3.30.126  Control Data Analysis

Manual Transmittal

March 12, 2014

Purpose

(1) This transmits revised IRM 3.30.126, Work Planning and Control - Control Data Analysis.

Material Changes

(1) IRM 3.30.126.2(1) - Abbreviations and Acronyms - Table - N/R - Added slash to identify it as No Remittance.

(2) IRM 3.30.126.2(1) - Abbreviations and Acronyms - Table - New - Added POC - Point of Contact.

(3) IRM 3.30.126.2(1) - Abbreviations and Acronyms - Table - TC - Removed TC - Tax Class.

(4) IRM 3.30.126.3.2(3) Note - Explanation of the Headquarters Program Number Master List – GMF 81-41 - Added title to Exhibit 3.30.126-1, WP&C Program Codes (Initialization).

(5) IRM 3.30.126.3.3(3) - Form 8000, Program Number Update Record - First bullet - IRM 25.8.1, OFP Codes Overview, was replaced with IRM 3.30.20, Organization, Function, and Program (OFP) Codes.

(6) IRM 3.30.126.3.3(4) - Form 8000, Program Number Update Record - IRM 25.8.1, OFP Codes Overview, was replaced with IRM 3.30.20, Organization, Function, and Program (OFP) Codes.

(7) IRM 3.30.126.3.4(1) b.- System Input and Update Record -Added title to Exhibit 3.30.126-5, Correction to Block Proof Summary Balance Forward Records, Form 8350.

(8) IRM 3.30.126.8.2(1), Production Adjustments - Table - Corrected IRM references.

(9) IRM 3.30.126.10.2(1) c. - Prepare Form 1332, Block and Selection Record - Updated dates.

(10) Exhibit 3.30.126-1, WP&C Program Codes (Initialization) - 2 - BMF Programs - Added programs: 10100, 10110, 10130, 10140, 10150, 10170, 10180, 10200, 10220, and 11930.

(11) Exhibit 3.30.126-1, WP&C Program Codes (Initialization) - 5 - IRP Programs - Added program 11940.

(12) Exhibit 3.30.126-1, WP&C Program Codes (Initialization) - 6 - NMF - Added "Programs" after "NMF" .

(13) Exhibit 3.30.126-10, IMF Block Deletion Analysis (PCD-03-42) - Removed program 44710 and added program 44720.

(14) Exhibit 3.30.126-11, BOB Analysis (PCD-03-43) - Removed programs 43150, 43160, and 43170. Added programs 44110, 44120, and 44170.

(15) Exhibit 3.30.126-18, Error Volume Report Summary (GMF-10-43) - Removed programs 43150, 43160, and 44730. Added programs 43520, 43530, and 44750. Replaced "ELF" with "MEF" in applicable areas.

(16) Exhibit 3.30.126-20, Reject Inventory List Summary (GMF-11-43) - Removed programs 43150, 43160, and 44730. Added programs 43520, 43530, and 44750. Replaced "ELF" with "MEF" in applicable areas.

Effect on Other Documents

IRM 3.30.126, Control Data Analysis, dated April 5, 2013, is superseded.

Audience

Wage and Investment

Effective Date

(04-12-2014)

Paul J. Mamo
Director, Submission Processing
Wage and Investment Division

3.30.126.1  (04-12-2014)
System Description and Overview

  1. During daily operations in the campus many printed outputs and control totals are produced summarizing the day’s operations. The Control Data Analysis program utilizes data from the Service Center Control File (SCCF) to provide management with period and cumulative information on the number of documents that are good transactions, errors, rejects, Blocks Out of Balance (BOBs), and Service Center (SC) and Master File (MF) deletes.

  2. This printed information is provided by specific program codes and used as the data source for certain reports required by the Headquarters. In addition, the output provides management with specific inventory volumes, as well as receipt and processing volumes.

  3. This information is used to identify processing programs with which the campus may be experiencing difficulty, as indicated by a large volume of errors, rejects, BOB blocks, or critical inventory totals. In addition, the Campus Production Monitor is furnished with specific inventory totals which become critical as a program processing completion date approaches. The system provides processing Production Control Records and Production Adjustments for input to the Daily Production Report (DPR - Report PCC-22-40) and Reject Reinput transmittals.

3.30.126.2  (04-12-2014)
Abbreviations and Acronyms

  1. The following abbreviations and acronyms are used

    Abbreviation/Acronym Means
    ACCT Account
    ADJ Adjustment
    ALN Access Location Number
    ASFR Automated Substitute for Return
    AUSPC Austin Submission Processing Center
    BBTS Batch/Block Tracking System
    BHR Block Header Record
    BOB Block Out of Balance
    BOBs Blocks Out of Balance
    BMF Business Master File
    BS Blocking Series
    CADE2 Customer Account Data Engine 2
    CAWR Combined Annual Wage Reporting
    CIS Correspondence Imaging System
    COL(s) Column(s)
    CRL Control Record List
    CSPC Cincinnati Submission Processing Center
    CUM Cumulative
    DC Document Code
    DLN Document Locator Number
    DPR - Report PCC-22-40 Daily Production Report (PCC-22-40)
    ECC Enterprise Computing Center
    ECC DET Enterprise Computing Center - Detroit
    ECC MEM Enterprise Computing Center - Memphis
    ECC MOB Enterprise Computing Center - Mainframe Operations Branch
    ECC MTB Enterprise Computing Center - Martinsburg
    EFT Electronic Funds Transfer
    ELF Electronic Filing
    EPMF Employee Plan Master File
    ERS Error Resolution System
    ES Estimated Tax
    EST Enterprise Systems Testing
    FLC File Location Code
    FSPC Fresno Submission Processing Center
    FP Full Paid
    GMF Generalized Mainline Framework
    GUF Generalized Unpostable Framework
    HQ Headquarters
    IDRS Integrated Data Retrieval System
    IMF Individual Master File
    IRM Internal Revenue Manual
    IRP Information Returns Processing
    IRS Internal Revenue Service
    ISRP Integrated Submission and Remittance Processing
    IT Information Technology
    KCSPC Kansas City Submission Processing Center
    MCC Martinsburg Computing Center (old name; now Enterprise Computing Center - Martinsburg)
    MCR Master Control Record
    MeF Modernized e-File
    MF Master File
    MFT Master File Tax Code
    MISC Miscellaneous
    NMF Non Master File
    NMI Northern Mariana Islands
    NO / N.O. National Office (old name)
    N/R No Remittance
    NR Non Resident
    OFP Organization Function Program
    OSPC Ogden Submission Processing Center
    OTFP Other Than Full Paid
    PCA Production and Control Accounting, Project Literal for Performance Evaluation Reporting System (PERS), Project (551)
    PCB Project Literal for Campus Workload Scheduling, Project PCB (562)
    PCC Project Literal for SC Production Control and Performance Reporting System, Project PCC (563)
    PCD Project Literal for Control Data Analysis, Project PCD (565)
    PER Period
    POC Point of Contact
    RRACS Redesign Revenue Accounting Control System
    RPS Remittance Processing System
    RRPS Residual Remittance Processing System
    SC Campus / Service Center
    SCCF Service Center Control File
    SCRIPS Service Center Recognition/Image Processing System
    SP Submission Processing
    SUBS Subsequent
    TC Transaction Code
    TCRL Tape Control Record List
    TEP Tape Edit Processor
    TRANS Transactions
    W&I Wage and Investment
    W/R With Remittance
    WP&C Work Planning and Control

3.30.126.3  (04-05-2012)
Research and Procedures of Control Data Analysis

  1. This section describes in detail and provides procedures for establishing and operating the Control Data Analysis System, Project PCD (565), for those returns processed at the campus. These procedures provide background, general information, and detailed instructions for the following:

    1. Analyzing the DLN in specific tape records from items processed through the SC Data Control System, Project 709. Based on various elements in the DLN such as blocking series, control day key, and Saturday/Sunday key, a program code is established in those control records without a program code.

    2. Balancing IMF, BMF, EPMF, IRP, and NMF analyses and summaries by program code for SC Management. These analyses and summaries are reflected in the Block Proof Summary and Error Analysis (PCD-03-40), Reject Analysis (PCD-03-41), Block Deletion Analysis (PCD-03-42), and Block Out of Balance (BOB) Analysis (PCD-03-43).

    3. Analyzing the Invalid Listing (PCD-03-45) to identify unprocessable records with error codes resulting from DLN combinations that are not compatible with the GMF-81.

    4. Preparing Form 8350, Correction to Block Proof Summary Balance Forward Records, containing adjustment data required for the next input to the production system.

    5. Monitoring Production Control Records and Production Adjustments for daily input to the SC Production Control and Performance Reporting System, Project PCC (563).

    6. Utilizing Reject Reinput Transmittals generated by program codes from the reinput file.

3.30.126.3.1  (04-05-2013)
Scope

  1. This system primarily utilizes specific tape control records from the Campus Data Control System (SCF01), containing period data and a recirculating disc file, containing inventory and cumulative data for each campus pipeline program.

  2. The main purpose of this project is to feed computer counts to the Daily Production Report (by program) as pipeline documents are entered into the computer. This is necessary in order to compare the number of documents manually counted through pipeline with those entered and processed by the computer.

  3. The ultimate goal is to ensure that all pipeline documents are batched and processed to good tape under the correct program number.

  4. The objectives of PCD are accomplished through two computer programs. The main program (PCD03) loads the current Balance Forward File and adds period data for the current day. It then computes new percentages, new cumulative counts, and current inventory counts and generates updated records. The correction run (PCD01) is an update program for the Balance Forward File. It allows the campuses to insert, change and delete records on the existing file.

3.30.126.3.2  (04-12-2014)
Explanation of the Headquarters Program Number Master List – GMF 81-41

  1. A master table of all program codes, as specified in the 5995a database located via the Organization Function Program (OFP) Home Page web link on the IRS Intranet at http://etd.ds.irsnet.gov/etd/ofp/index.asp has been established so that the program number will be printed on the Control Data Analysis reports and the program number and title will be printed on various other error and reject reports. The Program Number Master List contains all entries on the Program Number Master Table.

  2. Whenever changes are made to the Program Number Master Table, a transmittal will be forwarded from HQ to the IT Division, ECC MOB. Functional areas can view and/or print copies of the Program Number Update List (GMF-81-40) and the Program Number Master List (GMF-81-41) from Control-D.

  3. Enough copies should be printed for distribution to the Campus Production Monitor, and for each area responsible for updating the Balance Forward File and analyzing data on the Invalid Listing.

    Note:

    Work Planning and Control (WP&C) program codes shown in Exhibit 3.30.126-1, WP&C Program Codes (Initialization), must be used to validate programs currently established on the Balance Forward File and to add new program codes for beginning of the year processing. Program numbers must be updated to the Balance Forward File and have data posted before they will appear on Control Data Analysis Reports. This update is usually done by the Data Control Unit or the Reports Staff within the Accounting Operation.

  4. Subsequent changes to the Program Number Master Table will be reflected on the Program Number Update List (GMF-81-40). The Program Number Master List (GMF-81-41) reflects all updated changes and should be utilized throughout the year by the Data Control Unit in the Accounting Operation or by Campus Reports Staff for updating the Balance Forward File and to assist in analyzing data on the Invalid Listing (PCD-03-45).

  5. ECC MOB will download the Program Number Master List into the BBTS. Changes to Blocking Series on GMF-81-41 should be coordinated with the appropriate numbering units to ensure consistency of reporting.

  6. Changes to Blocking Series and the Saturday/Sunday key may cause items to post to the Invalid Listing, PCD-03-45. Should this happen, manual adjustments may be necessary until all work previously numbered, prior to receipt of the new GMF Transmittal, is worked through the system.

  7. Run GMF-81 always produces a Program Number Update List and a Program Number Master List. The Program Number Update List shows each update record that was input. If the update record was found to be invalid, an error reason message is printed on the Program Number Update List under the heading "Error Reason" . See Exhibit 3.30.126-2, Program Number Update List (GMF- 81-40). The Program Number Master List shows each entry in the Program Number Master Table (by Master File System) after the valid updates have been posted. See Exhibit 3.30.126-3, Program Number Master List (GMF-81-41).

