Internal Revenue Manual - 2.3.17 Command Code ESTABD

Part 2. Information Technology
Chapter 3. IDRS Terminal Responses
Section 17. Command Code ESTABD

2.3.17.1 (01-01-2008)
General Information for CC ESTABD

The Document Request System, (IDRS), provides for computer printing of Forms 4251, Return Charge-Outs, requesting documents from Service Center and Federal Records Center returns files. These requests are initiated by Terminal inputs of CC ESTAB. After processing, these requests are sorted into a manageable order and the Forms 4251 are printed and forwarded for service. Document requests input through IDRS are the principal means for obtaining original documents, copies, and information from paper return files.
Ordinarily, document request inputs should contain the DLN of the requested document. The requestor should research the Taxpayer Information File (TIF) in order to obtain the DLN. However, provisions have been made for entering requests when the requestor does not know the DLN, if the requestor enters sufficient other information (e.g., TIN, tax period, form number, taxpayer's name and address). The TIN may be obtained by researching the EKIF and SKIF.
The TIN, File Source, and Request Code will be stored for audit trail purposes.
When the complete DLN is unknown and it is needed for a tax return that has been processed to a Master File, the request will be routed to the appropriate Master File for research. If the account/module has been removed from the Master File, a microfilm request will be generated and forwarded to the Microfilm Unit for research.
CC ESTAB with CC Modifiers "M" (Microfilm Requests), "R" (Retired Document Update Requests), and "S" (SCRIPS Requests) are documented in IRM 2.3.18, IRM 2.3.56, and IRM 2.3.62 , respectively.
The following information is applicable to DLN look-ups that require Master File research.
1. If a DLN is found under a cross referenced TIN, the message "FOUND UNDER" followed by the cross referenced TIN will be printed in the remarks section of the Form 4251.
2. If there is no TC 150 present and a TC 977 is extracted, the message "NO RECORD OF TC 150" will be printed in the remarks section.
Under the following conditions a transcript will be issued for Master File DLN look-ups in lieu of Form 4251.
1. There is no account on the Master File.
2. The MFT/Tax period is present on the Master File, but does not contain DLN that qualifies for extraction.
3. The MFT/Tax period is not present on the Master File, but an entity is present.
4. There is an irreversible TC 420 or TC 424 in the module.
When a DLN look-up results in a full DLN that is to be serviced by other than the requesting Service Center, that request will be forwarded by NCC to the servicing Service Center for printing and processing of the Form 4251.
When a document request with a full DLN is to be serviced by other than the requesting Service Center, the request will be sent electronically to the servicing Service Center via DOC batch program DOC05.

2.3.17.2 (01-01-2008)
Command Code ESTAB

Use this Command Code to enter requests for original paper documents, copies, information, etc. The kind of request made depends on the request code input with CC ESTAB. Request Codes, are explained in IRM 2.3.17.5. (Request Codes for CC ESTAB)
As of January 1 2004, in order to initiate an ESTAB request users are required to input the Command Code (column 1-5), and CC modifier (column 6) on line 1 of their IDRS terminal screen, then depress Enter/XMIT. CC ESTAB will display the requested screen, based on requester inputted modifier.

2.3.17.3 (01-01-2008)
Error Response for CC ESTAB

If any element(s) of data are invalid, a message will display on line 24. Error literals will display corresponding to the invalid element(s). Error messages and inconsistency messages are defined in See IRM 2.3.17.7, Command Code ESTAB—Error Messages, and see IRM 2.3.17.8, Command Code ESTAB—Consistency Messages.

2.3.17.4 (01-01-2000)
Valid Response for CC ESTAB

REQUEST COMPLETED—Displayed when CC ESTAB input meets all validity checks.

2.3.17.5 (01-01-2006)
Request Codes for CC ESTAB

These are one character alphabetic codes inputted on line 1, column 7 of CC ESTABD. They are used to identify the type of request being made. The request codes are:

Request Code	Purpose
B	Causes the words "ENTIRE BLOCK" to print below the DLN and causes the serial number of the DLN to be suppressed. It requests the files charge-out and forward a complete block of documents. Request Code B is authorized by current IRM Handbook procedures to request blocks of original documents For further information, refer to IRM 3.5.61, Files Management and Services.
C	This request code causes the words "COPY-ALL" to print below the DLN on Form 4252. It requests a copy of all of a return or other document.
E	This request code causes the word "CRIM INVESTIGATION" to print below DLN on Form 4251. It is used to request the original return for the Criminal Investigation Division.
F	This request code causes the word "FOLLOWUP" to print below the DLN on the form 4251. Use it when requesting an original document that you have already requested once, if you have not received any reply to your first request.
G	This request code causes the work "GAO FINANCIAL AUDIT" to print below the DLN on the Form 4251
I	This request code causes the word "INFORMATION" to print below the DLN on the Form 4251. It requests the files to provide information from a return or other document. The information needed should be specified in the Narrative portion of CC ESTAB.
K	This request code causes the words "COPY-SEE NOTE" to print below the DLN on Form 4251. It requests that only a specified part of parts of a return be copied. The parts needed should be specified in the Narrative portion of CC ESTAB.
MUV	These codes are reserved for specified use by management. Do not use them unless so directed.
O	Requests an original document. The word "ORIGINAL" is printed before the DLN on the Form 4251. Request Code O may be input for request for tax returns only, unless the requestor is authorized to receive the originals of documents other than tax returns. Refer to IRM 3.5.61, Files Management and Services. With this exception, use request codes C, K, P, or I for documents other than tax returns.
P	This request code causes the words "COPY-PAGE 1" to print below the DLN on Form 4251. It requests a copy of the first page only of a return or other document.
R	This code is used for reimbursable photocopy requests received from taxpayers. The words "REIMBURSABLE COPY" are printed below the DLN on the Form 4251.
S	This request code should only be used by those working on the Correspondence Imaging System (CIS), as it will indicate to files that the request should be filled by sending an image, not a hard copy document. The words "COR. IMAGING SYSTEM" are printed below the DLN on the Form 4251.
T	This request code is used to recharge documents. The word "RECHARGE" is printed below the DLN on the Form 4251.
W	Indicates a request only for a W–2. The words "W–2 ONLY REQUEST" are printed below the DLN on FORM 4251.

