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Part 3. Submission Processing

Chapter 5. Accounts Services

Section 10. Remittance Transaction Research (RTR) System

3.5.10  Remittance Transaction Research (RTR) System

3.5.10.1  (01-01-2009)
Overview

  1. The Remittance Transaction Research (RTR) system is a researchable database that contains remittance processing data and images from the IRS Integrated Submission and Remittance Processing (ISRP) system and Lockbox Bank processing sites.

3.5.10.1.1  (01-01-2009)
IRM Acronyms

  1. The following acronyms are used throughout this Internal Revenue Manual (IRM):

    Acronym Description
     
    Admin Administrator
    COE Common Operation Environment
    CSR Customer Service Representatives
    DLN Document Locator Number
    ECC Enterprise Computing Centers. The Martinsburg and Tennessee Computing Centers (previously named MCC and TCC) were realigned into this one organization.
    ECC-MEM ECC Memphis
    ECC-MTB ECC Martinsburg
    EIN Employer Identification Number
    ERS Error Resolution System
    FSP Functional Specification Package
    HQ Headquarters
    ICP Integrated Case Processing
    IDRS Integrated Data Retrieval System
    IRM Internal Revenue Manual
    IRSN Internal Revenue Service Number
    ISRP Integrated Submission and Remittance Processing
    ITIN Individual Taxpayer Identification Number
    MF Master File. Example: Individual Master File (IMF) or Business Master File (BMF).
    MFT Master File Tax Account Code
    MM/DD/YYYY Month, Day, Century & Year. Example: 12312004 is December 31, 2004.
    RPSID Remittance Processing System Identification; also known as the batch number. Each block of work is assigned its own unique number
    RTR Remittance Transaction Research
    SB/SE Small Business/Self Employed
    SPC Submission Processing Campus
    SSN Social Security Number
    TE Tax Examiner
    TIN Taxpayer Identification Number
    W&I Wage and Investment
    YYYYMM Century & Year, Month. Example: 200404 is April 2004.

3.5.10.1.2  (01-01-2009)
Taxpayer Advocate Service, National Service Level Agreements (SLAs)

  1. The National Taxpayer Advocate has reached agreements with the Commissioners of the Wage & Investment (W&I) Division, Small Business & Self- Employed (SB/SE) Division, Tax Exempt & Government Entities (TE/GE) Division, and Large & Mid-Size Business (LMSB) Division, that outline the procedures and responsibilities for the processing of Taxpayer Advocate Service (TAS) casework when either the statutory or delegated authority to complete case transactions rests outside of TAS. The SLA for the Wage and Investment Division went into effect on February 1, 2008.

  2. The SLAs are located at http://tasnew.web.irs.gov under the heading"Service Level Agreements" .

3.5.10.1.3  (01-01-2009)
The Remittance Transaction Research (RTR) System

  1. RTR provides universal access to a consolidated database of remittance data and images generated at ISRP and Lockbox Bank processing sites. This system permits data/image storage for up to 20 years. It also provides 3 years of images online for immediate retrieval. Images more than 3 years old are stored offline. These can be retrieved through an online request, which is retrieved and made available by the next business day.

  2. The RTR web application is available via the IRS internet. Payment data/images from Lockbox payments are available from January 2004 forward and from the ISRP System from 1999.

3.5.10.1.4  (01-01-2009)
RTR System Contingency For Lockbox Vouchers

  1. If the RTR system is down, the bank site will print an image of the voucher from their system and will include all endorsement/audit trail information on the front of the voucher as required by Functional Specification Package (FSP) 1.35.04.13. The endorsement data will be printed directly below the front of a voucher image.

  2. The Submission Processing Campus (SPC) may request either:

    1. Copies of vouchers for individual transactions that have erred using Command Code Error Resolution Inventories (CC ERINV) to create an individual transaction report; or,

    2. Copies of vouchers for blocks that contain error transactions using LAI-9540 Report to create a report that lists the blocks of DLNs that have error transactions.

  3. Upon the SPC's request for a hard copy of images, the bank site will print images at the block or individual transaction level and ship/fax to the SPC as defined below.

