Part 2. Information Technology

Chapter 3. IDRS Terminal Responses

Section 62. Command Code ESTAB

2.3.62 Command Code ESTAB

Manual Transmittal

February 15, 2023

Purpose

(1) This transmits revised IRM 2.3.62, IDRS Terminal Responses, Command Code ESTAB modifier “S” (ESTABS).

Material Changes

(1) IRM 2.3.62 has been revised to include internal control information.

Effect on Other Documents

IRM 2.3.62, dated July 1, 2019, is superseded.

Audience

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

Effective Date

(02-15-2023)


Nancy Sieger
Chief Information Officer

2.3.62.1 (02-15-2023)

Program Scope and Objectives

  1. The Service Center Recognition/Imaging System (SCRIPS) utilizes the Command Code (CC) ESTAB with CC Modifier "S" to request printed images from the SCRIPS System.

  2. Purpose: This transmits revised IRM 2.3.62, IDRS Terminal Responses, Command Code ESTAB modifier “S” (ESTABS).

  3. Audience: All IRS business units.

  4. Policy Owner: The Chief Information Officer (CIO) is responsible for overseeing all aspects of our systems that operate the nation’s tax infrastructure.

  5. Program Owner: IT

  6. Primary Stakeholders: Wage & Investment (W&I), Large Business and International (LB&I), Small Business Self-Employed (SB/SE), Tax Exempt and Government Entities (TE/GE).

  7. Program Goals: This system manages data that was extracted from Corporate Account Data Stores (BMF, IMF, and EPMF) allowing IRS employees to take specific actions on taxpayer account issues and track status of an account.

2.3.62.1.1 (01-10-2023)

Background

  1. Document Request System (DOC) allows users to requests documents from Service Center and Federal Records Center return files. Requests are printed out on Form 4251 Return Charge Outs. These requests are initiated by terminal inputs of command code ESTAB. Upon reaching the print site these requests are sorted into manageable order and the Forms 4251 are printed and forwarded for service. DOC is the principal means for obtaining original documents, copies and information from return files. The DOC project also has the following functions:

    • Allows single approved user to update an AIMS contact listing for employees (separate from other ESTAB functionality.

    • Allows users to view, update, and delete district office addresses stored RDMS database. These addresses are used to mail requested documents to users.

    • Allows users to view all of their document requests for up to 60 days. Also allows users to edit or delete same day requests before batch printing.

    • Allows users to request microfilm request to the Microfilm Unit for research.

    • Allows the Service Center Files area to enter the current retirements of documents to the Federal Records Center. Also allows users to also delete obsolete records.

    • Allows users to request SCRIPS images of documents.

2.3.62.1.2 (01-10-2023)

Authority

  1. Command Code ESTAB was developed as the principal means for obtaining original documents, copies and information from return files.

2.3.62.1.3 (01-10-2023)

Roles and Responsibilities

  1. ESTAB Project Lead is responsible for:

    • Review and implementation of WRs that affect ESTAB.

    • Updating the contents of this IRM.

2.3.62.1.4 (01-10-2023)

Program Management and Review

  1. The document request system was the first application to launch a relational database system on the UNISYS mainframe. The database is accessed through embedded SQL statements within the code.

  2. There are 2 databases; one located at each computing center. (TCC & MCC).

2.3.62.1.5 (01-10-2023)

Program Controls

  1. Access to this program is governed by SACS.

2.3.62.1.6 (01-10-2023)

Terms and Acronyms

  1. Table of commonly used Terms and Acronyms is below:

    Term or Acronym: Meaning:
    ACA Affordable Care Act
    cc/CC Command Code
    DLN Document Locator Number
    DOC Document Request System
    EIN Employer Identification Number
    ESTABS ESTAB CC used to request SCRIPS images from service centers
    FTD Federal Tax Deposit
    IRP Information Returns Program
    MCC/TCC Computing Centers, Martinsburg and Memphis
    RDMS Relational Database on Unisys Mainframe
    SACS Security and Communications System in charge of maintaining security protocols across CCs.
    SCRIPS Service Center Recognition/Imaging System
    TIN Taxpayer Identity Number
2.3.62.1.7 (01-10-2023)

Related Resources

  1. No related resources available for Command Code ESTAB with Modifier “S”.

2.3.62.2 (01-01-2017)

Command Code ESTAB — General Information

  1. The screen input is checked for validity and consistency errors. Successfully filled in screens are then passed-off to CC (SCRRQ) to write the requests on the GENDATA File. CC SCRRQ is not seen by the terminal operator. Upon successful completion, the data and a "REQUEST COMPLETED" message are displayed to the user.

