3.10.5  Batch/Block Tracking System (BBTS)

Manual Transmittal

November 08, 2013

Purpose

(1) This transmits interim guidance to IRM 3.10.5, Campus Mail and Work Control, Batch/Block Tracking System (BBTS).

Material Changes

(1) Throughout the IRM are editorial changes and updated figures to reflect current screens.

(2) 3.10.5.2(1) Added abbreviation for Document Locator Number.

(3) 3.10.5.2(5) Added abbreviation for Submission Processing.

(4) 3.10.5.3 Added new figure illustrating OL5081 web site.

(5) 3.10.5.3(3) Added detailed instructions on completing OL5081's for BBTS access.

(6) 3.10.5.4 Added addition information regarding Local BBTS Coordinators.

(7) Exhibit 3.10.5-2 Added acronyms for Consolidated Data Depository, Production Control and Performance Reporting, Production Inventory Monitoring System, Service Center Control File and Submission Processing.

Effect on Other Documents

IRM 3.10.5 dated October 30, 2012 (effective 01-01-13) is superseded.

Audience

These instructions will be used by employees in Wage and Investment (W&I) and Small Business and Self Employed (SB&SE).

Effective Date

(01-01-2014)

Paul J. Mamo
Director, Submission Processing
Customer Account Services
Wage and Investment

3.10.5.1  (01-01-2014)
Introduction

  1. The Batch/Block Tracking System (BBTS) is a comprehensive, integrated batch creation and tracking program. BBTS is the control and tracking system for the submissions as they make their way through pipeline processing.

  2. BBTS resides at the Enterprise Computing Center (ECC-MEM) in Memphis, Tennessee.

  3. BBTS captures and stores data regarding receipts and production volume. As a result, BBTS stores a vast amount of data which can be used in performance monitoring and production projections.

3.10.5.2  (01-01-2014)
Overview

  1. BBTS consists of a series of menus and work screens which incorporates batch number generation, Document Locator Number (DLN) generation, (generated on-line, without the possibility of duplication), batch tracking, roadmapping capabilities, (only the cart number and slot need to be input), batch deletions, paperless adjustments and rollbacks, automatic Master Control Record (MCR) generation, on-line reports for users and managers, and automatic generation of Form 9382, Form 1332, Form 813, and Form 813-A generated into an Adobe Acrobat software file, and then printed locally on a laser printer.

  2. Once the information is entered and committed to the system, BBTS assigns a batch number while generating Form 1332, Block and Selection Record, and Form 9382, Batch Transmittal.

  3. Errors in batch creation are virtually non-existent. Almost all entries are validated at the time of input, and no record may be committed to the database until all errors are corrected.

  4. The final-batch process creates all roll-back adjustments automatically for every function through which a batch has travelled. The batch release screen allows the user to view/release only those batches which currently reside within their function.

  5. Each campus can access BBTS via their workstation web browser via the Submission Processing (SP) Web site.

  6. Each campus will be differentiated by the use of their site's File Location Code (FLC).

  7. The system identifies users by their Login Name and to which campus the users are assigned and will automatically append the FLC to the record.

    Note:

    The FLC will not be visible (in most cases)

  8. When the user runs reports on BBTS production site, the system will return only those records which apply to that particular campus.

  9. All of these steps greatly reduce the possibility of errors, while increasing both the quality and quantity of work processed.

  10. The instructions in this section are provided as a reference for the functional areas engaged in BBTS operations.

    Managers should ensure that each BBTS workstation operator has their own copy of this IRM.

3.10.5.3  (01-01-2014)
On-Line 5081

  1. An On-Line 5081 (OL5081) must be submitted to request access to BBTS.

  2. Employees and/or Managers are responsible for inputting OL5081s.

    Figure 3.10.5-1
    This image is too large to be displayed in the current screen. Please click the link to view the image.

  3. New campus users will need to select ‘Request New Application’. The user will then select the appropriate OL5081 Application Name for their site as follows:

    1. Andover Users will select ‘BBTS-ANIRSC’.

    2. Atlanta Users will select ‘BBTS-ATIRSC’.

    3. Austin Users will select ‘BBTS-AURISC’.

    4. Brookhaven Users will select ‘BBTS-BIRSC’.

    5. Cincinnati Users will select ‘BBTS-CIRSC’.

    6. Fresno Users will select ‘BBTS-FIRSC’.

    7. Kansas City Users will select ‘BBTS-KIRSC’.

    8. Memphis Users will select ‘BBTS-MIRSC’.

    9. Ogden Users will select ‘BBTS-OIRSC’.

    10. Philadelphia Users will select ‘BBTS-PIRSC’.

    Figure 3.10.5-2
    This image is too large to be displayed in the current screen. Please click the link to view the image.

  4. Managers will determine who has access to the BBTS system. Managers will designate which functions and screens the BBTS user will need to access in the special remarks section in OL5081 or no permissions will be granted.

  5. After management approval the OL5081 request will be delivered electronically to the OL5081 administrator for action.

3.10.5.4  (01-01-2014)
BBTS Coordinator

  1. Local BBTS Coordinators are designated as OL5081 Administrators and as such are responsible for approving On Line 5081s after reviewing the On-Line 5081 request and completing the action requested in the OL5081.

    1. Local BBTS Coordinators are responsible for obtaining OL5081 E-mail notification for the appropriate OL5081 access group. Forms requesting additions (or deletions) from the BBTS approval groups for OL5081 E-mail notification are completed by the Local Coordinator. All Forms must be approved by the Headquarters BBTS Coordinator/Analyst and local management.

    2. Instructions for approving OL5081 requests can be found on the OL5081 website under the heading of "Approver Guide", located in the left hand column of the home page.

    Note:

    The OL5081 homepage is located at "https://ol5081.enterprise.irs.gov".

  2. The Local BBTS Coordinator will grant screen access to others (managers and/or functional coordinators) and allow them to grant access to the BBTS users.

  3. The Local BBTS Coordinator will add, delete, enable, or disable accounts, and grant user access by adding records to the Security User File.

    Note:

    Security Maintenance controls which screens the BBTS user can access. For example, if a user is granted access to the screen as Function 190 only, the user will not be able to generate With-remit DLNs.

  4. The Local BBTS Coordinator is responsible for the DLN Reference File, Pipeline Inventory Monitoring System (PIMS) Maintenance, PIMS Estimates, PIMS Closeouts, Route Files and the actions required to maintain the User Security File.

3.10.5.5  (01-01-2014)
Batch/Block Tracking System (BBTS)

  1. The BBTS Production Web Site is accessed directly at the following web address: http://ts00086.tcc.irs.gov:7777/pls/web_query.bb_10g_home.

  2. Within the BBTS Production Web Site authorized users can add, change, and delete various production data as appropriate.

  3. Users may also access BBTS, from the SP Home Page at: http://win.web.irs.gov/SP. Under the heading"Library Websites" the user should click on the sub-heading "Specialty Websites", and then click on the link to the CDD link to BBTS website".

    Figure 3.10.5-3
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Figure 3.10.5-4
    This image is too large to be displayed in the current screen. Please click the link to view the image.

  4. The link can also be found on the SP Home page by scrolling down to the "Programs" heading found in the right hand column and click on the "Monitoring Reports" link. The Monitoring Reports page will appear, click on the "BBTS Consolidated Data Depository"

    Figure 3.10.5-5
    This image is too large to be displayed in the current screen. Please click the link to view the image.

  5. The BBTS CDD web site will appear. Click on "Production Web Site" under the "Batch/Block Tracking System" heading located beside the first bullet.

    Note:

    A user name and password are required to access the "Production Web Site" and will be assigned through the OL5081 process.

