3.13.6 Submission Processing Image Control Team (ICT) Correspondence Scanning

Manual Transmittal

November 06, 2018

Purpose

(1) This transmits IRM 3.13.6, Submission Processing Image Control Team (ICT) Correspondence Scanning. IRM deviations must be submitted in writing following instructions from IRM 1.11.2, Internal Revenue Manual (IRM) Process, IRM Standards and elevated through appropriate channels for executive approval.

Material Changes

(1) IPU 18U1257 issued 09-21-2018 IRM 3.13.6.1.6(1) ICT Organization Functions and Programs (OFP)- added new OFP Amended Returns for BMF and IMF

(2) IPU 18U1257 issued 09-21-2018 IRM 3.13.6.4.4(1) Batch Cover Sheet - Outside The Scope Of The Campus Work Type - updated the list due to realignment of work and added a note

(3) IPU 18U1257 issued 09-21-2018 Exhibit 3.13.6-1 Appendix A - IMF - Changed Category Code FTHB- changed Program Code 710-40055 to 710-40051 for English and Spanish

(4) IPU 18U1231 issued 09-07-2018 Exhibit 3.13.6-1(c) Appendix A - IMF - Category Code: KATX Domestic Spanish - Changed to Scan to 0630176475

(5) IPU 18U1199 issued 08-24-2018 Exhibit 3.13.6-14 Appendix N- IDT- IMF- Doc Type: Theft IDT7 - Program Code: 710-35730 - Changed Case Priority Code (2) to (1)

(6) IPU 18U1171 issued 08-16-2018 Exhibit 3.13.6-1 Appendix A - IMF - (KCSP-ICT only) Doc Type: 1040X-Program Code 710-40057 Doc Type: Loose Form; Category Code: SPC8; Undeliverable Letter 6060A and 6060B with no Forwarding address

(7) IPU 18U1171 issued 08-16-2018 Exhibit 3.13.6-1 Appendix A - IMF - Doc Type: 1040X: Program Code 710-40051 Category Code: XRET - Veteran Disability Claims - Scan to IDRS# 0939265082 for Spanish and English

(8) IPU 18U1149 issued 08-09-2018 IRM 3.13.6.4.1(4) - Incoming Documents - added 4) a reference for AM - I DTVA Screeners and a note regarding Return Preparer Misconduct

(9) IPU 18U1149 issued 08-09-2018 Exhibit 3.13.6-1 Appendix A - IMF - Doc Type: 1040X CAT-A - changed Program Code 710-40051 to 710-40059

(10) IPU 18U1149 issued 08-09-2018 Exhibit 3.13.6-1 Appendix A - IMF - Program Code: 710-85440: Doc Type: RPMC changed to Return Preparer Misconduct

(11) IPU 18U1149 issued 08-09-2018 Exhibit 3.13.6-15 Appendix O - IMF/ IMF International Tax Reform (IRC 965) new chart for Tax Reform Doc Type: IMF International IRC 965 - Program Code should be 710-85370 /Priority Code 2

(12) IPU 18U1130 issued 08-02-2018 Exhibit 3.13.6-1 Appendix A - IMF - Doc Type: 1040X Program Code 710-40051 removed Prior Year Returns 2009XX and prior for Adoption claims

(13) IPU 18U1130 issued 08-02-2018 Exhibit 3.13.6-5 Appendix E- (EO) - Doc Type: EO 4442 changed the Program Code to 700-60200

(14) IPU 18U1130 issued 08-02-2018 Exhibit 3.13.6-5 Appendix E- (EO) - Doc Type: EO 4442 -1120 changed the Program Code to 700-60200

(15) IPU 18U1130 issued 08-02-2018 Exhibit 3.13.6-15 Appendix O - IMF/ IMF International Tax Reform (IRC 965) revised and added new Doc Types

(16) IPU 18U1090 issued 07-23-2018 Exhibit 3.13.6-9 Appendix I - BMF/ BMF International Carrybacks - Changed scan to CSR# 0435676902 to 0435576012, listed in the first note under the table

(17) IPU 18U1090 issued 07-23-2018 Exhibit 3.13.6-15 Appendix O - IMF/ IMF International Tax Reform (IRC 965) new chart for Tax Reform

(18) IPU 18U1090 issued 07-23-2018 Exhibit 3.13.6-16 Appendix P- BMF/ BMF International Tax Reform (IRC 965) new chart for Tax Reform

(19) IPU 18U1069 issued 07-17-2018 Exhibit 3.13.6-1 Appendix A - IMF - Doc Type: 1040X -Spanish Program Code 710-40051 - Category Code XRET -Veterans Disability claims - Changed the scan to IDRS# 0939265082

(20) IPU 18U1069 issued 07-17-2018 Exhibit 3.13.6-1 Appendix A - IMF - Doc Type: 1040X -Spanish Program Code 710-82385 - Category Code- KITA - changed the scan to IDRS# 0933878755

(21) IPU 18U1026 issued 07-02-2018 Exhibit 3.13.6-1 Appendix A - IMF - Doc Type: Correspondence, Program Code 710-40000 - changed SPC2 to SPC8 for Department of Defense (DOD) claims

(22) IPU 18U1026 issued 07-02-2018 Exhibit 3.13.6-1 Appendix A - IMF - Removed - Category Code ITIN/ Program Code 710-40090

(23) IPU 18U1026 issued 07-02-2018 Exhibit 3.13.6-1 Appendix A - IMF - Doc Type: 1040X, Program Code 710-40051 scan to IDRS# 0137021627

(24) IPU 18U1026 issued 07-02-2018 Exhibit 3.13.6-2 Appendix B - IMF/ International - Removed - International, Category Code ITIN/ Program Code 710-40090

(25) IPU 18U1026 issued 07-02-2018 Exhibit 3.13.6-9 Appendix I - BMF/BMF International Carrybacks - Changed scan to CSR# 0435676902, listed in the first note under the table

(26) IPU 18U1026 issued 07-02-2018 Exhibit 3.13.6-13 Appendix M - IDT and IDTVA - IMF and IMF International, Program Code 710-85431- Doc Type COMP RPM II -Category Code II - edits to the description box

(27) IPU 18U0960 issued 06-19-2018 Exhibit 3.13.6-1 Appendix A - IMF - Doc Type: 1040X, Program Code 710-40051 - edited Adoption claims

(28) IPU 18U0960 issued 06-19-2018 Exhibit 3.13.6-1 Appendix A - IMF - Doc Type: 1040X, Program Code 710-40051 - added IRC 965 Section 965 (Transition Tax) Claims filed on Form 1040X

(29) IPU 18U0938 issued 06-13-2018 Exhibit 3.13.6-3 - Appendix C - BMF International (BI) - Scan all CHRGOUT223 (CP223) using the default category code IDPA and Program Code 33080, regardless of any notation on the return.

(30) IPU 18U0896 issued 06-04-2018 Exhibit 3.13.6-1 Appendix A - IMF - Doc Type: 1040X, Program Code 710-40051 -added Form 1040X - Category Code SPC -4 - All cases identified as ICT-IVO scan to IDRS # 0631001101

(31) IPU 18U0848 issued 05-22-2018 Exhibit 3.13.6-1 Appendix A - IMF - Doc Type: 1040X, Program Code 710-40051 - added Form 1040X (One Sort) XRET. All cases identified as Sinai Peninsula Claims scan to IDRS number 0830141335

(32) IPU 18U0848 issued 05-22-2018 Exhibit 3.13.6-1 Appendix A - IMF - Doc Type: RPMC, Program Code 710-85440 - added responses to Letters 5955C and 5956C

(33) IPU 18U0848 issued 05-22-2018 Exhibit 3.13.6-13 Appendix M - IMF - Doc Type: COMP RPMC - IDII, Program Code 710-85431- added responses to Letters 5955C and 5956C

(34) IPU 18U0711 issued 04-25-2018 IRM 3.13.6.4.1(2) - Incoming Documents - added instructions for discovering remittances in the work.

(35) IPU 18U0711 issued 04-25-2018 Exhibit 3.13.6-1(c) Appendix A IMF - added select AUSC as the DSC.

(36) IPU 18U0711 issued 04-25-2018 Exhibit 3.13.6-9 Appendix I - Scanning of Carrybacks - BMF/BMF- updated instructions Ogden carrybacks scan to 0435576012

(37) IPU 18U0666 issued 04-19-2018 Exhibit 3.13.6-1 Appendix A - IMF Doc Type: Correspondence, Program Code 710-82385 Form 1040X(One Sort) KITA- scan to 0933878755

(38) IPU 18U0612 issued 04-11-2018 Exhibit 3.13.6-1 Appendix A - IMF Doc Type: Correspondence, Program Code 710-40000 - changed Category Code to SPC2 for Veteran claims

(39) IPU 18U0590 issued 04-06-2018 Exhibit 3.13.6-1 Appendix A - IMF Doc Type: Correspondence, Program Code 710-40000 - scan to 0930521136

(40) IPU 18U0590 issued 04-06-2018 Exhibit 3.13.6-1 Appendix A - IMF Doc Type: Correspondence, Program Code 710-40070 - scan to 0830141335

(41) IPU 18U0581 issued 04-04-2018 Correct to IRM 3.13.6.12(3) (a) - should read - If the Name Control cannot be located through normal IDRS research or by viewing the images of the documents. In these instances, enter nine zeros. It should read enter AAAA

(42) IPU 18U0578 issued 04-03-2018 IRM 3.13.6.12(3) (a) - edited to; If the "TIN" cannot be located through normal IDRS research or by viewing the images of the documents. In these instances, enter nine zeros (000000000) in the TIN field and click "Resolve." The zeros in the TIN will remove the case from the Validation Inventory and send the case to the workflow subsystem to be resolved by a CSR.

(43) IPU 18U0578 issued 04-03-2018 IRM 3.13.6.12(3) (a) - edited to; If the "Name Control" cannot be located through normal IDRS research or by viewing the images of the documents. In these instances, enter nine zeros (000000000) in the TIN field and click "Resolve." The zeros in the TIN will remove the case from the Validation Inventory and send the case to the workflow subsystem to be resolved by a CSR.

(44) IPU 18U0578 issued 04-03-2018 Exhibit 3.13.6-1 Appendix A - IMF - Doc Type: IMF - edited ACA 7 Program Code 710-40310 removed the wording loose forms.

(45) IPU 18U0578 issued 04-03-2018 Exhibit 3.13.6-3 - Appendix C - BMF International (BI) - CP223 Program Code changed to 710-33080

(46) IPU 18U0578 issued 04-03-2018 Exhibit 3.13.6-13 Appendix M- IDT and IDTVA - IMF and IMF International -edited and added IDTVA codes

(47) IPU 18U0557 issued 03-29-2018 Exhibit 3.13.6-1 Appendix A - IMF - Doc Type: IMF - added ACA 5 Loose Forms Program Code 710-40313.

(48) IPU 18U0506 issued 03-21-2018 IRM 3.13.6.14.10 - added - Business Operating Division (BOD) Errors not resolved in Validation

(49) IPU 18U0506 issued 03-21-2018 Exhibit 3.13.6-1 Appendix A - IMF added 1040X claims with Letters 6060-A and 6060-D scan to Category Code SPC2 and IDRS# 0939265082

(50) IPU 18U0506 issued 03-21-2018 Exhibit 3.13.6-12 Appendix L - IDT and IDTVA - BMF - the Internal Request chart has been replaced with new Doc Types for IDT94X, IDT1120 and IDTOTH

(51) IPU 18U0371 issued 02-28-2018 IRM 3.13.6.1.6 Added new subsection for ICT Function and Programs Codes

(52) IPU 18U0371 issued 02-28-2018 Exhibit 3.13.6-3- Appendix C - Document Types, Category Codes, Priority Codes BMF International (BI) - updated

(53) IPU 18U0293 issued 02-13-2018 Exhibit 3.13.6-14 - Appendix N -edited program code 710-35723 Category Code - ITAR for English and Spanish

(54) IPU 18U0269 issued 02-08-2018 Exhibit 3.13.6-1 (c) Appendix A - IMF - changed IDRS# 635003922 to 630103922

(55) IPU 18U0269 issued 02-08-2018 Exhibit 3.13.6-14 Appendix N - IDT IMF - edited IDT1, IDT4, IDT5 and IDT7 - English and Spanish.

(56) IPU 18U0215 issued 01-31-2018 Exhibit 3.13.6-1 Appendix A - IMF - Doc Type, IMF - changed Doc Type: Corr-Payment Inquiry to PYMT and Doc Type: Corr-Penalty to PLTY

(57) IPU 18U0168 issued 01-24-2018 Exhibit 3.13.6-14 Appendix N - IDT IMF - Doc Type: IDT7 - updated the chart for English and Spanish program codes 710-35730.

(58) IPU 18U0157 issued 01-22-2018 Exhibit 3.13.6-1 Appendix A - IMF - made corrections to charts that were issued from IPU 18U0153.

(59) IPU 18U0153 issued 01-19-2018 IRM 3.13.6.4.1(22) added (Ogden only) all 1040X received in (Ogden only) transship to ICT Kansas City.

(60) IPU 18U0153 issued 01-19-2018 Exhibit 3.13.6-1 Appendix A -IMF - updated the charts.

(61) IPU 18U0153 issued 01-19-2018 Exhibit 3.13.6-8 Appendix H- Scanning of Carrybacks - IMF/IMF International updated the charts.

(62) IPU 18U0153 issued 01-19-2018 Exhibit 3.13.6-9 Appendix I - Scanning of Carrybacks - BMF/BMF International Doc Type; BMF Carryback Forms 1120X/1139/1041/1045 edited the Notes added CSR# 0434920225.

(63) IPU 18U0153 issued 01-19-2018 Exhibit 3.13.6-14 - Appendix N - IDT IMF - removed all IDT6 Category Codes.

(64) IPU 18U0089 issued 01-09-2018 Exhibit 3.13.6-14 - Appendix N - IDT IMF added IDRS numbers to Doc Type- ID Theft-IDT4/Spanish Program Code: 710-35724

(65) IPU 18U0072 issued 01-08-2018 Exhibit 3.13.6-1 - Appendix A - edited Doc Type-ACA Correspondence and Internal Transcripts charts

(66) IPU 18U0072 issued 01-08-2018 Exhibit 3.13.6-3 - Appendix C - BMF International (BI) - added 94X to BI-Correspondence Program Codes 710-33081, unnumbered amended 94X forms are now IXRT

(67) IPU 18U0072 issued 01-08-2018 Exhibit 3.13.6-14 - Appendix N - IDT IMF added IDRS numbers to Doc Type- ID Theft-IDT4/Program Code: 710-35724

(68) IPU 18U0072 issued 01-08-2018 Exhibit 3.13.6-14 - Appendix N - IDT IMF - Doc Type: IDT5 - added scan documents to IDRS# 1175025372

(69) IPU 18U0072 issued 01-08-2018 Exhibit 3.13.6-14 - Appendix N - IDT IMF - Doc Type: IDT5 - (Spanish) added scan documents to IDRS# 1183002023

(70) IPU 18U0072 issued 01-08-2018 Exhibit 3.13.6-14 - Appendix N - IDT IMF -Doc Type: IDT7 - added Letter 5835C

Effect on Other Documents

IRM 3.13.6, dated February 1, 2018 (effective January, 01 2019) is superseded.