  2. All ESTAB with CC Modifier "S" requests (except FTD) will require the Universal Access Routing Indicator (UARI). The UARI must be input on line 3 in the two spaces following the "@" symbol. ( See IRM 2.3.62.5).

  3. The Taxpayer Identity Number (TIN), Tape File Source, and TIN Type will be stored for Audit Trail purposes.

  4. CC ESTAB also processes the following Modifiers: " D" (Document Requests), "M" (Microfilm Requests), and "R" (Retired Document Update Requests) are documented in IRM 2.3.17 , IRM 2.3.18, and IRM 2.3.56 respectively.

2.3.62.3 (01-01-2017)

Command Code ESTAB

  1. Use this Command Code to enter requests for original documents, copies, information, etc. The kind of request made depends on the request code input with CC ESTAB. Request Codes are explained in IRM 2.3.17.6 , Request Codes for CC ESTAB.

  2. As of January 1, 2004, ESTAB users are required to input the Command Code (column 1-5), CC modifier (column 6), and the Request Code (column 7) on line 1 of their IDRS terminal screen, then depress Enter/XMIT. CC ESTAB will display the requested screen, based on requester inputted modifier.

2.3.62.4 (01-01-2005)

Command Code ESTAB — Error Response

  1. If any element(s) of data are invalid or inconsistent, a message will be displayed on line 24. Error literals will display corresponding to the invalid or inconsistent element(s).

2.3.62.5 (01-01-2007)

Command Code ESTAB — Valid Response

  1. "REQUEST COMPLETED" is displayed on line 24, when user inputted data meets all validity and consistency checks.

2.3.62.6 (01-02-2018)

Command Code ESTAB — Type Of Request codes

  1. These are one character alphabetical codes input on line 1 column 7 of the ESTAB input screen.

    TYPE-OF-RETURN Purpose
    A An ACA Information Return 1094 series request
    B Block of FTD Return Images Request
    D An IRP 1096 request
    E All K-1 documents associated to the provided EIN (EIN will be a Payer EIN)
    F Single FTD Return Image Request
    H FTD with its associated Advice of Credit
    K Requested K-1 only (DLN will be a Payee DLN)
    L 941 request by DLN
    M 941 request by EIN
    P All K-1 documents associated to the provided DLN (DLN will be a Payer DLN)
    R 940 request by EIN
    S All K-1 documents associated to the provided DLN (DLN will be a Payee DLN)
    T All K-1 documents associated to the provided EIN (EIN will be a Payee EIN)
    W 940 request by DLN
    X 943 request by DLN
    Y 943 request by EIN
2.3.62.7 (01-02-2018)

Command Code ESTAB — Validity Messages

  1. When an element of data is invalid, a error message will be displayed on line 24. The element that is invalid will have an asterisk to the right of the invalid data field.