    Figure 3.10.5-6

    Figure 3.10.5-6
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    BBTS Consolidated Data Depository (CDD) Home Page

  6. When the BBTS Unauthorized Access WARNING Screen appears, click on the "OK" button. It takes a few moments for the Java Applet software to load before the BBTS Logon Screen appears. See Figure 3.10.5-7

  7. When the BBTS Logon Screen appears, enter the following to logon:

    • Your Username

    • Your Password

    • The Database: bbts

  8. Click on the "Connect" button.

  9. The system will prompt you to create a new password by requiring the user to:

    • Enter the old password.

    • Create a new password.

    • To verify the newly created password.

    Note:

    When creating new passwords the special characters underscore ("_"), ampersand ("&") and asterisk ("*") should not be used.

  10. Click on the "Connect" button.

    Figure 3.10.5-7
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    BBTS Logon Screen

3.10.5.5.1  (01-01-2014)
BBTS Main Menu

  1. After you have logged on successfully, the BBTS Main Menu appears. See Figure 3.10.5-8

    Note:

    The appearance of users Main Menu will vary depending upon approved access level.

    Figure 3.10.5-8

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

    BBTS Main Menu

  2. The BBTS Main Menu has the following menu choices:

    • Processing

    • Maintenance

    • Adjustments

    • PIMS

      Note:

      For those with approved access level.

    • Reports

  3. The Menu bar is located at the top of the screen and lists the following choices:

    • BBTS

    • Navigate

    • Exit

    • Window

  4. Click on "Navigate" in the Menu bar to select a BBTS Screen or Report. Select "Navigate" if you want to move from one screen to another screen. See Figure 3.10.5-9

    Note:

    Avoid selecting "Exit" which will log you off BBTS.

  5. The arrow (>) to the right of the menu items indicates that there is a sub-menu.

    Figure 3.10.5-9
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Navigating to the BBTS Main Menu

3.10.5.5.2  (01-01-2014)
Processing Menu

  1. The Processing Menu has the following 2 sub-menu choices, (with their own sub-menus):

  2. Processing Menu

    Batching

    • Batch Creation

    • DLN Generation

    • Batch Release

    • Batch/Block Volume Change

    • Automated Roadmap

    • Batch Check-In

    • Batch Deletion / Restoration

      Caution:

      Batch Restoration selection after a batch has been deleted may result in creation of a duplicate copy of the previously deleted batch. Parameters of the batch (e.g., number of documents or function location) may be automatically changed without warning. Inform the local BBTS Coordinator of all batch restoration activities prior to completing a batch restoration.

    • Batch Rollback

    • W/R (With Remit) Batch Rollback

    • Entity Batch Creation

    • Entity Release

    • Entity Volume Change

    • Entity Batch Deletion

    • Entity Batch Assignment

    • Entity Batch Slip Re-print

    Non-Batching

    • 813 Entry / Reconciliation

    • Off-Line DLN Generation

    • Unit Production Log

    • ISRP RPSID Generation Screen

3.10.5.5.3  (01-01-2014)
Maintenance Menu

  1. The Maintenance Menu has the following sub-menu choices:

    • DLN Reference File

    • Program/Route Cross-Reference

    • User Security File

    • Output File Creation

    • Unit Production Log

    • PCC (Production Control and Performance Costing) Production Adjustments

    • Program Code Maintenance

    • SCCF (Service Center Control File) Exceptions

    • Route Change

    • DLN Assignment

    • Create Supplemental PCC

    • User Information

    • Entity User Maintenance

    • Entity Program Code Maintenance

    • Entity Batch Description Maintenance

    • Entity Program Batch Desc Xref (Cross reference)

3.10.5.5.4  (01-01-2014)
Adjustments Menu

  1. The Adjustments Menu has the following choices:

    • Batch Profile Adjustment Log

    • Daily Production Adjustment Log

    • Employee Detail Adjustment Log

    • Manager's Performance Adjustment Log

    • Daily Performance Adjustment Log

  2. The Adjustments Menu is consisting of five types of adjustments which allow the user to adjust performance (hours and cost) and production (volumes, cycles, received dates, etc.) data elements.

    Note:

    Only designated personnel will have the approval level to have access to this menu option.

3.10.5.5.5  (01-01-2014)
PIMS Menu

  1. The Pipeline Inventory Monitoring System (PIMS) Menu has the following choices:

    • PIMS Maintenance

    • PIMS Estimates

    • PIMS Closeout

  2. PIMS is a program within BBTS used by Managers and Production Monitors for monitoring receipt patterns, volumes received and processed by the pipeline, and for scheduling purposes.

3.10.5.5.6  (01-01-2014)
Reports Menu

  1. The Reports Menu has the following choices: See Figure 3.10.5-10

    • Re-print Transmittals

    • Batch Query

    • Receipts Report

    • Production Report

    • Inventory Report

    • Late Cycle Report

    • Sorted MCR Report

    • Files Report

  2. The Reports Menu allows the user to access BBTS Reports. Depending upon the level of access a user has access to all of these reports may not be available to all users. These reports are used to track Receipts, Production, Inventory, Late Cycles, Query Batches and DLNs. With the "Reports" menu, users have the capability to reprint transmittals. See Figure 3.10.5-10

    Figure 3.10.5-10

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

    Navigating to the Reports Menu

  3. Production Report

    This application allows the user to generate a report which shows batches that are released by a specific Function Figure 3.10.5-11 since the last processing day cut-off. The report identifies the total volume of each program released as well as the total volume of all programs released. To generate the Production Report: See Figure 3.10.5-11

    1. "Navigate" to the "Reports Menu" .

    2. Click on the "Production Report" .

    3. Choose a function and press<ENTER>.

    4. "Limit the results to Program" (Optional). Press<ENTER>.

    5. "Production date" - the current date is generated. Use the MMDDYYYY format to change.

    6. "Navigate" to "Report" on the Main Menu Toolbar.

    7. Select "Print."

    8. Select "Report."

    9. System generates Report.

    10. Select "Print" and then select "OK" .

    11. Report prints.

    Figure 3.10.5-11

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

    Production Report Generation Screen

  4. Inventory Report

    This application allows the user to generate a report which shows the current inventory of a specified Function broken down by program. It also identifies the total inventory of the specified Function. To generate the Inventory Report:

    1. "Navigate" to the "Reports Menu" .

    2. Click on the "Inventory Report" .

    3. Select the appropriate function from the list.

    4. Click on "Report" in the Menu Toolbar.

    5. Select "Print" .

    6. Select "Report" .

    7. System generates Report.

    8. Select "Print" and then select "OK" .

    9. Report prints. Figure 3.10.5-12

    Figure 3.10.5-12

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

    Inventory Report

  5. Late Cycle Report

    This application allows the user to generate a report, which shows batches of work that are in jeopardy of missing the cycle date for the function in which they reside. After these batches are identified, they should be processed before the functional cycle date deadline. To generate the Late Cycle Report: See Figure 3.10.5-13 and Figure 3.10.5-14

    1. "Navigate" to the "Reports Menu" .

    2. Click on the "Late Cycle Report" .

    3. Enter a Function.

    4. Press<TAB> to skip the Program field. (Optional)

    5. Press<ENTER>to skip the MF Identification Code. (Optional)

    6. Enter a cycle (YYYY/CC). (Example 2014/20)

    7. Press<ENTER>.

    8. Enter the days in function. (Optional)

    9. Click on "Report" on the Toolbar.

    10. Select "Print" .

    11. Select "Late Cycle Report" .

    12. System generates report.

    13. Select "Print" and then select "OK" .

    14. Report prints.

    Figure 3.10.5-13

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

    Late Cycle Report Screen

    Figure 3.10.5-14

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

    Generated Late Cycle Report

  6. Batch Query

    This application allows the user to query on a single batch sequence number or a single block DLN. The user inputs either a batch number/program code combination or a DLN. To generate the Batch Query Report:

    1. "Navigate" to the "Reports Menu" .

    2. Click on the "Batch Query" screen.

    3. User may use one of the two (2) options "Active Batch" or "Active DLN" to query a batch. See instructions in (d) or (j).