Audience

Wage and Investment Employees in the Image Control Team (ICT) duties are; Batching, Document Preparation, Scanning, Review, Validate to Forms and Correspondence to be Imaged by Submission Processing for Accounts Management.

Effective Date

(01-01-2019)

Linda J. Brown
Director, Submission Processing
Customer Account Services
Wage and Investment Division

Program Scope and Objectives

  1. Purpose: The Image Control (ICT) team provides services for Accounts Management (AM) by scanning their correspondence and forms, sent in by taxpayer’s requesting adjustments to their accounts. The Kodak scanner uses the Ephesoft software to convert paper documents into digital images that are posted to the Accounts Management - Customer Image System (CIS).

  2. Audience: The primary users are Submission Processing employees, mainly clerks, tax examiners, and managers from Submission Processing.

  3. Policy Owner: The Director of Submission Processing.

  4. Program Owner: Paper Processing Branch Mail Management/Data Conversion (an Organization within Submission Processing).

  5. Primary Stakeholders: Affected by these procedures or have input to the procedures which may include a change in work flow, additional duties, change in established time frames, and similar issues are:

    • Accounts Management (AM)

    • Small Business/Self Employed (SB/SE)

    • Tax Payer Advocate (TAS)

    • Tax Exempt/Government Entities (TEGE)

    • Office of Servicewide Penalties are affected by the completion of these data records to posting.

    • Chief Counsel, Information Technology programmers

  6. Program Goals: This IRM is used to provide instruction for scanning documents using the Ephesoft software which converts paper documents into digital images to post into the Correspondence Image System (CIS) for Accounts Management.

Background

  1. The Image Control Team (ICT) scans amended returns, claims, duplicate filed returns, loose forms, correspondence and internal adjustment requests. The daily workflow consist of Batching, Document Preparation, Scanning, Review, Validation, Error Inventory, Quality Review and Error Inventory.

Authority

  1. The following provide authority for the instructions in this IRM to be performed in support of completing compliance functions to make credits or refunds of any internal revenue tax, processing of non-revenue forms, and administrative support forms.

    1. Title 26 of the United States Code (USC) or more commonly known as the Internal Revenue Code (IRC).

    2. All Policy Statements for Submission Processing are contained in IRM 1.2.12, Servicewide Policies and Authorities, Policy Statements for Submission Processing Activities:

    • Code sections which provide the IRS with the authority to issue levies.

    • Congressional Acts which outline additional authorities and responsibilities like the Travel and Transportation Reform Act of 1998 or the Tax Reform Act of 1986.

    • Policy Statements that provide authority for the work being done.

    Note:

    The above list may not be all inclusive of the various updates to the IRC.

Responsibilities or Roles and Responsibilities

  1. The Operations manager is responsible for securing, assigning and providing training for the staff needed to perform the task required throughout this instruction.

  2. The Planning and Analysis Staff are responsible for providing feedback and support to local management to achieve and effectively monitor scheduled goals.

  3. The team manager/lead are responsible for assigning, monitoring and controlling the work flow to accomplish timely completion of the tasks required throughout this IRM..

  4. The team employees are responsible for applying the instruction present to the assigned task on the SCRIPS system to accurately convert paper data to electronic data.

Program Management and Review

  1. Program Reports: The reports below are used to gather data for receipts, quality review, production and inventory for the Image Control Team. These reports will be utilized to report and monitor daily and weekly status of the program to completeness.

    • The ICT Weekly Report captures the inventory and production data to insure timeliness measures are maintained.

    • The Ephesoft Reports are retrieved from Business Objects.

    • The Embedded Quality Submission Processing (EQSP) Report.

  2. Program Effectiveness: Goals will be measured utilizing standard managerial reports by documents processed per hour and completion of each function compared to the established schedule for completion each week. Each functionality is expected to retain or exceed schedule prior to the program completion date stated in IRM 3.30.123, Work Planning and Control Processing Timeliness: Cycles, Criteria, and Critical Dates.

  3. Annual Review: Review the processes included in this manual annually to ensure accuracy and promote consistent tax administration. This may be included under responsibilities for a manager.

Program Controls

  1. Unit Production Cards (UPC’s) are dropped daily to record activity in each functionality of this program.

  2. Program Reports are provided by Submission Processing Monitoring Section, the reports consist of data from Ephesoft and Inventory Reports.

  3. Local reports may be utilized to establish additional information for maintaining daily program control. Local reports do not replace the established official reports and required production reporting.

ICT Organization Functions and Programs (OFP)

  1. The charts below are the Functions and Programs for ICT for reporting hours and volume on the Form 3081 and Unit Production Count (UPC)

    Function 720 Programs for Sorting and Clerical

    Programs Measured - Quality and Efficiency report each complete document or correspondence case handled on the Form 3081.
    34310 IMF
    34314 IDTVA
    34316 IMF CB+
    34317 IMF Cycle and 4251
    34318 IMF Amended Returns - fifth digit -9
    34319 TRNS
    34320 BMF Sites
    34326 BMF CB+
    34327 BMF Cycle and 4251
    34328 BMF Amended Returns - fifth digit -9

     

    Function 550 Programs for Pre-Document Preparation

    Programs Measured - Quality and Efficiency for each complete document or correspondence case handled on the Form 3081.
    34310 IMF Sites
    34320 BMF Sites
    34311 IMF Sites
    34313 (CIS Fax) Fresno Only
    34314 IMF IDTVA
    34316 IMF CB+
    34317 IMF Cycle and 4251
    34318 IMF Amended Returns - fifth digit -9
    34319 TRNS
    34321 BMF Sites
    34326 BMF CB+
    34327 BMF Cycle and 4251
    34328 BMF Amended Returns - fifth digit -9

     

    Function 550 Programs for Post-Document Preparation

    Programs Measured - Quality and Efficiency for each numbered return on the Form 3081.
    34312 IMF Sites
    34318 IMF Amended Returns - fifth digit -9
    34319 TRNS
    34322 BMF Sites
    34328 BMF Amended Returns - fifth digit -9
     

    Function 360 Programs for Scanning

    Programs Measured - Quality (only) for each scanned document on the Form 3081.
    34310 IMF Sites
    34318 IMF Amended Returns - fifth digit -9
    34319 TRNS
    34320 BMF Sites
    34328 BMF Amended Returns - fifth digit -9
     

    Function 470 Programs for Review Queue

    Programs Measured - Efficiency (only) for each document resolved on the Form 3081.
    34312 IMF Sites
    34322 BMF Sites
     

    Function 460 Programs for Validation

    Programs Measured - Quality and Efficiency for each complete document resolved. Include validation of docs scanned by Files on the Form 3081.
    34314 IMF IDTVA
    34317 IMF Cycle and 4251
    34319 TRNS
    34321 BMF Sites
    34327 BMF Cycle and 4251
     

    Function 460 Programs for Quality Control(QC)

    Programs Measured - Efficiency (only) for each document resolved on the Form 3081.
    34312 IMF Sites
    34319 TRNS
    34322 BMF Sites
     

    Function 270 Programs for Error Inventory

    Programs Measured - Efficiency (only) for each error resolved in CIS on the Form 3081.
    34310 IMF Sites
    34320 BMF Sites
     

    Function 790 Programs for Clerical/Disposal of Documents

    Programs Report hours only not volume on the Form 3081.
    34310 IMF Site- Miscellaneous/Shelving/Purging Documents
    34319 TRNS
    34320 BMF Sites - Miscellaneous/Shelving/Purging Documents

Terms/Definitions/Acronyms

  1. The following is a list of the acronyms that are used in this IRM section, this IRM uses prompts for data entry and are defined in the charts.

    Acronyms Definition
    AFCI Affordable Care Act Fee Claims Inventories
    ATIN Application for IRS Individual Taxpayer Identification Number
    AM Accounts Management
    AMS Accounts Management Services
    BPD Brand Prescription Drugs
    BMF Business Master File
    BI Business International
    CAT A Category A
    CC Command Code
    CIS Correspondence Imaging System
    CP Computer Paragraph
    CORR Correspondence
    CSR Customer Service Representative
    DLN Document Locator Number
    DOC Prep or Doc Prepped Document Preparation
    EIN Employee Identification Number
    ICT Image Control Team
    IDT Identify Theft
    IDRS Integrated Data Retrieval System
    IDTVA Identify Theft Victim Assistance
    II Individual International
    IMF Individual Master File
    IRM Internal Revenue Manual
    IPF Insurance Provider Fee
    MM/DD/YYYY Month-Month/Day-Day/Year-Year
    MISC Miscellaneous
    NOL Net Operating Loss
    OCR Optical Character Recognition
    PII Personally Identifiable Information
    QR Quality Review
    SCAMPS Service Center Automated Mail Processing System
    SEID Standard Employee Identifier
    SSN Social Security Number
    SP Submission Processing
    TAS Taxpayer Advocate Service
    UPC Unit Production Cards

Related Resources

  1. IRM 21.3.3.4.14 Personally Identifiable Information

  2. IRM 21.5 BMF General Instructions, for general procedures.

  3. IRM 21.5.1.4.2.4 Received Date – Determination

  4. IRM 21.5.2.4.23.4 Statute Imminent Documents

  5. IRM 25.23.2.2.1 Priority Handling of Identity Theft Cases

  6. IRM 3.10.72.19.1 3949-A Routing Instructions

  7. IRM 3.10.72-4 Computer Paragraph (CP) Notices - Routing Guide

  8. IRM 3.10.72.5.5.2 Routing to Statutes

  9. IRM 3.10.72.5.14 Extracting and Routing - Form 14039, Identity Theft Affidavit

General Image Control Team Overview

  1. IRM deviations must be submitted in writing following instructions from IRM 1.11.2, Internal Revenue Manual (IRM) Process, IRM Standards and elevated through appropriate channels for executive approval.

  2. When ICT employees assist with other workloads inside the Receipt and Control restricted area, management must first temporarily restrict their IDRS profile using RSTRK definer U. This action will remove CC DOALL from the employees’ IDRS profile. The manager or Unit IDRS Security Representative (USR) can add or remove a restriction. ICT employees should not be badged to allow them access to the Receipt and Control restricted area (R on badge).

  3. The Image Control Team (ICT) Scanning Activities Guide provides instructions for the ICT clerks for Production Scanning, Exception Processing-Quality Control, Exception Processing—Reimage Request, and Scanner Maintenance in support of the Correspondence Imaging System (CIS) for the Accounts Management (AM) Adjustments function.

  4. To avoid any unnecessary delays for the taxpayer, ICT Scanner Operators are required to perform a cursory review of all scanned documents ensuring the image is clear and legible.

  5. The Correspondence Imaging System (CIS) consists of Production Scanning/Imaging, Quality Control, Review and Validation. The ICT clerks will utilize the CIS Workflow application to work the Error Inventory and Reimage Requests. Access to the CIS Workflow application requires the user to be logged into IDRS first. ICT clerks need special access provided by the CIS office to process reimage requests.

Incoming Documents

  1. The Image Control Team (ICT) will forward all incoming AM correspondence to the AM Customer Service Representative (CSR) Screener. The AM CSR Screener will sort the correspondence prior to being scanned into CIS. The CSR Screeners will make the sort determination on Correspondence, not the ICT clerks. ICT will stamp the document after it returns from AM.

  2. All ICT employees identifying discovered remittances that are cash or other items of value, including credit, debit, and gift cards, must immediately notify their unit manager or designee follow the IRM 3.8.46.1(2) and (3)(a),(b),(c), Discovered Remittances instructions.

  3. All cases involving identity theft will receive priority treatment, refer to IRM 25.23.2.2.1. Envelopes must be kept and scanned with all IDT cases.

  4. The Identify Theft Victim Assistance (IDTVA) work will be screened and batched by the AM-IDTVA employee(s) following guidance in Exhibit 3.13.6-14, Appendix N - IDT - IMF. The ICT clerks are not required to perform additional research. The documents must be sent with the Form 3210. ICT must now keep the envelopes from the IDTVA work, in many cases the information provided on IDT forms is not always complete or legible, the envelopes usually provides the necessary information, do not destroy the envelopes.

    Note:

    Guidance for batching cases for the AM-IDTVA Return Preparer Misconduct program can be found under Exhibit 3.13.6-1 and Exhibit 3.13.6-13

  5. When IDTVA cases are received by fax with unprocessed returns or copies of IRS initiated correspondence attached. Refer to IRM 3.10.72.5.14, Extracting and Routing - Form 14039, Identity Theft Affidavit.

  6. AM-IDTVA must batch OARS documents separately and expedite to ICT, scan as priority 1.

  7. Only the AM-IDTVA work with compliance involvement is pre-screened and pre-batched prior to ICT. This guidance should not be applied to the normal processing of loose Form 14039.

  8. Fresno only - The Return Preparer Office (RPO) will batch RPMC work received by their office in error and fax to Fresno-ICT. The ICT will follow guidance in Exhibit 3.13.6-1, Appendix A - Document Types, Category Codes, IMF- to scan RPMC package. Do not combine or change faxed documents with other faxed batches, it’s very important for the faxed documents to remain in the designated faxed batch sheet. This work will faxed by 12:00pm EST to avoid any Personally Identifiable Information (PII) being left at the fax machines.

  9. Fresno only - 3949 A sorting and routing instructions refer to: IRM 3.10.72.19.1 3949-A Routing Instructions.

  10. All ICT sites should use the following references for processing their work: IRM 3.10.72-4 Computer Paragraph (CP) Notices - Routing Guide, IRM 3.10.72.5.5.2 Routing to Statutes, IRM 3.10.72.5.4Date Stamping Acknowledgements.

  11. When documents are received in ICT, from other areas and not Receipt and Control (R&C), a determination should be made to either send to the AM-Screeners (correspondence only) and follow the instructions above in this section IRM 3.13.6.9.1(1). If the document stays in ICT, stamp the document with the ICT received date.

  12. Documents will be received in the ICT area sorted by document type within an IRS Received Date. Some Document Types will require additional sorting in ICT.

  13. All DLN numbered documents must be sorted, scanned, and temporarily stored separately from unnumbered documents because they will be refiled in the Files function after the storage period has expired.

  14. Follow current established procedures for determining the received date on incoming receipts. Refer to IRM 21.5.1.4.2.4Received Date - Determination.