    Error Messages
    The CC Modifier is not "D" , "M" , "R" , or "S"
    Invalid Type-Of-Return, Please enter a valid Type-Of-Return
    Invalid Request-Year, A two digit RY must be entered after EIN, EX 00-0000000 04
    Invalid Req-Yr, A 2 digit RY must be entered after Type-Of-Return, EX ESTABSP04
    Invalid, Tax-Quarter (12th character) must be 1 through 4, or a SPACE
    Invalid, Tax-Year (last 2 characters) must be numeric M, R, Y
    Invalid, Tax-Year must be => 17 for Type-Of-Return “Y” request
    Invalid, SCRIPS-Req-Num field must be empty for Type-Of-Return: E, M, R, T or Y.
    Invalid TIN, Payer-TIN must be entered for Type-Of-Return E
    Invalid TIN, Payee-TIN must be entered for Type-Of-Return T
    Invalid TIN, Payee-TIN must be entered for Type-Of-Return M
    Invalid, TIN can not be entered for Type-Of-Returns K, L, P, S or X
    Invalid EIN, EIN must be entered for Type-Of-Return E, M, R, T or Y
    Invalid Req-Employee-Num, this field must be filled
    Invalid: EIN, Tax-Qtr and Tax-Year must be blank for Type-Of-Return "A, L, W and X"
    Invalid, EIN can not be entered for Type-Of-Return A, D, L, P , S, W or X
    Invalid, Tax-Class must be a 8 for Type-Of-Return W request
    Invalid, Tax-Class must be a 9 for Type-Of-Return X request
    Invalid, Doc-Code must be a 40 for Type-Of-Return W request
    Invalid, Doc-Code must be a 00 for Type-Of-Return X request
    Invalid Req-Employee-Num, first two digit not a valid Office/Center Code
    Invalid Req-Employee-Num, must be numeric
    Invalid, Tax-Class must be a 1 for Type-Of-Return L request
    Invalid, Doc-Code must be a 41 for Type-Of-Return L request
    Invalid, Tax-Class must be 5 for Type-Of-Return A request
    Invalid, Doc-Code must be 11 or 12 for Type-Of-Return A request
    Invalid SCRIPS-Req-Num, number must be entered
    Invalid SCRIPS, DLN failed validation
    Invalid, Alpha-Numeric Doc-Cd not valid for this type of request
    Invalid SCRIPS-Req-Num, the DLN must contain numbers (except Doc-Cd) & 3 dashes
    Invalid ESTAB request, use CC TRPRT to secure this electronic 1040 DOC
    Invalid Return Type for this Service Center - you are currently in:
    Invalid Return Type for this Service Center - you sent this request to:
    FLC does not agree with the Return Type and Campus
    This File Location Code is not valid for this request - you sent it to:
2.3.62.8 (01-01-2017)

Command Code ESTAB — Consistency Messages

  1. When elements of data are inconsistent an error message will be displayed on line 24. The elements that are inconsistent will display an asterisk to the right of their fields of data.

    Error Message Solution
    Invalid, SCRIPS Request Number required, not DLN Enter either the TIN or change the DLN to an FTD Sequence Number for the SCRIPS Request Number
    Invalid, TIN, Tax-Quarter and Tax-Year must be blank for Type-Of-Return 'L' Remove TIN, Tax-Quarter, and Tax-Year

Exhibit 2.3.62-1

Input Format CC ESTAB — SCRIPS Request

Screen display: The below graphic depicts the layout of the CC ESTAB, modifier "S"

This is an Image: 28174176.gif

Please click here for the text description of the image.

Record Element Description

Item Line Description and Validity
1 1 CC-"ESTAB" .
2 1 CC MODIFIER—Must be entered and must be "S" for SCRIPS Request.
3 1 TYPE OF RETURN—One must be entered and must be "A" (ACA 1094 series), "B" (FTD Block), "D" (IRP 1096), "E" , "F" (FTD), "H" (FTD Header), "K" , "P" , or "S" (K-1, providing DLN), "L" or "M" (941), "R" (940, providing EIN), "T" (K-1, providing EIN),"W" (940, providing DLN), "X" (943, providing DLN), or"Y" (943 providing DLN).
4 1 TIN INFORMATION—If entered, must meet standard validity criteria. per IRM 2.3.8 (4) and (5). Also see IRM 2.3.62.7.
5 1 TAX-QUARTER -When requesting 941's enter 1 through 4 for an individual tax-quarter; or leave blank for all tax-quarters for the requested tax-year.
6 1 REQUEST-YEAR - last two digit of tax-year.
7 2 REQUESTOR EMPLOYEE NUMBER—Must be entered as ten numerics, and the first two digits must be a valid District Office Code or Service Center Code.
8 3 SCRIPS REQUEST NUMBER—Must be entered as either an edited DLN or a seventeen-digit FTD Sequence Number. To ensure that an FTD type of SCRIPS Request will be fulfilled, please use the last two digits of the year in the first two positions of the FTD Sequence Number.
9 3 UNIVERSAL ACCESS—Must be entered for all requests, except FTD's. This field is made up of two components, the "@" symbol is the routing indicator and the Servicing Service Center two digit code.
Exhibit 2.3.62-2