  8. Form 8000, Program Number Update Record, must be completed by the responsible HQ analysts to add, delete or bypass a program number on the Program Number Master List. See Exhibit 3.30.126-4, Program Number Update Record (Form 8000).

  9. The Program Number Update Record cannot be used for generating subprograms on the Control Data Analysis Reports. PROJECT PCD (565) DOES NOT RECOGNIZE FIFTH DIGIT PROGRAM NUMBERS OTHER THAN A ZERO.

3.30.126.3.3  (04-12-2014)
Form 8000, Program Number Update Record

  1. Form 8000, Program Number Update Record, is utilized by Headquarters to update the GMF Program Number File, and by campus analysts to use subprograms on the error, reject and BOB registers and ERS reports. See Exhibit 3.30.126-4, Program Number Update Record (Form 8000).

  2. When an update to the GMF-81-41 Program Number File is needed, campus personnel are to coordinate the request through their specific campus’ GMF-81-41 POC. The campus GMF-81-41 POC must also coordinate with SP Headquarters program owners in addition to appropriate SP Headquarters IRM handbook analysts. The campus GMF-81-41 POC is to coordinate the requested change through the appropriate Headquarter handbook analysts for IRM 3.8.44, Campus Deposit Activity, or IRM 3.10.73, Batching and Numbering. The appropriate Headquarters handbook analyst will contact the Headquarters GMF 81-41 analyst who will work the requested change through the IT GMF-81-41 programmer.

  3. In order to complete this form, knowledge of the following IRMs is necessary:

    • IRM 3.30.20, Organization, Function, and Program (OFP) Codes;

    • IRM 3.30.126, Control Data Analysis;

    • IRM 3.10.73, Batching and Numbering; and

    • IRM 3.8.44, Campus Deposit Activity.

  4. GENERALLY, THE FIRST FOUR DIGITS OF A PROGRAM CODE ARE SPECIFIED IN IRM 3.30.20 AND CANNOT BE CHANGED. However, it is possible to use subprograms (fifth digit program codes) on the error, reject, and BOB registers and the ERS reports, by using the Program Number Bypass Key to bypass the HQ program number. Any key on the Form 8000 can be used to specify a fifth digit as long as the parameters for the campus subprogram entry specifies a set of documents identified by the parameters in the related HQ program number table entry. The following rules must be followed when subprograms are used.

    1. Every possible combination of tax class, document code, and blocking series that is covered by the bypassed program must be covered by a subprogram.

    2. DO NOT USE A ZERO IN THE FIFTH DIGIT OF A SUBPROGRAM. Program codes ending in 1 through 9 are used for subprograms and the code ending in zero is used for the HQ program code.

    3. DO NOT SUBPROGRAM ONE PART OF A HQ PROGRAM AND USE THE HQ CODE FOR THE REST. When a code is subprogrammed, the entire HQ code is bypassed and all documents for the HQ program must use the subprograms.

3.30.126.3.4  (04-12-2014)
System Input and Update Record

  1. The Balance Forward File is maintained and updated daily through a recirculating process. This file is updated as follows:

    1. Selected input from SCCF for each Master File (and the reports column titles where those items appear) are:

      If... Then...
      Good Block Proof Records Good Transaction Items
      Error Block Proof Records Raw Errors Today
      Reject Block Proof Records Raw Rejects Today and Unpostable Rejects, Period
      Renumber Block Proof Records Rejects Cleared Today, Today’s Reject Deletions, Program Deletes
      BOB Release Records BOBs Cleared Today
      BOB Control Records Today’s New BOBs
      Reinput Block Proof Records Today’s Block Deletion Releases, Reinput
      Delete Block Proof Records Today’s Block Deletion Releases, Program Releases
      Transaction Deletion Control Records Today’s new Block Deletions
      Manual and Generated Adjustment Transactions Today's Transactions

    2. Form 8350, Correction to Block Proof Summary Balance Forward Records (See Exhibit 3.30.126-5, Correction to Block Proof Summary Balance Forward Records, Form 8350). This form is prepared by the functional area responsible for balancing the Block Proof Summary reports. ISRP can be used for inputting data from Form 8350. However, the option exists for using the Conversational Time Sharing (CTS) routine (on demand terminals) for inputting this data. This option requires coordination with the ECC if ISRP is unavailable.

    3. Block Deletes Processed List (PCD-03-48). ISRP must be used for inputting data from this listing. (See Exhibit 3.30.126-17.)

3.30.126.3.5  (03-30-2010)
System Output

  1. IMF, BMF, EPMF, IRP and NMF

    1. Correction Run:

      Report Title Location
      PCD-01-40 Balance Forward Listing Exhibit 3.30.126-6
      PCD-01-41 Update Status Listing Exhibit 3.30.126-7

    2. Control Data Analysis:

      Report Title Location
      PCD-03-40 Block Proof Summary and Error Analysis Exhibit 3.30.126-8
      PCD-03-41 Reject Analysis Report Exhibit 3.30.126-9
      PCD-03-42 IMF Block Deletion Analysis Exhibit 3.30.126-10
      PCD-03-43 BOB Analysis Exhibit 3.30.126-11
      PCD-03-44 Balance Forward Listing Exhibit 3.30.126-12
      PCD-03-45 Invalid Listing Summary Exhibit 3.30.126-13
       
        Invalid Listing Error Codes Exhibit 3.30.126-14
      PCD-03-46 Reject Reinput Batch Transmittal Exhibit 3.30.126-15
      PCD-03-47 Planning and Control Data Files Summary Exhibit 3.30.126-16
      PCD-03-48 Block Deletes Processed List Exhibit 3.30.126-17

    3. Files for input to Project PCC (563) Daily Production Report

    Report Title Location
    PCD-03-30 Production Adjustments See IRM 3.30.126.8.2
    PCD-03-31 Production Control Records See IRM 3.30.126.8.1

3.30.126.3.6  (04-05-2013)
Year End Cut-over Procedures

  1. During the final cycles each year, campuses should make every effort to:

    1. Reduce inventories in those functions reflected on the Control Data Analysis Reports.

    2. Ensure final inventories are accurate for each program.

    3. Review the next year’s program codes in Exhibit 3.30.126-1, WP&C Program Codes (Initialization), for any new, combined, or deleted codes.

    4. Request well in advance all necessary computer listings from IT Enterprise Computing Center - Mainframe Operations Branch (ECC MOB).

3.30.126.3.6.1  (04-05-2013)
Determining Cut-over Inventories

  1. Run PCD03 for all GMF/SCCF posting purge passes.

  2. Cut over inventories should be shared with Reports Staff for inclusion in DPR (PCC-22-40) end-of-year cut-over. Cut-over inventories for each program may be acquired immediately after the end of year purge, using the following:

    1. Errors

      Title Report
      Error Volume Report Summary GMF-10-43
      Error Resolution Error Inventory Summary ERS-13-41 or ERVOL Status 100

    2. Rejects

      Title Report
      Reject Inventory List Summary GMF-11-43
      Workable Suspense Inventory Summary ERS-13-43
      Unworkable Suspense Inventory ERS-07-40

    3. See Exhibit 3.30.126-18, Error Volume Report Summary (GMF-10-43), through Exhibit 3.30.126-22, Unworkable Suspense Inventory (ERS-07-40).

  3. FOR THE BEGINNING OF EACH CALENDAR YEAR, THE COMPUTER PROGRAM WILL INITIALIZE ALL APPROPRIATE FIELDS TO ZERO ON THE BALANCE FORWARD FILE.

  4. Compute new inventory totals using the counts in IRM 3.30.126.3.6.1(2)(a) and (b) above. After these computations are completed, prepare a Form 8350, Correction to Block Proof Summary Balance Forward Records, to correct inventories and establish new programs. Input this data to PCD01 to update the Balance Forward File to begin the new year.

  5. The TOTAL Error and Reject inventories for the beginning of the year may be verified by extracting data from GMF-07-40, Mainline Run Control Report (See Exhibit 3.30.126-23, Mainline Run Control Report (GMF-07-40)) and ERS 17-47, Error Resolution Inventory Control Report (See Exhibit 3.30.126-24, Error Resolution Inventory Control Report (ERS-17-47)). Obtain a copy of the first run of these reports from ECC MOB.

    1. Errors

      Data Report
      Old Error File Total Documents GMF-07-40
      Plus Beginning Error Inventory ERS-17-47
      Equals Total (Beginning of Year Error Inventory)  

    2. Rejects

      Data Report
      Old Reject File Total Documents GMF-08-40
      Plus Workable Suspense Beginning Inventory ERS-17-47
      Plus Unworkable Suspense Beginning Inventory ERS-17-47
      Equals Total (Beginning of year Reject Inventory)  

  6. Refer to Exhibit 3.30.126-5, Correction to Block Proof Summary Balance Forward Records, Form 8350, for specific instructions in preparing Form 8350.

3.30.126.3.6.2  (03-30-2010)
Unpostable Rejects – Beginning of Year

  1. During the first few months of each year, it will be necessary to identify unpostable rejects by program code that have posted as good transactions in the prior year.

    1. Each time new unpostable rejects (From Code 6, To Code 4) are posted to the Reject analysis research to determine the cycle and year they went to good tape.

    2. This information is readily available by reviewing the on-line SCCF and Historic Transcripts.

  2. The PCD03 program automatically subtracts unpostable rejects from the cumulative good transactions. Prior year posted items must be added back into the good tape for the current year.

3.30.126.4  (04-05-2012)
Description of Run PCD01 Output Analyses

  1. Balance Forward Listing (PCD-01-40):

    • The Balance Forward Listing can be used to verify that all adjustments have posted. It will also indicate the beginning Balance Forward File for the next PCD run. (See Exhibit 3.30.126-6, Balance Forward Listing (PCD-01-40)).

  2. Update Status Listing (PCD-01-41)

    • This listing indicates what happened to each record input from Form 8350, Correction to Block Proof Summary Balance Forward Records. (See Exhibit 3.30.126-7). Use this report to verify all adjustments (overlays) were input correctly.

    • Error messages will appear on this listing whenever an invalid condition occurs. Determine the cause of the problem and adjust accordingly.

3.30.126.5  (03-30-2010)
Description of Run PCD03 Output Analyses

  1. The following subsections describe the PCD03 output analyses.

3.30.126.5.1  (04-05-2013)
Block Proof Summary and Error Analysis (PCD-03-40)

  1. Information on this printout represents a summary by master file and program code of:

    1. Period and cumulative items processed to good tape SCF 1151 prior to Tape Control Record List (TCRL) totals less block deletions and unpostable rejects.

    2. Period and cumulative raw conversion error receipts.

    3. Errors processed.

    4. Error inventory (the net of the processing activity through mainframe) beginning inventory plus new errors minus errors cleared.

    5. Period and cumulative percentage of the errors to the total items processed through raw conversion. (See Exhibit 3.30.126-8.)

      Note:

      Errors processed, Error inventory, new errors, and errors cleared are from the perspective of SCCF and not from the perspective of ERS. For example, ERS considers items in Quality Review Selection (QRSEL) as worked while SCCF considers them as errors not yet cleared.

  2. Some of these computations are based on the Cumulative (Cum) Conversion Volume, which does not print on the analysis, but is present on the Balance Forward File and can be reviewed on the Balance Forward Listings (PCD-01-40 or PCD-03-44).

3.30.126.5.2  (04-05-2012)
Block Proof Summary and Reject Analysis (PCD-03-41)

  1. This listing provides a summary by master file and program code of reject activities, including unpostable and raw rejects, raw reject rates, and combined inventories. (See Exhibit 3.30.126-9.)

    Note:

    IRP and NMF do not have rejects.

3.30.126.5.3  (04-05-2013)
Block Deletion Analysis (PCD-03-42)

  1. This printout furnishes totals by program code on the status of documents deleted at the campus during the Tape Edit Processor (TEP) run, or at the Enterprise Computing Center - Martinsburg (ECC MTB). (See Exhibit 3.30.126-10.)