    4. Click on "Active Batch" .

    5. Key in the 5 digit Program Number. Cursor automatically moves to the next field.

    6. Key in Batch Sequence Number. Press<ENTER>.

    7. Click on "Get Records" . This allows the user to view the current information pertaining to the Batch.

    8. Select "Print" and then select "OK" .

      Note:

      The Julian Date field consists of the Julian Date/YYYY.

    9. Report prints.

    10. Click on "Active DLN" Enter the DLN in the appropriate fields.

    11. Press<ENTER>.

    12. Click on "Get Records" . This allows the user to view the current information pertaining to the Batch.

    13. Select "Print" and then select "OK" .

    14. Report prints.

  7. Receipts Report

    This application allows the user to generate a report which shows receipts for a specific function. To generate the Receipt Reports:

    1. "Navigate" to the "Reports Menu" .

    2. Click on "Receipts Report" .

    3. The previous day's date is generated. If a date is needed other than the previous day's date enter the new date in MM/DD/YYYY format.

    4. Select a Function Code from the list of codes.

    5. Click on "Report" in the menu Toolbar.

    6. Select "Print" .

    7. Select "Report".

    8. System generates Report.

    9. Select "Print" and then select "OK" .

    10. Report prints.

  8. Sorted MCR Report

    This application allows the user to generate a report that shows a list of DLNs and associated volume sent to Master Control Record (MCR) the previous night. To generate the Sorted MCR Report:

    1. "Navigate" to the "Reports Menu." .

    2. Click on the "Sorted MCR Report" .

    3. Enter the work date in MM/DD/YYYY format.

    4. "Navigate" to the Toolbar and select MCR.

    5. Select "Print" .

    6. Select "Sorted MCR Report" .

    7. Select "Print" and then select "OK" .

    8. Report prints.

  9. Files Reports

    This application allows the user to generate a report that shows a list of all DLNs generated in the Campus. This Report is used in the Files area to assist them in determining the adequate shelving space for documents received. To generate the Files Reports:

    1. "Navigate" to the "Reports Menu" .

    2. Click on "Files Report" .

    3. Current Beginning and Ending Julian date and tax year is generated in NNN/YYYY format. This is the beginning and ending Julian dates for DLNs or batches to be researched.

    4. Enter the Tax class and/or Document Code. (Optional).

    5. "Navigate" to the Toolbar and select "Files" .

    6. Select "Print".

    7. Select "DLN Generate Report" or "Unprocessed Batches Report" .

    8. Select "Print" and then select "OK" .

    9. Report prints

3.10.5.5.7  (01-01-2014)
Block to Cart Assignment (Automated Roadmap) Screen

  1. The Block to Cart Assignment (Automated Roadmap) Screen allows the Error Correction/Data Control functions to keep track of batches of work on BBTS by cart number, slot number, and day of the week. By keeping track of the batches, Error Correction/Data Control can determine when each batch must be moved to the next function.

  2. "Navigate" to "Automated Roadmap" . See Figure 3.10.5-15

    Figure 3.10.5-15
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Navigating to the Automated Roadmap Screen

  3. Enter the "Program Code" .

  4. Enter the "Batch Number" .

  5. After entering the "Program Code" and "Batch Number" all the information for that Batch will appear.

  6. Enter the "Cart Number" then press<ENTER>.

  7. Enter the "Slot Number" . Use the arrow key if more than one DLN.

  8. "Navigate" to the Toolbar, select "Roadmap" . Select "Save" . See Figure 3.10.5-16

    Figure 3.10.5-16

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

    Block to Cart Assignment Screen

    Note:

    If a pop-up message appears with, "No matching batch found" , it indicates that research is needed. "Navigate" to "Batch Query" to identify what Function the Batch is in. See Figure 3.10.5-17

    Figure 3.10.5-17
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Pop-up Message: "No matching batch found"

3.10.5.5.8  (01-01-2014)
Form 6695 (Retention and Balancing)

  1. The generated Batch Transmittal Form 6695, is routed to Data Control for retention and balancing. See IRM 3.17.30.2.2.2, Form 9382 Batch Transmittal.

  2. Form 6695 are returned from Data Conversion after the MCRs have been established on Service Center Control File (SCCF). The form is used for count verification of generated Non-remittance MCRs. Its purpose is to assign and keep track of ABC's, track Remittance Processing System Identifications (RPSIDs) and print Form 1332 for each RPSID generated.

3.10.5.5.9  (01-01-2014)
Unit Production Log

  1. The Unit Production Log consists of Receipt and Production volumes for unique Organization, Function, Program (OFP) combinations. The log is completed by various types of work in order to maintain and update WP&C information. See Figure 3.10.5-18 and Figure 3.10.5-19 .

    1. "Navigate" to the "Unit Production Log Screen" .

      Note:

      The Work date and Julian Date are automatically displayed.

    2. Enter the appropriate 2-digit "Organization Code" and press<ENTER>.

    3. Enter the 3 digit "Function Code" . Press<ENTER>.

    4. Enter the 5 digit "Program Code" . Press<ENTER>.

    5. Enter the "Additional Receipts" processed for the week then press<ENTER>.

    6. Enter the "Additional Production" for the week then press<ENTER>.

    7. Verify that all entries are correct.

    8. If the information is correct, enter "Y" and press<ENTER>. A pop-up window indicates hold_dt=MMDDYYYY. Click "OK" . Cursor returns to the 2-digit "Organization Code" .

    9. If the information is incorrect, enter "N" to cancel and press<ENTER>. A pop-up window indicates hold_dt=MMDDYYYY. Click "OK" . Cursor returns to the 2 digit "Organization Code"

    Figure 3.10.5-18

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

    Unit Production Log Screen

    Figure 3.10.5-19

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

    Generated Unit Production Log

  2. Printing the Unit Production Report

    1. Click on "Tools" on the Menu Toolbar.

    2. Click on "Unit Production Log Report".

    3. Click on the "Org Code" on the lower left-hand side of the screen.

    4. Enter the appropriate 2 digit Organization Code then press<ENTER>.

    5. Select "Print Report".

    6. System generates Report.

    7. Select "Print" and then select "OK" .

    8. Report prints.

3.10.5.6  (01-01-2014)
Batching Screens

  1. Batching screens are accessed through the Navigate function on the main BBTS toolbar at the top of the screen, then selecting Processing and then Batching.

3.10.5.6.1  (01-01-2014)
Batch Creation Screen

  1. The Batch Creation screen is used to create batch numbers. BBTS systemically creates and assigns new batch numbers by "Program Number" , ranging from 0001 to 9999. Once BBTS reaches Batch Number 9999 for a Program Number, the next batch number for that same Program Number will be 0001.

  2. BBTS will create "re-circulating" batch numbers by Program Number and may create two Batch Numbers on the same day that are the same (but for different Program Numbers).

  3. To create a batch number, "Navigate" to the "Batch Creation" screen and enter the following. See Figure 3.10.5-20 .

    • Batch Type

    • Program Code

    • Batch Identification

    • DIP (Domestic, International or American Possession) Type

    • Batch Source

    • DLN Reference Number

    • Acct (Account) Type (IRP Only)

    • RRPS Residual Remittance Processing System)/Lockbox Batch?

    • Received Date

    • Alt (Alternate) Cycle Start

    • Days in Cycle

    • Release Date

    • Release Cycle

    • Route

    • Estimated Volume

    Figure 3.10.5-20

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

    Navigating to the Batch Creation Screen

3.10.5.6.2  (01-01-2014)
Non-Remit Batch Creation Screen

  1. This screen is used primarily for batches of standard, un-numbered work (returns that are not yet identified with DLNs). "Navigate" to "Batch Creation" screen. See Figure 3.10.5-21

    Figure 3.10.5-21
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Non-Remit Batch Creation Screen

  2. The following information must be entered to establish Non-remit batches of work:

    1. "Batch Type-" Non-remit Pre-batch automatically appears in this field. Press <ENTER>. The cursor will move to the Program Code field.