Input Format CC ESTAB — SCRIPS Request with Validity Error(s) Response

Screen display

This is an Image: 28174177.gif

Please click here for the text description of the image.

Note, you may do the following:

  1. Correct invalid data elements and re-enter; ‘*’ means invalid data within field to the left.

  2. Try another CC and/or modifier.

Exhibit 2.3.62-3

Input Format CC ESTAB — SCRIPS Request with Consistency Error(s) Response

Screen display:

This is an Image: 28174178.gif

Please click here for the text description of the image.

Note, you may do the following:

  1. Correct inconsistent data elements.

  2. See IRM 2.3.62.8 , Command Code ESTAB — Consistency Messages for an explanation of messages.

Exhibit 2.3.62-4

Examples of CC ESTAB Input — SCRIPS Request

Screen Input for a FTD Block Request.

This is an Image: 28174179.gif

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Note: The TIN field is optional for an FTD type of SCRIPS Request. This screen shows ESTAB modifier “S” with a request code of “B”, en empty TIN field, an Employee Number of “32000000000”, and a SCRIPS Request Number of “95200000000000000”.

Screen Input for a FTD Request.

This is an Image: 28174181.gif

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Note: The TIN field is optional for an FTD type of SCRIPS Request. This screen shows ESTAB modifier “S” with a request code of “F”, a TIN of “32-0000001”, an Employee number of “3200000002”, and a SCRIPS Request Number of “95200000000000001".

Screen Input for a FTD Header Request.

This is an Image: 28174240.gif

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Note: The TIN field is optional for an FTD type of SCRIPS Request. This screen shows ESTAB modifier “S” with a request code of “H”, an empty TIN field, an Employee Number of “32000000003”, and a SCRIPS Request Number of “95200000000000002”

Screen Input for a DLN Request.

This is an Image: 28174432.gif

Please click here for the text description of the image.

Note: This screen shows ESTAB modifier “S” with a request code of “D”, a TIN of “32-0000000”, an Employee number of “3200000001”, and a SCRIPS Request Number of “32569-001-00000-3@00"

Screen Input for a 941 request by DLN

This is an Image: 28174433.gif

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Note: The EIN must be blank for an Type-Of-Return 'L' request. This screen shows ESTAB modifier “S” with a request code of “L”, an empty TIN field, an Employee Number of “32000000001”, and a SCRIPS Request Number of “32569-001-00000-3@00”.

Screen Input for a 941 request by EIN.

This is an Image: 28174435.gif

Please click here for the text description of the image.

Note: The SCRIPS-REQUEST-NUMBER field must be blank for an Type-Of-Return 'M' request. This screen shows ESTAB modifier “S” with a request code of “M”, a TIN of “07-9999999”, an Employee number of “3200000001”, an empty SCRIPS Request Number of field, and a Universal Access Routing Indicator of “09”.

Exhibit 2.3.62-5

Example of CC ESTAB Input — SCRIPS Request using Universal Access

Screen Input for SCRIPS Request using Universal Access

This is an Image: 28174100.gif

Please click here for the text description of the image.

The "@" is the routing indicator, it must be placed after the SCRIPS-Request-Number, it is used to route the request to the Servicing Service Center (SSC), example: the "09" is the SSC for the Kansas City Service Center. The Universal Access is not used when requesting an FTD. This screen shows ESTAB modifier “S” with a request code of “W”, a empty TIN field, an Employee number of “3200000000”, a SCRIPS Request Number of field of “3520000000000000”, and a Universal Access Routing Indicator of “09”.