IRM 3.21.264, International Returns and Document Analysis, IRS Individual Taxpayer Identification Number (ITIN), Acceptance Agent Program was implemented to improve customer service and oversight of the Acceptance Agent program.

On November 29, 2012, the IRS issued final changes for Certified Acceptance Agents to authenticate certain documents that supports the Individual Taxpayer Identification Number (ITIN) application.

The information in the IRM provides essential background information pertinent to the program:

Also included in this IRM is guidance for administering the Acceptance Agent program, such as:

The Acceptance Agent Program is governed by Rev. Proc. 2006-10, 2006-1 C.B. 293.

The IRS Restructuring and Reform Act of 1998, Section 3705 (a) provides identification requirements for all IRS employees working tax- related matters.

Kansas City Submission Processing Center (KCSPC) employees use this IRM for processing of Acceptance Agent applications.

ITIN Policy Section sets the standards for On-Site compliance reviews conducted by Small Business/Self Employed, Field Examiners and Correspondence compliance reviews conducted by the ITIN Policy Section.

The ITIN Policy Section (IPS) administers the information in this IRM. Information is published in this IRM on a yearly basis.

The ITIN Policy Section Chief ensures this IRM is timely submitted to publishing annually.

The Director of Submission Processing oversees the policy related to this IRM.

Program Reports: The program reports provided in this IRM are used to identify trends as it relates to the Acceptance Agent (AA) program. The Quality Standards report is used to identify which Acceptance Agent/ Certifying Acceptance Agent are not meeting the standards of the program. Various reports are located on External Services Authorization Management (ESAM):

Program Effectiveness:

Quality guidelines for measurement is referenced in IRM 21.10.1, Embedded Quality (EQ) Program for Accounts Management, Campus Compliance, Field Assistance, Tax Exempt/Government Entities, Return Integrity and Compliance Services (RICS).

Kansas City Submission Processing Center (KCSPC) manager is responsible for tracking and monitoring the ITIN AA application inventory to ensure adequate resources are available for timely processing. Lead reviewers performs random quality checks of applications processed by tax examiner to identify areas that need additional emphasis, training or clarification.

Stakeholder Liaison (SL) Examination Field provides support to the ITIN Policy Section (IPS) to conduct on-site compliance visits for Certifying Acceptance Agents (CAA).

ITIN Policy Section (IPS) determines the method to select CAAs for compliance reviews.

The list of acronyms used in this IRM is found in Exhibit 3.21.264-3, Acronyms.

Resources specific to the Acceptance Agent program are:

The mission of all employees processing Acceptance Agent Applications is to ensure applications are processed timely and to ensure applicants admitted into the program are credible and responsible individuals who will advance the Internal Revenue Service’s goal of voluntary tax compliance.

The IRS Restructuring and Reform Act of 1998, Section 3705 (a) provides identification requirements for all IRS employees working tax- related matters. IRS employees must give their name and unique identification number (ten digits of the Personal Identification Number shown on the Smart ID) during taxpayer telephone, face-to-face and written contact. In addition, a telephone number is required on all taxpayer correspondence. This will provide taxpayers with enough information to identify an IRS employee who has previously assisted with their tax-related matters.

It is the responsibility of all IRS employees to protect confidential applicant information and to understand the difference between an authorized and unauthorized disclosure under the law.

You must determine if the person you are speaking to is entitled to receive or present requested information. Do not under any circumstance accept oral testimony for missing signatures or documentation verification. Once you have verified that the caller is responsible for the information, then take the correct action.

Except for general information inquiries, External Services Authorization Management (ESAM) is used to authenticate customers calling about an Acceptance Agent application. Use the following tables to authenticate a customer and their authority to receive information about an Acceptance Agent application:

This also includes the protection of computer terminal information. For example, when applicants calling on IRS phone lines inquire about their application and less than 45 days have passed since the AA application was submitted, the employee must advise the applicant to allow more time for processing. If 45 days or more have passed and research shows no record of the application, employees are authorized to disclose to the applicant that we have no record of the application, and they must re-submit their application.

For questions on disclosure, see IRM 11.3.13, Disclosure of Official Information - Freedom of Information Act (FOIA), refer to IRM 10.5.6, Privacy and Information Protection - Privacy Act, or the Disclosure Help Desk at ≡ ≡ ≡ ≡ ≡ ≡ ≡ ≡ (for internal use only).