    2. Program Code- The "Program Code" is the 5 digit Program Code assigned to the batch. Enter the "Program Code" and the cursor will automatically move to next field.

      Note:

      This field also offers a pop-up screen by selecting "Tools" and "List of Values" .

    3. Batch ID- Enter the "Batch ID" information or leave blank. Press<ENTER>.

    4. Batch Number- The "Batch Number" is automatically generated at the end of this process.

    5. Batch Source- The "Batch Source" automatically defaults to "Standard" . If the "Batch Source" type is not Re-input, Reprocessable or Odd Batch, press<ENTER> and the cursor will automatically move to next field. If the "Batch Source" type is a Re-input, a Reprocessable or Odd Batch, see below.

    6. DLN Reference Num- The "DLN Reference Number" is a 1–4-digit number assigned to DLN Reference established for a program. Enter the "DLN Reference Number" for the batch and press<ENTER>.

      Note:

      (1) This field also offers a pop-up screen by selecting "Tools" and "List of Values" . (2) This field auto-populates if there is only one choice available in the DLN Reference file for the five-digit Program Code entered.

    7. Acct Type- The "Acct (Account) Type" box is used for all IRP batches (Schedule K-1s, etc.).

    8. RRPS/Lockbox Batch- This field automatically defaults to "No" . If the batch is a "RRPS/Lockbox Batch" , use the down arrow to select "Yes" then press<ENTER>.

    9. Received Date- This date is automatically generated in Julian Date/Year format (NNN/YYYY). If the date is correct, press<ENTER>. If the date is incorrect, manually enter the correct date and press<ENTER>.

    10. Alt Cycle Start- The "Alt (Alternate) Cycle Start" date is automatically generated in Julian Date/Year format (NNN/YYYY). If the date is incorrect, manually enter the correct date and press<ENTER>.

    11. Days in Cycle- Enter the "Days in Cycle" then press <ENTER>.

      Note:

      Refer to IRM 3.30.123, Cycles, Criteria and Critical Dates

    12. Release Date- The "Release Date" is automatically generated in Julian Date/Year format (NNN/YYYY). Press<ENTER>.

    13. Release Cycle- The "Release Cycle" is automatically generated then press<ENTER>.

    14. Route- The "Routing Paths" are listed in the "List of Values" . To view the list of routing paths, click on "Tools" , then "List of Values" . Enter the number that corresponds to the "Routing Path" selected then press<ENTER>.

    15. Estimated Volume- Enter the "Estimated Volume" of the batch then press<ENTER>.

    16. SCRIPS Block Count- The "SCRIPS Block Count" is used for programs controlled by BBTS but processed via SCRIPS, (Schedule K-1s, etc.).

    17. How many batches?- Enter the "number of identical batches" to be created then press<ENTER>.

    18. Continue- This field automatically defaults to "Y" to continue. If "N" is entered, the cursor automatically moves to the "Program Code" field.

  3. A pop-up window opens with the following message: "Batch created successfully." Press the <ENTER> key to complete the action.

    Note:

    If more than one (1) batch is created at the same time, only the last batch number created is shown.

  4. When the Batch has been entered and created, a Form 9382 is generated and the Batch automatically moves to the next function assigned within the Routing path.

  5. To print the Form 9382 use the following procedures: See Figure 3.10.5-22

    Figure 3.10.5-22

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

    Navigating to Print Form 9382

    1. Click on "Batch" on the menu bar.

    2. Select "Print" .

    3. Select "Form 9382" .

    4. A Batch Transmittal Form 9382 is generated. See Figure 3.10.5-23

      Figure 3.10.5-23

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

      Generated Batch Transmittal

    5. Select "Print" and then select "OK" .

    6. A pop-up window appears with the following message: "Did the Form 9382 report(s) print correctly?" See Figure 3.10.5-24

    7. Select either "Yes" , "No" (Print Again) or "Cancel" (Print Later).

    Figure 3.10.5-24

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

    Print Confirmation Pop-Up Window

3.10.5.6.3  (01-01-2014)
Entity Batch Creation Screen

  1. The Entity Batch Creation Screen pictured is used to create batch numbers. BBTS systemically creates and assigns new recirculating batch numbers for Entity work by "Program Number" , ranging from 000000 to 999999 returning to 000001 for a program that has previously generated batch 999999.

  2. To create a batch number, "Navigate" to the "Entity Batch Creation" screen and enter the following.

    • Program Code

    • Batch Description

    • IRS Received Date

    • Entity Received Date

    • Batch Volume

    • How many batches?

    • Auto Assignment

    • Continue?

3.10.5.6.4  (01-01-2014)
Manual Deposit Final Batch Creation Screen

  1. This screen allows the Batching Function to select and release blocks of returns from the Manual Deposit Function and establishes With-remit batches of work into the pipeline process. See Figure 3.10.5-25

    Note:

    This screen is dependent upon manual deposits reconciled in the 813 reconciliation screen. This type of batch creation automatically generates a second screen for DLN input and the user can only input the DLNs already generated prior to listing and balancing.

    Figure 3.10.5-25

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

    Manual Deposit Final Batch Creation Screen

  2. Click on the "Navigate" function to select and access the "Batch Creation" screen.

  3. Batch Type- From the drop down window use the mouse to click and select "Manual Deposit Final Batch". The cursor then will move automatically to the Program Code field.

  4. Program Code- Enter the 5-digit Program Code assigned to the Batch. The cursor automatically moves to the Batch ID field if the code is recognized as an acceptable code. If not recognized as an acceptable code the system will open up an additional window listing all available acceptable codes.

  5. Batch ID- Enter the Batch ID information or leave blank then press<ENTER>.

  6. DLN Reference Number- Click on "Tools" in the Menu Bar. Select "List of Values" . Choose DLN Reference Number then press<ENTER>. See Figure 3.10.5-26

    Figure 3.10.5-26
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Available DLN Reference Numbers Screen

  7. Received Date- Enter the "Received Date" from the Form 813 (the current date is automatically generated) in Julian Date/Year format (NNNYYYY) then press <ENTER>.

  8. Alternate Cycle Start Date- Automatically generated according to the Received date then press<ENTER>.

    Note:

    User cannot override this field.

  9. Days in Cycle- Enter the "Days in Cycle" then press<ENTER> .

  10. Release Date- Automatically generated then press<ENTER>.

  11. Release Cycle- Automatically generated then press<ENTER>.

  12. Route- Enter the number that corresponds to the Routing Path or click on "Tools". Click on "List of Values" then press<ENTER>. See Figure 3.10.5-27

    Figure 3.10.5-27

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

    Available Routes Screen

  13. A pop-up window appears with message. Select "OK" . The cursor is located on the FLC field. See Figure 3.10.5-28

    Figure 3.10.5-28

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

    Block Selection Screen

  14. Click on "Tools", then "List of Values". Use the down arrow to select the appropriate block. Press "OK" .

  15. A pop-up window appears, showing the DLN selected. Arrow down to the next line for the selection of the next block. Repeat Step 14. The volume increases as additional blocks are selected. See Figure 3.10.5-29

    Figure 3.10.5-29
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Available DLNs Screen

  16. Click on "Batch" , then "Save" . You are now ready to print the transmittal(s). Click on "Print", select Form 9382. A pop up window appears with the following message: "Did the Form 9382 report(s) print correctly?" The System will generate a Form 9382. Select "Print" and then select "OK" . Select either "Yes" , "No" (Print Again), or "Cancel" (Print Later).

3.10.5.6.5  (01-01-2014)
Non-Remit Input Screen

  1. For Reprocessables, Re-inputs and Odd Batches, use the Non-remit Input Screen.

  2. All information entered on the Non-remit Input Screen is taken from the Block Transmittal Form 813 (Accounting/Rejects), Form 9893 (Reprocessables/Re-inputs), and Form 1332 (Rejects).