3.30.126.5.4  (04-05-2012)
BOB Analysis (PCD-03-43)

  1. The BOB Analysis provides information as to the processing activity of documents in blocks which fail to meet GMF validity requirements. In addition, this printout provides period and cumulative counts of the number of blocks converted to good tape and the number of blocks out of balance, with a corresponding percentage factor. (See Exhibit 3.30.126-11.)

3.30.126.5.5  (04-05-2012)
Balance Forward Listing (PCD-03-44)

  1. The Balance Forward Listing provides a summary by program code of current inventories for errors, rejects, BOBs, and block deletions. It also provides cumulative data for good transactions, raw errors, conversion volumes, block deletes, BOBs, unpostable rejects, and raw rejects. (See Exhibit 3.30.126-12.)

3.30.126.5.6  (04-05-2013)
Invalid Listing (PCD-03-45)

  1. This provides a listing of records which completed mainline processing but could not be accounted for in PCD because they failed to meet a specific criteria in the GMF-81. (See Exhibit 3.30.126-13.)

  2. At the end of the Invalid Listing, a summary is provided for all Program Codes by Master File with the Total of Invalid Documents and Documents by Activity Code (From-To codes).

3.30.126.5.7  (04-05-2012)
Reject Reinput Batch Transmittal (PCD-03-46)

  1. This is a transmittal that lists records of prior and current years’ returns and documents by program number, block DLN and block volume. (See Exhibit 3.30.126-15.)

3.30.126.5.8  (04-05-2012)
Block Deletes Processed List (PCD-03-48)

  1. This listing identifies by master file and DLN those items which have been deleted from the prior day’s TEP run. (See Exhibit 3.30.126-17.)

3.30.126.6  (03-30-2010)
Balancing Function Responsibility

  1. The following subsections describe the balance function responsibility.

3.30.126.6.1  (04-05-2013)
Block Proof Summary and Error Analysis and Reject Analysis

  1. Verification of Good Transaction Items – Each day, upon receipt of the Block Proof Summary Reports, a designated employee in the Balancing function should do the following:

    1. Annotate the printout with the cycle and/or tape numbers. Since the mainline runs in each campus are not necessarily scheduled on the comparable shifts, each campus must determine the processing cycle and tape numbers to be annotated.

    2. Ensure the Period Good Transaction Items are equal to today’s good transaction items from SCF-11-51. Good tape block proof records on the Invalid Listing must be taken into consideration for balancing purposes.

    3. Cumulative Good Transaction Items should equal:

    The previous day’s cumulative good transaction items
    Plus today’s good transaction items
    Minus the sum of today’s new block deletions (SC and MCC)
    Minus unpostable rejects, period

  2. Balancing of Error Analyses – The column totals to be verified are as follows:

    1. Raw Errors Today should equal the error tape document count on the TCRL (SCF-11-51).

    2. Cumulative Raw Errors total should equal:

      The previous day’s cumulative total
      Plus today’s raw errors

    3. The Current Error Inventory should equal:

      The previous day’s error inventory
      Plus today’s raw errors
      Minus errors cleared today

    4. Error items on the Invalid Listing and SCF-11-51 listing must be taken into consideration for balancing purposes.

    5. Compare inventory totals from PCD-03-40 with SCCF Summary (SCF-07-42).

    Note:

    If the period figure is manually adjusted, the cumulative figure must also be adjusted.

  3. Balancing of Reject Analyses:

    1. Unpostable Rejects Period should equal the total reject Generalized Unpostable Framework (GUF) items from the GUF-53-40 control run.

    2. The Cumulative Unpostable Rejects should equal:

      The previous day’s unpostables cumulative
      Plus today’s period total

    3. Raw Rejects Today should equal the reject tape document count on the TCRL (SCF-11-51).

    4. Cumulative Raw Rejects total should equal:

      The previous day’s cumulative total
      Plus today’s raw rejects

    5. The Current Reject Inventory should equal:

      The previous day’s reject inventory
      Plus unpostable rejects period
      Plus today’s raw rejects
      Minus rejects cleared today

    6. Reject items on the Invalid Listing and error codes on SCF-11-51 must be taken into consideration for balancing purposes.

    7. Compare reject inventory totals from PCD-03-41 with SCCF Summary (SCF-07-42).

    Note:

    If the period figure is manually adjusted, the cumulative figure must be adjusted.

  4. Resolving discrepancies – When discrepancies in balancing these reports occur, perform the following steps to locate the cause:

    1. Ensure actual Control Record List (CRL) record count totals (not adjusted totals) are used in computations.

    2. Check the CRL for error coded items.

    3. Check the Invalid Control Record List (SCF-01-41) for invalid items not included in CRL totals.

    4. Ensure all appropriate items on the invalid listing are considered.

    Note:

    If cause of discrepancy cannot be identified, contact IT Enterprise Computing Center - Mainframe Operations Branch (ECC MOB) for assistance.

3.30.126.6.2  (04-05-2013)
Block Deletion Analysis

  1. Today’s New Block Deletions – Campus Deletes. The total for this column should equal the Total TEP deletes from the previous day. This total is equal to the Block Document Count of Transaction (Trans) Deletion Control Records with From Code 5 (good) and To Code 0 (raw).

  2. Today’s New Block Deletions – MCC Deletes. The count of MCC Deletes should equal the adjustments input to the SCCF with Control Records Source Code "D."

  3. Today’s Block Deletion Releases should equal the number of items entered on the Block Delete Processed List (PCD-03-48) through ISRP the preceding day.

  4. The Current Block Deletion Inventory equals:

    The previous day’s inventory
    Plus today’s New Block Deletes
    Minus Today’s Block Deletion Releases

3.30.126.6.3  (04-05-2012)
Block Deletes Processed List

  1. The Block Deletes Processed List will generate whenever there is activity in Today’s New Block Deletions. This list will be used as the source document to input Block Delete Processed Records. A Block Delete Processed Record is completed as follows:

    1. Processing Code – Enter one of the following:

      Code Description
      Code "1" to indicate that the block is being reinput under the original DLN or a corrected DLN with the original program code.
      Code "2" to indicate that the block will be reinput with the DLN which changes the original program code, or not reinput for reprocessing at all (in case of duplicate processing).
      Code "3" (EPMF only) to indicate that the original data will be input into the mainline run in lieu of reinputting the block.

    2. System ID Code:

      "1" if IMF
      "2" if BMF
      "3" if EPMF
      "5" if IRP
      "6" if NMF

    3. MCC Deletes – The good tape portion of a block that was shipped to Master File but must be deleted before it posts to the taxpayer's account. The count of MCC Deletes should equal the adjustments input to the SCCF with Control Record source Code "D" .

    4. Block DLN – the 12 digit DLN.

    5. Block Document Count – the total number of items in the block.

    6. Program Code – the five digit program code that identifies the document(s).

  2. This data will be input through ISRP and used as input to subsequent running of PCD03.

3.30.126.6.4  (04-05-2012)
BOB Analysis

  1. Today's New BOBs should equal the Total Computer Count on the BOB ID List (GMF-09-45). See Exhibit 3.30.126-26, BOB ID List (GMF-09-45).

  2. BOBs Cleared Today equals:

    1. The current day's Old Computer Doc Count Deleted Block DLN on the BOB Correction Control List (GMF-09-46). See Exhibit 3.30.126-25, BOB Correction Control List (GMF-09-46).

    2. Plus the current day's New Computer Document Count Matched Block DLN on the BOB Correction Control List.

  3. The Current BOBs Inventory equals:

    The previous day's Current BOBs Inventory
    Plus Today's New BOBs
    Minus BOBs Cleared Today
    Plus New Computer Doc Count Matched Block DLN on the BOB Correction Control List
    Minus Old Computer Doc Count Matched Block DLN on the BOB Correction Control List
    Plus or Minus Adjustments made to the previous day's PCD-03-43 report

  4. Cumulative BOBs equals:

    The previous day's cumulative total
    Plus today's New BOBs

  5. Blocks Converted Cum equals:

    The previous day's Blocks Converted Cum
    Plus today's Blocks Converted Period

  6. BOB Blocks Period should equal Total Today's New BOBs on the BOB ID List (GMF-09-45).

  7. BOB Blocks Cum equals:

    The previous day's BOB Blocks Cum
    Plus today's BOB Blocks Period

  8. BOBs Volume Percent equals:

    Cumulative BOBs
    Divided by sum of Cum Conversion Volume (for the appropriate master file) from the Balance Forward Listing (PCD-03-44). (This sum value does not appear on the printed report. It must be calculated manually.)

3.30.126.6.5  (04-05-2013)
Invalid Listing and Error Codes

  1. The Invalid Listing is generated whenever a record fails to meet specific criteria. When a DLN appears on this report, it does not mean that the returns or documents that carry the DLN did not process. Rather, it indicates that there is a consistency problem with report inventories or with determining the Program Number associated with the DLN.

  2. A record will appear on the Invalid Listing whenever the amount to be subtracted is more than the amount present in the PCD03 inventories. A record will also appear on the Invalid Listing when the mainframe cannot decode a DLN into a specific Program Number. The entire record will be considered as being invalid in PCD and no counts will be updated in PCD.

  3. The error records appear on the Invalid Listing as an image of an input tape record from the SCCF posting tape. The error codes will be printed on the right side of the Invalid Listing. See Exhibit 3.30.126-14 for detailed error code instructions.

  4. All error conditions indicated by the Invalid Listing, must be resolved by analysis. Review the GMF-81 and compare the DLN components. If you are not sure of the resolution, identify the physical location of the document and review the document type to determine the necessary action.

  5. Some "Error Code" conditions need not be corrected (e.g., Integrated Data Retrieval System (IDRS) transactions). Other document counts from the Invalid List need to be added or subtracted from the appropriate columns, when balancing the Block Proof Summary and Error Analysis and Reject Analysis Reports and a correction must then be input into the next PCD-01 run.

  6. PCD-03 program will accommodate only the current and five prior year dates. All invalid tape records printed on the Invalid Listing should be analyzed daily to determine the corrected printout totals. Ensure all necessary adjustments are promptly made to the Balance Forward File.

3.30.126.6.6  (04-05-2013)
From and To Codes

  1. The From Code identifies the function which determines the current status of a block of documents (or portion thereof). The To Code identifies how a block of documents (or portion thereof) is to be processed next.

    From Code Definition
    0 Raw data/Master Control Record (MCR)
    1 BOB
    2 SCCF and File Deletes
    3 Error
    4 Reject
    5 Good Tape
    6 Unpostables

  2. The Record Type ID Code indicates the type of control record either posted to SCCF or attempting to post to SCCF. This ID Code is used with the From and To Codes.

    Record Type ID Code Definition
    0 SCCF Adjustment
    2 BOB Control Record
    5 Reinput or Delete Block Proof Record or Trans Deletion Control Record
    6 Renumber Block Proof Record or Renumber Adjustment Record
    7 Good, Error, or Reject Block Proof Record

  3. Valid From and To Code combinations and Record Type ID Codes for Control Data Analysis reports are as follows:

    Description Record Type
    ID Code
    From and To Codes
    ERRORS/REJECTS
    IMF/BMF/EPMF
    IMF/BMF
    IRP/NMF
    IRP/NMF


    0/7
    0/5
    0/7
    0/5


    03/13/34/35/04/14/45/64
    32/40/42
    03/13/35
    30/32
    BOBs
    IMF/BMF/IRP/EPMF


    0/2


    01
    BLOCK DELETES
    IMF/BMF/IRP/NMF/EPMF


    0/5


    50
    GOOD TRANS (MTB)
    IMF/BMF/EPMF
    IMF/BMF/EPMF
    IRP/NMF
    IRP/NMF


    0/7
    0/5
    0/7
    0/5


    05/15/35/45
    50
    05/15/35
    50
    PROGRAM DELETES
    EPMF


    0/6


    42
    REINPUTS
    IMF/BMF
    IRP/NMF
    EPMF


    0/5
    0/5
    0/5


    30/40
    30
    40

3.30.126.7  (03-30-2010)
Functional Responsibilities

  1. This section covers functional responsibilities including the following: input correction personnel; general explanation of BOB Analysis; BOB Correction Control List; BOB ID List; and Reports/Accounting.