Inadvertent unauthorized disclosures must be reported to the Office of Privacy, Governmental Liaison and Disclosure Incident Management Office. See IRM 10.5.4, Privacy and Information Protection, Incident Management Program.

While working assigned cases, SP employees may come across some accounts that are blocked on IDRS. These accounts can be identified by an IDRS security violation message: Unauthorized Access to This Account. Forward the case (Form 8822-B, Form 2553, etc.) to your manager. Managers will notify the local Planning & Analysis Staff who will scan the case and send encrypted information to the "≡ ≡ ≡ ≡ ≡ ≡ ≡ ≡ ≡ ≡" mailbox to request access to the account. Managers will retain the original case in a file awaiting access (can take up to five business days). Once notified access has been granted, the case can be processed following applicable procedures.

External Customer Data Store (ECDS), maintained at the Enterprise Computing Center in Martinsburg, WV, is a database that is used to store, update, and monitor Acceptance Agent application information. The database is also used to store information for other e-Services products as well. There are two ways to access the information:

All applications receive a unique tracking number that can be used as a search criterion for applications on the database. The tracking number shows the year, month, day and time that the application was entered in ECDS.

There are two types of Acceptance Agents:

Both are authorized to assist resident alien and non-resident individuals ineligible to receive a Social Security Number (SSN) in obtaining an Individual Taxpayer Identification Number (ITIN) from the IRS.

The following table identifies responsibilities for both AA and CAA:

Any eligible individual or entity can apply to become an Acceptance Agent. Persons eligible to be an Acceptance Agent include:

Everyone listed as a responsible party on the application must be at least 18 years of age when application is submitted.

An Employer Identification Number (EIN) is required.

A Preparer Tax Identification Number(PTIN) is required of all paid tax return preparers. See IRM 3.21.264.4.5, Preparer Tax Identification (PTIN) Requirement, and www.irs.gov/ptin for additional information.

Except for applications from VITA/TCE partners, all existing CAAs must provide an original certificate of completion from the vendor for the forensic document training course.

An Exempt Letter is required if the legal entity is Not for Profit.

Suitability is the process used by the IRS to determine if the firms and individuals listed on applications are appropriate to participate in the IRS Acceptance Agent program.

The IRS sets suitability standards to screen and monitor applicants to ensure that they keep a high degree of integrity and adhere to the highest professional and ethical standards.

Suitability checks may include standard background check (Accurint check) and IRS tax compliance check.

Applicants must submit to suitability checks before being authorized to act as an Acceptance Agent . Initial suitability is conducted on all TINs listed on the application for the Firm, Principal, and Responsible Parties. Applicants with compliance issues will be denied participation in the program until all issues have been satisfactorily resolved.

Suitability checks are not conducted on the following:

There are several business rules related to initial suitability:

Suitability checks are normally completed within 60 calendar days of submission .

To be placed on the public list of Acceptance Agents kept on www.IRS.gov, the applicant must select Yes for the question do you want your firm/organization contact information on the IRS.gov public website? This will be an indication to include the organization and location on the Business Operating Environment (BOE) report. The applicant can answer No on another AA location application for that EIN. If the applicant does not want the information made available, the applicant must select No to the question.

Acceptance Agents may update their answer at any time by sending an e-mail to the ITIN Policy Section or by updating their Application to Participate in the IRS Acceptance Agent Program in e-Services.

A Preparer Tax Identification Number(PTIN) is required of anyone who prepares or assists in the preparation of all or substantially all of any U.S. federal tax return, or claim for refund for compensation. This is regardless of the credential.

Except as showed below, all responsible parties listed on the application must include their PTIN.

To research a PTIN use IDRS (CC RPVUE) with the current processing year as showed below:

All Responsible Parties listed on a CAA application must complete a forensic document training course by an accredited provider. The training is at the CAAs own expense and must provide the skills to effectively recognize fraudulent documents, particularly passports, driver’s licenses, birth certificates, visas, national identification cards, military and US state ID cards. The IRS does not endorse any specific individual or firm.

Only vetted and approved businesses can provide forensic document training. Questionable certificates must be referred to the ITIN Policy Section (IPS) for a determination/decision on their validity.

For CAA applications (i.e. new, renewal, amended) an original FDTC certificate must be provided.

