2.3.17  Command Code ESTABD

Manual Transmittal

June 18, 2013

Purpose

(1) This transmits revised IRM 2.3.17, IDRS Terminal Responses, Command Code (CC) ESTABD.

Material Changes

(1) Added request code "N" and request code "Q" to CC ESTAB - Request Codes table, see 2.3.17.5, Input Format Exhibit, see 2.3.17-1, and Request Codes Exhibit, see 2.3.17-4.

Effect on Other Documents

IRM 2.3.17, dated December 24, 2012, is superseded.

Audience

LMSB, SB/SE, TE/GE, W&I.

Effective Date

(07-01-2013)

Terence V. Milholland
Chief Technology Officer

2.3.17.1  (01-01-2009)
General Information for CC ESTABD

  1. The Document Request System, (IDRS), provides for computer printing of Form 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 Form 4251 is 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.

  2. 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, and taxpayer's name-control). The DLN may be obtained by researching the EKIF and SKIF.

  3. The TIN, File Source, and Request Code will be stored for audit trail purposes.

  4. 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.

  5. 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.

  6. 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.

  7. 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.

  8. 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.

  9. When a document request with a full DLN or partial 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  (01-01-2010)
Command Code ESTAB

  1. 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)

  2. Performing Command Code TXMOD or SUMRY immediately prior to performing Command Code ESTABD will result in some fields on the ESTABD screen being pre-filled. If available ESTABD will pre-fill the TIN and MFT-CD.

  3. 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

  1. 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

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

2.3.17.5  (07-01-2013)
Request Codes for CC ESTAB

  1. 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 4251. 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.
    N This request code causes the words "ID THEFT PAPER" to print below the DLN on Form 4251. It requests paper returns or other paper documents associated with identity theft cases.
    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.
    Q This request code causes the words "ID THEFT SCAN " to print below the DLN on Form 4251. It requests scanned returns or other scanned documents associated with identity theft cases.
    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 is used for requesting the scanning of paper documents into CIS. 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.
    X This request code is used to request a print of an CIS scanned document. The words "CIS PRINT REQUEST" are printed below the DLN on the Form 4251.

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

  1. 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  (01-01-2011)
Command Code ESTAB—Error Messages

  1. 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 A, D, H, 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
    Error 54 Invalid ESTAB request, use the EUP system to obtain this electronic document
    Solution 54 Self Explanatory
    Error 55 Invalid: to obtain this MeF document go to https://eup.eps.irs.gov/EUP/welcome
    Solution 55 Self Explanatory

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

  1. 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" .