    Note:

    The type of request will be at the discretion of the SPC

  4. For individual transaction requests received prior to 10:00 AM local time, the bank site will:

    1. Print the vouchers displayed on the listing.

    2. Attach the copies of the voucher to the back of the listing.

    3. Depending on the volume, and the SPC's preference, ship or fax the vouchers on the same day.

      Note:

      The bank site will coordinate the method of transportation with the SPC.

  5. If the request is received after 10:00 AM local time, the bank site will ship or fax the vouchers no later than the next business day.

  6. Upon receipt of a block transaction request, the bank site will:

    1. Print all vouchers within the identified blocks in sequential order.

    2. Prepare the blocks for shipment in folders with corresponding document listers included.

    3. Send the vouchers to the SPC in the overnight shipment no later than the following business day.

  7. Anytime within 30 days of processing the payment, the bank site will provide individual or block transaction data upon request as noted above. Submission Processing Campuses will continue to be able to request individual copies of vouchers and checks after thirty days.

3.5.10.2  (01-01-2009)
Using the RTR System

  1. RTR provides access to remittance processing data and images for W&I, Taxpayer Advocate Service, Compliance, Disclosure and SBSE organization business users, including personnel from Accounting, Receipt & Control, Error Resolution (ERS), Unpostables, Notice Review, Accounts Management, and Integrated Collection System. RTR facilitates and expedites business user efforts to reconcile taxpayer payments, balance daily deposits, and respond to customer service inquiries. RTR business users can query the RTR database to access remittance transaction data and images. RTR users have different access levels that restrict or allow them to print various reports and add notes to transactions.

  2. RTR users access the system with a web browser (e.g., Microsoft Internet Explorer) via their local campus, area office or regional office LAN. System hardware and software requirement include a Common Operation Environment (COE) converted workstation connected to a LAN and access to Microsoft Internet Explorer.

3.5.10.3  (01-01-2009)
Knowledge of Windows XP and Web-Based Environments

  1. The user should have a basic understanding of Windows XP and web-based environments and how to use the mouse, menu, or key commands. Specifically, users must be able to:

    • Log on/off Windows XP.

    • Use Button bars and pull-down menus.

    • Understand concepts such as click, double-click, and select.

3.5.10.4  (01-01-2009)
The RTR User Guide, Training 5212–001

  1. The RTR User Guide, Training Document 5212–001, is both a training tool and a reference tool. It can be referenced by all RTR users.

  2. You can access the user guide by clicking on the Help button on any RTR screen.

  3. The structure of the RTR User Guide is as follows:

    • Chapter 1 defines the user group access levels and explains how to log on/off the RTR system.

    • Chapter 2 explains how to use the Research function to query for records and defines the various screens.

    • Chapter 3 defines the capabilities of the RTR Administrator (depending on the user level) and explains how to use the Admin function.

    • Chapter 4 defines the various reports available and explains how to use the Reports function to access these reports.

3.5.10.5  (01-01-2009)
RTR Access

  1. Access to RTR is unlimited for the Submission Processing and Accounts Management functions. Limited access is provided for Compliance, Disclosure and Taxpayer Advocate Service employees. Requests for access are made via the Automated 5081 system and must be approved by local management. Once approved, the user will access the system with their XP user name, domain, and password. A separate login identification and password will not be assigned because you will use the same login and password as you use to access XP.

  2. Three unsuccessful login attempts in succession will lock the system. If you lock the system, shut down your XP system completely and reboot it. Then log onto the RTR system using your correct XP login ID, password and domain.

  3. The system has a time out function that will disconnect the user after 15 minutes of inactivity. If the user returns to the system after being disconnected, the last screen accessed will be displayed. Any menu function or button selected will return the user to the LOGIN screen.

3.5.10.5.1  (01-01-2009)
User Group Levels

  1. Currently, there are seven user groups that may access the RTR system. The employee’s user group level will depend on the type of work they perform as well as the unit the employee is assigned to.