2.3.17.6 (01-01-2000)
Command Code ESTAB—Universal Access Error Message

When Universal Access is used, the message "CC DEFINER NOT UNIVERSAL, USE LOCAL SITE" will be displayed on line 24. This is the first check of Command Code ESTAB with Command Code Modifier "D" . Message This command code modifier will not process Universal Access.

2.3.17.7 (01-01-2008)
Command Code ESTAB—Error Messages

When an element of data is invalid a error message will be displayed on line 24. The element that is invalid will display an asterisk to the right of the invalid element.

	ERROR MESSAGES
Error 1	Invalid Command Code Modifier, must be D, M, R, or S.
Solution 1	Self Explanatory
Error 2	Invalid MFT-Code, Please Input a valid MFT-Code
Solution 2	Self Explanatory
Error 3	Invalid, if MFT is "52" then Form-Num must be "706" or "706NA"
Solution 3	Self Explanatory
Error 4	Invalid TIN, the TIN is a required field
Solution 4	Input TIN
Error 5	Invalid TIN, Please correct TIN
Solution 5	Self Explanatory
Error 6	Invalid Request-Code, Please enter a valid code
Solution 6	Request-Codes are list above, See 2.3.17.5
Error 7	Invalid DLN, must be entered
Solution 7	Input DLN
Error 8	DLN failed validation, please correct DLN
Solution 8	Self Explanatory
Error 9	DLN failed validation, correct inconsistent DLN
Solution 9	Invalid DLN, correct DLN and submit
Error 10	Correct DLN, must be numeric with 3 hyphens: 00000-000-00000-3
Solution 10	Self Explanatory
Error 11	Invalid Partial DLN, Please correct Partial DLN
Solution 11	A Partial DLN is the first three digits of the DLN
Error 12	Invalid Partial DLN must be numeric, and three digits
Solution 12	Self Explanatory
Error 13	You requested this DLN on MM/DD/CCYY to re-request wait 14 days from that date.
Solution 13	Self Explanatory
Error 14	Invalid Employee-Number, FLC not found
Solution 14	Enter a valid FLC code (first two digits of Employee number)/Reenter
Error 15	Invalid Employee number, if entered must be numeric (all 10 digits)
Solution 15	Self Explanatory
Error 16	Invalid Form-Num, Form Number must start in left most position
Solution 16	Self Explanatory
Error 17	Invalid, if Form-Num is "706" or "706NA" then MFT must be "52"
Solution 17	Self Explanatory
Error 18	Invalid Tax-Period, if MFT is "52" then Tax-Period must be "000000"
Solution 18	Self Explanatory
Error 19	Invalid, when Tax-Period equals "000000" , MFT must be "52"
Solution 19	Self Explanatory
Error 20	Invalid Tax-Period, Tax-Period must be entered
Solution 20	Enter tax period and Reenter
Error 21	Invalid Tax Period, please correct
Solution 21	Tax-Period must be entered as CCYYPP: (200612)
Error 22	Invalid Tax-Period, Tax-Period must be numeric
Solution 22	Self Explanatory
Error 23	Invalid MFT, please enter a valid MFT
Solution 23	Self Explanatory
Error 24	Sorry ESTAB do not process MFT Code 88. (Transmittals)
Solution 24	Self Explanatory
Error 25	Invalid Plan Number, must be three numbers.
Solution 25	Self Explanatory
Error 26	Invalid, Name-Control must start in left most position
Solution 26	Self Explanatory
Error 27	Invalid Name-Control, first character must be a letter or number
Solution 27	Self Explanatory
Error 28	Invalid Name-Control, second character must be a letter, number, &, or -
Solution 28	Self Explanatory
Error 29	Invalid Name-Control, third character must be a letter, number, &, or -
Solution 29	Self Explanatory
Error 30	Invalid Name-Control, fourth character must be a letter, number, &, or -
Solution 30	Self Explanatory
Error 31	Invalid Nullify Indicator, must be "N" or empty.
Solution 31	Self Explanatory
Error 32	Invalid, only enter values in one of these fields, SC-Stop, ST-CD, or Addr-Num
Solution 32	Self Explanatory
Error 33	Invalid, Addr-Num changed from last known, empty Address-Lines 1 and 2
Solution 33	Self Explanatory
Error 34	Invalid, must enter SC-Stop, State-Code or Addr-Num
Solution 34	Self Explanatory
Error 35	Invalid, input SC-Stop or Address-Lines, not both
Solution 35	Self Explanatory
Error 36	Invalid Addr-Num, find address using ST-CD option
Solution 36	Self Explanatory
Error 37	Enter street/stop in address line 1, and enter city/state/zip in address line 2
Solution 37	Self Explanatory
Error 38	Add your Stop (after your address on Address-Line 1)
Solution 38	Self Explanatory
Error 39	Type "X" to the left of desired address or select NEXT PAGE using "+" or "-" .
Solution 39	Self Explanatory
Error 40	Invalid Address-Line-2, need "," prior to State Code, Example: Fresno,CA 93710
Solution 40	Self Explanatory
Error 41	Invalid SC-Stop, the last 2 characters of the STOP must be your State-Code
Solution 41	Self Explanatory
Error 42	Invalid Addr-Num, must contain at least 2 digits and start in left most position
Solution 42	Self Explanatory
Error 43	Invalid Addr-Num, enter State Code in ST-CD field, remove Addr-Number.
Solution 43	Self Explanatory
Error 44	Wrong Addr-Num, enter State Code in ST-CD field, remove Addr-Number.
Solution 44	Self Explanatory
Error 45	Invalid State-Code, enter a valid two character State Code
Solution 45	Self Explanatory
Error 46	Invalid SC-Stop, need a 2 character State Code after STOP: Ex. 9999 MI
Solution 46	Self Explanatory
Error 47	Invalid BOD/Area-Num, user must enter a numeric value, from 1 to 15
Solution 47	Self Explanatory
Error 48	Invalid BOD/Area-Num, must be a value of 1 to 15
Solution 48	Self Explanatory
Error 49	Invalid ESTAB request, use CC TRPRT to secure this electronic 1040 DOC
Solution 49	Self Explanatory
Error 50	BOD/Area-Num option 1 is reserved for SC employees using the above SC-Stop field
Solution 50	Self Explanatory
Error 51	Invalid ESTAB request, see message on lines 19 - 22 above
Solution 51	Self Explanatory
Error 52	Sorry previous TIN not found, please enter manually
Solution 52	Self Explanatory
Error 53	(BOD/Area-Num changed to 1, 1 required for all SC employees)
Solution 53	Self Explanatory

