are, are a moment of truth for the customer.
Moments of Truth
These brief actions or instant connections can be considered moments of truth. Usually no longer
than 20 seconds, they have a lasting impact on your customer’s perception of the service you offer,
imagine this: A prospective customer comes to see you. She walks up to the receptionist and tells
him that she is here for her two o’clock appointment with you. The receptionist ( a temp you just
hired) is busy working on the computer (probably surfing the internet) and doesn’t respond or look up
for several seconds. When he does look up and speak, he has a go-ahead-make-my-day expression
and a get-out-of-my-face tone in his voice. This brief interaction is a negative moment of truth for your
potential customer. It doesn’t end there. The negative impression she has of the receptionist is
unwittingly applied to the rest of your company (Including you). We know it isn’t fair—but it is the way
customers think. We call this type of thinking customer logic.
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Now imagine the opposite situation. Your customer walks in and the receptionist immediately looks
up, greets her with a smile, and says:
Good morning, how may I help you?
When the customer asks for you, the receptionist tells her you will just be a moment and offers her a
seat. This positive moment of truth gets the customer on your side and paves the way for a
successful meeting. Some simple yet high profile opportunities to create positive moments of truth
include the following:
1. Answer the phone with a greeting before identifying yourself or your company. Doing so
starts the conversation out on the right foot.
2. Become more aware of your facial expression when a customer approaches you. A smile
works much better that a grimace. Customers often judge our mood on how we look when
they approach us.
3. Don’t take it personally when a customer complains. Think of a complaint for what it is, an
opportunity to get valuable feedback from your customers. You listen better if you don’t feel
threatened.
4. Always offer options when you can’t give customers exactly what they want. Your customers
can live with a no if it is softened by alternative recommendations.
Function vs. Essence
Creating positive moments of truth is easy when you are not under pressure. However, in the face of
ringing telephones, messages piling up, reports due, and meetings that run overtime, you can get so
caught up in your daily to do list (your functions) that it is easy to forget that the essence of your job is
serving the customer.
If you forget this principle, the customer becomes an interruption of the job. This attitude of you’re
interrupting my job leaves customers with the feeling that they are unimportant and the company has
little or no regard for their needs. Alternatively, when you create a customer friendly attitude by
viewing the customer as the job, the customer feels valued by your company.
“Creating a relationship with every customer takes too much time.” Holy Cow, Batman! If we had a
dollar for every time we’ve heard this statement, we would be writing this book from the warm sands
of a tropical beach somewhere. Solving a problem with a partner takes a lot less time than it does
with an adversary. In a survey that we conducted for one of our clients, we found that 98 percent of
customer interactions were faster and more efficient when the service provider took the time to
establish a relationship and create a rapport with the customer. When you have a customer-friendly
attitude, you naturally begin to develop a partnership with the other person.
Last year, we took a flight from San Francisco to New York. While about a hundred of us weary
travelers patiently waited for our luggage to appear on the carousel, a voice came over the
loudspeaker announcing that a loading problem in San Francisco meant our luggage would arrive on
the first flight the next morning. Amid quiet moans and louder curses, we were shuffled over to the
lost luggage area and asked to form two lines. As we moved closer to the front of our line, we
became aware that the other line was moving faster (don’t they always). We noticed that the agent in
the fast moving line was friendlier than her co-worker who was taking care of our grumbling group of
passengers. The friendly agent was really going out of her way to be nice to the passengers. She
smiled and apologized, saying that she could understand her customer’s frustration and so on. The
passengers moved quickly through her line apparently satisfied that everything that could be done
was being done. At the head of line, the story wasn’t so pretty. We could tell that our agent was
upset because she had a tortured expression on her face, a loud cranky voice, and an overall bad
attitude. Her conversation included phrases like, “What do you expect me to be able to do about it?”