  3. All information should be entered from the document itself, not the attachments (which may increase the risk of errors).

    1. Select the "Routing Path" . Once the routing path has been selected in the Batch Creation Screen, a pop-up window will appear. Press<ENTER>to complete the action.

      Note:

      "The Alpha Block Control" (ABC) automatically generates and fills the fields automatically. Since there are some Program Numbers for which more than one valid Tax Class/Doc Code combination is valid, you must select the valid Tax Class/Doc Code to be used.

    2. The cursor appears on the "FLC Field" . Enter the File Location Code.

    3. The cursor automatically moves to the "Julian Date field " .

    4. Enter the "Julian Date" "NNNYYYY" then press<ENTER>.

    5. Enter the "Block" number then press <ENTER>.

    6. Enter the "Serial" number (if required) then press<ENTER>.

    7. Enter the last digit of the year then press<ENTER>.

    8. Enter the count then press<ENTER>.

    9. Continue to enter the "DLNs" using the arrow down key.

    10. Write the "ABC" on the Form 3893, Form 1332 or Form 813 upon the entry of each DLN.

    11. On the Menu bar, click on "Batch" and then "Save" . See Figure 3.10.5-30

      Figure 3.10.5-30

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

      Navigating to Save on the Menu Bar

      Note:

      The cursor returns to the Batch Type field.

    12. Write the "Batch" number on the Form 3893, Form 1332 or Form 813.

    13. Click on "Batch" on the Menu bar and Select "Print" .

    14. Select Form 9382. An image of the generated Batch Transmittal Form 9382 appears. See Figure 3.10.5-31

      Figure 3.10.5-31

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

      Generated Batch Transmittal Form 9382

    15. Select "Print" and then select "OK" .

    16. A pop-up window appears with the following message: "Did the Form 9382 report(s) print correctly?" Select either "Yes" , "No" (Print Again), or "Cancel" (Print Later).

    17. Form 9382(s) prints.

3.10.5.6.6  (01-01-2014)
Batch Release Screen

  1. This screen allows the user to release batches of work that have been previously established to the next function in its specified route. This screen is used by Batching, Code and Edit, Data Conversion, and Entity functions.

  2. "Navigate" to the "Batch Release" screen for final release batches.

  3. Select the Function Code from the drop down list. See Figure 3.10.5-32

    Note:

    A user will only see a list of functions from which that user is authorized to release work. Some users will only see the Function for their user level

    .

    Figure 3.10.5-32
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Function Code Drop Down List

  4. Program Code- Enter the 5 digit program from the Form 9382, Batch Transmittal. The cursor automatically moves to the "Batch Number" field.

  5. Enter the "Batch Number" from the Form 9382, Batch Transmittal.

    1. If the "Batch Number" is less than four digits, press<ENTER> .

    2. If the "Batch Number" is entered as 4-digit, the cursor automatically goes to the next Program Code field.

  6. If any of the Batches are not in the Function, a message appears. See Figure 3.10.5-33

    Figure 3.10.5-33
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Pop-up Message, "One or More Batches Were Not Found in Function 230" .

  7. Click the "OK" button to show the Batch was not released.

  8. Check your transmittal for clarification.

3.10.5.6.7  (01-01-2014)
Batch Deletion

  1. This module allows the user to delete a batch when an error has occurred in any of the fields as long as the batch is deleted on the same day the batch was created. Various functions use this screen.

  2. To delete a batch:

    1. Select "Navigate" then click "Batch Deletion/Restoration" screen.

    2. Select "Delete Batch" from the three menu choices at the left.

    3. Enter the ""Program Number."" Press <Enter>.

    4. Enter the "Batch Number." Press <Enter>.

    5. A pop-up will appear indicating that the batch has been assigned to the next function in the selected routing path and ask if you want to delete the function just following the function in which you are working.

      Note:

      Caution should be taken when utilizing this functionality. The Batch Restoration selection should be used by only authorized individuals. This selection may automatically change parameters of the batch (such as function location of the batch or number of documents) automatically and without warning.

3.10.5.6.8  (01-01-2014)
Batch/Block Volume Change Screen

  1. "Navigate" to the "Batch/Block Volume Change Screen" in the Toolbar. See Figure 3.10.5-34

    Figure 3.10.5-34

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

    Navigating to the Batch/Block Volume Change Screen

  2. Enter the 5-digit "Program Code" from the Form 9382, Batch Transmittal. The cursor will move to the "Batch Number" field.

  3. Enter the "Batch Number" from the Form 9382 then press<ENTER>.

  4. All assigned DLNs for the Batch appear.

  5. Click in the "Actual Volume" column next to the DLN for volume to be corrected. See Figure 3.10.5-35

    Figure 3.10.5-35

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

    Old / Actual Volume Columns

    Note:

    This action places the incorrect volume in the "Old Volume" column.

  6. Make the change. Press <ENTER> and record will be highlighted and the partial release indicator will be checked.

  7. When finished with all volume changes, press the "Release Entire Batch" button for final release or use the procedures below for releasing a Partial Batch:

    • Navigate to "Batch/Block Volume" screen.

    • Enter the program and batch number from the Form 9382.

    • Click on the "Partial Release Indicator" boxes on the blocks to be released. The box will change to being "checked" and the record will be highlighted.

    • When finished, click on the "Release Partial Batch" button. All blocks "checked" will be released.

  8. If this block is to be deleted, follow the instructions in (9) below. See Figure 3.10.5-36

    Figure 3.10.5-36
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Navigating to Delete Block Record

  9. To Delete a Block Record:

    1. Click on "Tools" in the Toolbar.

    2. Click on "Delete block record" .

    3. Ensure that the correct DLN that is highlighted is selected before deleting.

    4. A pop-up sub-menu appears asking, "Are you sure you want to delete this DLN?" Click "Yes" or "No" See Figure 3.10.5-37

      Figure 3.10.5-37

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

      Delete DLN Confirmation Message

    5. When all volume changes and block deletes are complete, click on "Release Entire Batch" .

  10. Repeat instructions in (1) through (7) above to continue releasing batches of work.

3.10.5.6.9  (01-01-2014)
Batch Rollback Screen

  1. This screen is used to return a batch of work to a prior function as long as the release to that function occurred within the same BBTS day. For example, function 190 releases an incorrect batch of work to function 230. Function 190 can return the batch to their function as long as BBTS is still in the same day that the batch was originally released.

    Note:

    The user that commits the rollback action must be assigned under the function that the batch is located in at the time of the rollback.

    Note:

    Caution should be exercised whenever using this feature. Failure to follow guidelines for rolling back a batch could result in hung batches within the BBTS system.

  2. "Navigate" to "Batch Rollback" .

  3. Enter the "Program Code" and "Batch Number" to be rolled back from the Form 9382 then press <ENTER>.

  4. The current and prior function will appear on the screen then press <ENTER>.

  5. Click on "Move Back" .

  6. A Batch Rollback confirmation message appears with, "Batch has been returned to Function 230" . See Figure 3.10.5-38

    Figure 3.10.5-38
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Batch Rollback Confirmation Message

  7. Click on the "OK" button.

  8. Corrections can be made to this batch.

    Note:

    If a block of work has been changed to zero volume, it can not be Rolled Back.

3.10.5.7  (01-01-2014)
Printing Transmittals

  1. The function in this section will allow you to print with Remit DLN Generation Screens, Non Remit DLN Generation Screens, Form 9382 Batch Transmittals and 1332 Batch Transmittals.

3.10.5.7.1  (01-01-2014)
With-Remit DLN Generation Screen

  1. The DLN Generation Screen is used to establish a block of With-remit (W/R) returns processed by the Manual Deposit function. This application allows the BBTS user to input specific information used to generate With-remit (W/R) Block DLNs and Alpha Block Control (ABC) Codes. The DLN and the ABC for each block is established within the batch of work.