  2. The user group levels are:

    Level Function Affected Areas Access Criteria
    00 Submission Processing Hard Core Payment Tracers
    Bank Discrepancies
    RACS
    Data Control     		Date range of 6 months, ability to add/read notes, Max 5000 records returned, ability to sort records, wildcard DLN search.
    05 Submission Processing Error Resolution System (ERS)
    Unpostables
    Notice Review
    Excess Collections
    Unidentified Remittance
    Dishonored Checks
    Receipt and Control     		Date range of 2 months, ability to add/read notes, Max 1000 records returned
    10 Accounts Management Statute
    Accounts Maintenance
    Adjustments
    Toll-Free
    TPR     		Date range of 2 months, ability to read notes, Max 1000 records returned
    15 Compliance Revenue Officers
    Automated Collections
    TAS
    CARE
    Disclosure     		Query by must be performed with a DLN or TIN. Results will display up to 500 items.
    20 ECC-MEM
    ECC-MTB     		  Update main menu messages, run performance metrics reports, process offline requests
    30 Administrators   Ability to update RPSID ranges, level 10 research abilities, run deposit reports
    40 Reports
    Administrators     		  Ability to update interest rates, level 10 research abilities, run all reports

3.5.10.6  (01-01-2009)
RTR Internet Access

  1. The user must first log onto Windows XP. To access RTR, open Internet Explorer and type the following in the address line: http://rtr.enterprise.irs.gov:9115/rtr/home/index.jsp. Press Enter or <GO>. The RTR LOGIN Screen appears. See Figure 3.5.10-1.

    Figure 3.5.10-1

    This image is too large to be displayed in the current screen. Please click the link to view the image.

    RTR LOGIN Screen

  2. Enter the following information on the LOGIN screen:

    1. Username: Enter your current XP login username.

    2. Password: Enter your current XP login password.

    3. Domain: Enter your DS domain.

      Note:

      The Username and Domain fields may be populated with your current XPinformation. Your XP password may be the only required entry.

    4. Click submit or press enter key once all information has been entered.

  3. To create a shortcut on your desktop from the RTR screen, go to the File Menu. Select Send. Select Shortcut to Desktop. See Figure 3.5.10-2.

    Figure 3.5.10-2

    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Create RTR Desktop Shortcut

  4. You can also create a shortcut by right clicking on your desktop. Select New. Select Shortcut. Type the RTR Internet access address (http://rtr.enterprise.irs.gov:9115/rtr/home/index.jsp) into the command line box. Click Next. Type RTR as the name for the shortcut. Click Finish to create the shortcut.

  5. Access to RTR is provided in two manners:

    1. a menu option on the Desktop Integration (DI) system; or,

    2. an icon on the users' desktop.

    Reminder:

    Access is granted to users via the Automated Online 5081 system through your Remittance Transaction Research coordinator.

3.5.10.6.1  (01-01-2009)
Log On/OFF the RTR System

  1. Follow the steps below to log on to the RTR system.

    Step Action
    1 Log on to window XP.
    2 Use the table below to determine your next steps
      If... then...
    you are accessing RTR from within a case in DI 1. Select the Tools option from the Account Information Summary (AIS) window.
    2. Select "RTR" from the Tools pull-down menu.
    you are accessing RTR from your Windows XP desktop double-click on the RTR User icon.
    Result:The RTR LOGIN page appears. See Figure 3.5.10-1.
    3 Enter your username, if not present, and press the <Tab> key.
    4 Enter your password and press the <Tab>key.
    5 Enter your domain, if not present.
    6 Click the <Submit> button or press the <Enter>key.
    Result: The RTR Home page appears. See Figure 3.5.10-3.

    Figure 3.5.10-3

    This image is too large to be displayed in the current screen. Please click the link to view the image.

    RTR Home Page

    Element Description
    1 Links
    TCC Tier II Alert Site    		 Provides link to ECC-MEM alert web site for information about the system status such as program changes made or scheduled down time.
    2 System Background High level description of the system.
    3 Default Site Selection User must select a default site for research upon initial login. It can be changed at any time.
    4 Last Campus Deposits Updated daily with latest deposit information.
    5 New Image Requests Updated when offline image requests have been loaded.