  15. When there is no IRS or handwritten received date on the document, use the following priority list when you are unsure of the IRS received date.

    1. Latest postmark or private delivery service date on the envelope.

    2. Service Center Automated Mail Processing System (SCAMPS) digital dates.

      Note:

      SCAMPS sprays a digital date on the envelope.

    3. Date the document/correspondence was prepared or signed.

      Exception:

      If the only available date is from a copy of a previously filed return, do not use the copied signature’s date. Continue to (d) or (e) below.

    4. Julian Date of the Document Locator Number (DLN) minus 10 days.

      Note:

      The Julian Date is the 6-8 digits of a DLN. For example, in the DLN 28210-105-60025-4, the Julian Date is 105. Refer to DLN Composition in Document 6209, IRS Processing Codes and Information, for additional information.

    5. Today’s date minus 10 days.

      Note:

      For information concerning the Statute Reprocessable Return, see IRM 21.5.2.4.23.4Statute Imminent Documents.

    6. Once the correct received date is determined, write the date in the top right corner of the first page of the document as follows: IRS RCVD DT MM/DD/YYYY.

  16. Carryback claims are priority cases and must be identified for expedite scanning. Carryback claims can be received at any site. The receiving site will scan the claims to the appropriate site as outline in Exhibit 3.13.6-8, APPENDIX H - SCANNING OF CARRYBACK APPLICATIONS/CLAIMS - IMF/IMF INTERNATIONAL. Form 1040X and Form 1120X may not have carryback claims separated and identified prior to receipt, when date stamping these forms. Form 1120 treat as a carryback if page (4) Line 11 has an x in the box.

    • Check Part 2 on Form 1120X or Line 1 on Form 1040X form to determine if the carryback box is marked.

    • If the box is checked, treat form as a carryback and expedite scanning.

    • If the box is not checked or any other indication of Net Operating Loss (NOL) on the form itself, but may have an NOL Worksheet within the case.

  17. On computer generated cases, use the transcript or notice date minus 14 days to determine the IRS received date. If no computer generated date is present, use the IRS received date on the source document. The received date of the duplicate return should be determined by using the CP36/TRNS 193 date on IDRS or CIS, minus 14 days.

    Note:

    CP 98, CP 198, Push Code Condition, resulting from a TPI should be controlled using the IRS received date of the source document.

  18. When fax receipts are timely dated and time stamped by the fax machine, no further action is required to evidence receipt. Otherwise, fax receipts received before 2:00 p.m. local time, are considered received on the current date. Documents received after 2:00 p.m., local time, are considered received the next business day.

    Note:

    The Taxpayer Advocate Service (TAS) organization is not a point of filing and TAS employees have not been delegated the authority to accept returns for filing. Treat all TAS Received Dates as invalid by circling them and edit the Received Date according to instructions.

  19. Stamp the first page of each case, and find a clear spot on the documents to avoid stamping over any taxpayer provided information.

  20. If cases are routed back to ICT, circle out the original ICT date.

  21. Sometimes a single document which identifies several taxpayers is received from a CPA or tax practitioner. When this happens, a copy of the document will need to be made for each taxpayer. Each document will then need to be sanitized (blacken the other taxpayer's names and TIN) so that it reflects only one taxpayer's information. If the correspondence contains tax documents from different taxpayers, then associate the appropriate taxpayer's document with the copy of the document that has been sanitized to reflect their information.

    Exception:

    ″BMF″ Beginning in January 2010, a new Schedule R (Form 941), Allocation Schedule for Aggregate Form 941 Filers, will contain an EIN for one ″agent″ along with a listing of numerous different EINs. When the Schedule R is prepared for scanning, do not make additional copies. The case should be scanned and validated to the "agent" EIN.

  22. Sort the forms and Form 4251, Return Charge Out, Computer Paragraph (CP) notices, etc., by document type and category code.

    Note:

    As identified by local management, guidelines may allow for additional screening of incoming receipts to identify any mis-routed cases or other quick closures. Immediately return original documents to the taxpayer. Form 1040X cases are being screened for Category A (CAT-A) criteria prior to forwarding to ICT. The cases will include a cover sheet to identify the particular CAT-A issue and will be reviewed by AM CSRs for accuracy. CAT-A cases require a referral to Examination prior to taking any action. It is vital that these cases remain separated from the regular Forms 1040X and scanned into CIS accordingly. These cases should be scanned into CIS using the applicable category code with document type "1040X - CAT-A." Refer to Exhibit 3.13.6-10, APPENDIX J - SCANNING CATEGORY A CASES (CAT-A), for additional information. Do Not Destroy Numbered Documents.

  23. Ogden only - all 1040X received in Ogden transshipped to Kansas City SP. This process mirrors the current procedures AM is following for all ramp down sites in which only a Campus Support function is available to ensure SP 1040X requirements are addressed (follow statue procedures).

Sorting into Categories

  1. Refer to the List of Exhibits

    Exhibit Appendix Program Sites
    Exhibit 3.13.6-1 Appendix A IMF IMF
    Exhibit 3.13.6-2 Appendix B IMF IMF International
    Exhibit 3.13.6-3 Appendix C BMF BMF International
    Exhibit 3.13.6-4 Appendix D BMF BMF
    Exhibit 3.13.6-5 Appendix E EO Ogden
    Exhibit 3.13.6-6 Appendix F EP Ogden
    Exhibit 3.13.6-7 Appendix G LB&I - ACA Ogden
    Exhibit 3.13.6-8 Appendix H Scanning Carryback Claims/Applications IMF/IMF International
    Exhibit 3.13.6-9 Appendix I Scanning Carryback Claims/Applications BMF /BMF International
    Exhibit 3.13.6-10 Appendix J Category A All
    Exhibit 3.13.6-11 Appendix K Streamlined Documents BMF and IMF
    Exhibit 3.13.6-12 Appendix L IDT and IDTVA BMF
    Exhibit 3.13.6-13 Appendix M IDTVA IMF/IMF International
    Exhibit 3.13.6-14 Appendix N IDT IMF

Batch Cover Sheet

  1. When completing the Batch Cover Sheet, use colored pens (red, green, purple) and or highlight the entries so the entries are easily identified for the scanner operator. Enter the data on the Batch Cover Sheet as follows:

    1. Numbered, Unnumbered - a "X" should be notated in one of the boxes depending on which documents are included in the batch.

  2. IRS Received Date - Enter the "IRS Received Date" for the batch of work. If there are small batches with different dates within a Document Type, combine batches up to 25 or less and enter a future date, and enter a future date in the format "1/1/YY" , which will be two years in the future (for example: during calendar year 2015 enter 1/1/17) for the IRS Received Date.

  3. Tax Period - If all of the cases in the batch have the same Tax Period, enter the appropriate Tax Period, otherwise leave blank.

  4. Function/Program - Enter the Function/Program on the batch cover sheet per the appropriate Appendix.

  5. IMF - MFT will default to MFT 30, if left blank. However, if the MFT for the entire batch is other than 30, enter the appropriate MFT. The only valid MFTs are blank, 00,29,30,31, 35, and 55.

  6. BMF - Enter the appropriate MFT for the batch. If ICT does not sort documents by MFT, write mixed in this field; you will be prompted to update this field during validation.

  7. Case Priorities are as follows:

    1. BMF - Will be set as indicated in the Appendix C - D, Document Type Guide.

    2. IMF - Will be set as indicated in the Appendix A - B, Document Type Guide.

      Note:

      Additional Case Priorities are set by Accounts Management, but should include "Disaster Claims" , "Military Operations" and any similar special handling documents.

  8. Issue Type - Management will determine if an Issue Type is to be entered.

  9. Statute Field - The values of the Statute field are "yes" or "no" . The field will default to "no" . This field only applies to statute cases that Statute employees have reviewed and cleared for processing. Cases will have a stamp from Statute indicating "No Statute Issue" . Do not include claims that do not have the required Statute stamp. Check the "Statute Search" field on the batch cover sheet when you have documents that include the"No Statute issue stamp."

  10. CSR Number - Enter a specific, 10-digit CSR Number if the entire batch is to be assigned to one CSR or a specific CSR team.

  11. Document Type - Check the appropriate Document Type from the list on the Batch Cover Sheet.

  12. Category Codes - Check the appropriate Category Code from the list on the Batch Cover Sheet. If Katrina or Disaster relief is claimed on any Document Type, check the appropriate box. Headquarters has requested other category codes for special projects. Management will provide this information when appropriate.

  13. Batcher’s SEID - Enter employee’s SEID of the person sorting the batch of work to be doc prepped. Notate your SEID or use employee stamp, and today’s date

  14. Batch Volume - Enter the number of cases in the batch. Recommended batch size is up to 50 cases. Do not over fill the batch folder, Document 6982, IMF File Folders - 2 Inch. It is crucial there is an accurate count of cases because it could result in the batch going to Quality Control for reconciliation.

  15. The ICT Received Date should be written or stamped on the top of the Batch Cover Sheet. If several ICT Received Dates exist within a batch, write "Mixed ICT Date."

  16. Designated Service Center - Enter the Designated Service Center code only if the batch of work is being transferred to another Campus. Otherwise, leave this field blank.

  17. Document Preparer’s SEID - Enter employee’s SEID of the person preparing the batch of work for scanning. Notate your SEID or use employee stamp, and today’s date.

  18. Doc Prep Volume - Enter the number of cases in the batch. Recommended batch size is up to 50 cases. Do not over fill the batch folder, Document 6982. It is crucial there is an accurate count of cases because it could result in the batch going to Quality Control for reconciliation.

  19. Batch Name (Date and Timestamp) - Completed by the Scanner Operator.

  20. Scanner ID - Completed by the Scanner Operator.

  21. Scanner Operator SEID or Initials - and today’s date- Completed by the Scanner Operator.

  22. Volume Scanned - Completed by the Scanner Operator.

    Note:

    IRS Received Date Determination - If unsure of the IRS received date refer to IRM 21.5.1.4.2.4, Received Date - Determination

Batch Cover Sheet - Outside The Scope of The Campus Work Type

  1. Campuses will be responsible for batching and scanning documents identified as work outside their normal work type to other sites. For example, when a BMF site finds an IMF case, the case will be batched, doc prepped and scanned. ICT will continue to route non-Adjustments work as paper, it will not be scanned.

  2. When working Error Inventory, refer to the chart below when re-assigning a case to another SC (BMF).

  3. Currently, the primary work type(s) by campus are as follows:

    • IMF - Atlanta, Andover, Austin, Brookhaven, Fresno, Kansas City, Memphis, Ogden and Philadelphia

    • IMF International -Austin and Philadelphia

    • BMF - Cincinnati, Kansas City and Ogden

    • BMF- International - Cincinnati and Ogden

    • BMF - Exempt Organization, Employee Plan - Ogden

    Note:

    Kansas City and Ogden does not have AM Screeners for the work being realigned to their sites, they will still use the chart below on line (9). Carrybacks must be scanned to the correct sites, refer to Exhibit 3.13.6-8 Scanning of Carrybacks/Claims IMF/IMF International and Exhibit 3.13.6-9 Scanning of Carrybacks/Claims-BMF/BMF International

  4. Documents will be doc prepped according to IRM 3.13.6.4.7Preparing Documents for Scanning - General Instructions.

  5. Envelopes will be prepared according to IRM 3.13.6.4.8, Envelopes.

  6. The Batch Cover Sheet, Form 13503-H, Image Control Team Batch Cover Sheet - Other Campus, has been developed for batching work identified as outside the scope of the campus work type. Refer to Section IRM 3.13.6.4.3, Batch Cover Sheet, when completing this form. Documents with the same work type can be batched together. For example, when a BMF site identifies IMF documents, all of the documents with the same document type/category code can be batched together.

  7. Each site has designated primary work type(s). All batch classes for the primary work type(s) will be available for batch creation in the Imaging Subsystem. A single generic batch class has been established for each of the work types that are outside the scope of the primary work type(s) for a campus. The generic batch classes have been set up with the default values shown in the chart below. Based on the work type, the ICT clerk will complete the Batch Cover Sheet and enter the appropriate MFT, function and program code.

      BMF IMF BMF INT'L IMF INT'L EXEMPT ORG EMPLOYEE PLAN LB&I and ACA
    DOC TYPE CORR 94X CORR CORR 1120 CORR CORR CORR CORR
    CAT CODE TPRQ TPRQ ITRQ ITRQ EXOR TPRQ TPRQ
    MFT 01 30 02 30 67 74 03
    FUNCTION 710 710 710 710 710 710 710
    PROGRAM 10000 40000 33030 33040 13100 72801 10004
  8. The ICT operator can make pen and ink changes on the Batch Cover Sheet and enter the appropriate Document Type, Category Code, Function and Program Code rather than leaving the default values shown above. These values can also be changed during validation. If changes are made, the change that is input must be a valid combination of document type, function/program, and category code.

  9. Rather than transshipping documents, ICT will scan items identified as outside their campus work type. ICT will direct the documents according to the chart below. For example, if Cincinnati (BMF site) finds a IMF International case, Cincinnati will scan and direct the work to Philadelphia. Below is the Outside the Scope of the Campus Work Chart.

    Site BMF IMF BMF Int'l IMF Int'l Exempt Org Employee Plan LB&I and ACA
    Andover CAMC N/A OAMC PAMC OAMC OAMC OAMC
    Atlanta OAMC N/A OAMC PAMC OAMC OAMC OAMC
    Austin CAMC N/A OAMC PAMC OAMC OAMC OAMC
    Brookhaven OAMC N/A OAMC PAMC OAMC OAMC OAMC
    Cincinnati N/A FAMC CAMC PAMC OAMC OAMC OAMC
    Fresno OAMC N/A OAMC PAMC OAMC OAMC OAMC
    Kansas City OAMC N/A OAMC PAMC OAMC OAMC OAMC
    Memphis CAMC N/A OAMC PAMC OAMC OAMC OAMC
    Ogden N/A KCAMC OAMC PAMC N/A N/A N/A
    Philadelphia CAMC N/A N/A N/A OAMC OAMC OAMC
  10. Special scanning instructions apply to carryback claims. Refer to the table in Exhibit 3.13.6-8, Scanning Carryback Claims, for further details. Carryback claims can be received at any site.

  11. This chart will also be used when a case is identified in Error Inventory that was scanned under the incorrect work type.

Batch Cover Sheet ACA Fee Claims Inventories (AFCI) Work Type

  1. When completing the Batch Cover Sheet, use colored pens (red, green, purple) and highlight the entries so they are easily identified by the scanner operator.

  2. Numbered, Unnumbered – An X should be notated in either the "Numbered or Unnumbered Box" depending on which documents are included in the batch.

  3. IRS Received Date – Enter the "IRS Received Date" for the batch of work. If there are small batches with different dates within a Document Type, combine the small batches and enter a future date in the format "1/1/YY" , which will be 2 years in the future (e.g., during calendar year 2015 enter "1/1/17" ) for the IRS Received Date.

