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Part 3. Submission Processing

Chapter 5. Accounts Services

Section 17. Federal Tax Deposit System (Cont. 3)

3.5.17  Federal Tax Deposit System (Cont. 3)

3.5.17.40 
Control Record List Processing

3.5.17.40.9  (01-01-2008)
Control Record List Error Code 27

  1. Definition—Error Code 27.

    1. Deposit Date for TCR is invalid.

    2. Date does not meet validity checks.

    3. Date is greater than current date.

  2. Resolution:

    1. Related block should have BOB'd.

    2. Look for BCR.

    3. If not BCR, call SA.

    4. Determine correct date from original document and prepare BOB correction. Annotate BOB Register.

3.5.17.40.10  (01-01-2008)
Control Record List Error Code 28

  1. Definition—Error Code 28, cycle number for TCR: Other than 00–99 when From Code equals "0" or other than blank when From Code equals "1" .

  2. Resolution—Same as Error Code 27.

3.5.17.40.11  (01-01-2008)
Control Record List Error Code 29

  1. Definition—Error Code 29, FTD Sequence Number for TCR: Not numeric when From Code equals "0" or not blank when From Code "1" .

  2. Resolution—Same as Error Code 27.

3.5.17.40.12  (01-01-2008)
Control Record List Error Code 30

  1. Definition—Error Code 30, Type Transmittal Code for TCR: TTC is not blank, A, C, D, or F when From Code "0" or TTC is not blank and From Code "1" .

  2. Resolution—Same as Error Code 27.

3.5.17.40.13  (01-01-2008)
Control Record List Error Code 31

  1. Definition—Error Code 31

    1. RTC is other than "3" or "9" when From Code is "0" .

    2. RTC is other than "5" when From Code is "1" .

  2. Resolution—Same as Error Code 27.

3.5.17.40.14  (01-01-2008)
Control Record List Error Code 32

  1. Definition—Error Code 32.

    1. Invalid date.

    2. Blank with From Code "0" .

    3. Not blank with From Code "1" .

  2. Resolution—Same as Error Code 27.

3.5.17.40.15  (01-01-2008)
Control Record List Error Code 40

  1. Definition—Error Code 40, SCCF Adjustment Record with Adj Code other than A, D, I, S, B, R, or M.

  2. Resolution—Submit corrected Form 5891.

3.5.17.40.16  (01-01-2008)
Control Record List Error Code 41

  1. Definition—Error Code 41, SAR with Adj Code M and invalid FTD Sequence Number.

  2. Resolution—Same as Error Code 40.

3.5.17.40.17  (01-01-2008)
Control Record List Error Code 43

  1. Definition—Error Code 43, SAR with Adj Code I and Indicator field other than 0-5.

  2. Resolution—Same as Error Code 40.

3.5.17.40.18  (01-01-2008)
Control Record List Error Code 44

  1. Definition—Error Code 44, SAR with Adj Code A or S and if both Adj count and Adj amount are blank or zero.

  2. Resolution—Same as Error Code 40.

3.5.17.40.19  (01-01-2008)
Control Record List Error Code 45

  1. Definition—Error Code 45, SAR with Adj Code D and Fields other than TLN, From Code, To Code, Adj Code, and TCC present; or any blank fields.

  2. Resolution—Same as Error Code 40.

3.5.17.40.20  (01-01-2008)
Control Record List Error Code 46

  1. Definition—Error Code 46, SAR with Adj Code B and FRB Day Change field is blank or invalid date format.

  2. Resolution—Same as Error Code 40.

3.5.17.40.21  (01-01-2008)
Control Record List Error Code 47

  1. Definition—Error Code 47 is when the SAR with Adj Code R and SC received date change field is blank or an invalid date format.

  2. Resolution—Same as Error Code 40.

3.5.17.41  (01-01-2008)
Control Record List Type

  1. CRL Control Record line description.

  2. Format depends on "RECORD TYPE" column of control record type.

  3. "TCR" in Record Type column.

    1. TTC column should be Blank if SC TCR (original input) or FRB TCR will be A, C, D, or F if block is to be reestablished on SCCF for SC TCR.