The following certificates are not acceptable:

Approved providers undergo periodic reviews to ensure their forensic document course content stays current. IPS sends an email to providers asking for details on their latest course updates and access to their training materials. Failure to follow the request may result in removal from the ITIN Policy Section (IPS) approved provider list.

The EFIN is a six-digit number assigned if the business is an authorized e-file provider. An EFIN is not required for the AA application.

ESAM will verify the EFIN is associated with the EIN and match the Business Address (Physical Location) associated to the EFIN to the one provided on the application. If the address does not match or the EFIN is not associated to the EIN, then the EFIN cannot be used on the application.

Once the agreement is approved, the EFIN is used as the participant’s office code (preceded by two zeroes).

ESAM monitors the status of the EFIN. If the EFIN is dropped by e-file, the office code will be set to Dropped, and a case is created.

If/When a new EFIN is assigned, the Principal, Partner, or Owner of the business, Principal Consent or assistor will need to add the new EFIN to the application. This will require a resubmission of the application, which will subsequently create a case.

The Firm’s Principal, Partner, or Owner of the business will enter their Firm’s information.

AA Location Application Firm Information - All Data Fields:

Each field is permanently disabled (read only) after a successful saved except for:

The Principal, Partner, or Owner of the business (PPO) must input “Authorized Users” on the application. At a minimum, a Principal, Partner, or Owner of the business (PPO), along with a Responsible Party (RP) and Primary Contact are required. Available users for the Acceptance Agent applications are:

When selecting each user, a pop-up menu will appear. The user selected will affect the Pop-Up title and which fields are displayed in the rest of the window. All information shown with an * is required. After the User’s information is entered, the save button should be selected.

ESAM will use the TIN to verify if the RP has an active PTIN. An error will display for the following organizations if an active PTIN is not available:

On a successful save, certain fields are locked depending on which user’s information is being edited:

The Application Summary page displays the summary of the Firm’s Information and Users that are added to the Acceptance Agent application. The following items are listed on the Application Summary page:

Each Responsible Party must enter their professional status information unless their Organization Status is VITA. Individuals who require verification of their Professional Status will upload their documentation on the Certifying Acceptance Agent Document Upload Tool (CAA DUT).

From the Jurat and Personal Information section on the Application Summary page, there is a Personal Credentials link under the Professional Status column. The authorized user will select the Add Credential drop down button to add their professional credentials. The drop down has the following sections:

Selection of Tax Preparer, ERO, or Enrolled Agent will not generate a Pop-Up. When CPA, Attorney or Other is selected from the Add Credential drop-down, an additional pop-up appears for the following information to be entered:

An officer of a publicly owned corporation needs to submit proof on corporate letterhead which carries their name as an office, the stock symbol, the exchange where listed and the name under which the stock is traded for the individuals listed as Principal and/or Responsible Party.

Only one valid Professional Credential is required. If multiple Professional Credentials are listed, only one needs to be validated. Follow this tier to determine which credentials need validation:

If proof of their professional status is needed (i.e., CPA, Attorney), verify their professional status using the following websites below, or from the document they provide via our DUT:

If the Professional Status column shows Pending as the status, you will have to update the validation status for at least one of the credentials that was added. To do so:

Whenever the Principal, Partner or Owner of the business selects the Update Firm Suitability questions, they must answer the following questions:

Each Responsible Party will need to log into e-Services to access the application. After logging in, they’ll be directed to the Select Your Organization page. Under the Organization Roles section, they’ll click the Select button next to the row that shows Acceptance Agent (AA) as the Application Type. This will direct them to the Application Summary page.

From the Jurat and Personal Information section on the Application Summary page, there is a Person Suitability Answers & Jurat Signature link under the Person Suitability Answers & Jurat Signature column. Each Responsible Party can only see/access their own link.

Each Responsible Party must respond to the three suitability questions:

The RP is required to check the checkbox, enter their PIN, and click Save.

The Initial AA Location Application can only be submitted by the Principal, Partner, or Owner of the business. The PPO must read the Jurat, check the box indicating they accept the terms, enter in their PIN, and then click submit. The Principal Consent may submit subsequent AA Location Applications once the agreement is approved.

ESAM validates the Principal, Partner, or Owner of the business, each Principal Consent and each Responsible Party and generates an error for each failed validation. If required fields are missing or incomplete, an error message identifying the missing information will be displayed that links to the issues needing correction.