3.30.126.7.1  (04-05-2013)
Block Out of Balance

  1. This section provides necessary information for the Block Out of Balance function in maintaining a computer generated analysis, by specific program code, of BOB blocks. The information to determine the item count and DLN of new blocks going to BOB status will be found on the SCCF Posting Tape. Information contained on the SCCF consists of an image of the BOB record. During the normal computer run, PCD-03 will analyze the SCCF for certain records to produce the Block Proof Summary and Error Analysis, Reject Analysis, and Block Deletion Analysis reports. The computer will also analyze the BOB record image, to produce the BOB Analysis Report.

  2. The BOB Analysis Report provides campus management with accurate information relative to the number and types of documents with out-of-balance conditions. In addition, the report provides a period and cumulative count of blocks converted to tape and the period and the cumulative counts of the number of BOB blocks to total blocks converted.

3.30.126.7.2  (03-30-2011)
General Explanation of BOB Analysis

  1. Run PCD-03 analyzes certain BOB records on the SCCF Posting Tape to produce the specified output. The BOB Record (identified by a 2 in column 1 for all Master File ID Systems) is used to determine the number of new BOBs received for correction each day by the Block Out of Balance function. The DLN is analyzed to determine the appropriate program code. The Block Document Count is then read and recorded by program code on the BOB Analysis Report. These items are:

    1. Today’s New BOBs

    2. BOBs Cleared Today

    3. Current BOBs Inventory

    4. Cumulative BOBs

  2. BOB Release Record is computer generated by GMF during a BOB Correction Run and is input into the next PCD-03 run.

3.30.126.7.3  (04-05-2013)
BOB Correction Control List

  1. The BOB Correction Control List (GMF-09-46) is computer generated by GMF and is provided on a daily basis.

  2. This list may be used to validate data on the BOB Analysis Report.

    1. Old Computer Document Count Deleted Block DLN plus New Computer Document Count Matched Block DLN on the BOB Correction Control List (GMF-09-46) should equal the Total BOBs Cleared Today on the BOB Analysis Report (PCD-03-43).

    2. Old Computer Document Count Non-Matched DLN of the BOB Correction Control List should equal Total Current BOB Inventory minus Total Today’s New BOBs on the BOB Analysis Report.

  3. The "Julian Date" on the BOB Correction Control List indicates the original BOB date. BOBs appearing on the list after three days should be checked to determine the reason they have not been cleared.

  4. A copy of this report may be found in Exhibit 3.30.126-25, BOB Correction Control List (GMF-09-46).

3.30.126.7.4  (03-30-2010)
BOB ID List

  1. This is a control listing provided by GMF on a daily basis (GMF-09-45).

  2. The BOB ID List may be used to validate data on the BOB Analysis Report.

    1. Total BOB Blocks period on the BOB Analysis Report should equal the Total Today’s New BOBs on the BOB ID List.

    2. Total of Today’s New BOBs on the BOB Analysis Report should equal the Total Computer Count on the BOB ID List.

  3. A copy of this report may be found in Exhibit 3.30.126-26, BOB ID List (GMF-09-45).

3.30.126.7.5  (04-05-2013)
Reports/Accounting Functional Responsibility

  1. Report any out of balance condition to the appropriate computing center if it appears to be a result of programming or scheduling errors.

  2. Verify that Production Control Records and Production Adjustments, generated daily by run PCD-03 are input to Project PCC (563) the same day.

  3. Prepare Correction to Block Proof Summary Balance Forward Records, Form 8350, at the start of the MF processing year to include the data required for the initial Balance Forward File. The CTS routine (on demand terminals) may be used for inputting this data. However, the Demand Terminal input must be coordinated with the computing centers.

  4. Update the Balance Forward File, as necessary, based on data provided by the Balancing and Input Correction functions.

3.30.126.8  (03-30-2011)
Run PCD03 Control Records

  1. Production Control Records and Production Adjustments are generated by Run PCD-03 for each program code specified in Exhibit 3.30.126-1 for input to the DPR.

  2. These Control Records provide receipts and production volumes on the DPR:

    Function Title
    910 Errors
    920 Rejects
    930 BOBs
    940 Block Deletes
    950 To MCC
    960 Program Deletes
    970 Reinputs
    180 Batching (for Reinput documents)

  3. These records are provided to ensure that the counts processed through the pipeline under batch control were correct and that they all convert to good tape. It is important that these functions be balanced and monitored for this purpose.

    Note:

    This 950 receipts record, in combination with the Function 610 roll down record represents the 950 period receipts figure on the DPR.

3.30.126.8.1  (03-30-2011)
Production Control Record

  1. Each record is formatted as follows:

    Position Description
    1 Record Number – Always 7
    4 Type Code – Always 5
    8-12 Organization Code – 31000, 43000
    13-15 Function Code – 180, 910, 920, 930, 940, 950, 960, 970
    16-20 Program Code – (See valid codes in Exhibit 3.30.126-1, WP&C Program Codes (Initialization))
    41-48 Receipts Volume – (See IRM 3.30.126.8.2(2))
    49-56 Production Volume – (See IRM 3.30.126.8.2(2))
    57-59 Released Date – (DDD Julian)
      Positions not identified above are blank

  2. Computations for Receipts and Production Volumes on PCD-03 generated records:

    1. Function 910 (Pos. 13-15), Errors - Counts from the Block Proof Summary and Error Analysis Report:

      Receipts (Pos. 41-48) Raw Errors Today
      Production (Pos. 49-56) Errors Cleared Today

    2. Function 920 (Pos. 13-15), Rejects - Counts from Reject Analysis Report:

      Receipts (Pos. 41-48) Unpostable Rejects Period
      plus Raw Rejects Today
      Production (Pos. 49-56) Rejects Cleared Today

    3. Function 930 (Pos. 13-15), BOBs - Counts from BOB Analysis Report:

      Receipts (Pos. 41-48) Today’s New BOBs
      Production (Pos. 49-56) BOBs Cleared Today

    4. Function 940 (Pos. 13-15), Block Deletes - Counts from Block Deletion Analysis Report:

      Receipts (Pos. 41-48) The sum of Today’s New Block
      Deletions (SC and MCC Deletes)
      Production (Pos. 49-56) The sum of Today’s Block Deletion
      Releases (Reinput), plus Program
      Deletes and Record Rerun

    5. Function 950 (Pos. 13-15), To ECC-MTB - Computations based on counts from all PCD reports as follows:

      Receipts (Pos. 41-48)
      1. Minus Raw Errors Today

      2. Plus Errors Cleared Yesterday

      3. Minus Raw Rejects Today

      4. Plus Rejects Cleared Today

      5. Minus Today’s Reject Deletions (Reinput and Program Deletes)

      6. Plus Today’s Block Deletion Releases, Record Rerun

      7. Minus Today’s New BOBs

      8. Plus BOBs Cleared Today

      The result of this computation may be a minus volume but, when combined with the Function 610 roll-down, should appear as the same figure on the DPR as the Function 950 production.
      Production (Pos. 49-56) Period Good Transaction Items from the Block Proof Summary and Error Analysis.

    6. Function 960 (Pos. 13-15), Program Deletes – Counts are from the Reject Analysis and Block Deletion Analysis Reports:

      Receipts (Pos. 41-48) and production (Pos. 49-56) are always the same and are the sum of:
      Today’s Reject Deletions Program Deletes
      Plus Today’s Block Deletion Releases Program Deletions

    7. Function 970 (Pos. 13-15), Reinputs - Counts are from the Reject Analysis and Block Deletion Analysis Reports:

      Receipts (Pos. 41-48) and production (Pos. 49-56) are always the same and are the sum of:
      Today’s Reject Deletions Reinput
      Plus Today’s Block Deletion Releases Reinput

    8. Function 180 (Pos. 13-15), Batching:

    Receipts (Pos. 41-48) and no production is generated for each program that has a Function 970 record. This computation is:
    Today’s Reject Deletions Reinput
    Plus Today’s Block Deletion Releases Reinput

3.30.126.8.2  (04-12-2014)
Production Adjustments

  1. Each record is formatted as follows:

    Position Description
    1 Record Code – Always 3
    2 Adjustment Code – Always 3
    8-12 Organization Code – Always 43000
    13-15 Function Code – (Always "950" except "930" ) for BOBs (See IRM 3.30.126.8.2 (3) below)
    16-20 Program Codes – (See Exhibit 3.30.126-1, WP&C Program Codes (Initialization), for valid program codes)
    34-41 Cumulative Receipts Since January 1 (See IRM 3.30.126.8.2 (2)(a) and (3)(b) below)
    42-48 Cumulative Production This Week (See IRM 3.30.126.8.2 (2)(c) below)
    49-56 Cumulative Production to End of Scheduling Period (See IRM 3.30.126.8.2 (2)(d) below)
    57-64 Cumulative Production to End of Year (See IRM 3.30.126.8.2 (2)(e) below)
    65-72 Daily Closing Inventory – Blank for all records except for Function 930 (See IRM 3.30.126.8.2 (3) below)
      Positions not identified above are blank.

  2. Computations for Receipts and Production for Function 950:

    1. Cum Receipts since January 1 (Pos. 34-41) is the sum of:

      Minus Today’s New Block Deletions, SC Deletes
      Minus Today’s New Block Deletions, MCC Deletes
      Minus Unpostable Rejects Period
      Plus BOB Block Document Counts in the records with a "7" BOB Inventory Adjustment Code
      Minus BOB Block Document Counts in the records with an "8" BOB Inventory Adjustment Code

      Note:

      The result of this computation may be a minus volume.

    2. The result of this computation may be a minus volume.

    3. Cum Production This Week (Pos. 42-48) is minus Today’s New Block Deletions, SC Deletes.

    4. Cum Production to the End of Scheduling Period (Pos. 49-56) is the sum of:

      Minus Today’s New Block Deletions, SC Deletes
      Minus Today’s New Block Deletions, MCC Deletes
      Minus Unpostable Rejects Period

    5. Cum Production to the End of Year (Pos. 57-64). This volume is identical to Pos. 49-56 above.

  3. Computations for Receipts (Pos. 34-41) and Inventory (Pos. 65-72) for Function 930:

    1. In order to adjust BOB receipts for those blocks where the Generated Block Document Count was in error, the following computation is made for each program code:

      Minus all Generated Block Document Count for BOB Release Records with Inventory Adjustment Code "7"
      Plus all Generated Block Document Count for BOB Release Records with Inventory Adjustment Code "8"

    2. The net Generated Block Document Count may be a minus volume.

3.30.126.9  (04-05-2013)
Computation of Error, Reject, and BOB Rates

  1. The following sections cover the topics of Computation of period and cumulative percentage fall-out of Error, Reject and BOB.

3.30.126.9.1  (03-30-2010)
Block Proof Summary and Error Analysis and Reject Analysis

  1. The first step in computing the Raw Error and Raw Reject Rates on the Block Proof Summary and Error Analysis and Reject Analysis Reports is the computation of a Period Conversion Total. The Period Conversion Total equals the sum of Good Transaction Items Period plus Raw Errors Today minus Errors Cleared Today plus Raw Rejects Today minus Rejects Cleared Today plus Today’s Reject Deletions Reinputs/Program Deletes. (BOBs are not included in the conversion total because they fall out of the system before the GMF processing for ISRP occurs.)

  2. The Raw Error Rate – Period equals the Raw Errors Today (Receipts) divided by the Period Conversion Total.

  3. The Raw Reject Rate – Period equals the Raw Rejects Today (Receipts) divided by the Period Conversion Total.

  4. To calculate cumulative error and reject rates, a Cumulative Conversion Volume is accumulated. The Cumulative Conversion Volume is the Period Conversion Total plus the Cumulative Conversion volume from the previous day taken from the previous day’s Balance Forward Listing. This new Cumulative Conversion Volume is entered on the Correction To Block Proof Summary Balance Forward Records, Form 8350.