    Note:

    If unsure of the IRS received date refer to IRM 21.5.1.4.2.4, Received Date - Determination.

  4. MFT- Enter the appropriate MFT for the batch.

  5. Tax Period - If all of the cases in the batch have the same Tax Period, enter the appropriate Tax Period. Otherwise, leave this field blank.

  6. Document Type - Write-in the appropriate doc type.

  7. Category Codes - TPRQ will be utilized for all ACA Fee Claims Inventories (AFCI), Brand Prescription Drugs (BPD) and Insurance Provider Fee (IPF) cases.

  8. Batcher SEID - Enter the SEID (or use employee stamp) of the employee who is sorting the batch of work to be Doc Prepped, and today’s date.

  9. Batch Volume - Enter the number of cases in the batch. Recommended batch size is up to 50 cases. It is crucial there is an accurate count of cases because it could result in the batch going to Quality Control for reconciliation.

  10. The ICT Received Date should be written or stamped on the top of the Batch Cover Sheet. If several ICT Received Dates exist within a batch, write "Mixed ICT Date."

  11. Designated Service Center - Enter the SEID (or use employee stamp) of the employee who is preparing the batch of work to be scanned.

  12. Document Preparer SEID - Enter the SEID (or use employee stamp) of the employee who is preparing the batch of work to be scanned, and today’s date.

  13. Doc Prep Volume - Enter the number of cases that have been Doc Prepped. Recommended batch size is up to 50 cases. It is crucial that there is an accurate count of cases because it could result in the batch going to Quality Control for reconciliation.

  14. Batch Name (Date and Timestamp) - Completed by the Scanner Operator.

  15. Scanner ID - Completed by the Scanner Operator.

  16. Scanner Operator SEID or Initials and today’s date - Completed by the Scanner Operator.

  17. Volume Scanned - Completed by the Scanner Operator.

Document Preparation Overview

  1. Document Preparation refers to the set of manual tasks that are required to prepare paper documents for imaging into a production scanner. Careful preparation of documents is essential to ensure case integrity and successful auto-feed during the production scanning process. Check all documents to ensure all the documents in a batch are the same Document Type, Category Code, and if possible have the same IRS Received Date.

  2. Colored envelopes should be photocopied at a lighter density so they are legible when scanned, IRM 3.13.6.4.8.

  3. When taxpayer submits documents that are difficult to read or illegible, the document preparer should write ODU (Original Document Unreadable) on the face of each document. When the document is dark, Document Preparer should reverse the image on copy machine and make a copy. This will allow the validator to see the information needed in white

Preparing Documents for Scanning - General Instructions

  1. The Image Control Team (ICT) is responsible for the clerical functions within CIS. In an effort to meet processing time-frames, all cases must be prepped, scanned and validated within 5 business days of ICT receipt or 14 business days of the IRS received date.

  2. Care must be taken when preparing documents for scanning. Proper document preparation helps prevent issues during the subsequent stages of the scanning process.

    Note:

    Large documents (over 50 pages) will be scanned into CIS in entirety. Coordinate any exceptions with the Inventory Control Manager AM ICM. The CIS image will be retained in the system as the taxpayer's source document.

  3. Follow the steps below to prepare documents for scanning:

    1. The recommended batch size is up to 50 cases. The rule of thumb is to put enough cases in a batch to fill a batch folder (Document 6981, 6982 or 6983), whichever folder is appropriate for the particular batch. Do not overfill the batch folder so that it is bulging. Ensure all documents in the batch are the same "Document TypeandCategory Code."

    2. Remove all staples, paper clips, rubber bands or any device holding the document together. Fan the documents to ensure pages are separated and to ensure pages are free of staples.

    3. Keep all documents (paper, routing slips, etc.) comprising a CIS case together and intact.

      Note:

      Refer to IRM 3.13.6.4.8, Envelopes, section to determine when envelopes must be retained and scanned.

    4. The right edge of a portrait document or the bottom edge of a landscape document is fed into the scanner first. Portrait documents are usually correspondence, returns or notices. Landscape documents are usually transcripts. It is important that the edge leading into the scanner is undamaged. Trim the ragged end with scissors/paper cutter to ensure a clean leading edge.

    5. IMF - items smaller than "8 1/2 x 11" Form W-2 must be placed at the leading edge center of the stack of pages.

    6. BMF - items smaller than "8 1/2 x 11" must be placed at the leading edge center of the stack of pages.

    7. Envelopes should be placed at the end of the case in the center leading edge, all 4 sides of the envelopes need to have a clean cut to prevent scanner jamming. There are special instructions for envelopes that are damaged, opened at both ends, and non-standard envelopes, oversized, manila envelopes. Refer to IRM 3.13.6.4.8, Envelopes section for further instructions.

    8. All attached notes must be photocopied. Colored notes should be photocopied at a lighter density so they are legible when scanned. If you tape a small piece of paper to a larger piece, it will cause a misfeed at the scanner.

    9. Insert a Separator Sheet at the beginning of each new case with the arrow pointing in the direction of the leading edge. Separator Sheets are used in a batch of work to distinguish between individual cases. The Separator Sheets are printed on colored paper to assist in the location of cases for rescanning. The pages, envelopes, and separator sheets should always face down in the same direction. Refer to IRM 3.13.6.5.3, Scanning Production Batches.

    10. Torn documents may be repaired with tape as long as no adhesive is exposed. If the removal of staples has caused damage to the paper, place tape over area to prevent small pieces from causing an obstruction in the production scanner.

    11. Photocopy badly damaged documents, write "ODU" (Original Document is Unreadable) on the face of the copied document, and place the copy in batch for scanning. Destroy the damaged original as classified waste.

    12. When taxpayer submits documents that are difficult to read or illegible, the document preparer should write ODU (Original Document Unreadable) on the face of each document. When the document is dark, Document Preparer should reverse the image on copy machine and make a copy. This will allow the validator to see the information needed in white.

    13. When Form 14039, Identity Theft Affidavit, is received with other documentation containing the taxpayer's complete Social Security Number (SSN) or the taxpayer's complete Individual Taxpayer Identification Number (ITIN) (for example: social security card), the ICT Clerk must write the entire SSN/ITIN in Section B of the Form 14039 where the last 4 digits of the taxpayer SSN/ITIN is present.

    14. When taxpayer submits legal sized documents, photo copy to 8 1/2" x 11" document, or place entire case at the end of the batch. Wrap the legal document around the gusset. This will allow the scanner to not have to stop.

    15. Below are the BMF and IMF charts on how to assemble documents for scanning.

      BMF Assemble each document in the following order:
      1 Separator Sheet
      2 The amended return, Carryback (if present), or correspondence, including documents with the IRS and ICT received date stamps.

      Note:

      When possible, the first page of the case must contain the taxpayer’s name, Employer Identification Number (EIN) and tax period. This will allow the taxpayer data to appear on the first image for manual entry during Validation. A Batch Cover Sheet will be completed and placed on top of the batch.

      3 Any small pieces of paper
      4 Place a full- sized paper between small documents or envelopes to prevent multi feeds (an example if you only have a FTD coupon and a envelope a full - sized white paper needs to be inserted to prevent multi feed at scanner).

      Note:

      This procedure is only for the sites that have problems with multi-feeds and small documents.

      IMF Assemble each document in the following order:
      1 Separator Sheet
      2 Form 1040X, Form 8379 or Carryback (if present)

      Note:

      When possible, the first page of the case must contain the taxpayer’s name, Taxpayer Identification Number (TIN)/2-D barcode and tax period. This will allow the taxpayer data to appear on the first image for manual entry during Validation. A Batch Cover Sheet will be completed and placed on top of the batch.

      3 2-D barcode notice (if present)
      4 CSR letter reply or correspondence
      5 Forms W-2 (if present)
      6 Any small pieces of paper
      7 Envelope(s)
      8 If an envelope, W2, or small pieces of paper are at the end of a batch, place a full-sized sheet of paper at the end of the batch.
    16. The completed, batched cases will be placed in file folders (Document 6981, Document 6982, or Document 6983), whichever folder is appropriate for the particular batch) and placed on a batch cart for transport to the scanning operation. It is recommended that different Document Types be separated so they can be easily identified for assignment of Priority Code or Issue Type, if needed. NUMBERED DOCUMENTS AND UNNUMBERED DOCUMENTS MUST BE MAINTAINED SEPARATELY.

    17. If a numbered return (DLN) is attached to the charge out, verify that the DLN on the return matches the one printed on the charge out.

    18. If the taxpayer has enclosed “original” documents (for example: birth certificates, death certificates, driver’s license, Social Security cards, cancelled checks, original state tax returns). Follow steps in paragraph 4 so the taxpayer will receive their original documents back if they are sent in error.

      Note:

      Do not scan original documents received with a request for an Individual Taxpayer Identification Number (ITIN) or an Adoption Taxpayer Identification Number (ATIN). These requests will be submitted on a Form W-7,Application for IRS Individual Taxpayer Identification Number, or a Form W-7A, Application for Taxpayer Identification Number for Pending U.S. Adoptions. Forward these original documents and forms via a Form 3210, Document Transmittal, to the appropriate address below:
      IRS - AUSPC ITIN Unit Stop 6090 or
      IRS - AUSPC ATIN Unit Stop 6182
      3651 South Interregional Highway 35
      Austin, TX 78741

      Caution:

      Extreme care must be taken to ensure that only the material relative to the taxpayer(s) to which the correspondence is addressed is enclosed in the envelope. Refer to IRM 21.3.3.4.14, Breaches of Personally Identifiable Information (PII) Caused by Manual Stuffing Errors, for additional information. If the original document is a state tax return, follow the instructions in IRM 21.3.3.4.15, Misdirected Mail.

  4. Returning original documents to the taxpayer:

    1. The documents must be photocopied prior to scanning.

    2. After copying the document, place the photocopy of the document with the case for scanning. Annotate photocopy on the document.

    3. Complete and attach Form 3699, Return of Documents to Taxpayer, and place the "original" document in the designated receptacle for return to the taxpayer.

    4. Be sure to include the taxpayer’s name and address with the document. If no address is indicated, check the envelope for a return address. If no return address is on the envelope, research for the address on IDRS. These documents will be mailed to the taxpayer at a later time as assigned by Management.

Envelopes

  1. These procedures provide instructions for addressing envelope issues.

  2. Cut down all sides of the envelope and use only the part that contains useful information, such as the return address and postmark.

  3. Tears and wrinkles that would jam the scanner must be mended during the document preparation process prior to scanning.

  4. Oversized envelopes wider than 12 inches must be trimmed to 12 inches prior to scanning, or photocopied and reduced to the standard paper size ("8 1/2 X 11" ). Use only the part of the envelope that contains useful information, such as the return address and postmark.

  5. Padded (bubble) and manila (thick) envelopes must be photocopied prior to scanning. After copying the part of the envelope with useful information, place the original envelope with the classified waste. Place the photocopy of the envelope with the case for scanning. Also, make photocopies of envelopes when the return address or postmark date is not clearly legible.

  6. Any metal clasps on the backs of envelopes must be removed to prevent damage to the scanner.

  7. When preparing taxpayer correspondence (PHZ1 cases) for scanning, many envelopes can be discarded as classified waste. Envelopes from the taxpayers are good for determining the omitted stamped received date and for research purposes. The following are taxpayer correspondence case exceptions when the envelope must be scanned:

    1. CP 08 - Additional Child Tax Credit

    2. CP 09 - Earned Income Credit - You May Be Entitled to EIC

    3. CP 27- EIC Potential for T/P Without Qualifying Children

    4. Form 843 - International (foreign) Return Address

    5. Envelopes with any notations, including indications of a new address Correspondence with any of the following "C" letters attached: 105C, 106C, 853C, 854C, or 1265C.

    6. Correspondence cases with a copy of any "C" letter related to a statute year.

    7. Correspondence cases without an IRS stamped received date.

    8. Whenever in doubt, scan the envelope.

      Note:

      Scan the envelope with all other case types (XRET, DUPF, DMFC, etc.)

Cleaning the Production Scanner

  1. ICT clerks will scan/image batches on the production scanner; perform rescanning of documents/pages where the quality of the image is not acceptable, is the wrong Document Type; or split cases that were originally scanned without a Document Separator Sheet; and service Reimage Requests from CSR(s).

  2. At the beginning of the shift, the Scanner Operator should:

    1. Vacuum the output tray and input areas (input Tray and transport).

    2. Clean rubber rollers with rubber cleaning wipe not alcohol wipe.

    3. Vacuum the transport area.

    4. Remove and vacuum under the background strips.

    5. Using Count Only Mode, run a transport cleaning sheet through the scanner several times.

    6. Clean the imaging guides with lint free wipe or alcohol wipe.

Calibrating the Production Scanner

  1. These procedures provide instructions for calibrating the production scanner. The scanner should be calibrated only when prompted to do so. Clean the scanner before calibrating. Failure to clean the scanner beforehand may cause image quality issues.

    1. Select Settings on the scanner touchscreen.

    2. On the Settings screen, select Calibrate.

    3. From the resulting Calibration screen, select Image Calibration

    4. Place the calibration target in the Input Tray, and press "OK" on the touchscreen.

    5. When the calibration is finished, the Idle screen will display.

Logging into Correspondence Imaging System (CIS) Imaging Subsystem Scanning Module

  1. These procedures provide instructions for clerks to log on to the Ephesoft Capture Scan Module of the CIS Imaging Subsystem.

  2. Turn on the scanner.

  3. Once the scanner has performed the self-test and the message "Lamps ready for Scanning" appears on the scanner’s Operator Control Panel, turn on the production scanner workstation.

  4. Use your Network LOGON to log on to the scanner workstation.

  5. Open the Ephesoft Capture Scan module by either:

    1. Clicking the Ephesoft Capture icon on the desktop or,

    2. Accessing the Internet and typing into your URL https://amsscanning.enterprise.irs.gov/dcma/

  6. The Ephesoft Capture - Click on New Documents

  7. At the end of the day (or after the night shift), turn the scanner off, and log off the scanning workstation (DO NOT turn the scanning workstation off).

    Note:

    It is important to leave the scanning workstation on to be able to get the normal local area network (LAN) software upgrades, such as virus updates, Internet explorer updates, etc.

Scanning Production Batches

  1. These procedures provide instructions for scanning batches of documents in the ICT using the Kodak i1840 Production Scanner.

  2. In an effort to meet processing timeframes, all cases must be prepped, scanned and validated within 5 business days of ICT receipt or 14 business days of the IRS received date.

  3. Select a batch to be scanned. Remove the Batch Cover Sheet and properly orient the documents to their leading edge by jogging the batch.

    Note:

    Proper alignment/orientation is very important to the Optical Character Recognition (OCR) portion of the scanning process. The batch may need to be sent back to Document Preparation if not properly aligned or oriented.