Once the application is submitted, the confirmation page is generated. The tracking number is provided, which can be used to track the status of the application.

The Location App Statuses, shown on the Application Summary screen are:

If there are no pending documents and no suitability issues associated with a submitted application, ESAM will systematically pass the firm and personal suitability, change the provider status(s) to “accepted”, move application status to “completed” and generate the AA agreement.

The CAA DUT is the platform that is used by Acceptance Agent (AA) applicants. AA applicants use the DUT to upload and submit their credentials (i.e., forensic document training certificate, citizenship documents, Professional Credentials, Non-Profit Exemption letter, etc.) through the CAA DUT. Employees will check the CAA DUT often for receipt of files/documents.

The CAA DUT consist of three paths:

The applicant must follow the steps provided on each path to upload and submit their documents. If their upload is successful, they will see an acknowledgement page which means their documents have been submitted for review.

Foreign participants must submit their entire AA package through the CAA DUT. Leads retrieve the documentation and enter the information into ESAM accordingly.

VITA partners do not need to provide an FDTC. The Stakeholder Partnerships, Education & Communication (SPEC) office will provide a listing of applicants that have taken the forensic document training directly to IPS.

The Firm and each Responsible Party are only required to pass their suitability and provide Citizenship documentation (if applicable). These applications are exempt from background checks unless a "Yes" response is provided to the question "Have you been convicted of a felony in the last 10 years?"

Acceptance Agent Agreements remain in effect through December 31st of the fourth calendar year after approval. Thereafter the agreement is expired. To avoid a lapse in status, the Principal, Partner, or Owner of the business (or Principal Consent) will have to submit a Renewal AA Application at any time before December 31st of the expiring year.

After the PPO sign into e-Services, they’ll be directed to the Select Your Organization page. Under the Firm Roles section, they’ll click the Select button next to the row that shows their Firm/Organization Legal Name. This will direct them to the External Services Authorization Management (ESAM) landing page. Next, they’ll click the Continue button under Manage Acceptance Agent Agreement section, which will direct them to the Agreement Summary page. Starting on January 1st of the expiring year, a warning message and option to renew the agreement is displayed. They must click the Renew button to create a renewal application.

The Renewal AA Location Application will be pre-filled with data from the AA company Application from the current agreement but will have no other data from the other AA Location Application(s). The PPO will update any information as needed on the Firm Information and Authorized User pages. They’ll have all the RP’s login; answer each suitability question; read the statement, privacy act and jurat; select the checkbox attesting to the statement and enter their -Services pin.

After submission of the first renewal location application:

During the 5-day time-out period, the Principal, Partner, Owner of the business, or Principal Consent can add additional locations to their renewal agreement. To do so, they will navigate to the Renewal Agreement Summary page, and select Add Location from the Action drop down button.

Once approved, participants must revise their application(s) if there is any change to the following information:

To make amendments, the PPO or Principal Consent will sign into e-Services, which will direct them to the Select Your Organization page. Under the Firm Roles section, they’ll click the Select button next to the row that shows their Firm/Organization Legal Name. This will direct them to the External Services Authorization Management (ESAM) landing page. Next, they’ll click the Continue button under the Manage Acceptance Agent Agreement section. If they have only have one application (location), they’ll be directed to the Application Summary page. If they have multiple applications (locations) they’ll be directed to the Agreement Summary page.

From the Application Summary page, to update the Firm Information, click the Firm Information link at the top of the page. To update the Authorized Users, click the Authorized Users link at the top of the page.

For the Firm Information, once the applicable fields are updated, they’ll click Save. If an Authorized User is being added, they will click the Add button to select the appropriate organization role for each additional Authorized User. If updating an existing Authorized User, they’ll click the Edit icon to update the applicable fields then click Save.

If adding a Responsible Party, the PPO will need to add their Personal Credentials. They’ll click the Personal Credentials link on the Application Summary page of the RP(s) being added. Then click the Add Credential drop-down button to select and add each status and credential, if applicable. They will enter the required information and click Save.

Once these actions have been taken, the PPO will need to resubmit the application.

To add additional locations, from the Agreement Summary page, they will select Add Location from the Action dropdown button. This will direct them to the Firm Information page. Certain fields will have pre-populated information from the first application and be locked (read-only). They will follow the same steps from IRM 3.21.264.5.1 through IRM 3.21.264.5.7 . Each application (location) will have its own tracking number and customer ID. Repeat this process for every additional location added.