  2. "Navigate" to the "DLN Generation Screen" .

  3. With-remit automatically appears in the first field.

  4. Enter the 5-digit Program Code.

  5. The File Location Code (FLC) automatically generates. User may override then press<ENTER>.

    Note:

    The DLN date appears in 2 different formats: Julian Date/Year and MMDDYYYY.

  6. Enter the appropriate Reference Number then press<ENTER>. Refer to your local Reference file.

    Note:

    All information regarding Tax/Class, Doc Code, and Blocking Series (Begin/End) appears.

  7. Enter the number of DLNs needed then press<ENTER>.

    Note:

    A pop-up window appears with the list of DLNs requested. See Figure 3.10.5-39 and Figure 3.10.5-40

  8. Press "Continue" .

  9. Click on "DLNs" on the Menu Toolbar.

  10. Select "Print" and "Manual Deposit DLNs" .

  11. To Print:

    1. Click on the file.

    2. Select "Print" .

    3. Enter the number of copies needed.

    4. Click on "OK" .

    Figure 3.10.5-39

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

    Navigating to the DLN Generation Screen

    Figure 3.10.5-40

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

    DLN Generation Screen with requested DLNs

3.10.5.7.2  (01-01-2014)
Non-Remit DLN Generation Screen

  1. This process establishes the DLN and the ABC for each block within the batch of work. After the DLNs are generated for the Batch, a print of Form 9382 is needed.

  2. "Navigate" to the "DLN Generation Screen" . See Figure 3.10.5-41

    Figure 3.10.5-41

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

    Non-remit DLN Generation Screen

  3. Non-remit is highlighted. Press the <ENTER> key.

  4. Enter the 5-digit "Program Code" from the Batch Transmittal Form 9382. Cursor automatically moves to the next field.

  5. Enter the Batch number from the Form 9382, Batch Transmittal. If the Batch number is less than 4-digit, press<ENTER>. If the Batch number is 4-digit, the cursor will advance to the next field.

  6. Enter a 3-digit number in the "Docs per Block" field to indicate the block size (number of documents in the block) then press<ENTER>.

  7. The "File Location Code (FLC)" is systemically generated for regular pipeline systems. For some Non-Master File (NMF) and Information Returns Processing (IRP) batches, the cursor stops momentarily to allow the BBTS user to manually change the field. If no changes are needed, press<ENTER>.

  8. The cursor moves to the "DLNs Needed" field.

    Note:

    BBTS automatically calculates the number of "DLNs Needed" by the total volume of the batch and the documents per block.

  9. Is the number of DLNs correct? If "yes" , press<ENTER>. If "no" , click on the DLNs Needed field to override the number generated.

  10. BBTS assigns the number of DLNs requested. Use the scroll bar at the right of the screen to review the DLNs assigned.

  11. Click on "Continue" and repeat instructions in (1) through (11) above to assign DLNs to numerous batches at one time.

3.10.5.7.3  (01-01-2014)
Printing Form 9382 and Form 1332, Batch Transmittals

  1. After completing the instructions in IRM 3.10.5.6.1,click on "DLNs" located on the Menu Toolbar.

  2. Select "Print" select Form 9382. See Figure 3.10.5-42

    Figure 3.10.5-42
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Navigating to print Form 9382

  3. A pop-up window appears with the following message: "Did the Form 9382 (report) print correctly?"

  4. System generates Form 9382(s).

  5. Select "Print" and then select "OK" .

  6. Select the number of copies to print.

  7. Click "OK" . See Figure 3.10.5-43

    Figure 3.10.5-43
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Print Page

  8. A pop-up window appears with the following message, "Did the Form 9382 report(s) print correctly?" See Figure 3.10.5-44

    Figure 3.10.5-44

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

    Pop-up Window: "Did the Form 9382 report(s) print correctly?"

  9. Select either "Yes" , "No" (Print Again), or "Cancel" (Print Later).

  10. Form 9382 prints.

  11. Click on "DLNs" located in the Menu Toolbar.

  12. Click on "Print Preview" to ensure Form 1332 prints correctly. See Figure 3.10.5-45

    Figure 3.10.5-45

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

    Navigating to the Form 1332 Print Preview Page

  13. Select "Print" and then select "OK" .

  14. Select the number of copies to print. See Figure 3.10.5-46

    Figure 3.10.5-46
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Print Page

  15. Click on "OK" .

  16. A pop-up window appears with the following message: "Did the Form 1332 report(s) print correctly?"

  17. Select either "Yes" , "No" (Print Again) or "Cancel" (Print Later). If "Yes" is selected, Form 1332 will print. See Figure 3.10.5-47 and Figure 3.10.5-48

    Figure 3.10.5-47
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Print Confirmation Screen

    Figure 3.10.5-48
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Generated Form 1332

3.10.5.7.4  (01-01-2014)
Reprinting Batch Transmittals

  1. This application allows the user to reprint Batch Transmittal(s) Form 9382, Form 1332, and Form 813.

    Note:

    These forms are usually reprinted due to a mistake or misplaced form. See Figure 3.10.5-49

  2. "Navigate" to the "Reports Screen" .

  3. Click on the "Re-print Transmittal" .

  4. Enter the 5-digit "Program Code" .

  5. Click on the "Batch Number" field and enter the Batch Number.

  6. Select either "Reprint 9382" or "Reprint 1332" as appropriate. A pop-up window indicates Form 9382 successfully scheduled to print or Form 1332 successfully scheduled to be printed. Click "OK" .

  7. Select "Reports" on the Menu Toolbar.

  8. Select the "Print" option. Click on the form User wants to print.

  9. System generates forms.

  10. Select "Print" and then select "OK" .

  11. A pop-up window appears with the following message: "Did the Form 9382 or 1332 report(s) print correctly?" . Select either "Yes" , "No" (Print Again) or "Cancel" (Print Later).

  12. Follow the instructions in (2) through (11) above when re-printing Remittance Processing Identification (RPSIDs) transmittal.

  13. To Re-print a Form 813, Enter "DLN" . Select "Re-print 813". A pop-up window indicates Form 813 successfully scheduled to be printed. Click "OK" . Follow the instructions in (7) through (12) above.

    Figure 3.10.5-49

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

    Navigating to the Reprint Batch Transmittal Screen

3.10.5.8  (01-01-2014)
Document Locator Number (DLN), 813 Entry and RPSID Generation Screens

  1. This section covers how to navigate through the following screens: DLN’s, 813 Entry and RPSID Generation.

3.10.5.8.1  (01-01-2014)
ISRP RPSID Generation Screen

  1. The ISRP (Integrated Submission and Remittance Processing System) RPSID Screen allows the user to assign a RPSID number to all With-remit returns processed through Deposit and to delete a RPSID number that was erroneously assigned.

  2. "Navigate" to the "ISRP RPSID Generation Screen" . See Figure 3.10.5-50 and Figure 3.10.5-51

    Figure 3.10.5-50

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

    Navigating to the ISRP RPSID Generation Screen

  3. To create RPSIDs follow the instructions in (4) through (13) below.

    Figure 3.10.5-51

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

    Create RPSID Screen

  4. Enter the beginning RPSID number. Press<TAB>.

  5. Enter the Program number. Press<TAB>.

  6. Enter MFT. Press the <TAB> key.

  7. Enter the Transaction Code. Press<TAB>.

  8. Enter the Tax Year (YYYY). Press<TAB>.

  9. Enter the Tax Period (MM). Press<TAB>.

  10. Enter the Received Date (MMDDYYYY). Press<TAB>.

  11. Enter the number of RPSIDs. Press<TAB>.

  12. Select the "Generate RPSIDs" button.

  13. Screen displays list of generated RPSIDs.

  14. To print transmittals, select "BBTS", "Print", "Transmittal". See Figure 3.10.5-52

    1. Figure 3.10.5-52
      This image is too large to be displayed in the current screen. Please click the link to view the image.