2.3.17.8 (01-01-2008)
Command Code ESTAB—Consistency Messages

When elements of data are inconsistent a error message will be displayed on line 24. The element that is inconsistent will display an asterisk to the right of the invalid elements.

	Error Messages
Error 1	Invalid, DOC Request Code is B, so serial number in the DLN must be zeroes.
Solution 1	Correct and reenter
Error 2	Invalid, DOC Request Code is T, so a full DLN is required.
Solution 2	Correct and reenter
Error 3	Invalid TIN not consistent with MFT.
Solution 3	Correct and reenter
Error 4	Invalid, TIN must be in EIN format, or remove Employee Plan NO.
Solution 4	If Employee Plan Number is an item of input, correct the TIN and re-enter. If TIN is correct, remove the Employee Plan Number and re-enter.
Error 5	Invalid, TIN is EPMF so Employee Plan Number is required.
Solution 5	Change TIN to other than an EPMF TIN or add valid Employee Plan Number.
Error 6	Invalid, partial DLN requires a Tax Period.
Solution 6	If the Partial DLN is correct input the tax period and re-enter. Otherwise, enter the full DLN.
Error 7	Invalid, Tax Period is not consistent with the MFT Code
Solution 7	Correct as per IRM 2.3.17 and re-enter.
Error 8	Invalid a partial DLN requires a Form Number.
Solution 8	Enter Form Number or a full DLN.
Error 9	Invalid MFT (valid are 01–06, 09–11, 29–30, 33–34, 36–37, 44, 50–52, 58, 60–64, 67 or 74).
Solution 9	Correct and reenter
Error 10	Invalid, need TIN or full DLN.
Solution 10	Enter TIN or enter a full DLN.
Error 11	Invalid, Employee-Plan-Num required with MFT code 74.
Solution 11	Enter plan number or correct MFT.
Error 12	Invalid, SC Code or DO Code is inconsistent with the YR-COUNT of the full DLN
Solution 12	Enter correct Service Center Code or District Office Code in DLN or correct YR-COUNT of DLN
Error 13	Invalid, TIN and Name Control are inconsistent.
Solution 13	Enter correct TIN or Name Control.
Error 14	Invalid, Either the TIN's FS Code is "n" , or the DLN's Tax Class Code is "6"
Solution 14	Correct either the TIN's File Source Code or the DLN's or Partial DLN's Tax Class Code. For NMF Document Request, use TIN's File Source Code "N" and the DLN's or Partial DLN's Tax Class Code "6" .