If the Principal, Partner, or Owner of the business does not have a TIN (SSN or ITIN) they must submit their Application to Participate in the IRS Acceptance Agent Program, through the Certifying Acceptance Agent Document Upload Tool (CAA DUT).

The AA Leads or designee will access the CAA DUT Admin:

Once you have retrieved the documents from the CAA DUT Admin, input the application on ESAM:

An unassigned case is then created. See IRM 3.21.264.6.3 for procedures on how to assign, work and close the case. After you have closed the case, and the status has been updated to Pending Agreement Signature, you will need to sign on behalf of the PPO. From the Application Summary page of the application:

Once approved, send an email to IPS with a list of the recently Approved foreign participants. They will send the participant their Agreement and Appendix.

Prior to January 19, 2024, Acceptance Agents submitted Form 13551, Application to Participate in the IRS Acceptance Agent Program, in paper format. These applications are stored at the Kansas City Submission Processing Center (KCSPC).

The clerk filed the completed and approved application folders in alphabetical order in the approved AA file cabinet. The clerk ensures all approved applications are retained for 6 years (4 -year agreement period plus an additional 2 years).

The clerk reviews stored files annually to ensure that approved applications are destroyed 6 years after the processing year.

Cases will be worked by individuals in ESAM based on their EUP role. Each role has different capabilities and responsibilities. A description of the roles are as follows:

Depending on the EUP user role, the following standard authorities are granted:

Once an Acceptance Agent application is submitted, a case is created. Cases can be worked by anyone with an AA role in the EUP. They are responsible for analyzing and determining the final disposition.

After logging into the EUP, under Applications section, click eserv-ESAM-applications.

An unassigned case is then created. An AA Clerk, AA Lead or AA Manager will assign cases to an AA assistor to work. Cases should be assigned in the order they were created (oldest to newest; First In/First Out (FIFO). On the ESAM Application Landing Page, click the Search drop down button and select Case From the Case Search page, there is a variety of ways to search cases. Case Search criteria options are:

Most cases are generated in the AA Daily Acceptance workgroup. To search for cases

Acceptance Agent applications can be processed by tax examiners, leads and manager. From the ESAM Applications Landing Page, click Cases and select My Cases from the dropdown menu.

From the My Cases page, click the Case ID number to Access the Application’s Case Overview. Under the Issues section, all the business Rule (BR) issues for the case is listed. The list will reflect all hits associated with the firm or user that have been triggered since the last time eligibility was established, and therefore may include hits not triggered by this application. Any BR with a status of Not Confirmed need to be addressed, which will require additional research. Click the link under the Firm/Person column for each issue, which will direct you to their Personal business Rule results page.

Case status will now show as Working. The BR Documentation Required could pertain to citizenship documents (i.e., green card, visa, FDTC, etc.). Once verified, check the DUT to see if the document(s)s were provided.

Once you have retrieved the documents from the CAA Document Upload Tool (DUT) and your research is complete (i.e., verifying the validity of the documents, tax compliance); from the Personal Business Rule results page, click the Edit icon to update the HIT status of the BR result.

When the business rule is addressed, under the Actions column, take the following action based on the HIT Status:

Once all business rules are addressed, the required comments must be input.

Once all issues have been marked as worked, select Close from the Case Action dropdown button. Provide a brief explanation (i.e., Passed, Rejected) then click Save. The case is now closed.

The Application Comments screen shows remarks made by IRS employees. The comments must be complete and accurate for the tax examiners and other IRS personnel to understand the account activities. All account documentation must be specific to the actions performed and case resolution. This includes:

Tax Examiners have 24 hours to edit their comments. Comments cannot be deleted.

Limit comments for new, renewal and amended applications to specified number of characters.

Enter the individual’s name and suitability results in ESAM as a single comment.

When entering tax modules as comments in ESAM, indicate the problem, the tax module form and tax period in that sequence.

Include a comment for the results of any responsible party who requires a background check (i.e. Accurint check (data/no data)).

In addition to comments that you will enter in ESAM, you will also need to review comments entered by others (i.e., IPS). Tax Examiners must check ESAM comment history for indication that an AA/CAA is on an IPS Identified Prisoner List or Specially Designated Nationals and Block Persons List (i.e., IPS - IPL or IPS - SDNL).