“You’ll just have to make do until the morning,” and the ever popular “The sooner you give me the
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information I need, the sooner I’ll be able to help you…” We started to talk about how each of these
agents might go home and talk to their family about her day. We imagined the one with the
customer-friendly attitude saying, “We had a problem with luggage on the San Francisco flight
tonight, but most of the passengers really understood.” While the other agent’s report would be more
like, “You can’t believe what a terrible evening I’ve had. There was a problem with the luggage on the
San Francisco flight, and the passengers were a total pain in the neck about it. I’m stressed out!”
What this agent failed to realize was that it would not have taken her any longer to be friendly to the
customers, and it would have been a lot less stressful had she done so.
Are The Functions Winning?
Following are some clues that you may have slipped into viewing your customers as an interruption of
your job:
1.
2.
3.
4.
5.
Your shoulders hug your neck every time the phone rings.
Switching on voice mail has become a reflex – even when you are in!
Every customer or co-worker looks like he or she is out to get you.
You enjoy saying “no” more and more.
Every sentence you utter to a customer begins with a sigh.
The functions are important but never more important than the customers they were designed to
serve.
Telephone Etiquette
The essence of dealing with people, politely and efficiently, over the phone can be boiled down to one
simple thing: telephone etiquette. Being nice on the phone isn’t difficult if you follow some simple
guidelines.
Unlike body language, which can vary from culture to culture, telephone etiquette has a universally
agreed upon set of rules that paves the way for smoother, faster, telephone calls with customers.
Even small things, such as how long it takes for your phone to be answered or the words you use
when you answer a call, can create a lasting impression. In many businesses, the telephone is the
customers’ first contact with a company, so being telephone friendly is one of the least expensive
ways to immediately upgrade our service. Telephone etiquette helps take the guesswork out of what
to say and when to say it.
Correctly Answering the Phone
We have found that the way a company answers the phone tells the whole story about the kind of
service you can expect to receive from them. How you answer the phone sets the tone of the entire
call. The correct phrases said in the right order can give a positive first impression and convey an
immediate message about your company. The basic rules are as follows:
1.
2.
3.
4.
Pick up the phone within three rings.
Greet the caller.
Give your first name.
Ask the customer if you can help.
Here’s how it should translate when you answer the phone within three rings:
1. Company phone—“Good morning, Electronic Tax Center, this is David, how may I help you?”
2. Call transferred to you—“Good morning, this is David, how may I help you?”
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HOW TO PUT A CUSTOMER ON HOLD
The main points of telephone etiquette for putting customers on hold are as follows:
1.
2.
3.
4.
5.
Ask customers if you may put them on hold.
Wait for an answer.
Tell customers why they are being put on hold (keep it simple).
Give a time frame.
Thank customers for holding after returning to the line.
Example:






Company: Good afternoon, Electronic Tax Center. How may I help you?
Client: Hello, can you tell me the status of my refund check? I filed two weeks ago with you.
Company: That’s not a problem. May I put you hold while I get the correct screen up? It will
only take a minute.
Client: Sure, no problem.
Company: Thank you.
Company: (Returning to caller after putting them on hold) Thank you for holding. May I have
your social security number…
Sometimes it is inconvenient for callers to hold, so don’t automatically assume that they will. If they
respond with a “no,” ask them if they would like a return call, if they would like to leave a message.
It pays to please! We love and cherish those companies that treat us the way we like to be
treated—we’ll even pay more to obtain these services! Here are some recent survey statistics
that prove the point:





We’ll spend up to 10 percent more for the same product with better service.
When we receive good service, we tell 9 to 12 people on average.
When we receive poor service, we tell up to 20 people.
An 82 percent chance exists that customers will repurchase from a company if their
complaint is handled quickly and pleasantly.
If the service is really poor, 91 percent of retail customers won’t go back to a store.
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Ending the Call
Even if you practice letter perfect telephone etiquette throughout the call, don’t underestimate the
importance of ending the call on a positive note. Some key actions for ending calls this way include
the following:
1. Repeat any action steps you are going to take to ensure that both you and the customer
agree on what is going to be done.
2. Ask the caller if you can do anything else for him or her. Doing so gives the customer a final
chance to tie up any loose ends that may not have been discussed during the call.