Exhibit 2.3.17-1 
Input Format, CC ESTAB—Document Request

Input Screen ESTAB D

This image is too large to be displayed in the current screen. Please click the link to view the image.
Record Element Description
Item Line Description and Validity
1 1 CC- ESTAB.
2 1 CC MODIFIER- Must be entered and must be D for document request.
3 1 DOCUMENT REQUEST CODE- Must be entered and must be B, C, E, F, G, I, K, M, N, O, P, Q, R, S, T, U, V, W, or X.
4 1 TIN INFORMATION FIELD- Must be "]" or a TIN. If TIN is entered, it must meet standard validity criteria.
    When a right-hand bracket "]" is entered in the first position of this field, it indicates that the TIN was entered in the immediately preceding CC ACTON, ENMOD, REINF, SUMRY, or TXMOD, and that TIN will be displayed back to the screen. If the request requires research, that TIN will be used. It will also be printed on the Form 4251.
    NOTE: See IRM 2.3.17.7, Command Code ESTAB—Error Messages, for validity checks of the TIN INFORMATION FIELD. Also see IRM 2.3.17.8, Command Code ESTAB—Consistency Messages.
5 2 DOCUMENT REQUEST NUMBER FIELD- Must be entered. Must be in the format " nnnnn-nnn-nnnnn-n" for standard 14 digit edited DLN. If the DLN is unknown enter first three digits of DLN. (The first two positions are the D.O. or S.C. Code, the third position is the Tax Class) If the request code is B, positions 14 and 15 of this field must be zeroes. Also see IRM 2.3.17.7, Command Code ESTAB—Error Messages, and see IRM 2.3.17.8, Command Code ESTAB—Consistency Messages.
6 2 EMPLOYEE NUMBER- Optional. If omitted, the completed request will be routed to the terminal operator. Enter if the requester is other than the terminal operator. Also see IRM 2.3.17.7, Command Code ESTAB—Error Messages.
7 2 MFT- must be entered and must be in "nn" format. Whenever the MFT is "52" , then the Form Number must be entered either as "706" or "706NA" , and the Tax Period must be "000000" . See IRM 2.3.17.7 , Command Code ESTAB—Error Messages and see IRM 2.3.17.8, Command Code ESTAB—Consistency Messages.
8 2 FORM NUMBER- If entered, use the Form Number of the document being requested. For requests that require Master File research, it must be a tax return that is processed to the Master File. When the Form Number is either " 706" or "706NA" , then the MFT must be " 52" , and the Tax Period must be "000000" .
9 3 TAX PERIOD- Must be in the format "nnnnnn" , and the fifth and sixth digits must be "01" –"12" . The only exception to this guideline is when the Tax Period equals " 000000" . Also see IRM 2.3.17.7, Command Code ESTAB—Error Messages, and See IRM 2.3.17.8, Command Code ESTAB—Consistency Messages.
10 3 EMPLOYEE PLAN NUMBER. Must be 001–999 when entered for EMPF. TIN must be present in EIN format if DLN research is required.
11 3 NAME CONTROL- If entered, must meet standard validity criteria. See IRM 2.3.17.7., Command Code ESTAB—Error Messages.
12 5 SERVICE CENTER STOP- If entered, must be used by Service Center employees only. It must contain the Service Center Stop of the requestor. Following the stop number, the two character State-Code of the requestor should be entered. The state abbreviation should be the last entry on that line. For example :FSC STOP 1234 CA. If an entry is made here items 14, 15, 16, 17, and 18 must be blank.
13 5 STATE CODE- if entered, item 13 (SC Stop) must be blank. ST-CD is the two character State Code of the requestor address. After entering the requesters State Code and entering BOD/AREA-NUM (line 10, item 20) depress Enter/XMIT on your key board. ESTAB will provide a list of addresses for the requester, follow instructions on line 24 of monitor.
14 5 ADDRESS-NUMBER- if entered, allows users to retain address information when processing multiple successive ESTAB requests. If an entry is made here items 13, 14, 16, and 18 must be blank.
15 6 REQUESTER ADDRESS LINE 1- If item 14 (SC Code) was used to obtain the requester's address the Street address will appear on lines 6.
16 6 REQUESTER STREET ADDRESS STOP- Put Street Address Stop here. If Street Address Stop is saved from previous ESTABD request it will be pre-filled when the ESTABD input screen appears.
17 7 REQUESTER ADDRESS LINE 2- If item 14 (SC Code) was used to obtain the requester's address the City, State, and Zip Code will appear on lines 7.
18-19 8-9 REMARK LINES- These lines should be used to provide additional information to the individual searching for your requested information. Whatever is input in these fields will print on the Form 4251 in the same format as it was inputted. Exceptions: Special Characters such as, "?" , "!" , " ;" , and "=" will print as a blank space.
    For documents not in DLN order and kept on the Alpha File, use the full Taxpayer's name and TIN in the Remarks line.
20 9 NEED K1?- Must contain Y or N. Y(es) would result in the following statement printing of the form 4251 " Pull Sch K-1 for this document" .
21 10 BOD/AREA NUMBER- Must be entered. Must be numeric. Valid codes are 1 through 15.
22 10 MULTIPLE DOCUMENT REQUESTS- Enter Y to make multiple document request against a single taxpayer account. When you transmit the request the fields for the additional requests will appear on the lower half of the screen.
NOTES:  
A. ESTABD do not support Universal Access.

Exhibit 2.3.17-2 
CC ESTAB—Local Site Message

ESTAB D output message, line 24

This image is too large to be displayed in the current screen. Please click the link to view the image.
Local site is the only available site for this command code modifier. Do not use the Universal Access Code. Re-enter this screen immediately.

Exhibit 2.3.17-3 
Input Format, CC ESTAB—Request

ESTAB invalid indicators

This image is too large to be displayed in the current screen. Please click the link to view the image.
Correct invalid data elements and re-enter.
See IRM 2.3.17.7, Command Code ESTAB—Error Messages

Exhibit 2.3.17-4 
Request Codes

Input screen ESTAB D

1. Examples of input:
  a. CC ESTAB (Request Codes C, E, F, G, I, K, O, N, P, Q, R, S, T, or X) when the DLN is known.
This image is too large to be displayed in the current screen. Please click the link to view the image.
  b. CC ESTAB (Request Code B) to request a block of documents.
This image is too large to be displayed in the current screen. Please click the link to view the image.
Oftentimes, the TIN is not known for a "block of documents" request. Only in those instances would the requestor dummy the TIN Information field using the following guidelines.
  1. EINs—07–0000000
SSNs—000–00–4320
The underlined portions contain the required values. The non-underlined portions are the suggested numeric values.
  2. Use an appropriate File Source for the type of document being requested.
  c. CC ESTAB (Request Code C, E, F, G, I, K, N, O, P, or R, Q) for Master File documents when the DLN is unknown.
This image is too large to be displayed in the current screen. Please click the link to view the image.

Exhibit 2.3.17-5 
Multiple Document Requests

Input screen ESTAB D Multiple Document Option

This image is too large to be displayed in the current screen. Please click the link to view the image.
1. After transmitting the ESTABD request with a "Y" in the MULTIPLE DOCUMENT REQUEST field the above screen layout will appear.
2. For each additional document being requested complete the upper most available row within the Multiple document portion of the ESTAB D MULTIPLE REQUEST layout.
3. The 4 data fields of each row of the MULTIPLE DOCUMENT REQUEST has the same input requirements as the corresponding fields on the upper portion of the ESTAB D request.

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