Correspondence is sent to applicants regarding their application status. A letter is generated within ESAM either systemically or manually. Indicated in the table below is a list of letters used to communicate with a representative about their application.

To manually generate a letter; from the Application Case Overview page, click the View Application link.

Once the Letter 4963C, Returned for Incomplete Application, is sent, the case must remain in that person’s que until a response is received (i.e., Domestic 30 days, Foreign 45 days). After sending the Letter 4963C, Returned for Incomplete Application, instead of leaving the Case Status as Working, you will click the Case Action dropdown button and select Suspend.

Once the applicant responds to the letter by uploading their response to the CAA DUT, this will add the BR DUT document received within the same case.

Once you have determined the validity of the documents, update the status of the BR results:

For applications that will reject (i.e., did not provide requested information; failed suitability), follow the chart to determine the steps to take to reject the application for all entities (Firm, PPO, RP(s)):

For the BR ASAP Tax Compliance, this will change the Suitability Status to In Process. After performing a tax compliance check, if the issue is resolved, update the applicant’s Suitability Status from In Process to Passed. Otherwise, when you close out the case, the application will Reject instead of being Approved.

When all issues have been resolved, their suitability has passed, and all cases created for the AA Location Application have been closed, the application statuses will update as follows:

The Agreement status will be in Pending Agreement Signature until the Principal, Partner, or Owner of the business signs it. After signing, statuses will be updated to:

A new case will be created under workgroup AA Agreement-CAA Agreement. Once the case is assigned to an AA Manager and they have navigated to their My Cases page, click the Case ID number to access the Application’s Case Overview page.

The application statuses will be updated to:

Duplicate cases are created whenever a case is closed then reopened, or if something is updated within the case (i.e., adding a comment, generating a letter) after the initial case has been closed. Indication of duplicate cases are identified when:

If the Duplicate case is not closed before the PPO signs and the Agreement Status is updated to Pending Agreement Approval, the BR Pending Agreement Approval will be added to the case instead of a case being created for workgroup AA Agreement-CAA Agreement. Until further notice, if this occurs, have the case reassigned to the workgroup AA Agreement - CAA Agreement.

In the paper process, the PPO’s TIN was not required. In ESAM, for the PPO to access their application(s), their TIN is required. Some of the migrated applications in ESAM do not have the PPO’s TIN. Per IPS mailbox, instructions are given to PPO to provide their requested information via the CAA Document Upload Tool (CAA DUT).

If a case is created, it will have the BR DUT Document Received. Once downloaded, if the document(s) reflect the request for PPO TIN to be added, send IPS the pdf. You can then close out the case with the Explanation being PPO update request. No comments or actions must be taken within the application.

Stakeholder Liaison(SL) provides support to the ITIN Policy Section (IPS) by conducting on-site visits. Taxpayer Services (TS) will provide Stakeholder Liaison with the projected on-site examination staff needed to conduct the compliance visits so this workload can be incorporated into the SL plan for the next fiscal year.

Stakeholder Liaison and the ITIN Policy Section will meet and negotiate the proposed number of CAA reviews to be performed by Stakeholder Liaison monitors.

IPS will provide SL with a listing of CAAs selected for review. The list will include the CAA’s geographical location.

SL will evaluate the geographic locations of the SL monitors and provide IPS with a list of available resources for the identified Compliance Reviews.

IPS provides Stakeholder Liaison with the following:

IPS conducts correspondence reviews when the organization is selected for a compliance review but not referred for a Stakeholder Liaison on-site visit.

IPS Compliance Analyst must follow instructions below to close the compliance review:

On-Site reviews will include reviewing Form W-7 applications and related documents, scrutinizing advertising material, inspecting files and observing office area (for client interaction). If the monitor discovers the CAA is noncompliant because of a violation of one or more of the rules governing the IRS AA Program, the monitor will provide all pertinent information in the Comments section of the DCI or in a separate document for IPS review. Correspondence compliance reviews are the same as On-site reviews excluding the ability to observe the office area.

IPS will review the monitor’s CAA compliance package as well as the information provided by the CAA in response to a Correspondence Review to determine what infractions are appropriate.

If no infraction is identified, the CAA will receive an acceptance notification. Otherwise, infraction(s) may result in a warning, probation, or termination. The monitor must therefore document their observations in detail.