    The scanner operator will fix multi- feeds, color scan if needed and bent pages.

  4. Place the batch of documents in the scanner’s input tray:

    1. Documents will be scanned face up in the landscape orientation.

      Exception:

      Legal-sized paper and over-sized envelopes that will be scanned portrait.

  5. Select the start tab from the AMS Scanning screen.

    1. The scanner will start scanning the documents.

    2. Images will start appearing on the screen in the thumbnails.

  6. Using the information on the Batch Cover Sheet, select the appropriate Batch Class for the type of documents to be processed from the Batch Class drop-down list.

  7. Enter the number of documents in the batch from the Batch Cover Sheet in the Documents per Batch dialog box.

  8. Enter the values from the Batch Cover Sheet in the corresponding Batch Fields listed below:

    Fields Action
    a) Document Type Preset when batch class selected – Update as necessary
    b) Category Code Preset when batch class selected – Update as necessary
    c) Program Code Preset when batch class selected – Update as necessary
    d) IRS Received Date Enter a hyphen or slash between month, day and year
    e) Case Priority Preset at batch level – Update as necessary
    f) Expedite Default is NO. If 1040x or CORR has priority use drop down and select YES
    g) MFT Preset at batch level - Update as necessary
    h) Tax Period Leave blank or enter YYYYMM format
    i) Issue Type Management will provide input
    j) CSR Number Enter when appropriate
    k) Scan Type Enter when appropriate
    l) Designated Service Center This field is currently preset to the Campus where the scanning is taking place; update as necessary
    m) Function Preset is ADJ
    n) Statute Searched Default is “No” Update to Yes as necessary
  9. If there is a case priority entered on the Batch Cover Sheet, enter it in the Case Priority field of the Create Batch window.

    1. Use the drop down menu to change the Priority field to match the Case Priority field. (For example, Carrybacks over one million dollars will always be a Case Priority 1

    2. And the Priority field must also be 1. If the Case Priority is 2, the Priority field should also be a 2, etc.

    3. If the case priority on the batch cover sheet is 5, 6, 7, or 8, change the priority to 4.) If there is no Case Priority on the Batch Cover Sheet, leave the Case Priority field blank and the Priority field at the default value (50).

  10. If there is an ICT received date present on the Batch Cover Sheet, input it at batch creation. Otherwise, leave this field blank.

  11. Once all applicable fields in the Create Batch window are filled in, click OK. The Create Batch window will close.

  12. Notate the batch name located in the Description field. The entire description must be noted on the batch cover sheet. Example: 08-07-2017_06_41_25AM

  13. If the scanner has gone into Power Saver mode, the green LED will flash and the touchscreen will be blank. Do the following to resume scanning:

    1. If the Input Tray is empty, insert some paper

    2. If there is paper in the Input Tray, remove it and reinsert it

      Note:

      The INITIALIZING screen will appear and, when the scanner is ready, the IDLE screen will appear.

  14. During the imaging process, the scanner will imprint a sequence number at the bottom of each full-sized sheet.

  15. Press "End Job" on touchscreen. If "End Job" is not pressed, the scanner will automatically end the scanning process after a short delay.

    Note:

    This a local management decision to allow the scanner to end without pushing the "End Job."

  16. The batch contents will appear in the Batch Contents panel and the first image of the first document will appear in the Image Viewer active window.

  17. Perform a cursory review of the scanned documents. Use the "Down Arrow key" on the screen to scroll through the images, to verify that all the imaged pages of the document were scanned properly.

Closing Production Batches

  1. These procedures provide instructions for closing a batch in the scanning module and finishing the batch scanning process.

  2. The Batch Name is located in the Batch Contents window and the title bar of the Ephesoft Capture Scan window. Write the Batch Name on the Batch Cover Sheet before closing the batch.

  3. Complete the Batch Cover Sheet by:

    1. Enter the Batch Name, including Date and Time

    2. Circle the appropriate scanner ID: A, B, C, or F

    3. Enter your SEID # and Date at the bottom, and

    4. Enter the volume (number of documents) scanned

  4. After completing the Batch Cover Sheet, close the batch by clicking finish.

  5. The message dialog box displays "Are you sure you want to finish this batch?"

  6. Click "OK" and the batch closes.

  7. Remove scanned documents from the Scanner Output Tray.

  8. Place the completed Batch Cover Sheet on top of the batch of work.

  9. Place the scanned documents in the Batch File Folder and return the folder to the cart.

    Note:

    DO NOT mix numbered and unnumbered batches on the same cart.

  10. When all batches have been completed, push the cart to the temporary storage area.

Quality Control

  1. The purpose of the Quality Control (QC) Inventory batches is to allow the Exception Clerk to correct batches or documents that have been rejected, for various reasons, from Validation module. These batches are identified by the QC in the Notes column in the Validation queue.

  2. Log in to Ephesoft

    1. Click on "View My Batches"

    2. Click on "Validation button"

    3. Sort by Notes, ascending, to identify the batches that are in QC status

  3. Open a QC batch

    1. Click on "Function Key- F4 Key"

    1. Fix the reason for rejection, complete any fields in the middle section and then validate. This must be done for all QC Documents.

  4. Click on, Function Key - F3 QC batch, or click on "More" , at top of the middle section, click on F" Function Key - F4" , then repeat and click on "Function Key - F3"

    1. The Function Key - F3 will activate the fields and the user will be able to update any needed information

    2. If a rescan is needed, secure the document(s) and delete the bad image(s)

  5. Deleting Pages

    1. Open the error batch needing to be deleted

    2. Press the Shift + Delete keys on the keyboard

    3. Click "OK" when the Delete Documents popup window asks “Are you sure you want to delete batch with identifier?

Exception Processing - Quality Control

  1. The following subsections provide instructions for clerks to log in to the Ephesoft 9.0 in order to perform Exception Processing and Quality Control (QC) processes.

    Note:

    Not all batches/documents require a rescan during QC. The QC module can be worked from any workstation in ICT and uses a regular workstation license unless scanning.

Logging into CIS Imaging Subsystem Exception Processing

  1. If you are seated at a workstation that has an exception scanner, initialize the exception scanner as follows:

    1. Turn on the exception scanner

    2. When the display window on the front of the exception scanner displays "Ready" , log on to the exception workstation using your Network logon.

    3. If you are not seated at a workstation that has an exception scanner, log in to the workstation using your LAN LOGON.

    4. Log into the "QC" module by either:

    5. Click the "Ephesoft Capture icon" on the desktop or

    6. Accessing the Internet and typing into your URL https://amsscanning.enterprise.irs.gov/dcma/

    7. Click

    8. The Review Module window will open.

    9. Click on the "Validation Icon" , then on the notes column to show items waiting for "QC" queue.

    10. At the end of the day (shift), turn the scanner off, and log off the exception workstation (Do NOT turn the exception workstation off).

    Note:

    It is important to leave the exception workstation turned on in order to receive scheduled local area network (LAN) software upgrades, such as antivirus software updates, browser updates, etc.

Inserting Pages, Splitting/Merging Documents

  1. These procedures provide instructions for correcting documents or pages that have been rejected to QC. These procedures include inserting pages, splitting documents.

  2. Click on the "double page icon" in the top left corner of the document panel for all documents in the Batch Contents Panel to expand the batch tree in order to view the rejected documents and/or pages to be corrected.

  3. Use the "Down Arrow key" on the screen to move from one document or page to another to perform a review of the images.

  4. Reject and/or corrective action message appears at the top of the middle section (fields section) it is the QC Reason Box. If we are rejecting a whole document or one page, the note will appear in the same area.

    1. Rejected pages - Review the Note dialog box to determine the reason the pages were rejected and what action needs to be taken.

    2. Rejected documents - Review the Note dialog box to determine the reason the documents were rejected and what action needs to be taken.

  5. Deleting Document(s) Or Page(s):

    1. Select the document(s) or page(s) to be deleted in the Batch Contents panel.

    2. Locate the paper document(s) or page(s) in the batch. Do not delete the image(s) until the paper document(s) or page(s) is found.

    3. Click "Document or Page" on the menu bar and select "Delete." To delete a document: In document view click on document to be deleted then hit Shift + Delete. To delete multiple documents at one time, hold down Ctrl and click each document to be deleted. Then Shift + Delete.

    4. The message box displays "Are you sure you want to delete the (documents) page(s)?"

    5. Click "YES" and the document(s) or page(s) will be deleted.

  6. Inserting Page(s):

    1. If an additional page(s) needs to be inserted, place the page(s) to be inserted in the Input Tray BEFORE selecting Insert.

    2. Click on the page in the "Batch Contents Panel" above the position where the additional page(s) will be inserted.

    3. Click "More" on the menu bar and select "Insert" from the drop down menu.

    4. Once "Insert" is selected, the scanner will "AUTOMATICALLY" begin to rescan the additional page(s).

    5. The inserted page(s) will be displayed within the document in the Batch Contents Panel and can be viewed in the Image Viewing area.

  7. Inserting Document(s):

    1. To insert a document(s), click on the last document in the Batch Contents Panel.

      Note:

      A CIS Document Separator sheet MUST be on top of each of the documents being inserted into a batch in order for the exception scanner to recognize the documents as individual cases.

    2. Click on the "More Icon"

    3. Click on "Insert documents" , the Scanner will begin feeding documents.

    4. After scanning is complete, the document(s) will be displayed in the Batch Contents Panel at the end of the batch.

  8. Merging Document Page(s):

    Note:

    Only reject large cases to be merged to QC, smaller cases can be corrected in Validation.

    1. When a CIS Document Separator Sheet is put in the wrong place during Document Preparation, one document can be split into two or more documents. The split documents can be merged into one document. All parts of the split document must be rejected so that they can be merged.

    2. Click on the "rejected documents " in the Batch Contents Panel and on the "Double Page Icon" next to the documents to view all the pages of the split documents.

    3. Review the thumbnail images of the split documents to "verify that" they should be merged into one document.

    4. Highlight the second document.

    5. Click on "Merge icon" , then merge with the document prior to selected document. Choose the merge option tab in the middle top of the screen, a drop-down list of all documents in the batch will appear. Click on the "Document number " you want your document to merge with. It may not always be the prior or the next document.

    6. The split documents will be merged into one document and the new document will be displayed within the Batch Contents Panel where the first document was. The volume count of the batch will be changed to one less than the number of documents that were combined.

  9. Dragging And Dropping Page(s):

    1. If pages are in the wrong document or in the wrong order, they can be moved into the correct position.

    2. Review the thumbnail images to determine which page is in the wrong document.

    3. Click on the "page" that needs to be moved.

    4. Click and "hold" the left mouse button down.

    5. Move the cursor to the position in the Batch Contents Panel where the page belongs.

    6. Release the button. The page will be moved to the new location.

  10. Correcting Page Alignment/Orientation.

    1. Proper alignment/orientation is very important to the Optical Character Recognition (OCR) portion of the scanning process. In order for OCR to function properly, the first page in each document in the batch must be the page that the OCR can read, and it must be aligned correctly. If the page that the OCR can read is upside down or sideways, it can be turned right-side up.

    2. Review the thumbnail images to determine which page is turned incorrectly.

    3. Click on the "page" that needs to be turned to highlight it.

    4. Click on "Rotate Icon" , continue selecting Left or Right until the page is right-side up.

  11. Changing Form Types Within a Document Type:

    1. The batch does not have to be deleted if the" Document Type" is incorrect. It can be changed in Validation.

    2. If the "Workflow" is incorrect, it must be rejected and can be changed in Quality without deleting the batch.

    3. If the "Form Type" is incorrect, it can only be changed if the batch was redirected to Review by the software.

    Note:

    The "Form Type" is chosen by the software when leaving the scanning module and not by the scanner. The Reviewer should change this when needed.

    1. If the Document Type selected during batch creation does not match the documents within the batch, delete the batch, change the form type within the QC process.

    2. Another menu will appear with a list of form type options.

    3. Select the appropriate form type and click "OK."

    4. The incorrect form type will be replaced with the form type selected from the menu. The change will be displayed in the Batch Contents Panel.

  12. After all inserting, splitting, and changing form types has been completed, unreject the documents by selecting "F3" , and finish validating the documents.

  13. Close the batch.

Scanning Exceptions from Quality Control

  1. These procedures provide instructions for re-scanning documents or pages that have been rejected during scanning, review or validation.

  2. In the Batch Contents Panel, click the "Double Page Icon" in the upper left corner of the screen. All the documents to expand the batch tree in order to identify which documents or pages were rejected.

  3. Review the Document/Page Notes for each document or page that has been rejected to determine what actions to take.

  4. If it is necessary to re-scan documents or pages, use the Batch Name (date and times scanned) in the Batch Contents Panel to find and retrieve the batch containing the documents that need to be corrected from a cart or the temporary storage area if the batch has been shelved.

  5. Retrieve the first document/page from the batch that needs to be rescanned.

  6. Properly orient the pages of the document to their leading edge by jogging the document.

    Note:

    Proper alignment/orientation is very important to the OCR portion of the scanning process. The batch may need to be sent back to Document Preparation if not properly aligned or oriented.

  7. Place the document or page for rescanning in the Exception scanner’s Input Tray.

    1. Documents/pages will be scanned face down in the landscape orientation. (Exception is legal-sized paper and over-sized envelopes that will be scanned portrait).

    2. The documents/pages will be oriented so that the previously stapled corners are on the opposite side from the feeder on the scanner.

    3. The arrows point to the edge of the documents/pages, which will be the leading edge into the scanner.

    4. The documents/pages leading edges will be oriented based on whether the documents/pages are Forms/Letters/Correspondence or Transcripts.

  8. Verify the Kodak i1440/i260 is set as the scanning source in the Scan Controls Panel. If the wrong scanning source is selected:

    1. Navigate to the Scan Controls panel within the Scanning module and click the down arrow next to the Source Device box.

    2. Select the Kodak i1440 as the scanning source from the Source drop-down list.

  9. In the Batch Contents panel a red "indicator" will identify the documents that need to be corrected, rescanned and/or replaced. The note in the QC reason field must refer to specific the page(s).

  10. Below are instructions for replacing pages within the batch.

    1. If there are several pages that need to be replaced, click on the first page in the Batch Contents Panel.

    2. Place the page in the scanner input tray face down.

    3. Right click on the page to be replaced and select, "Insert or Scan" click on Page on the menu bar.

    4. The scanner will AUTOMATICALLY begin to scan the page.

    5. The rescanned page will not replace the original page within the document. The new page(s) will not replace the incorrect page(s); they must be deleted manually.. Repeat the process for all the pages within a document that need to be replaced and for all the documents with rejected pages in the batch.

  11. If an entire batch needs to be deleted and rescanned, the Document Panel needs to be in the Document View mode, hold down Ctrl and click "each document" until all are highlighted; then Shift + Delete. The last document may need to be deleted again.