  5. The Raw Error Rate – Cumulative equals the Raw Errors Cumulative divided by the Cumulative Conversion Volume.

  6. The Raw Reject Rate – Cumulative equals the Raw Rejects Cumulative divided by the Cumulative Conversion Volume.

3.30.126.9.2  (03-30-2010)
Total Line Computations

  1. The rate computations for the total lines are the same as the computation by program code. However, for the total lines the respective fields for all programs are added together and the applicable rates are computed.

3.30.126.10  (03-30-2010)
Blocking and Numbering – Forms 8350

  1. Enter a two digit serial number (00-99) in the left margin opposite every line entry in Item 2 of Form 8350. Each line is considered a separate document.

  2. No more than 100 serial numbers may be placed in a block.

  3. Place each block of forms under a Form 1332 in the manner specified in IRM 3.30.126.10.2below.

  4. Blocks must be in ascending sequential order.

3.30.126.10.1  (03-30-2010)
Block and Number Block Deletes Processed List

  1. Enter a two digit serial number (00-99) to the left of every line that contains data. Each line is considered a separate document.

  2. No more than 100 serial numbers may be placed in a block.

  3. Place each block of listings under a Form 1332, Block and Selection Record.

3.30.126.10.2  (04-12-2014)
Prepare Form 1332, Block and Selection Record

  1. For each block of forms and listings specified in IRM 3.30.126.10 and IRM 3.30.126.10.1 above, prepare a Block and Selection Record, Form 1332. Entries are required only in the areas specified herein. For an exhibit of the form, see IRM 3.10.73.12, Block Selection Control Record - Form 1332, Block Selection Record or Form 1332-SC, Block and Selection Record (SCRIPS).

    1. SC Block Control Number - Affix the appropriate label, Alpha-Numeric Campus Block Number.

    2. Document Locator Number - Enter the appropriate Format Code:

      Form 8350 - Form Code 221
      Block Deletes Processed List - Format Code 176

    3. Date - Enter the year, month, and day in format YYYYMMDD. For example: May 12, 2014 - enter 20140512.

    4. Release forms and listings for input to ISRP.

Exhibit 3.30.126-1 
WP&C Program Codes (Initialization)

1 - IMF Programs

Program Form Description
38600 Assessment

Note:

Program 38600 - Transaction "370" will determine processing of IMF Account Transfer documents.

 
42900 8453 8453
43110 1040 OTFP
43130 1040 TRANSSHIP 1040 TRANSSHIP
43140 1040 ELF OTFP
43150 1040A ELF OTFP
43160 1040EZ ELF OTFP
43170 1040 ITIN
43210 1040 FP
43510 1040 1040 MeF
43520 1040A 1040A MeF
43530 1040EZ 1040EZ MeF
44110 1040A OTFP
44120 1040A FP
44170 1040A ITIN
44200 1040-ES, 1040C 1040-ES, 1040C
44400 1040X 1040X
44630 1040 SFR SUBSTITUTE FOR RETURN
44700 4868 FILING EXTENSIONS
44720 4868 4868 MeF
44750 2350 2350 MeF
45500 Revenue Receipts Revenue Receipts
45520 IMF RETURNS W/R VOUCH IMF RETURNS
47130 1040EZ OTFP
47140 1040EZ FP
47160 1040EZ ITIN
"INTL" Returns (AUSPC)
Program Form Description
33060 Form W-7A Form W-7A
33070 PTIN PTIN
46110 1040 INTL
46120 1040, 1040NR, 1040SS, 1040PR OTFP
46130 1040A OTFP
46140 1040NR 1040NR-N
46150 1040EZ INTL
46170 1040 INTL-ITIN
46220 1040, 1040NR, 1040-PR, 1040SS, 1040NMI FP
46440 1040 ELF INTL
46450 1040A ELF INTL
46460 1040EZ ELF INTL
46470 1040PR/SS ELF
46510 1040 MeF INTL
46520 1040A MeF INTL
46530 1040EZ MeF INTL
46540 1040PR/SS MeF INTL

2 - BMF Programs

Program Form Description
10100 940 MeF, 940 MeF INTL 940 MeF, 940 MeF INTL
10110 940PR MeF 940PR MeF
10130 941 MeF, 941 MeF INTL 941 MeF, 941 MeF INTL
10140 941PR MeF 941PR MeF
10150 941SS MeF 941SS MeF
10170 943 MeF, 943 MeF INTL 943 MeF, 943 MeF INTL
10180 943PR MeF 943PR MeF
10200 944 MeF, 944 MeF INTL 944 MeF, 944 MeF INTL
10220 945 MeF, 945 MeF INTL 945 MeF, 945 MeF INTL
11100 940, 940 PR/6020B 940, 940 PR/6020B
11140 940 SCRIPS 940 SCRIPS
11180 940 XML 940 XML
11200 941, 941 SCRIPS, 6020B 941, 941 SCRIPS, 6020B
11210 941PR/SS 941PR/SS
11250 945 945
11280 941 XML 941 XML
11300 CT-1 CT-1
11330 8288 8288
11340 8804/8805/8813 8804/8805/8813
11500 1120, 1120-F, 1120-FSC, 1120-H, 1120-L, 1120-ND, 1120-PC, 1120-REIT, 1120-RIC, 1120-SF, RTC 1120, 1120-F, 1120-FSC, 1120-H, 1120-L, 1120-ND, 1120-PC, 1120-REIT, 1120-RIC, 1120-SF, RTC
11520 1120 MeF 1120 MeF
11540 1120C 1120C
11550 1120F MeF 1120F MeF
11600 943/6020B 943/6020B
11610 943PR 943PR
11650 944/SP/6020B 944/SP/6020B
11660 944 XML 944 XML
11680 944 INTL 944 INTL
11700 7004 7004
11710 7004 MeF 7004 MeF
11800 720 720
11810 720 MeF 720 MeF
11820 8849 MeF 8849 MeF
11900 1041 1041
11910 1041-QFT 1041-QFT
11920 1041-ES 1041-ES
11930 1041 MeF, 1041 MeF INTL 1041 MeF, 1041 MeF INTL
11950 1041 EFS 1041 EFS
12100 1120-S 1120-S
12110 1120-S MeF 1120-S MeF
12200 1065, 1066 1065, 1066
12210 1065 MeF 1065 MeF
12220 1065-B MeF 1065-B MeF
12300 2290 2290
12310 3520 3520
12320 3520-A 3520-A
12340 2290 MeF 2290 MeF
12400 706/706 INTL, 706GS(D), 706GS(T), 706QDT, 706NA 706/706 INTL, 706GS(D), 706GS(T), 706QDT, 706NA
12410 709/709 INTL 709/709 INTL
12500 1042 1042
12700 11-C, 730 11-C, 730
12930 8453-F 8453-F
12940 8453-P 8453-P
13110 990 990
13120 990-EZ 990-EZ
13130 990-PF 990-PF
13140 990-T 990-T
13160 1041-A, 4720, 4720-A, 5578 1041-A, 4720, 4720-A, 5578
13170 1120-POL 1120-POL
13180 990-C 990-C
13190 5227 5227
13200 8038, 8038-G, 8038-GC, 8038-T, 8328 8038, 8038-G, 8038-GC, 8038-T, 8328
13210 8038-B, 8038-CP, 8038-TC 8038-B, 8038-CP, 8038-TC
13250 8703 8703
13330 990-PF MeF 990-PF MeF
13340 990-T MeF 990-T MeF
13350 990-N MeF 990-N MeF
13370 1120-POL MeF 1120-POL MeF
13380 990R MeF 990R MeF
13390 990-EZR MeF 990-EZR MeF
13410 990R 990R
13420 990-EZR 990-EZR
14310 Sch K-1 w/F1065 MeF Sch K-1 w/F1065 MeF
14400 1120X 1120X
15500 BMF Revenue Receipts /8892/5558/5466B/5768/2424 BMF Revenue Receipts /8892/5558/5466B/5768/2424
15520 BMF Returns W/R Vouchers BMF Returns W/R Vouchers
15540 8868 8868
15550 8868 MeF 8868 MeF
15560 5558 for 5330 5558 for 5330
15800 FTD FTD
15810 FTD SCRIPS
16000 8610 , 8609, 8693, 8823 8610 , 8609, 8693, 8823
16010 8871 PAC, 8872 8871 PAC, 8872
18700 CAWR ADJ CAWR ADJ
19000 8752 8752
38620 Account Transfer-In (3413, 3552) Account Transfer-In (3413, 3552)
44370 Sch K-1 w/F1120S Sch K-1 w/F1120S
72860 5330 5330

Note:

Program 38620 - Transaction "370" will determine processing of BMF Account Transfer documents.

3 - EPMF Programs

Program Form Description
72840 5500-EZ 5500-EZ
72880 5558 for 5500 Series and 8955-SSA 5558 for 5500 Series and 8955-SSA

5 - IRP Programs

Program Form Description
11940 1041 Sch K-1 MeF 1041 Sch K-1 MeF
14310 Sch K-1 w/F1065 MeF Sch K-1 w/F1065 MeF
14320 Sch K-1 w/F1065-B MeF Sch K-1 w/F1065-B MeF
44300 Various IRP Documents (1097 Series, 1098 Series, 1099 Series, 3921, 3922, 5498 Series, W-2G) Various IRP Documents (1097 Series, 1098 Series, 1099 Series, 3921, 3922, 5498 Series, W-2G)
44310 1096, 1098-C 1096, 1098-C
44320 Foreign IRP Foreign IRP
44340 IRP SCRIPS IRP SCRIPS
44370 8851, K-1/1120-S MeF 8851, K-1/1120-S MeF
44380 Sch K-1 (1065, 1041, 1120-S) Sch K-1 (1065, 1041, 1120-S)
44390 Sch K-1 ELF (1041) Sch K-1 ELF (1041)
44500 Questionable W-4 Questionable W-4
44610 8210 8210
71700 1042-T, 1042T ELF 1042-T, 1042T ELF
71710 5471 5471
71720 1042-S, 1042-S ELF 1042-S, 1042-S ELF
71790 5472 5472
80310 8027 8027

6 - NMF Programs

Program Form Description
72860 Form 5330 Form 5330
75700 NMF NMF
75800 2758/8804/8805/8813/6069 2758/8804/8805/8813/6069

Exhibit 3.30.126-2 
Program Number Update List (GMF- 81-40)

ACTN
CD
MF
SYS
KEY
PROG
NUM
TAX
CL
DOC
CD
BLK
HDR
MFT
CT L
DAY
KEY
BLK
NUM
LOW
BLK
NUM
HI
SAT
SUN
KEY
INPT
SRCE
KEY
PRI
YR
KEY
FRGN
TYP
KEY
BLK
HDR
TRNS
BYP
IND
PROGRAM
NUMBER
LITERAL
ERROR
REASON
1 2 15500 2 18 XX X 000 999 X X X X XXX 0 MISC  
4 2 11920 2 18 XX 1 900 999 X X X X XXX 0 FORM
1041ES
 
4 2 11500 2 19 XX X 000 999 X X X X XXX 0 MISC  

Exhibit 3.30.126-3 
Program Number Master List (GMF-81-41)

IMF
SYSTEM
KEY
PROG
NUM
TAX
CLASS
DOC
CODE
BLCK
HDR
MFT
CTRL
DAY
KEY
BLCK
NUM
LOW
BLCK
NUM
HIGH
SAT
SUN
KEY
INPT
SRCE
KEY
PRIOR
YR
KEY
FRGN
TYPE
KEY
BLOCK
HDR-TRN
CDE-KEY
BYPASS
IND
PROGRAM
NUMBER
LITERAL
2 15500 1 19 12 X 000 999 X X X X XXX 0 MISC
2 15500 2 17 XX X 000 029 X X X X XXX 0 MISC
2 15500 2 17 XX X 700 999 X X X X XXX 0 MISC

Exhibit 3.30.126-4 
Program Number Update Record (Form 8000)

This image is too large to be displayed in the current screen. Please click the link to view the image.
Complete a separate Form 8000 for each addition, deletion and/or change to update the Program Number Master Table, GMF 81.
When changing a record prepare two forms:
  1. One form to delete an entire record.