    2. TCC column should be: 3 or 9 if SC TCR or 5 if FRB TCR.

    3. FROM CODE column contains: 0= duplicate if Transmittal Card or literal FRB (1 = FRB Verification Card).

    4. OF column (indicating Original From code) is blank for this CR type.

    5. TO CODE column (To Code 0) will be EST MODULE indicating SCCF module establishment or updating with either SC or FRB TCR.

    6. FTD COUNT column is total block FTD count.

    7. FTD AMOUNT column is total net FTD amount.

    8. DEP DATE field contains YYYYMMDD. Transmittal deposit date.

    9. MICRO NO field contains: CCNNNNNNNNNNNNN where CC is cycle and NNNNNNNNNNNNN is sequentially assigned number on SC TCR. Blanks for FRB TCR.

    10. DAYBAT field contains: Blanks for SC TCR. MMDD format for date FRB reported money to Treasury on FRB TCR.

    11. SC DT field contains: MMDD format for SC received date on SC TCR. Blanks for FRB TCR.

  4. SCCF Adjustment Record in Record Type column.

    1. TTC column is blank.

    2. TCC column is always 6. This identifies a SCCF Adj. Record.

    3. FROM CODE column contains: Literal of SPC if From Code is 0—indicates change to pipeline control. Literal of FRB if Form Code is 1—indicates change to FRB Verification information.

    4. OF column is blank.

    5. TO CODE column (To Code 1) is always ADJ MODULE to indicate a change to a SCCF module.

    6. FTD COUNT column contains: Blank if only indicator or count change. Numeric if change to count shows the difference in count, not the corrected total. Add if Adj. Code A. Subtract if Adj. Code S.

    7. FTD AMOUNT column contains: Blank if only indicator or count change. Numeric if change to amount shows the difference is amount, not the corrected total. Add if Adj. Code A. Subtract if Adj. Code S.

    8. Adjustment Code Field contains:

      Adjustment Code Description
       A = Add to count and/or amount.
       D = Delete module from SCCF.
       I = Turn indicator on or off.
       S = Subtract from count and/or amount.
       B = FRB Batch Day Change.
       R = SC Received Date Change.
       M = FTD Sequence Number Change.

    9. ADSI field contains:

      Indicator Description
      bb = Blank if Indicator is not changed.
      0 = Turn off ADSI.
      1 = Turn on ADSI.
      2 = Turn off III.
      3 = Turn on III.
      4 = Turn off BI.
      5 = Turn on BI.

    10. FRB contains FRB Batch Day change if Adj Code is B.

    11. IRS–SC received date change if Adj Code is R.

  5. BCR in Record Type column.

    1. TTC column contains: Blank if original input, F or blank if BOB reinput, D if Error or TEP reinput.

    2. TCC column contains: 3 if normal transmittal, 9 if adjustment or reversal type transmittal.

    3. FROM CODE column always contains the literal RAW DATA indicating the computer run where BOB validity checks are first made.

    4. OF column is always blank.

    5. TO CODE column always contains the literal BOB indicating that the block was out of balance and was placed on the BOB File.

    6. FTD COUNT column contains the THR count, not the computed count.

    7. FTD AMOUNT column contains total amount of classified FTDs.

    8. TC1 field is the total money classified under Tax Class 1, 5, 6, 9.

    9. TC2 field is the total money classified under Tax Class 2.

    10. TC3 field is the total money classified under Tax Class 3, C, L.

    11. TC4 field is the total money classified under Tax Class 4.

    12. TC7 field is the total money classified under Tax Class 7.

    13. TC8 field is the total money classified under Tax Class 8.

  6. CCR in Record Type format.

    1. TTC column contains: Blank = Original input or BOB reinput not D-Coded previously. A = CB Error in THR amount. C = SC Error in THR field. D = partial block previously classified. F = block to be reinput and SC TCR not needed.