3. Thank the customer for calling and let him know that you appreciate his bringing the problem
(if there is one) to your attention.
4. Let the caller hang up first so that they do not accidentally get cut off in the middle of a
sentence.
5. Write down any important information as soon as you get off the phone. Doing so prevents
you from getting caught up in other things and forgetting pertinent information.
Sign In Sheets
Have and use sign in sheets at all times. Call customer names in order and scratch through the
name once it has been called. Also, if you have a friend or relative waiting for you, you are not to give
them special treatment and have them cut in line. This practice upsets clients who have been
waiting.
Speed in Processing
During the peak of the tax season, Jan. 23 - Feb. 13, speed is of the essence. During this time of
year, a large number of clients will visit ETC offices. Some offices become quite crowded and hectic.
You are expected to work diligently during peak. Quality and customer service will not be ignored
during this period. Do the best you can to process returns quickly and accurately. Complete all steps
and procedures and do not cut corners.
All Clients will be given Receipts/Customer Referral Coupons
We want to ensure all clients receive a pink receipt and the accompanying set of Customer Referral
Coupons upon completion of their tax return and/or filing service. All clients will be given a pink
receipt upon completion of their tax return and/or e-file service or their return is FREE. Any employee
that does not comply with procedure is subject to termination.
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ETC PHONE NUMBERS
This is Electronic Tax Center’s main office toll free number:
1-800-350-3278
ELECTRONIC TAX CENTER REFUND HOTLINE
As a service to our clients, ETC has a toll free refund hotline that they can call 24 hours a day 7 days
a week to check on the status of their refund or electronic file.
1-866-730-2274
Or they may check it online at:
www.taxinfonet.com
This refund status line is good only for our customers who have filed electronically with us. If a client
has mailed in their return or has elected to receive a Direct Deposit or have an E-File to their home
address, then they must call the IRS Tele-tax number at:
1-800-829-4477
The refund status hotline number is printed on the business cards that have been provided to your
office. You must inform all clients that file electronically about the refund status hot line, and advise
them to use it. This will help keep your office phone line less busy and will keep you from having to
answer call after call on the status of returns.
The refund status hotline will take a client step by step until it tells them the status of their return. It
will inform the client if the return has been accepted or rejected. The hotline will then tell them if we
are awaiting IRS Funding or if the check has been printed and is ready to be picked up.
If the hotline tells them their return has been rejected it will then instruct the client to call the office
where they filed so that corrections can be made and the return can be re-filed if possible.
Electronic Tax Center Locations & Phone Numbers
City
Address
Phone Number
McAllen
1911 N 23
McAllen
McAllen
Mission
Mission
Mission
Edinburg
2612 West Pecan, St. B
th
2720 North 10 Street
th
1205 E 9
1801 N Conway Ste. A
110 E. Griffin Prky (next to HEB)
1412 W. University Dr.
rd
(Main Office)
687-1000
800-350-FAST
FAX# 686-6003
668-9999
687-4351
519-2432
583-7959
519-2218
318-1012
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San Juan
Weslaco
Mercedes
Harlingen
Harlingen
Raymondville
San Benito
Brownsville
Brownsville
Brownsville
816B N I Rd
115 N. Texas Blvd.
nd
540 W. 2
Valle Vista Mall
708 N 13th St
210 E Hidalgo
338 N Sam Houston
Sunrise Mall
Boca Chica @ Paredes Line Rd.
2604 International Blvd.
702-7477
968-4069
565-0912
428-8300
364-2800
396-3630
361-0002
982-1200
982-1212
982-1279
Electronic Tax Center Web Sites
Employee Web Site: E-Portal
WWW.DAVEPORTAL.NET
Customer Web Site:
WWW.FASTREFUNDS.COM
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IRS AND GOVT. PHONE NUMBERS
IRS National Phone Number
1-800-829-1040
This is the IRS’s national phone number. This phone number should be given to the taxpayer when
they have questions directed toward the IRS such as:
1. General questions for IRS personnel.
2. Specific questions on their return(s) from current and prior years.
IRS Taxpayer Return/Refund Status Hotline
1-800-829-1954
IRS Teletax
1-800-829-4477
This is the IRS’s automated information system that a taxpayer that filed electronically or through the
mail system can use to obtain the status on their return. This system will ask the taxpayer their SSN,
filing status, and their refund amount. It then will give them the latest status of their refund. This
system is updated only once a week. If a person calls back the day after they receive the message
from the IRS, it will say information is updated weekly; nothing has changed since last time the
taxpayer called. The system usually updates weekly on Friday’s.