  2. Follow the steps below to log off the RTR system.

    Step Action
    1 Click the <LOGOFF> button at the top of the screen.
    Result: The logout dialog box appears.
    2 Logout Dialog: Are you sure you want to log out of the RTR application?
    Click the <Yes> button to log out of the RTR system.
    Result: The RTR LOGIN screen reappears..

3.5.10.7  (01-01-2009)
Research

  1. When performing a query (research) for records, it is critical to enter as much information as possible in order to narrow your research request. A query initiated with minimal information could have debilitating affects to the system. Ranges may be used to help limit research. A wildcard may be used when partial information for a field is known.

  2. This section covers the following topics:

    1. Research Screen.

    2. Results Screen.

    3. Detail Screen.

    4. Notes.

    5. Multiple/Splits.

    6. Images.

3.5.10.7.1  (01-01-2009)
Research Screen

  1. The Research Screen will prompt the user for information necessary to research the payment database. See Figure 3.5.10-4. Payments may be researched using the following information:

    1. Deposit Date.

    2. Transaction Date.

    3. Transaction Code.

    4. Money Amount .

    5. Tax Period.

    6. MFT.

    7. Block DLN.

    8. TIN.

    9. DLN.

    10. Routing Number.

    11. Name Control.

    12. Batch Number.

    13. Site Code.

    14. Trace ID.

    Figure 3.5.10-4

    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Research Screen

  2. Research requests. Every search requires a minimum of three entries—Deposit Date, Site Code, and one additional field. This may be any of the other remaining fields. However, if additional information is known, searches should not be limited to three items. Research requests with minimal information may increase the system response time and the number of result records.

    1. Enter as many of the following research criteria as possible:

    Input Data Description
    Deposit Date Date the check was deposited. Note: Required field.
    Transaction Date Date the payment was posted to Master File (MF). Also known as the received date of the payment.
    Transaction Code Payment transaction code used to post the payment to MF.

    Note:

    Select option button transaction.
    Money Amount Amount of the payment. Do not enter "$" before the amount. Use a decimal point to separate dollars and cents. If a payment is an even dollar amount, ".00" does not need to be entered.
    Example: if the payment was $100.00, then "100" may be entered in the amount field.

    Note:

    Select Option button check.
    Tax Period Tax period to which the payment was applied.
    MFT Master File Tax code to which the payment was applied.
    Block DLN This is the 12-digit identifying number assigned to a block of payments.
    It is entered without hyphens.
    TIN Taxpayer identification number to which payment was applied. It may be an SSN, EIN, ITIN, ATIN or IRSN.
    The TIN is entered without hyphens.
    DLN Payment DLN. This is the complete 14-digit identifier assigned to each payment.
    It is entered without hyphens.
    Routing Number Routing number for the financial institution on which the payment was drawn.
    Name Control Name control on the account to which the payment was applied.
    Batch Number This is also known as the RPSID. Each block of work is assigned its own unique number.
    Site Code Site responsible for processing the payment. The user may search campus, Lockbox or both.
    The default site is selected upon initial login.
    The Both option button is set as the default.
    Note: Required field.
    Trace ID This is the 14 digit identifier assigned to each Deposit Ticket and Debit Voucher payments.
    Note: Date entries are broken down into three fields – Month, Day and Year. All three fields are required for a valid date entry.

  3. Select the Submit, Reset or New Search Button.

  4. Range function. Dates, money amounts and transaction codes may be researched using the range function. This can be useful in researching payments when the exact date or amount is not known. Ranges should be as narrow as possible while still allowing an adequate search.

    Example:

    The taxpayer states that they made a payment of $102 and "some odd cents" . The payment may be researched by entering an amount range from $102.00 to $103.00.

    Note:

    Do not enter an excessive range request such as $100.00 to $150.00. This would result in an increase in the system response time and the number of result records.

    1. Date ranges are limited based on user group. User Groups 05 and 10 are limited to a two-month range. User Group 00 is limited to a six-month range.

    2. If requesting an exact search, enter one date, money amount or transaction code.

  5. Wildcard entries. A wildcard entry is when partial information is used in a field for researching for payments. The wildcard may be used to designate either a single or group of characters and may be used any where within the field.