    2. TCC column contains: 3 if ordinary transmittal, 9 if adjustment or reversal type transmittal.

    3. FROM CODE column contains: RAW DATA (From Code 2) literal if CCR generated in Raw Data run. BOB (From Code 3) literal if CCR generated in BOB correction processing. ERROR (From Code 6) literal if CCR generated in Error correction processing. MANUAL (From Code M) literal if CCR generated during TEP processing for a manual delete. SCCF GEN (From Code S) literal if CCR generated during TEP processing for a SCCF generated delete. TEP GEN (From Code T) literal if CCR generated during TEP processing generated delete.

    4. OF column contain: Blank if not a SCCF generated TEP delete CCR. Since the CCR did not post to SCCF (for which a Delete record was generated, the source balance must be reflected in the Original From Code (OFC) to be able to reduce it. OFCs for SCCF generated TEP delete CCR: 2 = Raw Data (no real change in balances), 3 = BOB, 6 = Error.

    5. TO CODE columns contains: Up to three status changes per CCR. One CCR replaces up to 3 BCRs on other systems thus reducing processing time of CRs. Possible To Code literal combinations on each CCR. From Raw Data: ERROR = 6, GOOD = 7, from BOB Correction, THR ADJ = 5, ERROR = 6, GOOD = 7, or on a separate CCR; DELETE = 2. From TEP Deletion; DELETE = 2.

      Note:

      From Code literal will be Manual, SCCF GEN, TEP GEN depending on the source of the partial block's deletion.

    6. FTD COUNT columns contain the status change counts for each part of block coming from a given function.

    7. FTD AMOUNT fields contain the status change amounts for each part of block coming from a given function.

    8. TSN field contains: TSN stands for Good Tape Sequence Number. TSN is generated on CCR prior to the TLN sort for each partial block of FTDs on Good Tape. Blanks = CCR with To Code other than 7. YDDDNNNNNNN = CCR with To Code 7. TSN enables SCCF generated Release and Delete Records to be sorted from TLN sequence back to random input sequence.

3.5.17.42  (01-01-2008)
Control Record List Summary Report—FTD 61–46

  1. CRL Summary description.

  2. For every type of status change (valid From-To Code combination in CR) a line is printed showing the total count and amount for CRs validity checked in CRL. (See Figure 3.5.17-147).

  3. Table of From-To Codes with related literals. (See Figure 3.5.17-148).

    Figure 3.5.17-147

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

    Control Record List Summary

    Figure 3.5.17-148

    Record Type To Code From Code
         
    TCR 0 = SC 0 = SCF ENTITY
      1 = FRB 0 = SCCF ENTITY
         
    SAR 0 = SC 1 = SCCF ADJ
      1 = FRB 1 = SCCF ADJ
         
    BCR 2 = RAW DATA 3 = BOB
         
    RCR 2 = RAW DATA 9 = REPORT CL
      3 = BOBS 9 = REPORT CL
         
    CCR 2 = RAW DATA 2 = DELETE
        6 = ERROR
        7 = GOOD
         
      3 = BOB 5 = SCCF ADJ
        6 = ERROR
        2 = DELETE
        7 = GOOD
         
      6 = ERROR 7 = GOOD
        2 = DELETE
         
      S = TEP SCCF 2 = DELETE
         
      M = MANUAL 2 = MAN DELETE
         
      T = TEP 2 = TEP DELETE

    Table of From-To Codes

3.5.17.43  (01-01-2008)
SCCF—FTD 61–60

  1. The primary purpose of the SCCF processing is to balance and control all transmittals processed by the FTD System. Without approval of the SCCF, no FTD will be released to post to the MasterFile. The SCCF record is divided into four sections. (See Figure 3.5.17-149).

  2. Transmittal Section—This section contains the TLN (Transmittal Locator Number), the FTD Sequence Number, and various processing dates.