  2. A second form to add the record, including all changes.

Use the specific instructions listed in the table below to complete Form 8000.
The completed forms should be given to the responsible programmer for entering this data.
Title of Box Explanation and Action
1. Program Number Action Code This code specifies the action to be taken to update the Program Number Master List. The codes and their meanings are as follows. Circle the appropriate code on Form 8000.

Action code 1 - used to delete an HQ or subprogram number table entry. Except for the action code, all fields on the Form 8000 must be identical to the entry on the Program Number Master List that is being deleted.

Action code 2 - turn off bypass key (item 15). This code allows the computer to assign to document the applicable HQ program code rather than the applicable subprogram code without having to delete the subprogram code entries. This can be useful in cases where the service center wants to use its subprogram code only on a seasonal or temporary basis.
  1. Action code 2 can apply only to an HQ program number entry with a bypass key of "1" . Except for the action code, each field on the Form 8000 must be identical with the entry on the Program Number Master List that is being bypassed.

  2. If all of the subprograms relating to HQ program code is to be used, prepare Form 8000 with an action code 2 to change the bypass key to 0 for the HQ program.



Action code 3 - turn on bypass key (item 15). This code is used to reverse an action code. Action code 3 is not needed to set the bypass key to 1 when subprograms are first added to the program number table. When subprogram codes are added to the table the bypass key in the related HQ program is automatically set to "1" by the computer.
  1. For an HQ program code, the set of documents specified by the parameters must be unique to the sets of documents specified by the parameters in the HQ program codes already in the table.

  2. For a subprogram code, the set of documents specified by the parameters must be a logical subset of the set of documents specified by the parameters in the HQ program code that is already in the table and must have the same first four program number digits; and the set of documents specified by the parameters must be unique to the sets of documents specified by all programs that are already in the table and that have the same first four program number digits.



Action code 4 - used to add an HQ program code on the Program Number Master List.

Note:

Action code 4 is input by HQ only.

2. Master File (ID) Code This code identifies the Master File for the program code. The codes and their meanings are as follows. Circle the appropriate code shown on the form.
Code 1 - IMF
Code 2 - BMF
Code 3 - EPMF
Code 4 - IRAF
Code 5 - IRP
Code 6 - NMF
3. Program Number Enter the five digit program number that action is being taken on.
4. Tax Class Key This code, along with the document code, identifies the type of document. Enter the one digit tax class code (0-9) specified on the Program Number Master List, GMF 81-41, for the program code being updated. Enter "X" if no particular tax class key is required for the program code being updated. If there is more than one tax class, a change must be made for each tax class.
5. Document Code Key This code preceded by the tax class code identifies the type of document. Enter the two digit code (00-99) specified on the Program Number Master List, for the program code being updated. Enter "XX" if no particular document code is required for the program code being updated. If there is more than one document code for the program code, a separate update record must be prepared for each document code.
6. Block Reader MFT Key This code further identifies the program code of the document being processed. This two digit code (00-99) must be entered whenever it is required to be input by ISRP in the Block Header information for miscellaneous documents. Most of the time this code will be blank (For example: Form W-3G, enter MFT "32" ; Form W-2G, leave blank). Enter "XX" or leave blank when no particular MFT code is required for the program code being changed.
7. Control Day Key This one digit code specifies the range of the control day that is applicable to particular DLNs and program codes. The codes and their meanings are as follows:
Code X - Disregard this factor
Code 1 - 001-366
Code 2 - 401-766
8. Block Number Key (Low) This code (000-999) specifies the lowest value of the block number in a DLN for the program number being updated. Enter the low order blocking series specified in IRM 3.10.73, Batching and Numbering, as a three digit code. If two or more sets of blocking series, prepare a change for each set.
9. Block Number Key (High) This code (000-999) specifies the highest value of the block number in a DLN for the program number being updated. Enter the high order blocking series specified in IRM 3.10.73 as a three digit code. If two or more sets of blocking series, prepare a change for each set.
10. Saturday/Sunday Key This code specifies which days of the week are represented by the control day in the DLN for a program number. See the Program Number Master List to determine which program codes are used in conjunction with the Saturday/Sunday Control Day. Circle the applicable code as follows:
Code X - Disregard this factor
Code 1 - Weekday
Code 2 - Saturday and/or Sunday only
11. Input System Source Key This code specifies the input system for the program codes being updated. Circle the applicable code or enter the code if not shown on the form.
Code X - Disregard this factor
Code A - ASFR
Code B - Blank/Non RPS
Code C - SCRIPS
Code E - ELF (IMF, BMF, and IRP)
Code F - XML
Code L - MeF (IMF, BMF, and IRP)
Code R - RPS
12. Prior Year Key This code specifies which program codes are applicable to prior year returns. Circle the appropriate code as specified below.
Code X - Disregard this factor
Code 0 - Current year only
Code 3 - Prior year only
13. Foreign Type Key This code specifies whether the foreign or domestic File Location Code (FLC) is applicable to the program number. Circle the appropriate codes as specified below.
Code X - Disregard this factor
Code 1 - All FLCs except 20, 60 and 98
Code 2 - All FLCs except 20, 21, 60, 66, 78 and 98
Code 3 - FLC 20, 60, or 98 only
Code 4 - FLC 20, 21, 60, 66, 78 and 98 only
14. Transaction Code This three digit code is used to identify the type of transaction being processed. Enter "XXX" if no particular TC is required. Enter TC 370 for Account Transfer-In documents. Leave Blank for Revenue Receipts (Program Code 15500 (Doc Code 51) and Program Code 45500 (Doc Codes 51 and 52).
15. Program Number Bypass Key This code specifies whether a HQ Program Number should be bypassed because it has been broken down into campus subprograms. When SC programs are used, the bypass key must always be "0" . Circle the appropriate code as specified below.
Code 0 - Do not bypass
Code 1 - bypass
16. Program Number Literal An eighteen position field used to describe the type of documents applicable to the characters for the title of the program code starting in the left most entry space of the first line.

Exhibit 3.30.126-5 
Correction to Block Proof Summary Balance Forward Records, Form 8350

This image is too large to be displayed in the current screen. Please click the link to view the image.
Use the instructions in this table to complete Form 8350.
Column Number and Title Action
2 - System ID Code Enter the numeric code which indicates which Master File system is to process the documents.
1 = IMF
2 = BMF
3 = EPMF
5 = IRP
6 = NMF
3 - Program Number Enter the five digit code that identifies the documents being corrected.

Note:

The Master File System ID Code (col. 2) and the appropriate program number (col. 3) must be in ascending sequential order before entering a different system ID code and program number.

4 - Cumulative Good Transaction Input data only at the beginning of each Master File period to decrease the inventory to zero.
5 -16
5 - Error
6 - Reject
7 - Cumulative Raw Errors
8 - Current BOB Inventory
9 - Cumulative Conversion Volume
10 - Current Block Delete Inventory
11 - Block Deletion
12 - BOBS
13 - Unpostable Rejects
14 - Raw Rejects
15 - BOB Blocks Converted
16 - BOB Blocks
Input as appropriate.
17 - Action Code Enter the alpha code that indicates the type of adjustment to be made to a particular record:
  • I = Insert (adding a record to the file)

    Note:

    When I (Insert) is entered, Form 8350 must have an entry in every column. The entries in columns 5 - 16 must contain a positive number or a zero.

  • C = Change (change record on an existing file)

    Note:

    Complete columns 2, 3, 17 and any columns requiring a change.

  • D = Delete (delete record on an existing file)

    Note:

    Complete only columns 2, 3, and 17 on Form 8350 when deleting a record.

Reminder:

A row will not delete if the System ID Code / Program Number combination exists on the GMF-81-41.

Exhibit 3.30.126-6 
Balance Forward Listing (PCD-01-40)

SYSTEM PROGRAM
NUM
CUM
GOOD
TRANS-
ACTIONS
CURRENT
ERROR
INVENT
CURRENT
REJECT
INVENT
CUM
RAW
ERRORS
CURRENT
BOBS
INVENT
CUM
CON-
VERSION
VOLUME
CURRENT
BLOCK
DELETION
INVENT
CUM
BLOCK
DELES
CUM
BOBS
CUM
UNPOSTABLE
REJECTS
CUM
RAW
REJECTS
CUM
BOB
BLOCKS
CONV
CUM
BOB
BLOCKS
BMF 11100 437526 200 488 56484 106 438116 0 2 40889 7 8942 1031 832
BMF 11140 68332 31 95 10225 42 66795 0 0 8227 0 1597 240 142
BMF 11200 711676 852 2513 83096 288 715848 0 233 67808 13 13313 2204 1473
BMF 11250 373627 501 15 21896 100 374905 0 762 8701 1 284 167 113
BMF 11300 0 0 0 0 0 0 0 0 0 0 0 0 0

Exhibit 3.30.126-7 
Update Status Listing (PCD-01-41)

P/R/F: PCD-01-41 UPDATE STATUS LISTING PAGE 1
                       
A1 B16000 000000000 D000000000 E000000000 F000000000 G000000000 H000000000 I000000000 J000000000 K000000000 L000000000 M000000000 N000000000
Record HAS INVALID ELEMENT(s)
NO INSERT-RECORD NOT FOUND ON GMF PROGRAM NUMBER FILE
                       
A1 B16100 000000000 D000000000 E000000000 F000000000 G000000000 H000000000 I000000000 J000000000 K000000000 L000000000 M000000000 N000000000
Record HAS INVALID ELEMENT(s)
NO INSERT-RECORD NOT FOUND ON GMF PROGRAM NUMBER FILE
                       
A1 B16200 000000000 D000000000 E000000000 F000000000 G000000000 H000000000 I000000000 J000000000 K000000000 L000000000 M000000000 N000000000
Record HAS INVALID ELEMENT(s)
NO INSERT-RECORD NOT FOUND ON GMF PROGRAM NUMBER FILE
                       
A1 B16300 000000000 D000000000 E000000000 F000000000 G000000000 H000000000 I000000000 J000000000 K000000000 L000000000 M000000000 N000000000
Record HAS INVALID ELEMENT(s)
NO INSERT-RECORD NOT FOUND ON GMF PROGRAM NUMBER FILE
                       
A1 B164000 000000000 D000000000 E000000000 F000000000 G000000000 H000000000 I000000000 J000000000 K000000000 L000000000 M000000000 N000000000
Record HAS INVALID ELEMENT(s)
NO INSERT-RECORD NOT FOUND ON GMF PROGRAM NUMBER FILE
                       
A1 B16500 000000000 D000000000 E000000000 F000000000 G000000000 H000000000 I000000000 J000000000 K000000000 L000000000 M000000000 N000000000
Record HAS INVALID ELEMENT(s)
NO INSERT-RECORD NOT FOUND ON GMF PROGRAM NUMBER FILE
                       
A1 B166000 000000000 D000000000 E000000000 F000000000 G000000000 H000000000 I000000000 J000000000 K000000000 L000000000 M000000000 N000000000
Record HAS INVALID ELEMENT(s)
NO INSERT-RECORD NOT FOUND ON GMF PROGRAM NUMBER FILE

Exhibit 3.30.126-8 
Block Proof Summary and Error Analysis (PCD-03-40)

PROGRAM PERIOD CUMULATIVE ERRORS
CLEARED
TODAY
RAW ERRORS
TODAY
CUMULATIVE RAW ERROR RATE
PERIOD
CUMULATIVE CURRENT
ERROR
INVENTORY
38600 17 10074 0 1 461 0.0556 00.0459 1
43110 3010 3929285 383 1289 819321 0.3677 00.2087 2804
43210 22977 1266803 6717 5011 272250 0.2296 00.2079 18221
44110 601 1714857 188 220 400558 0.3566 00.2330 570
44120 117 129805 0 0 265455 0.0000 00.1979 8
44200 3765 2721456 109 28 33669 0.0076 00.0083 39

