1.A fraudulent or scheme return is processed.Controls: to provide quality training to all employees on how to spot a fraud return/documents and report it and to require certain types of documentation from the taxpayer to verify that it is not a fraudulent/scheme return.
Risk Transferred? We can accept this risk.
2.Unsecured files or laptops are stolen.Controls:to provide quality training to all employees on how to properly secure files andlaptops and to perform monthly random security checks on employees.
Risk Transferred? We accept this risk.
3.Taxpayers are harmed because employees violated procedures.Controls:to provide quality training to all employees on proper procedures and monitor employees several times a month and provide feedback to employees and discipline, if appropriate.
Risk Transferred? We accept this risk.
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