  3. Indicator Section—These indicators keep track of which reports have been requested and/or printed, which required control records have been posted, and what the status of the SCCF record is, such as BOB status or whether or not an imbalance condition is present. The indicator section must meet the following requirements before merging onto the Historic and Block Completion List at Month-End. Important: Manual Adjustments are permitted only on items c, d, and g below.

    a. SPC—(Submission Processing Campus) Indicator must equal 1
    b. FRB—(Federal Reserve Bank) Indicator must equal 1
    c. III—(Initial Input Indicator) must equal 1
    d. BI—(BOB Indicator) must equal 0
    e. RCR—(Classified Status Indicator) must equal 1
    f. TII—(SPC-FRB-Imbalance Indicator) must equal 0
    g. ADSI—(Action Delete Status Indicator) must equal 0
    h. FDCRI—(Federal Reserve Bank Day Classified Report Indicator)
    must equal
    1 or 0/2 if SCFDI is 1.
    i. SCFDI—(Subsequent Classified Federal Reserve Bank Day Indicator)
    must equal
    1 or 0/2 if FDCRI is 1
    j. FMCRI—(FRB Monthly Classification Report Indicator)
    must
    1
    k. ZBI—(Zero Balance Indicator) must equal 1

  4. Balance Section—Current balances reported by the SPC and FRB are maintained in this section as well as the count amount of FTDs in BOB status, Error status, Good status, and those Awaiting Transcription. The total number of FTDs that have been classified and the amount of money classified in each tax class is also maintained.

  5. Transaction Section—For each control record posted to the SCCF a transaction is created containing the FTD-From-Code, FTD-To-Code, the number of FTDs, and the money amount carried on the control record and the date the control record posted. A transaction count is kept in the Indicator Section.

    Figure 3.5.17-149a

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

    Figure 3.5.17-149b

    1 - Transmittal Section
    2 - Indicator Section
    3 - Balance Section
    4 - Transaction Section

    Service Center Control File

3.5.17.44  (01-01-2008)
Block Deletion/Release Records

  1. Block Deletion/Release Records tape is generated from SCCF posting/rejection analysis of all "Good" status CCR Tapes used as input into the TEP run to release/delete the related blocks on the "Good" transaction tape.

  2. Deletion Records will be indicated on the TEP Deleted Records List, FTD 77–43, and the SCCF Generated Block Delete List, FTD 61–54. (See Figure 3.5.17-156).

  3. This Block Delete/Release Tape completes the feedback loop into TEP for data control violations discovered by the SCCF.

  4. When an invalid CCR with a code of "7" (Good Tape) is printed on the invalid posting transcripts, a S-2 record is generated during TEP processing. This S-2 record will hit the posting transcript the next day.

  5. A SCCF Delete can be reinput prior to the S-2 being posted if the original From Code of the S-2 is "2" (Raw Data).

  6. Be sure to input appropriate SCCF adjustments prior to the reinput of the block.

3.5.17.45  (01-01-2008)
SCCF Invalid Posting Transcript FTD 61–40

  1. Review all FTD 61–40, SCCF Invalid Posting Transcripts. Correct all errors indicated by SCCF Error Codes.

  2. Ensure the errors indicated on the SCCF Invalid Posting Transcript Summary are researched for the FTD Sequence Number and deleted off the FTD 54–40, Error Register the same day.

  3. Ensure the BOB error(s) indicated on the SCCF Invalid Posting Transcript are researched and deleted off the FTD 53–40 FTD BOB Register the same day.

    1. Whenever a block of work is to be reprocessed, it should be noted for SCRIPS or ISRP that the work should be reprocessed using the original IRS received date if available, if not available, use the current date.

    2. If the FTD coupon deposit date is different than the AOC deposit date, mark in pencil the "IRS USE ONLY" box that is designated on the FTD coupon.

  4. Mark through the original FTD Sequence Number and balance the block before it is processed through SCRIPS. This applies to all transmittal blocks that must be resolved on the SCCF Invalid Posting Transcript. (See Figure 3.5.17-150).

    Figure 3.5.17-150

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

    Service Center Control File Invalid Listing

3.5.17.45.1  (01-01-2008)
Transcript Code 53

  1. Definition: Transcript Code 53, when a CR (other than FRB TCR or SAR) will not post because SCCF module's ADSI is on.

  2. Resolution:

    1. If invalid condition which caused ADSI to be turned on is corrected, prepare SCCF Adj. to turn off ADSI.

    2. Do not change ADSI if invalid condition is unresolved.

    3. As long as ADSI is on. Records on Good Tape will be deleted during TEP. No CR other than FRB TCR or SAR with ADSI turn off present will be allowed to post to the SCCF module.