    Note:

    Document Type is changed in the Validation process and does not need to be rejected unless there are issues that cannot be corrected in Validation.

  12. After rescanning of all documents (or pages) is complete, click on the "first document" in the Batch Contents Panel.

  13. Use the Down Arrow key on the screen to scroll through the images, or use the thumbnail views to verify that all the imaged pages of the document were rescanned properly.

  14. After all corrections have been completed, unreject the documents and/or pages that are marked with a red "indicator."

  15. On the Document Separator Sheet for each case, indicate the action taken (e.g., rescanned), initial and date. In the Comments portion of the Batch Cover Sheet, provide a more in-depth description of the actions taken for each case. Also, indicate SSN, Name Control and Tax Period for each case and initial and date the cover sheet.

  16. Close the batch.

  17. Log in to the Validation module and validate the batch.

Exception Processing - Reimage Requests

  1. When a CSR identifies poorly prepped/imaged documents, they will input a note on CIS indicating the problem with the case and suspend the case to Reimage. The note will be used to generate a Reimage Report that will be provided to the ICT clerk by the ICT manager. After the reimage request has been completed, the clerk will access CIS and provide a case note to the CSR. The clerk may need to retrieve the paper documents from temporary storage and rescan the problem documents. The report contains the Function, Case ID, and Locator Identification Code (LIC).

  2. The Locator Identification Code will be used to retrieve the paper documents from temporary storage. It identifies the Batch Name (date and time scanned), Campus, Scanner ID, and Document Number.

  3. If a case has been suspended for reimaging, research the case in the CIS Application and review the Case Notes/Note Description.

  4. To locate the documents for rescanning from temporary storage:

    1. Identify the Scanner ID in the LIC on the Reimage Report and locate the area in temporary storage for that scanner (A, B, or C).

    2. Identify the Batch Name in the LIC and locate that Batch Name on the Batch Cover Sheet within the hanging files. The batches will be filed in order of the date and time the batches where scanned. It will be necessary to check both the numbered and unnumbered areas for the batches.

    3. Pull the entire batch from the hanging files.

  5. Make a copy of the Reimage Report, highlight the LIC that requires re-imaging, and place the copy of the reimage report on top of the Batch Cover Sheet for the document(s) within the batch.

  6. Depending on the number of batches pulled, either:

    1. Place all the batches on a cart and push the cart to the Exception Processing area, or

    2. Hand carry the batches to the Exception Processing area.

Scanning Exception Batches/Documents Identified on Reimage Report

  1. These procedures provide instructions for scanning documents identified on the Reimage Report. The steps for exception scanning are similar to production scanning; the only difference is that the exception scanner is the Kodak i1440/i260.

  2. Batches that contain the documents to be reimaged will be provided to the Exception Processing Scanner operation. Find the document in the batch and jog the pages to ensure the pages are properly oriented to the leading edge.

    Note:

    Proper alignment/orientation is very important to the OCR portion of the scanning process.

  3. Place the document(s) in the scanner’s Input Tray.

    Note:

    If scanning more than one document from a batch, the documents MUST have the CIS Document Separator on top of each document in order to separate the documents into individual cases.

    1. Documents will be scanned face down in the landscape orientation. (Exception is legal-sized paper and over-sized envelopes that will be scanned portrait.)

    2. The documents will be oriented so that the previously stapled corners are on the opposite corner from the feeder on the scanner.

    3. The arrows point to the edge of the documents, which will be the leading edge into the scanner.

  4. In order to provide a new image for the CSR, it will be necessary to create a new batch using the information from the original Batch Cover Sheet.

  5. If the Create Batch window is not already open, create a batch by:

    1. Clicking the "Scan New Documents."

  6. Using the original Batch Cover Sheet, select the appropriate document type from the Batch Class drop down list in the Create Batch window that matches the document type on the cover sheet.

  7. Enter the number of documents to be rescanned in the Documents per Batch dialog box.

  8. Enter values from the Batch Cover Sheet in the corresponding Batch Fields listed below:

    Fields Action Needed
    a) Document Type preset when batch class selected – update as necessary
    b) Category Code preset when batch class selected – update as necessary
    c) Program Code preset when batch class selected – update as necessary
    d) IRS Received Date Enter the date when it is the same date for all cases in the batch, otherwise enter January 1, the year will be 2 years in the future (for example: during calendar year 2015 enter 1/1/17)
    e) Case Priority Enter Case Priority
    f) MFT Enter MFT
    g) Tax Period (yyyymm format) Enter Tax Period when it is the same date for all documents in the batch, otherwise leave blank.
    h) Issue Type Enter Issue Type
    i) ICT Received Date Enter the date when it is the same date for all documents in the batch, otherwise leave blank
    j) CSR Number Enter CSR Number
    k) Designated Service Center Preset to scanning location, update as necessary
    l) Statute Searched Preset to No update Yes as necessary
  9. Verify the Kodak i1440/i260 is set as the scanning source in the Scan Controls Panel.

    1. Navigate to the Scan Controls panel within the Scanning module and click the down arrow next to the Source Device box.

    2. Select the Kodak i1440 as the scanning source from the Source drop-down list.

  10. After verifying the correct scanning source, click "Start" , the Scanner will begin feeding documents.

    Note:

    Please reimage Identification Documents (ID), (for example: Birth Certificates, Passports, and IDs), in color to improve the image.

  11. In the Batch Contents Panel click on the "Double Page Icon" for the document. The document tree displays all pages for that document and the first page of the document displays in Image Viewer.

  12. Use the Down Arrow key on the screen to scroll through the images or use the thumbnail views to verify that all the imaged pages of the document were rescanned properly.

  13. The Scanner Operator must ensure no overlaps or skewed edges. If the document still does not scan properly, the scanner operator can delete and rescan the entire document.

  14. If a page of a document did not rescan properly, the scanner operator can delete and replace or insert the page.

  15. Once all scanning processes are complete, annotate on the Reimage Report the actions that were taken and close the batch. Use the Reimage Report with the annotations to send a Case Note back to the CSR to let them know the actions have been taken.

Closing Exception Batches

  1. These procedures provide instructions for closing a batch after finishing the exception scanning process.

  2. Close the Batch by clicking Finish.

  3. The message dialogue box displays "Are you sure you want to finish this batch?"

  4. Click "OK" , the batch closes and goes to Validation with a new LIC (Date and Time).

  5. Remove scanned documents from the Scanner Output Tray.

  6. Write the new LIC on the new Batch Cover sheet, place with the documents, and place the batch in a new folder.

  7. Repeat the processes above until all the documents listed on the Reimage Report have been rescanned.

  8. When the reimaged documents are validated, they will be electronically routed back to the CSR.

  9. After completing the scanning of the documents that needed to be reimaged, send a Case Note back to the CSR to let them know that their request was completed.

  10. The batches can be returned to and refiled in the temporary storage area.

Sending a Case Note or a Case Message to a CSR

  1. This section includes instructions on how to search for a case in the CIS Application. A "Case Note" will be sent after each request for a reimage has been completed. If the batch is no longer available in the temporary storage area, a "Case Note" will need to be sent to the CSR to inform them that the paper document is not available for reimaging.

    Note:

    Case Notes are "permanent" and Case Messengers are "temporary." Case Messages will be deleted when a case is archived.

  2. Annotate on the Reimage Report what actions have been taken on completed requests or if the paper document is no longer available.

  3. To access CIS to search for a case or send a case note to a CSR, it is necessary to log on to IDRS first.

  4. Once the IDRS session is opened, click on the AMS Desktop Icon. Read and acknowledge the Warning Banner.

  5. The first time you login to your workstation a security warning will pop up. Click the check box to Always trust content from this publisher and click the "Run" button. If you answer "Always/Run" you should not receive the prompt again on that workstation.

  6. The AMS screen will appear, click the "Inventory" link in the "Case Management" section of the AMS home page.

  7. Authorized CIS users will see a CIS tab on the Inventory Summary page. Click the "CIS tab" in the Inventory Summary section, then click the "Work CIS Inventory" link.

  8. The CIS Main page will be displayed.

  9. Click on "Search and the Search for Case" page will display. Change the Case Type to "All Cases."

  10. Select Case ID from the drop-dead menu for Search Type, and enter the Case ID from the Reimage Report in the Search Value box. If the work type is unknown, change the work type to "Select" , this allows a search of all the work types in the application.

  11. Once the information is entered in the appropriate boxes, press the "Enter" key or scroll down the page and click Search.

  12. The Search Results List page will display. Click on the underlined "Case ID" under the Case ID Heading.

  13. After clicking the Case ID, the Suspense Case page for the case will display.

  14. Scroll down to the Case Notes Section of the case page. The Note Description provides an explanation of why the case was suspended to reimage.

  15. To send a message, click "Case Message" located under "Case Notes and Messages."

  16. In the text box enter the message to the CSR. When leaving a message, always start with "ICT" . For example "ICT- No better image. Document appears how we received it." After writing the text, click Add Message and then click "Close Window." The message will be added to the Message Description section and the information is electronically routed to the CSR.

  17. Once the user clicks "Close" , CIS returns the user to the Suspense Case page. If additional cases require a Case Message, click "Search" to return to the Search for Case page.

  18. After the user clicks on "Search from the Suspense Case Page" , Search for Case page re-displays.

  19. Continue the Search and Add Note process until case messages have been sent for all the cases listed on the Reimage Report.

  20. Click on"Logoff" on the CIS Main page screen to close the CIS session.

  21. After logging off CIS, click on the "X" in the upper right hand corner to close the browser window.

  22. The AMS browser window will close and user will be logged off of CIS. Press the "F12" key to sign off of IDRS.

Scanner Maintenance and Ephesoft issues.

  1. The Maintenance Contract for the current year includes the same coverage as last year; see details below.

    Note:

    Please call the Help Desk (866-743-5748) to request a scanner maintenance visit, indicate that the visit is for a CIS scanner. This will expedite the request.


    The Scanner Maintenance coverage is as follows:

    All sites except Brookhaven and Memphis: Maintenance
    Scanners Preventive Maintenance Visit /coverage
    Kodak i1840 (Production) 4 visits per scanner
    Kodak i730 (Files/Mid-size) 2
    Kodak i1440 (Exception) 1
    Kodak i260 and i610 Fix it service
  2. Schedule your visits at least 1 week prior to the date you want the scanner serviced.

  3. Notify Steve Rayos by email for scheduled maintenance visits.

  4. Schedule preventive maintenance visits on an as-needed basis taking scan volume into consideration (e.g., you will schedule more visits during peak season). If you have any preventive maintenance visits left towards the end of the year, make sure you schedule them before the contract expires. It’s very important to schedule these visits in order to ensure scanners run at the optimum level and prevent unnecessary scanner downtime.

  5. Follow the steps below when scheduling a preventive maintenance visit or Ephesoft issues.

  6. Call the Help Desk number toll- free number (866-743-5748) or submit a request online via OS Get Services.

    Action
    1) Select Report an Issue
    2) My Technology
    3) Hardware/ Printer issue→ok
    4) AMS Scanners
    Description Section: The local Desk side or Field Support group is responsible for calling the scanner hardware vendor. Per vendor contract, production scanners include 5 preventive maintenance appointments and the other scanners include 2 preventive maintenance appointments each fiscal year. Scanner Barcode is/are: AXXXXXX, AYYYYYY.
    Priority 1
    All production scanners are down
    Priority 2 – All Sites
    Sites should user their other production scanner as back-up
    1) Files scanner with several documents to scan with request older than 7 days
    2) Ephesoft issues that impact multiple workstations or a single workstation connected to i1840 scanner - Notify Steve Rayos by email after calling the help desk to open a ticket.
    Priority 3 – All Sites
    All other tickets related to Ephesoft related issues
    1) Files scanner (i730)/(i610
    2) Exception scanner (i1440)/(i260)
    3) Mid-size scanner (i730)
    4) Issues with Ephesoft Capture Recognition and /or Export Service Notify Steve Rayos by email after calling the help desk to open a ticket.

Support Activities Overview

  1. This IRM provides instructions for ICT clerks for Document Preparation. Validation, Error Inventory, Temporary Storage and Disposition of Scanned Documents and Printing of Images for Form 4251 (Document Requests) in support of the Correspondence Imaging System (CIS) for the Submission Processing (SP) function.

  2. Specifically, ICT clerks will prepare documents for scanning/imaging; review; validate and input taxpayer data for CIS to automatically establish an IDRS control base; perform IDRS research and establish control bases on those cases that CIS could not establish automatically; retain documents in temporary storage after scanning; return IRS DLN numbered documents to Files; and dispose of documents after the expiration of the temporary storage period. In addition, if the Files function needs assistance with printing CIS cases for non-CIS users, this guide provides ICT clerks with instructions to print case data, images, case notes, and linked cases for Form 4251.

  3. To perform some of the tasks identified above, clerks must have access to the CIS Imaging Subsystem and CIS Workflow.

    1. The ICT clerks will utilize the CIS Workflow application to work the Error Inventory and Reimage Requests. Access to the CIS Workflow application requires the user to be logged into IDRS first.

Ephesoft Imaging Software Scanning Review Overview

  1. The purpose of the Review queue is to allow the user to perfect the batch. During the Review process, the clerk identifies a need to correct a document, they can perform various operations on the batch like classifying, splitting, copying, deleting the document, change the document type, or scan color photos.

    Note:

    All documents that are posted in Review and Quality Control (QC) queues must be reviewed regardless if they have "green or red highlight indicators." The green highlight indictors are not 100% accurate.

    Note:

    The clerks are not required to flip and delete pages in Review

Accessing Batch Review

  1. Select View My Batches on the Operator Menu

  2. Click on "Review Button" and the list of batches in "Ready for Review" status will display.

  3. Select the Batch to review by double clicking on the Batch Name (highlights the row).

  4. When batch is listed in the Review state, its status is changed to "Ready for Review" and it needs to be reviewed by the user.

    Note:

    All documents that are posted in Review and Quality Control (QC) Queues must be reviewed regardless if they have "green or red highlight indicators." The green highlight indictors are not 100% accurate.

Document Review Procedures

  1. The Review Module displays a document tree panel, a middle panel with individual pages for current document, and right panel with the full-sized first page of the document. The Center Panel displays the Batch Instance ID Number, Batch Name, Batch Priority, and Form Type. The Button Menu contains the Merge Button which allows merging of documents. The More Button has Insert Pages and Re-Scan functionality. The More Button also lists keyboard shortcuts for additional functions like rotate, delete, and navigating pages/documents.

  2. Upon opening the batch the number of documents counted systemically in the batch will compare against the Documents Expected batch level field. If the number of documents counted by the system doesn’t match the Documents Expected batch level field, a popup window will appear showing the discrepancy. In order to see the discrepancy between Documents Expected and Documents Available, hover-over the first document thumbnail image in the Left Panel.