IRS Tax Preparer Hotline
1-866-860-4259
This is a new phone number for tax preparers ONLY. This number was set up by the IRS to assist
tax preparers dealing with tax preparation issues. This is not for refund status issues.
DO NOT GIVE THIS NUMBER OUT TO THE PUBLIC.
IRS to File Extension
1-888-796-1074
Clients have the option of filing an extension with the IRS via telephone.
IRS ITIN Help Number
1-215-516-4846
Taxpayers can call this number to find information/status of their ITIN.
Internal Revenue Service Website
For general information from the IRS, their website is available 24 hours a day, and provides a vast
amount of information from blank forms, instructions, publications (Pubs) to the address and phone
numbers of local IRS offices.
www.irs.gov
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Where’s My Refund?
Refund status can be obtained from their website by visiting the
below: From here you can obtain both IRS refund status and Stimulus payment status.
from the link
Once you click on “Where’s My Refund” you will have the option of checking on the status for an IRS
refund or a Stimulus payment. Click on “Where’s My Refund?” to check on an IRS refund and this
screen will appear: Enter the required information for a status.
IRS Criminal Investigation Division (CID)
1-800-829-0433
This number is to the Criminal Investigation Division (CID) of the IRS. When you suspect suspicious
activity, please call the main office first to discuss the situation. We will maybe then inform you if a call
to the CID is warranted. Please call anytime even if you feel the matter maybe only trivial.
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Financial Management Service
1-800-304-3107
This phone number is to the Financial Management Services, a branch of the Treasury Department.
When your client has a debt indicator of “F” or “B”, have them call FMS for further information. FMS
will be able to tell them the exact cause of delay and /or refund deduction.
Social Security Administration
1-800-772-1213
This is the Social Security Administration’s (SSA) national number. This number should be given to
your client when a reject cannot be resolved. In situations of incorrect SSN’S or name and birth date
mismatches they must call the SSA to get the correct information. Remember that when a couple
marries, the spouse does not always change the name officially with the SSA and this can cause a
name mismatch if you use the husband’s surname as her last name.
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BANK & SOFTWARE PHONE NUMBERS
EPS Financial Helpline:
Tax preparer Hotline 484-546-2240 For you use only, do not give out to clients.
Taxpayer Hotline
877-503-0788
This number is number to be given to clients who have questions about their RAL or lack of a RAL
(meaning they were denied and want to know why). Also, check cashers can be given this number to
verify checks.
EPS Financial Website
You may also go online with EPS Financial at www.myecollect.com . You will need three items:
SSN, Refund Amount, and Filing Status
From this web site you can learn the status of the refund, if it was rejected; why, and a whole lot
more.
Drake Preparer Help Line
1-828-524-8020
Drake has readily available technicians who can assist you with items such as the return status,
updates, and check funding. You will be asked for your EFIN when a tech receives your call.
You may also email for support at support@drakesoftware.com.