    Example:

    If looking for all IMF payments processed at a specific site on a specific date, then input752*100*3 may be entered in the DLN field

    .

    Note:

    A wildcard used in the DLN field requires a minimum of site code and deposit date digits to be entered.

    1. There are four fields which allow a wildcard: TIN; DLN; Routing Number; and Name Control.

    Note:

    This function is limited to Level 00 users.

  6. Research request. Follow the steps below to submit a research request.

    Step Action
    1 Click the <Research> button at the top of the RTR Home page.
    Result: The Research Screen appears as shown in See Figure 3.5.10-5a. below.

    Figure 3.5.10-5a

    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Figure 3.5.10-5b

    Input Data Description
    Deposit Date Date the check was deposited.

    Note:

    Required field.
    Transaction Date Date the payment was posted to Master File (MF). Also known as the received date of the payment.
    Transaction Code Payment transaction code used to post the payment to MF.
    Money Amount Amount of the payment.
    Tax Period Tax period to which the payment was applied.
    MFT Master File Tax code to which the payment was applied.
    Block DLN This is the 12-digit identifying number assigned to a block of payments.
    It is entered without hyphens.
    TIN Taxpayer identification number to which payment was applied. It may be an SSN, EIN, ITIN, ATIN, or IRSN.
    DLN Payment DLN. This is the complete 14-digit identifier assigned to each payment.
    It is entered without hyphens.
    Routing Number Routing number for the financial institution on which the payment was drawn.
    Name Control Name Control on the account to which the payment was applied.
    Batch Number This is also known as the RPSID. Each block of work is assigned its own unique number.
    Site Code Site responsible for processing the payment. The user may search campus, Lockbox or both.
    The default site is selected upon initial login.
    The Both option button is set as the default.

    Note:

    Required field.
    Trace ID This is the 14 digit identifier assigned to each Deposit Ticket and Debit Voucher payments.

    Note:

    Date entries are broken down into three fields.

    		 Month, Day and Year. All three fields are required for a valid date entry.

    Research Screen

    Step Action
    2 Click in the field on which to base the research request.
    Note:To move from field to field, click the mouse in the appropriate field or press the <Tab> key.
    3 Type the appropriate information.
    Note: Every search requires a minimum of three entries—Deposit Date, Site Code, and one additional field. This may be any of the other remaining fields.
    4 Do you wish to clear the information and enter new research criteria?

    • If yes, click the <Reset> button and return to Step 2

    • If no, go to Step 5.
    5 Click the <Submit> button.
    Result: A message stating "Retrieving Your Results Please Wait" appears.
    Note: If you wish to stop the search, click the <Stop> button.
    6 Was the search successful? (The Results Screen will display showing the list of records meeting the research criteria.)

    • If yes, See IRM 3.5.10.7.2., Results Screen.

    • If no, go to Step 7.
    7 Use the table below to determine your next step.

    If ... and ... then ...
    you received a warning message due to the search results containing more than 5,000 records you are in User Group 00 continue with the search by clicking the <Yes> button;
    or
    cancel the search by clicking the <No> button.
    Note: There is no limit on the result records for User Group 00.
    you received an error message due to the search results containing more than 1,000 records you are in User Group 05 or 10 re-input the search with additional information to narrow the search.
    No records were found   verify the search criteria and correct if necessary.
    The search criteria was correct   resubmit the search by widening the search criteria.

3.5.10.7.2  (01-01-2009)
Results Screen

  1. The Results Screen will be displayed showing the results of any query initiated. The screen contains a list of all records meeting the query criteria entered. See Figure 3.5.10-6 below.

    Figure 3.5.10-6
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Results Screen

  2. Record elements

    1. Deposit Date.

    2. MFT.

    3. TIN.

    4. Name Control.

    5. Amount.

    6. Routing Number.

    7. Transaction Date.

    8. DLN.

    9. Tax Period.

    10. Transaction Code.

  3. Viewing transactions. Each page of results contains 20 transactions. These are not listed in any specific order. Refer to the table below for instructions on viewing transactions. See Figure 3.5.10-6. Results Screen.

    If you wish to ... then ...