      Navigating to the Print Transmittal Screen

  15. The Form 9382, Batch Transmittal(s) generates as an Adobe Acrobat pdf file. When the file has been generated print the transmittal(s). See Figure 3.10.5-53

    Figure 3.10.5-53

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

    Generated Batch Transmittal Form 9382

  16. After printing the generated Form 9382, Batch Transmittal(s), close Adobe Acrobat and return to BBTS. A message window appears with the following Pop-up message: "Did the Form 9382 report(s) print correctly?" Select either "Yes" , "No (Print Again)" , or "Cancel (Print Later)" . See Figure 3.10.5-54

    1. Figure 3.10.5-54
      This image is too large to be displayed in the current screen. Please click the link to view the image.

      Pop-up Window: "Did the Form 9382 report(s) print correctly?"

  17. The Form 1332, Block Header(s), generates as an Adobe Acrobat pdf file. When the file has been generated print the transmittal(s). See Figure 3.10.5-55

    Figure 3.10.5-55

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

    Generated Form 1332

  18. After printing Form 1332, Block Header(s), close Adobe Acrobat and return to BBTS. A pop-up message appears with the following message: "Did the Form 1332 report(s) print correctly?" . Select either "Yes" , "No (Print Again)" , or "Cancel (Print Later)" . See Figure 3.10.5-56

    Figure 3.10.5-56
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Pop-up window: "Did the Form 1332 report printed correctly?"

  19. To print additional sets of RPSIDs, "Navigate" to the Toolbar and click on "Tools", and select "Generate RPSIDs". Repeat instructions in (3) through (18) above. See Figure 3.10.5-57

    Figure 3.10.5-57

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

    Navigating to the Generate RPSIDs Screen

  20. To Delete RPSIDs that have been created under the incorrect Program Number, MFT, Transaction Code or a combination of items, use the following instructions: See Figure 3.10.5-58 through Figure 3.10.5-60

    1. Select "Tools"

    2. Select "Delete RPSIDs"

    3. Select the Program Code that was entered incorrectly then press<TAB>.

    4. Select the Starting RPSID that you want to delete then press<TAB>.

    5. Select the Ending RPSID that you want to delete then press<TAB>.

    6. Press the "Delete" button then press the<TAB> key.

    7. Screen displays a confirmation message displaying the RPSID range and Program code that you want to delete. Complete the process by selecting "yes" , to confirm deletion or "no" to cancel deletion.

      Figure 3.10.5-58

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

      Navigating to the Delete RPSIDs Screen

    Figure 3.10.5-59

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

    Delete RPSIDs Screen

    Figure 3.10.5-60

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

    Delete RPSIDs Confirmation Message

3.10.5.8.2  (01-01-2014)
813 Entry/Reconciliation Screen

  1. This screen allows the user to list and balance the individual money amounts in a block that has been assigned a DLN through the With Remittance DLN Generation Screen. The user will also have the capability to generate and print the Form 813 and Form 813–A.

  2. "Navigate" to "813 Entry/Reconciliation". See Figure 3.10.5-61

    Figure 3.10.5-61
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    813 Entry/Reconciliation Screen

  3. Select the DLN to be listed and balanced. The user will select the DLN previously generated through the With Remittance DLN Generation Screen:

    1. File Location Code and Tax/Class Doc Code.

    2. 3-digit Julian Date.

    3. Blocking series and the year digit.

    4. Click on "Tools" and select "List" .

  4. Individual money amounts (deposit credits only) must be listed for each Manual Deposit DLN. A maximum of 100 documents (serial numbers 00-99) can be entered per block DLN. The money amounts are entered from the actual payment documents (checks, money orders, etc.). See Figure 3.10.5-62

    Figure 3.10.5-62
    This image is too large to be displayed in the current screen. Please click the link to view the image.

    Listing Money Amounts Screen (Credit/Debit)

  5. Use the following instructions for Listing Money Amounts:

    1. Enter the Credit money amount then press<ENTER>. Use the up/down arrow to move to the corresponding credit money amount.

    2. Enter the Debit money amount ONLY if found on Form 3244, Payment Posting Voucher, and ONLY after its corresponding credit money amount is entered. Press <TAB> to move to the debit money amount field. To continue entering debit money amounts press<ENTER>. Press <ENTER> again to continue entering debit money amounts. The Totals credit money amount field increases as money amounts are entered.

    3. Select "Save" to commit the transaction when all money amounts have been entered. Select "Closed" .

    4. Enter the DLN to list additional blocks. Follow instructions in (a) through (c) above.

  6. Use the following procedures for Reconciliation to Balancing a DLN: See Figure 3.10.5-63

    1. Verify total amount from encoding tape versus totals listed for DLNs.

    2. Reconcile money amounts on checks with the deposit ticket and the Form 813.

    3. Select the appropriate DLN, File Location Code, Tax/Class Doc Code, 3-digit Julian date, Blocking Series and the year digit. Use the down arrow for each field.

    4. To change the indicator code, use the down arrow key and select one of the following indicator codes:

      • Courtesy Deposit

      • Manual Deposit

      • Cash Window

      • Foreign Deposit

      • User Fees

      • Installment Agreement

      • Reinstated Installment

    5. Click on "Tools" on the Menu bar and select "Balance". A pop-up window appears.

    6. Enter the total credit amount from the encoding tape then press<ENTER>twice.

    7. Select "Balance DLN" then press<ENTER>. The block will be checked identifying DLN is balanced.

    8. Click on the "Closed" button.

    9. Repeat (a) through (h) for additional blocks.

    10. The Form 813–A cannot be printed until the reconciliation process has been completed.

      Note:

      Once the manual deposit block has been listed, balanced, and reconciled, the user will generate and print the Form 813–A to commit the DLN to the Service Center Control File (SCCF).

    11. DLNs generated through off-line DLN generation are not established on SCCF through BBTS. These DLNs are generally established via Data Control Forms (813, etc.) transcribed in ISRP or by other systemic processes (Reject Reinput actions, etc.) or by manual IDRS SCCF adjustments in Data Control Accounting.

    Figure 3.10.5-63

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

    Reconciliation Screen (Balancing DLNs)

  7. Printing Form 813

    1. Click on "DLN" on the Main menu Toolbar.

    2. Select "Print" option and "Form 813".

      Note:

      The print jobs are output in the Adobe (PDF) format.

    3. Close the Adobe Acrobat window.

    4. The message "Did the Form 813 report(s) print correctly?" appears. See Figure 3.10.5-64

    5. Select either "Yes" , "No" (Print Again), or "Cancel" (Print Later).

    Figure 3.10.5-64

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

    Generated Form 813

  8. Generating and Printing Form 813–A

    1. Click on "Tools" on the Main menu Toolbar.

    2. Select "Generate Form 813–A(s)"

    3. A pop-up message appears: "Form 813–A generated. Do you want to print your Form 813–A?" . See Figure 3.10.5-65

    4. Select either "Yes" , "No" (Print Again), or "Cancel" (Print Later).

      Figure 3.10.5-65

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

      Form(s) 813-A scheduled to print are highlighted.

    5. A pop-up window appears. Form 813–A scheduled to print are highlighted.

    6. Select Print Form 813–A(s). Click on "Close" button.

      Note:

      The print jobs are output in the Adobe (PDF) Acrobat format. See Figure 3.10.5-66

    7. Close the Adobe Acrobat window.

      Figure 3.10.5-66

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

      Generated Form 813-A

    8. A pop-up window appears with the following message: "Did the Form 813–A report(s) print correctly?"

    9. Select either "Yes" , "No" (Print Again), or "Cancel" (Print Later). See Figure 3.10.5-67

    Figure 3.10.5-67

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

    Print Page

  9. Replacing a DLN

    1. Click on "Tools" on the Main Menu Toolbar.

    2. Select "Replace a DLN".

    3. A pop-up window appears with a list of DLNs not yet listed.

    4. Click on the selected DLN from the list.

    5. Click on "Replace a DLN". See Figure 3.10.5-68 and Figure 3.10.5-69

      Note:

      The replaced DLN must be balanced (The listings of credit and debit amounts are successfully moved to the new DLN).