3.5.17.45.2  (01-01-2008)
Transcript Code 54

  1. Definition: Transcript Code 54, a duplicate SC TCR.

  2. Resolution: Compare the TLN of the duplicating AOC with the TLN on the SCCF Invalid Transcript List.

    1. If the money amount is different, research FTD 66–47 (Missing FRB/Depository Transmittals) for the money amount and matching ABA of the duplicating TLN. If found, prepare a Transmittal Replacement (Form 8164) using the information from FTD 66–47 (Missing FRB/Depository Transmittals) and reinput the block. If not found, reinput using "S" and the current date in the branch code position. Annotate the SCCF Invalid Posting Transcript. After examining the original module, further research may be necessary. The originating bank should be notified to use a different series of transmittal numbers.

    2. If the money amount and deposit date are the same, pull the original block of work. Cross reference the FTD Sequence Numbers on both blocks and re-file. (DO NOT reinput the block). Annotate the SCCF Invalid Posting Transcript.

    3. If the TLN has been scanned incorrectly, prepare Form 8164 with the correct information and reinput. In order to correctly get the block through SCRIPS, it may be necessary to prepare a Transmittal Replacement (Form 8164) using the exact information. Annotate the SCCF Invalid Posting Transcript.

    4. Prepare SCCF adjustment (Form 5891) to turn off the ADSI for all problems listed above. Annotate the SCCF Invalid Posting Transcript.

3.5.17.45.3  (01-01-2008)
Transcript Code 55

  1. Definition: Transcript Code 55, duplicate FRB TCR.

  2. Resolution: Block off the money amount for the duplicating FRB TCR and compare it with money amount for the original module.

    1. If money amounts are not the same, check the FTD 66–47 (Missing FRB/Depository Transmittals) report for duplicating amount and ABA number.

    2. If found, input Form 6143 with matching TLN information from FTD 66–47 (Missing FRB/Depository Transmittals).

    3. If not found, input Form 6143 with FRB code, ABA number, Branch Code ("S" and current date), Transmittal Serial Number, deposit date, count, money amount, and FRB Day Batch (same as the duplicating FRB).

    4. If still not found check SCCF Invalid Posting Transcript for prior days and reinput as above. Annotate the SCCF Invalid Posting Transcript.

    5. If money amounts are the same, check the FRB verification listing to see if the amounts are actually on the listing twice. If not, check for SPC errors. If found, annotate the SCCF Invalid Posting Transcript and do not reinput the record.

    6. If money amounts are on the FRB verification listing twice, return the money to St. Louis FRB. Annotate the SCCF Invalid Posting Transcript as "True Duplicate" .

    7. If the deposit dates are the same, contact the bank for an explanation.

    8. Information will be marked on the classified report for preparation of Form 5526 and SF 5515 by technician.

3.5.17.45.4  (01-01-2008)
Transcript Code 56

  1. Definition for Transcript Code 56:

    1. BI is on, and BCR is present with TTC unequal to "D" (same as "1" when processed through SCRIPS).

    2. A duplicate block or the same block input twice has BOB'd while the original block is also in BOB status.

    3. Partial blocks (after original block had balanced) reinput from Error or TEP would be valid.

  2. Resolution:

    1. If it is determined that block is duplicate, delete block from the BOB's.

    2. If TTC of "D" (same as "1" ) was not entered on THR for Error Delete and TEP reinputs.

    3. Delete partial block from BOB, enter "D" (same as "1" ) in TTC of THR. Reinput partial block. Prepare SAR to turnoff ADSI.

3.5.17.45.5  (01-01-2008)
Transcript Code 59

  1. Definition for Transcript Code 59:

    1. RCRI is on and CRPT RCR is present.

    2. Occurs if duplicate block input.

    3. Occurs if "D" (same as "1" ) not punched in TTC on THR for reinput block from Error or TEP.

    4. This will prevent erroneous money amount from being reported on FRB reports.

    5. ADSI has been turned on.

  2. Resolution:

    1. If wrong TLN was assigned, causing duplicate posting attempt, TEP will delete from Good Tape automatically. Delete any remaining records for the TLN from Error Register. Prepare SCCF Adj. to turn off ADSI. Prepare Form 8164 with correct TLN. Route block to SCRIPS for reinput.