Exhibit 3.30.126-9 
Reject Analysis Report (PCD-03-41)

  UNPOSTABLE REJECTS CLEARED   RAW REJECTS RAW REJECT RATE   TODAY′S REJECT DELETIONS REJECT
PROGRAM PERIOD CUMULATIVE TODAY TODAY CUMULATIVE   PERIOD CUMULATIVE REINPUT PROGRAM DELETES INVENTORY
38600 0 0   0   0 275   0.0000 0.0274 00 92
43110 0 0   526   78 46001   0.0228 0.0117 00 28
43210 0 0   484   10036 33983   0.0476 0.0260 00 6027
44110 0 0   21   4 12233   0.0085 0.0071 00 27126
44120 0 0   117   0 4773   0.0000 0.0057 00 898
TOTAL 0 0   1148   10118 97265   0.0789 0.0779 00 34171

Exhibit 3.30.126-10 
IMF Block Deletion Analysis (PCD-03-42)

P/R/F-PCD-03-41 CAMPUS IMF BLOCK DELETION ANALYSIS
                           
TODAY′S NEW BLOCK DELETIONS   TODAY′S BLOCK DELETION RELEASES CURRENT  
Program SC DELETES MCC DELETES REINPUT PROGRAM DELETES CARD RERUN BLOCK DELETION CUMULATIVE
  INVENTORY BLOCK DELETIONS
38600 0 0 0 0 0 0 46
43110 0 0 0 0 0 0 247
43210 0 0 0 0 0 0 4
44110 0 0 0 0 0 0 367
44120 1 0 0 0 0 1 2
44200 0 0 0 0 0 0 135
44400 0 0 0 0 0 0 0
44630 0 0 0 0 0 0 0
44700 0 0 0 0 0 589828 0
44720 0 0 0 0 0 0 201
45500 0 0 0 0 0 1054475 686
45520 0 0 0 0 0 0 0
47130 0 0 0 0 0 0 384
47140 0 0 0 0 0 0 90
47160 0 0 0 0 0 0 0
TOTAL 1 0 0 0 0 1824105 2142

Exhibit 3.30.126-11 
BOB Analysis (PCD-03-43)

PROGRAM TODAY′S BOBS CURRENT BOBS CUMULATIVE BLOCKS CONVERTED BOB BLOCKS BOBS VOLUME
  NEW BOBS CLEARED TODAY INVENTORY BOBS   PERIOD CUM. PERIOD CUM. PERCENT
33060 0 0 0   128   0 7 0 7 6.88  
33070 0 0 0   0   0 0 0 0 .00  
38600 0 0 0   0   0 0 0 0 .00  
42900 1369 1074 0   0   0 0 0 0 .00  
43110 720 278 1569   42073   30 1051 21 578 2.36  
43120 0 0 720   6805   6 132 6 81 1.85  
43130 0 0 0   0   0 0 0 0 .00  
44110 0 0 0   0   0 0 0 0 .00  
44120 0 0 0   0   0 0 0 0 .00  
44170 0 0 0   0   0 0 0 0 .00  

Exhibit 3.30.126-12 
Balance Forward Listing (PCD-03-44)

SYS-
TEM
PROGRAM
NUM
CUM
GOOD
TRANS-
ACTIONS
CURRENT
ERROR
INVENT
CURRENT
REJECT
INVENT
CUM
RAW
ERRORS
CURRENT
BOBS
INVENT
CUM
CON-
VERSION
VOLUME
CURRENT
BLOCK
DELETION
INVENT
CUM
BLOCK
DELETES
CUM
BOBS
CUM
UNPOSTABLE
REJECTS
CUM
RAW
REJECTS
CUM
BOB
BLOCKS
CONV
CUM
BOB
BLOCKS
IMF 33060 0 0 0 0 0 0 0 0 0 0 0 0 0
IMF 38600 10074 1 28 461 1 10043 0 46 1770 0 275 194 404
IMF 43110 3929265 2804 6027 819321 418 3926687 0 247 162800 0 48091 4635 2580
IMF 43210 1266603 18221 27126 272250 2905 1309367 0 4 137997 0 33983 3658 2036

Exhibit 3.30.126-13 
Invalid Listing Summary (PCD-03-45)

REC TYPE ABC FROM CODE TO CODE REINPUT CODE MASTER FILE BLOCK DLN BLOCK DOC CT BATCH NUM PROG NUM CTRL REC VARIABLE DATA ERROR CODE
 
7 ABZ 0 3   2 17141/001/003/4 0000 0010 00000 F 194012000413032 7
7 9KE 2 5   2 17141/001/750/4 0005 0002 00000   194012000414032 194012000413032 7
7 A7H 0 5   2 17141/038/707/4 0007 0012 00000 F 7
7 AQF 0 3   2 17141/006/929/4 0005 0017 00000   194012000417032 7
7 AQE 0 3   2 17141/008/929/4 0098 0017 00000   194012000413032 7
7 A7J 0 3   2 17141/001/003/4 0004 0017 00000   194012000413032 7
7 AQF 0 3   2 17141/001/750/4 0056 0012 00000 F 194012000413032 7
7 AW8 0 5   2 17141/038/707/4 0005 0017 00000   194012000413032 7

Exhibit 3.30.126-14 
Invalid Listing Error Codes

Invalid Listing Error Codes
The error records appear on the Invalid Listing (PCD-03-45) as an image of an input tape record from the SCCF posting tape. This Invalid Listing could contain one of the following error codes in Pos. 85-86.
Error Code Description
A The Block Document Count (Pos. 21-24) in a IMF, BMF or EPMF Adjustment Record (0 in Pos. 1), From and To Code (Pos. 5-6) of "40" or "42" is greater than the Current Reject Inventory from which it is to be subtracted.
B The Block Document Count in IMF, BMF or EPMF Reinput Block Proof Record (5 in Pos. 1), From and To Code (Pos. 5-6) of "40" is greater than the Current Reject Inventory from which it is to be subtracted.
C The Block Document Count in an Adjustment Record (0 in Pos. 1), From and To Code (Pos. 5-6) of "50" is greater than the Cumulative Good Transaction item from which it is to be subtracted.
D The Block Document Count in and Trans Deletion Control Record/Reinput Block Proof Record (5 in Pos. 1). From and To Code (Pos. 5-6) of "50" is greater than the Cumulative Good Transaction item from which it is to be subtracted.
E The Block Document Count in an IMF, BMF or EPMF Adjustment Record (0 in Pos.1), From and To Code (Pos. 5-6) of "34" is greater than the Current Error Inventory from which it is to be subtracted.
F The Block Document Count in an IMF, BMF or EPMF Reject Block Proof Record (7 in Pos.1), From and To Code (Pos. 5-6) of "34" is greater than the Current Error Inventory from which it is to be subtracted.
G The Block Document Count in an IRP or NMF Adjustment Record (0 in Pos. 1), From and To Code (Pos. 5-6) of "30" or "32" is greater than the Current Error Inventory from which it is to be subtracted.
H The Block Document Count in an IRP or NMF Reinput Proof Record (5 in Pos. 1), From and To Code (Pos. 5-6) of "30" or "32" is greater than the Current Error Inventory from which it is to be subtracted.
I The Block Document Count in an IMF, BMF or EPMF Delete Block Proof Record (5 in Pos. 1), From and To Code (Pos. 5-6) of "42" is greater than the Current Reject Inventory from which it is to be subtracted.
J The Block Document Count in an IMF, BMF or EPMF Delete Block Proof Record 6 in Pos. 1), From and To Code (Pos. 5-6) of "42" is greater than the Current Reject Inventory from which it is to be subtracted.
K The Block Document Count in an IRP or NMF Renumber Block Proof Record (6 in Pos 1), From and To Code (Pos. 5-6) of "32" is greater than the Current Error Inventory from which it is to be subtracted.
L Unable to establish program number from DLN and Program Number File.
M The Block Document Count in a Good Block Proof Record (7 in Pos. 1), From and To Code (Pos. 5-6) of "35" is greater than the Current Error Inventory from which it is subtracted.
N The Block Document Count in an IMF, BMF or EPMF Good Block Proof Record (7 in Pos. 1), From and To Code (Pos. 5-6) of "45" is greater than the Current Reject Inventory from which it is to be subtracted.
O The Block Document Count in an Adjustment Record (0 in Pos. 1), From and To Code (Pos. 5-6) of "36" is greater than the Current Error Inventory from which it is to be subtracted.
P The Block Document in an IMF, BMF or EPMF Adjustment Record (0 in Pos. 1), From and To Code (Pos. 5-6) is greater than the current Reject Inventory from which it is to be subtracted.
Q The Generated Block Document Count (Pos. 62-66) in a BOB Release Record (6 in Pos. 1) containing a BOB Inventory Adjustment Code (Pos. 68) of "7" is greater than the cumulative BOB from which it is to be subtracted.
R The Generated Block Document Count (Pos. 62-65) in a BOB Release Record (8 in Pos. 1) containing a BOB Inventory Adjustment Code (Pos. 63) of "7" or blanks is greater than the current BOB Inventory from which it is to be subtracted.
S The high order digit of the Block Number is other than 0-9.
T SC Block Number (Pos. 2-4) of an input tape record contains "IDR" indicating an IDRS tape record.
U The Control Date is other than 001 to 366 or 401 to 766.
V The year digit is other than for the current year or five prior years, except when blank on the BOB Release Record (6 in Pos. 1).
W A BOB Release Record (6 in Pos. 1) contains a BOB Inventory Adjustment Code (Pos. 68) is other than blank, 7 or 8.
X The Tax Class and/or Doc Code is invalid.
Y The Generated Block Document Count (Pos. 62-65) and the Block Document Count (Pos. 21-24) in a BOB Control Record (2 in Pos. 1) or BOB Release Record (8 in Pos. 1) are blank.
Z A Block Delete Processed Record has a program number that is not numeric or spaces.
1 The Processing Code on the Block Delete Processed Record is not equal to a 1, 2, or 3. If the Processing Code is 3 the Master File System ID Code must be EPMF.
2 The Master File System ID Code is other than 1, 2, 3, or 5 on the Block Delete Processed Record.
3 The Block Deletion Inventory Count is less than the Block Document Count.
4 Block Document Count is not numeric.
* Program number of the record is not on the Balance Forward File.
? Program number contains five zeros.

Note:

The error condition can be determined by means of the error code on the listing. Valid Tax Class and Document Codes and the Table/List for determining IMF, BMF, IRP, NMF and EPMF program code identification are defined in Exhibit 3.30.126-1, WP&C Program Codes (Initialization), and Program Number Master Listing. Document Code 79 is bypassed except for IRP and NMF processing.
Whenever the program number field contain zeros, determine what the program number should be (check for Master System ID, Program Number Master List, GMF 81-41 and the From and To Codes) and adjust inventories accordingly.

Invalid Listing Error Code Adjustments
Error Code From-To Code Adjustments
A or B 40 OR 42 Add to Rejects Cleared Today; subtract from Current Reject Inventory.
C or D 50 Subtract from Good Transaction Items period and cumulative.
E or F 34 Add to Errors Cleared Today; subtract from Current Error Inventory. Add to Raw Rejects Today; Raw Rejects cumulative and to Current Reject Inventory. For campuses that are not up to date, daily adjustments should equal receipts and production in errors, rejects, BOBs and reinputs. Adjustments to good tape receipts during this time are acceptable.
G or H 30 or 32 Add to Errors Cleared Today; subtract from Current Error Inventory.
I or J 42 Add to Rejects Cleared Today; subtract from Current Reject Inventory.
K 32 Add to Errors Cleared Today; subtract from Current Error Inventory.
M 35 Add to Errors Cleared Today; subtract from Current Error Inventory and add to Good Transaction Items period and cumulative.
N 45 Add to Rejects Cleared Today; subtract from Current Reject Inventory and add to Good Transaction Items period and cumulative.
O 35 Add to Errors Cleared Today; subtract from Current Error Inventory and add to Good Transaction Items period and cumulative.
P 45 Add to Rejects Cleared Today; subtract from Current Reject Inventory and add to Good Transaction Items period and cumulative.