    Note:

    The pop-up that appears when you hover-over the first document in the batch will also offer other information as to why the batch was sent to "Review" by the software.

  3. Review the first red highlighted “thumbnail” document.

    Note:

    All documents that are posted in Review and Quality Control (QC) Queues must be reviewed regardless if they have "green or red highlight indicators." The green highlight indictors are not 100% accurate..

  4. Click on the "Review Button" to accept each document and turn the document "Thumbnail " green.

  5. After processing the final document, Click the "Review Button" twice to accept and save.

  6. When the Review Done window displays. Click "OK" to close the batch

Merging Pages

  1. Highlight the second document that needs to be merged by clicking on the Document "Thumbnail" in the Left Panel.

  2. Click the "Merge Button" on the Middle Panel.

  3. Select the document to merge from the drop down options.

  4. System verifies Merge Selection and if you are sure you want to merge the selected documents, click the "OK" Button.

  5. Documents that were merged will display in the Center Panel.

Splitting Pages

  1. Select/highlight the page where the document should split in the Center Panel.

  2. There are 2 ways to split a document:

    1. Hold down the Ctrl key and press “2”.

    2. Or, Click on "Split Image Icon" on the shortcut panel between the middle and right panels.

    3. System will ask for confirmation of the Split request. Choose the option for "Fields and Tables."

    4. If you agree with the Split changes, click "OK" otherwise click Cancel.

Inserting Pages

  1. To insert a page, follow the steps below.

    1. Perform a cursory review of the documents scanned.

    2. Locate the original document within the batch.

    3. Place the original document to be inserted in the scanner input tray.

    4. Select/highlight the page where the document should be inserted in the Center Panel. The insert page(s) will be inserted before the highlighted page.

    5. Select Scanning on the More Menu.

    6. Click on "Insert pages option" , the page will insert before the highlighted page within the batch.

    7. Verify that the page has been inserted.

    8. A system window will ask “Are you sure to insert the selected page(s).

    9. If you agree with the inserted pages - click "OK" otherwise click Cancel.

      Note:

      When replacing pages, the original imprinted number on the page will be overwritten and the page will be renumbered based on the new position in the batch. The original imprinted number must be removed before replacing pages back into the batch when a new number will be imprinted on the pages.

General Instructions for Validation in the Correspondence Imaging System (CIS)

  1. Validation is a process to verify and/or enter information for cases in order for the cases to be controlled on IDRS and placed in workflow for distribution to the CSRs. The ICT employees must also validate the batches scanned and created in the Files function. If documents/batches need to be rescanned in Files for any reason, ICT management should coordinate with Files management.

  2. Use the Tab Key to move through the index fields.

  3. Management may request IDRS research Command Codes (CC) TPIIP, INOLES, NAMEE and NAMES in the Validation module rather than sending it to Error Inventory. This will be dependent on the volume of cases going to Error Inventory.

    1. If the TIN cannot be determined through normal IDRS research or by viewing the images of the documents. In these instances, enter nine zeros (000000000) in the TIN field and click "Resolve." The zeros in the TIN will remove the case from the Validation Inventory and send the case to the workflow subsystem to be resolved by a CSR.

    2. If the Tax Period cannot be determined, enter the most recent tax year (for example, 201612 would be the appropriate tax year for the 2017 calendar year. If multiple tax periods are referenced in a document, use the earliest tax period (for example, if 1999 and 2000 are both present, use 199912).

    3. If the Name Control cannot be determined by viewing the images, research the TIN using Business/Individual name, address. In these instances, enter AAAA in the Name Control field and click "Resolve." This will remove the case from the Validation Inventory and send the case to the workflow subsystem to be resolved by a CSR.

    4. If a document has been scanned in error, refer to Appendices to determine correct codes.

      Note:

      IMF Exempt Organizations (EO) documents cannot be changed in validation send to QC.

    5. If the scanner operator used the incorrect document type, it can be corrected in Validation and provide instructions to change the document type.

      Note:

      Management may elect to temporarily suspend the IDRS research requirement during periods of high work volume.

  4. To verify Document Type, Category Code and Program use the Tables in the Appendix A, B, C, D, E, F, or G Document Types, Category Codes, Priority Codes.

  5. If a batch of documents was not sorted by MFT when scanned, example Correspondence 94X, the MFT must be selected for each document in the batch. View each document and select the appropriate MFT.

  6. View each document to determine the correct IRS Received Date, and enter it using MM/DD/YYYY format.

  7. If there is no ICT Received Date stamp use what is on the other documents. If it is a mixed ICT received date use what is the majority of the same dates in the batch. Don’t reject to QC for missing ICT Stamp.

    Note:

    If no IRS Received Date Refer to IRM 21.5.1.4.2.4 IRS Received Date Determination.

  8. If the current date is more than 60 days after the IRS received date entered, a popup window will display with the message IRS Received Date is older than 60 days.

  9. On Cycle transcripts (charge-out sheets), the Case Control Sequence Number will be captured by OCR. Verify that the sequence number was captured correctly. The numbers in the validation field must match the Case Control Sequence Number on the image.

  10. The Ephesoft Capture software has the ability to read the bar code and automatically populate the index fields during Validation. The clerk must view the image and input any missing data to prevent cases from erroneously being sent to Error Inventory. The first page of the case must have a complete, visible and undamaged barcode and must have been scanned using one of the document types designed to read the 2-D barcode.

  11. The chart below is a breakdown of the Work Types, Doc Types, Category Codes and Program Codes.

    Work Type Doc Type Category Code Program Code
    IMF Correspondence TPRQ 40000
    IMF Quick Closure TPRQ 40001
    IMF Internal Transcripts TPRQ 40000
    IMF Spanish SPAC 40007
    IMF INT’L (IIl) Correspondence ITRQ 33040
    IMF INT’L (II) Correspondence Spanish IOTH 33041
    IMF INT’L Quick Closure ITRQ 33043
    IMF Generic Correspondence TPRQ 40000
    II Generic Correspondence ITRQ 33040

Logging into CIS Imaging Subsystem Validation Module

  1. Log on to the workstation using your Network Login.

  2. Access the Ephesoft Smart Capture software by typing the following “URL” into your web browser: https://amsscanning.enterprise.irs.gov/dcma/

    1. Click View My Batches.

    2. Click the Validation button at the top of the page.

    3. The system is ready for the process of validating/manually entering index information to begin.

Validating Documents

  1. These procedures provide instructions for validating and/or manually entering data into index fields for each document scanned in order to establish a control on IDRS and CIS.

    Note:

    All documents that are posted in Review and Validation Queues must be reviewed regardless if they have "green or red highlight indicators." The green highlight indictors are not 100% accurate.

  2. Batches with the highest priority should be worked first. If no batches have a high priority, they should be worked by the oldest date first. Select a Batch and use one of the following methods:

    1. Double click on the "batch" or;

    2. Click on the "batch once to highlight it" , and then click the "Open" button at the top of the page.

    3. Three panels will be displayed.

    4. The Batch Contents panel will be on the left.

    5. The Index Fields will be in the center.

    6. The Image Viewer will be on the right.

  3. The following fields are index fields the clerk will see in the Validation Module:

  4. Begin the validation process for each of the index fields in the center panel.

  5. The Document Type, Category Code, Program Code, Function Code, IRS Received Date, and MFT index fields were populated with information entered at the scanner during batch creation, and must be verified during validation.

    1. To verify Document Type, Category Code and Program use the Tables in the Appendix A, B, C, D, E, F, or G, Document Types, Category Codes, and Priority Codes.

    2. The Form Type is not the Document Type, the Form Type is only for the workflow that is automatically assigned in scanning, if the Form Type is listed incorrectly it does not affect any reports, ICT is only concerned with the Document Type.

    3. To verify the IRS Received date, refer to IRM 21.5.1.4.2.4, Received Date - Determination.

    4. For assistance with Name Control issues refer to: http://core.publish.no.irs.gov/docs/pdf/d7071--2016-01-00.pdf.

  6. Verify the information in each field and make necessary changes by viewing the corresponding information from the document in the Image Viewer. IDRS research may be needed for further processing. Use the TAB key to move through the index fields in the Index Fields panel.

  7. Use the TAB key to move through the index fields in the Index Fields panel.

    Note:

    Management may request IDRS research Command Codes (CC) TPIIP, NAMES, NAMEE and INOLE, in Validation to avoid documents falling out to Error Inventory.

    .

    Note:

    You must use the TAB key to move through all the Index fields in order to initiate the validation for each field.

    1. Do not make an entry to the DLN field. If the OCR (Optical Character Recognition) software captured the DLN, you may delete it. If you choose to retain the DLN, verify it and make any necessary corrections. If the DLN field has been automatically populated as a result of a 2-D bar-coded notice, do not delete it.

    2. Enter the CSR number when necessary.

    3. On Affordable Care Act (ACA) Fee Claim Inventories (FCI), Branded Prescription Drugs (BPD) and Insurance Provider Fee (IPF) cases enter the claim amount when available. Refer to IRM 21.2.1.8.1, ACA Fee Claim Inventories (AFCI), for more details.

  8. If the index information needs to be enhanced to be legible, use the zoom icons to zoom in and out until the information can be read.

  9. If the scroll bars on the bottom or right side of the image viewer were used to locate the index information, it will be necessary to use the mouse to return to the correct index field in the center panel.

    1. After validating or entering data and tabbing through the last Index field, click the "Validate" button at the top of the center panel.

    2. After clicking the "Validate" button, a message dialog box will display when:

    3. The IRS Received Date entered is more than 60 days from the current date and the Tax Period is older than five years.

    4. If the information entered is correct, click "Validate" again.

    5. If the information is not correct, make the necessary corrections then click "Validate" again.

    6. If an index field such as the IRS Received Date, Tax Period, or ICT Received Date is entered in the wrong format, an error message will display after the "Validate" button is clicked.

  10. Repeat the above process for each document in the batch. If it becomes necessary to leave a batch before all the validation is complete, the batch can be marked as "In Work" by using the F7 key.

  11. To resume validating the batch, locate the batch marked "InWork" with your SEID in parenthesis in the Notes column.

  12. Double click on the batch or highlight the batch and click the "Open" button at the top of the page.

  13. The batch opens and validation can continue.

  14. Enter the information from the magnified zone into the index field and use the Tab key to move to the next field. Once the Tab key is used to move to the next index field, the image will revert to its original size.

  15. If the scroll bars on the bottom or right side of the image viewer were used to locate the index information, it will be necessary to use the mouse to return to the correct index field in the Index Field Panel.

  16. A message dialog box will display when:

    1. The IRS Received Date entered is more than 60 days from the current date.

    2. A Tax Period is older than five years.

  17. If the information entered is correct, click "Yes." If the information is not correct, click "No." Return to the incorrect field and make the necessary corrections.

  18. A validation error message will appear next to the field that is entered in an invalid format of the window when information is entered incorrectly in an index field such as:

    1. Alpha characters in an all numeric field.

    2. The field contains more or less than the required number of characters.

    3. A future IRS Received Date is entered at Batch Creation.

  19. If an index field such as the IRS Received Date, Tax Period, or ICT Date is entered in the wrong format, an error message will appear next to the field that is entered in an invalid format of the validation window.

  20. When a validation error message is received in the lower left corner of the window, the system prevents the user from tabbing out of the field until the information has been correctly entered.

    Field Description Required Entry Notes
    Document Type True None
    Program Code True None
    Category Code True None
    Function Code True None
    IRS Received Date True None
    TIN False This field will highlight to Force Review
    MFT True None
    Tax Period True None
    Name Control False Required for certain document types
    CSR Number False Required for certain document types
    Case Control Sequence Number False Required for certain document types
    DLN False None
    Issue Type False None
    ICT Received Date True None
    Statute Search Yes or No Required for certain document types
Procedure for Marking Batches in the Work
  1. It may become necessary to exit a batch while working on it.

  2. An indicator of "In Work" can be left in the notes section.

  3. Click on More, "Function Key > F7" and the batch will marked with the indicator

  4. The indicator will be removed when the batch proceeds to the next stage or by the user pressing the "Function Key > F2."

Merging Pages in Validation

  1. Highlight the first document that needs to be merged by clicking on the Document "Thumbnail" in the Left Panel.

  2. Click the "Merge Button" on the Middle Panel.

  3. Select the document to merge to.

  4. System verifies Merge Selection and if you are sure you want to merge the selected documents, click the "OK" Button.

  5. Documents that were merged will display in the Center Panel.

Rejecting Batches, Documents or Pages at Validation

  1. When it has been determined that images (documents or pages) need to be rescanned due to poor image quality and/or illegible text, the validation clerk will correct the illegible documents or pages prior to closing the batch. Document Types can be changed in Validation and does not need to be rejected (Workflow cannot be changed and would need to go to Quality). The ICT clerks cannot reject an entire batch; each document must be put into QC status one by one. The pages cannot be rejected only documents.

    Note:

    If there is an EO in an IMF gusset, this cannot be fixed in validation and must be sent to QC.

Rejection Procedures
  1. Press"F9" Function key on keyboard OR select More button > Function Key > F9 | Mark Batch/Document as needing QC Review.

  2. Type in the reason the document is being rejected into the QC Reason field on Middle Panel (above Workflow field).

  3. Press the "F9" Function Key again.

  4. The document is sent to QC.

  5. To reject the Document you have opened:

  6. Click on any document in Left Panel.

  7. Press "F9" Function key on keyboard OR select More button > Function Key > F9 | Mark Batch/Document as needing QC Review.

  8. Enter the reason the Batch is being rejected into the QC Reason field.

  9. Press "F9" function key again.

  10. Continue to validate until all cases are complete then press button ALT and E before returning to batch list

  11. The Batch is sent to QC.

  12. Reject Document/Batch Result

  13. The result of rejecting a document or batch will show up in the Validation queue.

  14. If a document was rejected a new Note will appear. QC will be visible in the notes column.

  15. If an entire batch was rejected then a new Note will appear. QC will show in the notes column.

  16. Reject – Cancellation Result

  17. After pressing "F9" function key to reject a document or a batch and the QC Reason field has appeared, the clerk may decide the rejection was in error.

  18. Press "F4" function key on keyboard to Cancel the Rejection. or, Select More button > Function Key> F4 | cancel request to Send by hiding QC Reason field.

  19. The QC Reason field will be hidden and the clerk may continue working the document as normal.

  20. To reject a whole batch you must place each Document in the batch into QC individually.

Logging into the Integrated Data Retrieval System (IDRS) and CIS Imaging Subsystem (CIS) or ACA Fee Claims Inventories (AFCI)

  1. In order to perform the Error Inventory and Reimage Requests tasks through CIS Workflow, clerks must be logged into IDRS. The following instructions provide the necessary steps to log into IDRS and CIS.