    Figure 3.10.5-68

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

    Replacing DLNs Screen

    Figure 3.10.5-69

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

    Moved DLN Confirmation Message

  10. Removing a DLN from Form 813–A

    1. Upon the completion of the Recapitulation of the Document Register, Form 813–A, the user can recreate and remove a DLN from the Form 813–A. See Figure 3.10.5-70 and Figure 3.10.5-71

    2. Select the appropriate DLN using the down arrow for each field.

    3. The DLN includes the File Location Code and the Tax/Class Doc Code, 3-digit Julian Date, Blocking Series and the Year digit.

    4. Click on "Tools" . Select "Remove DLN from Form 813–A" .

    5. A pop-up window appears asking if the DLN should be removed. Select either "Yes" or "No" .

    6. Select "Yes" a pop-up windows appears. The DLN was successfully removed from the Form 813–A.

    Figure 3.10.5-70

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

    Pop-up window: "Are you certain you want to remove the DLN from its Form 813–A? You will not be able to undo this change"

    Figure 3.10.5-71

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

    Pop-up window: "The DLN was successfully removed from Form 813–A"

3.10.5.8.3  (01-01-2014)
Off-Line DLN Generation Screen

  1. The Off-Line DLN Generation Screen allows the user to establish Off-Line DLN Generation for Non-Master File (NMF) payments, returns sent from the Campus area offices.

  2. This screen is used for DLN renumbering performed in Rejects or in Accounting.

  3. This screen is also for Employee Plan/Exempt Organization (EP/EO) user fees. All NMF documents are pre-sorted into like area offices, and Master File (MFT) codes. EP/EO user fees are pre-sorted by form number only.

  4. The user assigns Document Locator Numbers (DLNs) to payments and returns. The payments and returns can be in the form of payment vouchers, such as Form 2424, Form 3244, , and Form 3413, and BMF and IMF returns.

  5. Follow the instructions below to generate DLNs:

    1. "Navigate" to the "Off-Line DLN Generation" screen. See Figure 3.10.5-72 and Figure 3.10.5-73

    2. Enter the File Location Code (FLC).

      Note:

      The cursor automatically moves to the next field.

    3. Enter the Tax Class.

    4. Enter the Document Code.

    5. Enter the Julian Date/Year then press<ENTER>.

    6. Enter the Start range.

    7. Enter the End range then press<ENTER>.

    8. Enter the number of DLNs required.

    9. Click on "Generate DLNs" .

    Figure 3.10.5-72

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

    Navigating to the Off-Line DLN Generation Screen

    Figure 3.10.5-73

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

    Off-Line DLN Generation Screen

Exhibit 3.10.5-1 
Glossary

Terms Definition
Batch A specific group of like documents.
Batch Sequence Number A 4-digit number used for tracking a batch of work.
Batch Transmittal Form 9382 is used as a control document for record of program, batch sequence number, ABCs, DLNs, received date, processing date, cycle, and volume.
Block A specific set of numbered documents from a batch of work.
Block and Selection Record Form 1332 used for Non-remit documents. This individual information sheet, referred to as the block header, contains an ABC, DLN, tax year, transaction code, batch sequence number, tax period, received date, and DIS program, all of which correspond to a specific transmittal.
Blocking Series The 9th, 10th and 11th digits in a DLN which indicates the block number of the return. Up to 100 sequence numbers may be associated with one block number 00 through 99.
Cash Conversion Payments paid at the area office by the taxpayer. The area office writes the money amount on the documents and processes the checks. All of the documents are then sent with white deposit tickets to the appropriate campus.
Document Locator Number A 14-digit number assigned to each return or payment received, consisting of a File Location Code, Tax Class, document code, Julian Date, blocking series, serial number and tax year.
Document Register Form 813 used as a block header for With-remit documents.
File location Code (FLC) Identification number of the campus or area office where a tax return is processed.
Integrated Submission Remittance Processing System (ISRP) ISRP is used to process forms and remittances. Documents are entered, processed, and fed to other IRS systems.
Julian Date A Julian Date is the numeric day of the year. For example, April 17, 2014, is Julian Date 107, the 107th day of 2014. The sixth, seventh, and eighth digits in a DLN are the Julian Date.
Lockbox Lockbox involves the processing of tax payments by commercial banks, which accelerates the handling and deposit of funds received and is forwarded to Treasury. Lockbox banks process payments for the following IMF forms, (1040 family, etc.). The DLN consists of a file location code (FLC), (the first two digits in the DLN), unique to lockbox processing.
Master File Tax (MFT) Code A 2-digit code used to identify a type of a tax return.
Non-remit (N/R) No check or money order enclosed.
Program Code A 5-digit number assigned to specific forms or documents (e.g., 44110- Form 1040A).
Recapitulation of Document Register Form 813-A is a compilation of generated money amounts from all Form 813's.
Re-entry Document Control Form 3893 used as a block header for re-entry documents.
Remittance Processing System (RPS) System used to record payment received from taxpayer.
Remittance Processing System Identification (RPSID) Remittances with their accompanying documentation are presorted into batches and a unique number which appears on the back of the archived remittance image of the payment (check, money order, etc.).
Service Center Control File Processing (SCCF) SCCF is the principal means of control for returns and remittances being processed at each campus. SCCF controls every block of 100 submissions by DLN and identifies the number of submissions.
Uniform Resource Locator (URL) A specific character string that constitutes a reference to an Internet/Intranet resource.
With-remit (W/R) Check or money order enclosed.

Exhibit 3.10.5-2 
Acronyms

ACRONYM DEFINITION
ABC Alpha Block Control
ACSO Accounting Control Services Operation
BBTS Batch/Block Tracking System
BMF Business Master File
BOBS Blocks out of Balance
CC Cash Conversion
CD Courtesy Deposit
CDD Consolidated Data Depository
CW Cash Window
DCO Data Conversion Operations
DLN Document Locator Number
DPO Document Perfection Operations
DV Data Validation
EP/EO Employee Plans/Exempt Organization
ERS Error Resolution System
FD Foreign Deposit
FI Forms Identification
FLC File Location Code
IA Installment Agreement
ICO Input Corrections Operation
IDRS Integrated Data Retrieval System
IMF Individual Master File
IRP Information Returns Program
ISRP Integrated Submission Remittance Processing System
KV Key Verification
MCR Master Control Record
MD Manual Deposit
MFT Master File Tax (code)
NMF Non-Master File
NR Non-remit
OE Original Entry
OFP Organization, Function, Program Code
OTC Output Technology Control
PC Personal Computer
PCC Production Control and Performance Reporting
PIMS Production Inventory Monitoring System
RA Reinstated Agreement
RCO Receipt and Control Operations
RPSID Remittance Processing System Identification
RPS Remittance Processing System
RRPS Residual Remittance Processing System
SCCF Service Center Control File
SCRIPS Service Center Recognition Image Processing System
SP Submission Processing
SQL Structured Query language
TC Transaction Code
TP Tax Period
URL Uniform Resource Locator
W/R With-remit
Xref Cross reference

Exhibit 3.10.5-3 
Campus Function Codes

Function Code Title
130 RPS Deposit Activities
150 Deposit Activities
170 Manual Deposit Activities Control
180 Batching
190 Numbering (Non Remit Returns and Documents)
210 Code and Edit
230 Integrated Submission Processing and Remittance Processing (ISRP)
300 BBTS Utility
360 Imaging
390 Entity Control Employer Identification Number (EIN) and Social Security Number (SSN)
450 Optical Character Recognition (OCR) Equipment Operation
500 Batch Block Tracking System
550 Support Activity
610 Systems Operations

More Internal Revenue Manual