    2. If TLN is correct, insure that "D" was entered in TTC field on THR for deleted reinputs from Error and TEP.

    3. If "D" was not entered in TTC, use the procedure outlined in a above.

3.5.17.45.6  (01-01-2008)
Transcript Code 60

  1. Definition for Transcript Code 60:

    1. Combined count or amount from CCR or RCR is larger than those of the Current SC TCR Balance.

    2. ADSI is turned on.

    3. Modules with TCC of "9" are not subject to this error condition.

  2. Resolution:

    1. Suspect one of the following errors: Duplicate block having been input, erroneous TLN input in THR, error delete or TEP reinput without TTC of "D" input in THR.

    2. Prepare SCCF Adj. to turn off ADSI after resolution (similar to Transcript Code 59 above).

3.5.17.45.7  (01-01-2008)
Transcript Code 62

  1. Definition for Transcript Code 62:

    1. Status change of CCR or RCR has count and/or amount larger than that of the function balance (From Code) from which it is coming.

    2. CCR with From Code of 6 and To Code of 7 and amount of $100 attempts to post to SCCF module with Error Balance of $50.

    3. ADSI is turned on.

    4. Modules with TCC of 9 are not subject to this error condition.

  2. Resolution:

    1. Count or amount need only be larger than source (From) function.

    2. Similar also to Transcript Code 60 above.

    3. If coming from Transcription, Awaiting Transcription Balance (From Code 2) is used to test for error condition.

    4. Prepare SCCF Adj. to turn off ADSI when error condition is resolved.

3.5.17.45.8  (01-01-2008)
Transcript Code 63

  1. Definition for Transcript Code 63:

    1. Any status change of CCRs or RCRs count or amount which, if added to the function (To Code) balance to which it is going, would have a count or amount exceeding the current SC TCR balance.

    2. Example: CCR with From Code of 6 and To Code of 7 and amount of $100 attempts to post to SCCF module with good balance of $100 and current SC TCR balance of $150. Total money in good balance would be $200 if CCR were posted.

    3. ADSI is turned on.

    4. Modules with TCC of "9" are not subject to this error condition.

3.5.17.45.9  (01-01-2008)
Transcript Code 64

  1. Definition for Transcript Code 64:

    1. SCCF Adjustment Record does not find module to post to.

    2. In the FTD system, a SCCF Adjustment Record can not establish a module, but only add or subtract from an existing module.

    3. Only a TCR can establish a SCCF module.

  2. Resolution:

    1. If module needs to be established, input new TCR.

    2. Reinput SAR the following day if TCR was delayed on input to SCCF.

3.5.17.45.10  (01-01-2008)
Transcript Code 65

  1. Definition for Transcript Code 65:

    1. CCR from Control Record Posting Tape has To Code of "7" and no module is established.

    2. A Delete Record is generated on SCCF Block Release Delete Tape for input to TEP.

    3. A line is printed on the SCCF Generated Block Delete List.

  2. Resolution:

    1. Computer generated records ensure the FTDs are deleted from Good Tape during TEP processing.

    2. Correct error condition and turn off ADSI.

3.5.17.45.11  (01-01-2008)
Transcript Code 66

  1. Definition for Transcript Code 66:

    1. CR is other than TCR or CCR with To Code other than "7" and no module is established to post to.

  2. Resolution: Same as Transcript Code 64.

3.5.17.45.12  (01-01-2008)
Transcript Code 67

  1. Definition for Transcript Code 67:

    1. SC TCR Indicator is off (FRB, TCR has established module) and BCR, RCR, SAR with From Code of 0, or CCR from CRPT is attempting to post.

    2. FRB TCR can establish a module, but CR's other than SC TCR or FRB SAR can not post yet.

    3. Only a posted SC TCR will allow computer generated CR to post (CCR, BCR, SAR with From Code of "0" ).

  2. Resolution: Same as for Transcript Code 64.