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BANK - ROUTING TRANSIT NUMBERS (RTN)
Bank of America
800-247-6262
111000025
Bank of South Texas
956-687-4260
114917157
956-682-0107
Acct. must be verified by calling
bank
113010547
Border Capital Bank
956-682-2265
114911616
Capital One
956-682-1501
11901014 (Texas)
Chase Bank
956-686-1733
111000614
Elsa State Bank
956-287-9590
114922142
Falcon Bank
956-687-1758
114915803
First Community Bank
956-399-3331
114908289
McAllen 956-971-6669
Edinburg 956-383-8151
Mercedes 956-541-2000
114921415
Frost Bank
956-781-2471
114000093
Greater South Texas Bank
Association
956-386-1010
314973548
Lower Valley 956-547-1000
114911580
956-630-1700
114915272
Upper Valley 956-686-0263
114917623
Lone Star National Bank
956-781-4321
114911687
Rio National Bank
956-631-7890
114915447
San Benito National Bank
866-580-7262
114912589
Texas Community Bank
956-618-2265
114924810
Texas National Bank
956-565-2484
114920128
Wells Fargo Bank
956-682-5205
111900659 (Texas)
BBVA Compass
First National Bank
IBC (Brownsville)
Inter National Bank
International Bank of
Commerce (IBC)
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CREDIT UNION – ROUTING TRANSIT NUMBERS
County & Municipal Employees
Credit Union
956-383-6263
314980874
Edinburg Teachers Credit Union
956-655-3511
314980887
H.E. B. Federal Credit Union
956-926-4144
314078469
956-423-5792
314982694
956-787-2701
314987369
La Joya Federal Credit Union
956-585-6207
314985468
Members First Credit Union
956-428-8711
314978394
956-787-2774
314987372
800-556-0422
314986242
956-350-6173
314088637
956-686-9515
314986302
Harlingen Area Teachers Credit
Union
Highway District 21 Credit
Union
Neighbors & Friends Together
Credit Union (NAFT)
Security First Federal Credit
Union
Security Services Federal
Credit Union
South Texas Federal Credit
Union
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SCRIPTS
Greeting
Thank you for calling ELECTRONIC TAX CENTER This is _____________. May I help you?
Pricing Question
Customer: How much do you charge for a fast refund?
ETC employee: Prices range anywhere from $32 to about $250 depending on how fast you need
your money back, not including tax preparation fees.
NOTE: You then can break down pricing on all the different products as needed.
fast refunds loans cost $201, this is awful salesmanship.
Do not just quote
Customer: Does that include tax preparation?
ETC employee: No, it does not. It does include our filing fee plus what the bank charges.
NOTE: EFILE and Direct Deposit contain no bank fee.
Customer: What does it cost to prepare my return?
ETC Employee: Income Tax preparation ranges in price from $20.00 to about $50.00 depending on
what tax forms you need.
NOTE: Mention to client that there is a coupon in the back of the Southwestern Bell Yellow pages to
make it a little cheaper for them. The coupon is worth $15.
Customer: XYZ Tax Company is cheaper.
ETC Employee: Explain to client: some companies charge by the line such as unemployment or
interest etc. Sell them on experience. Electronic Tax Center has been in business for 11 years, has
proven performance, accurate, etc. Also, if a client has filed with us in the past, let them know that
more than likely we already have their information such as social security numbers, years of birth etc,
in our system.
Customer: Did prices go up this year?
ETC Employee: Some refunds did go up; some stayed the same.
Refund Loans increased their prices this year.
Most of the banks that do Fast
Customer: Do I have to pay upfront?
ETC Employee: On most of our services all fees can be withheld, and you pay nothing upfront.
Customer: Can I get an estimate of my refund?
ETC Employee: (If you have time, do it over the phone; if not, encourage client to come to the office
and receive a FREE estimate.)
Customer: What are your hours; do I need an appointment?
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Employee Hand Book
ETC Employee: Our hours are __________. You don’t need an appointment just come on in.
W-2 Question
Customer: Can I do my return with a check stub?
ETC Employee: The IRS requires W-2’s… check stubs are not allowed for filing. However, come
into the office to get all your information into the system. That way you know exactly what your refund
is and when you get your W-2. You will not have to wait and we can then send the return. We can
th
complete a Substitute W-2 for you after February 15 .
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Employee Hand Book
CONCLUSION
It is ETC’S goal that all its personnel follow the guidelines and regulations set forth in this manual. A
pleasant working environment as well as satisfied customers produce growth and success for all
affiliated with ETC.
Have a great tax season; we look forward to our relationship with you.
ETC Management
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EMPLOYEE MANUAL 2014

Transcription

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