Note:

From Code 1, 3, or 4; manually add document count to Errors, Rejects or BOBs Cleared Today under the correct program. From Code 0-6 does not require a manual adjustment.

To Code 1, 3, 4 or 5; manually add to document count to Good Transaction, Errors, Rejects or BOBs Today under the correct program. To Code 0 or 2 does not require a manual adjustment. It is possible to have a manual negative adjustment in current inventories. For this condition verify what the actual count should be with Error or Reject personnel.

Exhibit 3.30.126-15 
Reject Reinput Batch Transmittal (PCD-03-46)

P/R/F: PCD-03-46 REJECT REINPUT BATCH TRANSMITTAL
P/R/F: PCD-03-46 REJECT REINPUT BATCH TRANSMITTAL        
    PROGRAM 15500 BATCH NO DATE    
    071241677000 001    
    BATCH VOLUME 0001    

Exhibit 3.30.126-16 
Planning and Control Data Files Summary (PCD-03-47)

P/R/F: PCD-03-47 PLANNING AND CONTROL DATA FILES SUMMARY DATE 05/20/06
  TOTAL RECORDS INPUT
TOTAL RECORDS IN ERROR
TOTAL RECORDS BYPASSED
TOTAL PCD RESEARCH RECORDS
TOTAL RECORDS PROCESSED
10319
706
1652
150
7811
BMF BALANCING TOTAL RECORDS INPUT
TOTAL RECORDS IN ERROR
TOTAL RECORDS BYPASSED
TOTAL PCD RESEARCH RECORDS
TOTAL RECORDS PROCESSED
4046
363
980
57
2666
EPMF BALANCING TOTAL RECORDS INPUT
TOTAL RECORDS IN ERROR
TOTAL RECORDS BYPASSED
TOTAL PCD RESEARCH RECORDS
TOTAL RECORDS PROCESSED
20
6
10
4
0
IRP BALANCING TOTAL RECORDS INPUT
TOTAL RECORDS IN ERROR
TOTAL RECORDS BYPASSED
TOTAL PCD RESEARCH RECORDS
TOTAL RECORDS PROCESSED
0
0
0
0
0
NMF BALANCING TOTAL RECORDS INPUT
TOTAL RECORDS IN ERROR
TOTAL RECORDS BYPASSED
TOTAL PCD RESEARCH RECORDS
TOTAL RECORDS PROCESSED
137
4
19
3
111

Exhibit 3.30.126-17 
Block Deletes Processed List (PCD-03-48)

P/R/F:PCD-03-48 BLOCKS DELETES PROCESSED LIST DATE 07-16-06 PAGE 1
1. PROCESSING CODE 2. SYSTEM-ID 3. BLOCK DLN 4. BLOCK DOCUMENT COUNT 5. PROGRAM NUMBER
??? 1 072100673080 0001 44120

Exhibit 3.30.126-18 
Error Volume Report Summary (GMF-10-43)

GMF-1043 IMF DAILY ERROR VOLUME REPORT SUMMARY
PROGRAM NUMBER PROGRAM LITERAL TOTAL ERRORS
38600 ACCOUNT TRANSFER 2
43520 F1040A MEF 0
43530 F1040EZ MEF 0
44200 FORM 1040C, 1040ES 27
44630 1040 SFR 0
44700 FORM 4868 0
44750 FORM 2350 MEF 0
45500 REV RECEIPTS, ETC 15
45520 IMF RETS W/R Vouch 0
47140 F1040EZ FP 0
TOTAL ERRORS FOR ALL PROGRAMS 44
PRIOR YEAR RETURNS (INCLUDED ABOVE)

Exhibit 3.30.126-19 
Error Resolution Error Inventory Summary (ERS-13-41)

DAYS IN INVENTORY 2 IMF INVENTORY
PROGRAM NUMBER PROGRAM LITERAL VOLUME
43110 F1040 OTHER 1025
43210 FORM 1040 FP 126
44700 FORM 4868 482
47130 F1040EZ ISRP 71
45520 IMF RETS W/R VOUCH 10
TOTAL ERROR RECORDS 1714

Exhibit 3.30.126-20 
Reject Inventory List Summary (GMF-11-43)

RAW RE-REJECT LOOP TOTAL
PROGRAM NUMBER PROGRAM LITERAL DOC COUNT DOC COUNT DOC COUNT DOC COUNT
38600 ACCOUNT TRANSFER 71 0 15 56
43520 F1040A MEF 0 0 0 0
43530 F1040EZ MEF 0 0 0 0
44200 FORM 104C, 1040ES 151 0 2 153
44400 FORM 1040X 0 0 0 0
44700 FORM 4868 0 0 0 0
44750 FORM 2350 MEF 3 0 0 3
45500 REV RECEIPTS, ETC 7 0 0 7
45520 IMF RETS W/R VOUCH 0 0 0 0
47140 F1040EZ FP 0 0 0 0
TOTAL REJECTS FOR ALL PROGRAMS 232 0 17 249

Exhibit 3.30.126-21 
Workable Suspense Inventory Summary (ERS-13-43)

IMF MASTER FILE
PROGRAM 43110 F1040 OTHER
STATUS TOTAL DAY 0 DAY 1 DAY 2 DAY 3 DAY 4 DAY 5 6-10 11-15 16-20 21-25 26-30 31-35 36-40 OVER 40
 
321 17 8 3 0 0 0 0 3 2 0 1 0 0 0 0
333 2 0 1 0 0 0 0 0 1 0 0 0 0 0 0
335 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0
342 3 0 0 0 0 0 2 0 0 0 0 0 0 0 0
351 2 0 0 0 0 0 0 0 0 0 0 0 0 0 0
421 189 91 22 24 10 40 0 1 1 0 0 0 0 0 0
TOTAL 98 26 24 10 40 2 4 4 0 1 0 0 0 0
  TOTAL RECORDS IN PROGRAM 372  

Exhibit 3.30.126-22 
Unworkable Suspense Inventory (ERS-07-40)

IMF MASTER FILE       PAGE 13            
STATUS TOTAL DAY 1 DAY 2 DAY 3 DAY 4 DAY 5 6-10 11-15 16-20 21-25 26-30 31-35 36-45 OVER 45
 
221 1272 9 12 9 37 9 56 91 140 102 166 281 358 0
232 3 0 0 0 0 1 2 0 0 0 0 0 0 0
233 19 0 4 15 0 0 0 0 0 0 0 0 0 0
235 17 1 2 4 8 2 0 0 0 0 0 0 0 0
237 10 0 0 0 0 0 10 0 0 0 0 0 0 0
242 5 1 3 0 0 1 0 0 0 0 0 0 0 0
251 11 0 0 0 0 0 1 7 1 2 0 0 0 0
TOTAL   11 21 28 45 13 71 96 141 104 166 281 358 0
  TOTAL RECORDS IN PROGRAM 1337              

Exhibit 3.30.126-23 
Mainline Run Control Report (GMF-07-40)

        INFORMATIONAL COUNTS  
        ERROR DOCUMENT INVENTORY    
OLD ERROR FILE - TOTAL DOCUMENTS
+ERROR DOCUMENTS NON-MATCHED
+ERROR DOCUMENTS DELETED
+ERROR DOCUMENTS LOOPED
+ERROR DOCUMENTS TO GOOD STATUS
+ ERROR DOCUMENTS TO REJECT
STATUS
+
+
+
+
+
302
98
31
354
17
802
        TOTALS   802 802
NEW ERROR FILE-TOTAL DOCUMENTS
ERROR DOCUMENTS NON-MATCHED
+ERROR DOCUMENTS LOOPED
+RAW DOCUMENTS TO GMF ERROR
STATUS
+
+
302
31
680
1,023
        TOTALS   1.023 1,023
RAW DOCUMENTS
RAW DOCUMENTS TO GOOD STATUS
+RAW DOCUMENTS TO REJECT STATUS
+RAW DOCUMENTS TO GMF ERROR
STATUS
+RAW DOCUMENTS TO ERS FILE
+
+
+
65,866
359
690
8,787
75,804
        TOTALS   75,804 75,804

Exhibit 3.30.126-24 
Error Resolution Inventory Control Report (ERS-17-47)

SELECTION INVENTORY     WORKABLE SUSPENSE INVENTORY
BEGINNING INVENTORY
TOTAL RECORDS ADDED FROM GMF
WORKABLE SUSPENSE SELECTED
UNWORKABLE SUSPENSE SELECTED
ERROR RECORDS SELECTED
0
7,195
21
546
6,628
BEGINNING INVENTORY
ERROR INVENTORY RECORDS
RETURNS ANALYSIS RECORDS ADDED
GUF RECORDS ADDED
UNWORKABLE SUSPENSE RECORDS ADDED
DUPLICATE BLOCK ERROR RECORDS ADDED
7065
6
21
0
1,386
1
ENDING INVENTORY 0 RECORDS CORRECTED
RECORDS SUSPENDED
RECORDS REJECTED
DUPLICATED RECORDS DROPPED

1,547
409
149
0
6.374
  ENDING INVENTORY 6,374
QUALITY ASSURANCE HOLD   QUALITY ASSURANCE HOLD 53
ERROR INVENTORY   UNWORKABLE SUSPENSE INVENTORY  
BEGINNING INVENTORY 15,240 BEGINNING INVENTORY 37,850
ERROR RECORDS SELECTED
RECORDS CORRECTED
RECORDS SUSPENDED
RECORDS REJECTED
DUPLICATE RECORDS DROPPED
DUPLICATE BLOCK RECORDS MOVED TO SUSPENSE
6,628
7,602
439
0
0
1
ERROR RECORDS ADDED
RETURNS ANALYSIS RECORDS ADDED
WORKABLE SUSPENSE RECORDS ADDED
WORKABLE SUSPENSE RECORDS REMOVED
DUPLICATE RECORDS REMOVED
433
546
409
1,386
1
ENDING INVENTORY 13,826 ENDING INVENTORY 37,851
QUALITY ASSURANCE HOLD 593    

Exhibit 3.30.126-25 
BOB Correction Control List (GMF-09-46)

BLOCK
CNTRL
JULIAN
DATE
SERIAL
NUMBER
BATCH
NUM
PROGRAM
NUM
MFT OLD
DOC
CNT
NEW
DOC
CNT
MATCHED BLOCK
DLN
NON-MATCHED BLOCK
DLN
DELETED BLOCK
DLN
BLOCK
DISPOSITION
NEW
MSDID
SCCF
ADJ
BZD 5202 002150 112 44200 30 0100 0100   08220282255 5        
BZH 5202 002151 112 44200 30 0100 0100   08220282255 5        
BZJ 5202 002152 112 44200 30 0100 0100   08220282255 5        
BZK 5202 002153 112 44200 30 0100 0100   08220282255 5        
BZL 5202 002154 112 44200 30 0100 0100   08220282255 5        

Exhibit 3.30.126-26 
BOB ID List (GMF-09-45)

BOB SEQ
NUM
BLOCK
CONTROL
BLOCK DLN   BOB
CODES
HDR
COUNT
CAPER
COUNT
PROGRAM
NUM
BATCH
NUM
REBOB
CTR
NODE
5274006970 H4Z 08207258548 5 P   003 003 47130 295 0  
5274006888 H4X 06207259547 5 P   001 001 47130 295 0  
5274006889 H4Y 08220274230 5 P   024 024 44110 102 0  
5274006887 PSZ 08220273258 5 P   004 004 45520 314 0  
5274006852 AEV 08220280449 5 P   050 050 44200 309 0  
5274006683 BCC 08220280448 5 P   049 049 44200 751 0  
TOTAL REBOBS 0 TOTAL TODAY’S NEW BOBS 27 TODAY′S COMPUTER COUNT 1787

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