  2. To access CIS, it is necessary to log into IDRS first. Enter the required information on the IDRS SINON screen.

  3. Once the IDRS session has been established click on the AMS Desktop Icon. Read and acknowledge the Warning Banner. The first time you login to your workstation the a security warning will pop up. Click the check box to "Always trust content from this publisher" and click the “Run” button. If you answer "Always/Run" you should not receive the prompt again on that workstation.

  4. The AMS screen will appear. Click the "Inventory" link in the “Case Management” section of the AMS home page.

  5. Authorized CIS users will see a CIS tab on the Inventory Summary page. Click the "CIS tab" in the Inventory Summary section, then click the "Work CIS Inventory" link.

  6. The CIS Main page is displayed.

  7. It is especially important that users exit CIS by first clicking "Logoff" prior to closing the CIS window. Closing the CIS window without first properly logging off will cause a case to remain locked even though the user no longer has the case open. Clicking "Logoff" releases all of a user’s locked cases so other users can take appropriate action on the cases.

  8. To access the AFCI, follow the above steps and then click the "AFCI" tab in the inventory summary section. Then click "Work BPD Inventory."

    Note:

    IDRS will place a Security lock on a clerk's IDRS profile if they do not log into IDRS at least once every 2 weeks. CIS will delete inactive users in ICT after 40 days

    .

Error Inventory

  1. These procedures provide instructions for clerks to work cases that fall into Error Inventory after being released from the CIS Imaging Subsystem. The procedures include researching IDRS to correct and input missing case data; establishing IDRS controls on cases that could not establish a control base; and inputting a STAUP when one is required.

Error Inventory and Correcting Missing Data Fields

  1. In order to access Error Inventory, it is necessary to login to IDRS first, and then the CIS Workflow subsystem.

  2. Once an IDRS session is opened, click on the AMS Desktop Icon. Read and acknowledge the Warning Banner.

    1. The first time you login to your workstation a security warning will pop up. Click the check box to Always trust content from this publisher and click the "Run button" . If you answer "Always/Run" you should not receive the prompt again on that workstation.

    2. The AMS screen will appear, click the "Inventory" link in the "Case Management" section of the AMS home page.

    3. Authorized CIS users will see a CIS tab on the Inventory Summary page. Click the "CIS tab" in the Inventory Summary section, then click the "Work CIS Inventory" link.

    4. The CIS Main page will display.

  3. Click on "Error" . The Error Inventory page will be divided by the work types available at the campus. Links for each work type will be displayed at the top of the page to allow users to navigate between the different work types. Sites may also have links to work types that are not worked at their campus. Users need to click the work type to review the inventory and take the necessary steps to resolve the error. If a work type does not have any inventory an empty results list is displayed.

  4. Users may click on the "Data Page - 1 2" on the top or bottom of the page to change the columns displayed.

  5. The Error Inventory page will display the list of cases in error. The information is divided into nine columns: Case ID, Category, Age, Priority Code (PC), TIN, MFT, Tax Period (abbreviated as TXPD), Status (abbreviated as Stat), and a description of the error conditions. Clicking the links at the top of each column will change the way that the cases are sorted. The default for sorting cases is by Priority (PC). Cases with the highest priority will be displayed at the top of the list. It is important to work these cases first. If there are no cases with a priority, the cases will display with the oldest age at the top and should be worked by oldest age of case. At times, management may set priorities by Category Code or Description. In these instances, click the appropriate heading to sort these fields alphabetically.

  6. The following list identifies the different types of error conditions:

    1. BOD Not Found

    2. Case Control Error

    3. Control Base Not Found

    4. Distribution Error

    5. Error establishing Control Base

    6. Error issuing STAUP

    7. Error writing IDRS history

    8. Incorrect Case Data

    9. Incorrect Name Control

    10. Issue REQ77 Error

    11. Missing Data

    12. Reporting not updated

  7. There are two error conditions that do not require establishing a control base on IDRS. They are Missing Data and Issue REQ 77Error. All others require the clerk to establish a control base on IDRS if an open control base does not already exist that matches the CIS case. If there is not an open control base on IDRS that matches the CIS case, the Update case data tab will now allow ICT to systemically open a control on IDRS.

  8. If a case in the Error Inventory queue was assigned the incorrect work type, ICT can now change it and reassign the case to the appropriate campus. Refer to Appendices A-H for further instructions on reassigning cases in Error Inventory that are outside of campus work type.

  9. When the 2-D bar code notices fall to Error Inventory, and the TIN or EIN is not available on the notice, ICT will have to use command code (CC) TPIIP, NAMES (IMF) or NAMEE (BMF) to locate the TIN or EIN.

Missing Data

  1. If the case was missing data at validation and not entered by the validation clerk, the case will appear in the Error Inventory with "Missing Data" in the Description column. It can also be a case that is the result of a "Split Image Request." To obtain the missing data and control the case on IDRS, it is necessary to view the document images and perform IDRS research. Click on the first case under "Case ID" listed for "Missing Data" on the Error Inventory page.

  2. It is necessary to view the images of the document and research IDRS using normal research command codes to find the missing data. To open the image viewer, click on the image icon under the "Document Images."

  3. The Image Viewer opens and displays the first page of the document in the Viewer. If there are several images for the document, they will be displayed on the right hand side of the Image Viewer as thumbnail images. Scroll through the images and click on the thumbnail images, or using the paging icons at the bottom of the viewer.

  4. If the missing data cannot be located by viewing the images, initiate IDRS research (e.g., CC INOLE, CC NAMES, CC TPIIP). Once research is complete, enter the missing data found from either the IDRS research results and/or from the document images in the appropriate fields in the Update Case Data section.

  5. Click "Resolve" and the case moves out of the Error Inventory and CIS returns the user to the Error Inventory page.

  6. If the missing data is not entered or "Resolve" is pressed before entering the missing data, an error message will be displayed. Make the necessary correction(s) and click "Resolve" again to close and return to the Error Inventory page.

  7. If the TIN cannot be determined through normal IDRS research or by viewing the images of the documents. In these instances, enter nine zeros (000000000) in the TIN field and click "Resolve." The zeros in the TIN will remove the case from the Error Inventory and send the case to the workflow subsystem to be resolved by a CSR.

  8. If the Tax Period cannot be determined, enter the most recent tax year (for example, 201412 would be the appropriate tax year for the 2015 calendar year). If multiple tax periods are referenced in a document, use the earliest tax period (for example, if 1999 and 2000 are both present, use 199912).

  9. Once all corrections have been made, click "Resolve" and the case will move from the Error Inventory into workflow to be distributed.

Issue REQ77 Error

  1. When a taxpayer provides the wrong TIN/EIN, or a finger error was made during validation in either the TIN/EIN or Name Control Fields on Form 1040X, Form 8379 or Form 1120X, an Issue REQ 77 error message will display in the Error Inventory Description.

  2. Click on the "Case ID Number" on the Error Inventory page to access the case in error.

  3. Compare the data in the fields to the data on the image to determine what field(s) is in error. Click on the "Document Images icon" to view the image(s). It is necessary to perform all normal IDRS research to ensure the data is valid.

  4. If the TIN is entered incorrectly at validation. Correct the TIN and click "Resolve." CIS will systemically control the case on IDRS, issue the TC 971 to MasterFile and return the user to the Error Inventory to continue resolving errors.

  5. If the return has been scanned and processed to the correct account and all case data fields are correct when compared to the image, set up a dummy account and enter nine (000000000) in the "TIN" field and click "Resolve" if the following issues apply:

    1. The taxpayer is a first-time filer.

    2. The account has been closed due to the taxpayer being deceased.

    3. The account has never received a return.

    4. The year you are attempting to input is earlier, than the tax year the account became established.

Updating Case Data

  1. Data displayed in the Case Data section can be updated by clicking the "Update Data" button, if through research, it is discovered that the data was captured incorrectly. The only exception is the Case Control Sequence Number which will display what was captured during the Validation process and cannot be updated.

    Note:

    It is important to review all the data carefully in the “Case Data” Section for accuracy in order to establish accurate IDRS Control Bases. To ensure correct data was captured it is necessary to view the images of the case and conduct IDRS research.

  2. If the CIS case is controlled under the incorrect TIN, close the control base in IDRS using the following:

    • ACTON C##,ERRORCASE,C,MISC.

  3. Click "Update Case" and make necessary corrections to the TIN, MFT, tax period, and name control. The system will automatically bring up the correct account in IDRS. Establish a control in IDRS under the correct account.

  4. Data is entered in the following ways: In the edit boxes for:

    1. TIN

    2. TXPD

    3. NC

    4. IRS Received Date

    5. DLN

    6. ICT Received Date

    7. IDRS C#

  5. In drop down menus for:

    1. Work Type

    2. MFT

    3. Doc Type

    4. Category

    5. Function

    6. Program

    7. BOD ID

    8. Issue Type

    9. Priority

    10. Radio buttons for Statute Searched (Yes or No)

  6. When the Update Data button is depressed the fields will be displayed in the edit boxes. The fields marked with a red “*” (asterisk) must be populated with data to continue.

  7. If the case is correctly controlled under a different account and only CIS case data needs to be corrected, update all required fields including the "IDRS C#" and click "Update Data Only" , the Error Case page appears. Scroll down to "Error in Case Control Checklist" and enter required fields. Make sure the TIN, MFT, tax period, name control and IDRS control number shown in CIS matches with what is on IDRS. Click "Resolve." The case moves out of Error Inventory and CIS returns the user to Error Inventory.

Error Establishing Control Base

  1. If CIS did not establish a control on IDRS when exiting the Imaging Subsystem, the case will fall into the Error Inventory queue. These procedures provide instructions for establishing an IDRS Control Base when CIS did not have correct or sufficient information to systemically establish the control base. Clerks will perform research to find the incorrect/missing information and establish an IDRS Control Base. Click on the first Case ID listed for “Error establishing Control Base” on the Error Inventory page and the Case Data will display.

  2. It is important to review the data carefully in the Case Data Section for accuracy in order to establish accurate IDRS Control Bases. Click on the Document Images icon to view the images and compare the data entered in the Case Data Section with what is on the images. If there are discrepancies, click the “Update Data” button and correct the data.

  3. Activate IDRS and click on the "TXMOD IDRS Quick Clicks button" on the CIS Case Data Page. Search IDRS using the TIN, MFT and Tax Period shown in the Case Data section of the Error Page to obtain the required data in order to correct the error condition(s).

  4. It is important to compare the data fields in the CIS Case Data Section with the appropriate IDRS data fields to ensure all information is the same and accurate. If the data is not the same, research for the appropriate information and make corrections to the CIS Case Data so it matches the data in IDRS.

  5. Click "Update CIS Data & Open New IDRS Control." CIS will systemically control the case on IDRS.

  6. After establishing the IDRS Control Base, go back into the CIS session, scroll down to the "Error in Case Control Checklist" section to view the error conditions that need to be corrected. Required entries are indicated with a red "*" (asterisk). Enter the information in the appropriate box on the “Error in Case Control Checklist” portion of CIS.

  7. For BOD/ULC and C# fields, enter the missing data from IDRS into the appropriate fields in CIS.

    1. The BOD is located in the BOD-CD> field on IDRS. On the CIS screen, select the appropriate BOD from the drop-down menu.

    2. The CLC is located in the COLLECT-LOC> field on IDRS.

    3. The PLC is located in the PRIMARY-LOC> field on IDRS.

    4. Control Base Number is located on the left hand side of the IDRS screen.

    5. Once all missing data has been entered, check the boxes next to each error condition.

  8. If the CIS case is for a future tax period (estimated tax payments being made), the account may not be established on MasterFile. In this instance, a Dummy Module will be established by CIS. In order to resolve the Error Case, the BOD, CLC or PLC, and IDRS Control Number (C#) must be entered in the “Error in Case Control Checklist” section. Use the following instructions to resolve the error conditions:

    1. To find the BOD and CLC or PLC for a future tax period, research IDRS using CC INOLES, enter the information on the CIS screen, and click the box marked "BOD/LOCATION CODE."

    2. If a BOD cannot be found, use the table below to select a generic BOD and PLC valid for the site, and click the box labeled "BOD/LOCATION CODE."

    3. Use the IDRS C# that was established for the CIS case from the Dummy Module and click the box labeled "C#."

    Campus Work Type BOD PLC
    ANSC All WI 0411
    ATSC All WI 5913
    AUSC All WI 7412
    CSC All SB 2222
    FSC All WI 9916
    KCSC All WI 3914
    MSC All WI 5623
    OSC BMF SB 3327
    OSC EO TE 1141
    OSC EP TE 2241
    PSC BMF Int’l SB 9835
    PSC IMF WI 2322
    PSC IMF Int’l WI 2322
  9. If CIS has established a control base on a Dummy Module or wrong account, but the ICT clerk has located the correct account, then close the incorrect action control using "CC ACTON" and changing the Category Code to "MISC."

  10. Next check the IDRS History section on IDRS to see if a STAUP (if required) was issued. Refer to IRM 3.13.6.14.6, Inputting Missing STAUP, for inputting missing STAUP if needed.

  11. If a STAUP was required and issued, enter the date the STAUP was issued in the dialog box and click "Resolve."

  12. Once all error conditions have been resolved, click "Resolve." The case moves out of the Error Inventory into workflow and the user is returned to the Error Inventory page.

  13. If the "Resolve" button is pressed before all errors are corrected and the boxes are checked, the user will receive an error message(s) at the top of the Error Case page listing corrective actions that must be taken to resolve the error(s).

Inputting Missing STAUP

  1. When performing IDRS research, if a case is in a status that requires a "CC STAUP" and the "STAUP" was not systemically input by CIS, it will be necessary for the clerks to input the "CC STAUP." Check the SC-STS> field to determine if it is necessary to input a STAUP. If there is a balance due on the account, and the next Collection status for IMF is 20, 56, 58, or 22, or the next collection status for BMF is 21, 58, or 22, a STAUP is necessary to prevent further notices. If a STAUP is required, enter CC DOALLF and “Page Up” to get the necessary screen to input the STAUP.

  2. After entering "CC DOALLF" and “Page Up,” the DOALL screen displays.

    1. Tab down to the eighth line or through the fields until you come to STAUP.

    2. Tab over to STS-REQ-CD> enter an "*" (asterisk).

    3. Tab to the next field NUM-CYC-DLAY enter another "*" (asterisk).

    4. Press Page Up key to transmit action to IDRS.

  3. Once the command code has been submitted, the “Completed: STAUP+” screen with the number of cycles shown after NUM-CYC-DLAY will display.

  4. If an error message is received when inputting the STAUP, follow established procedures for resolving the error condition(s).

  5. Return to CIS, enter the date the STAUP was input in the “Error in Case Control Checklist” section and click "Resolve" .

Distribution Errors

  1. Many “Distribution Errors” are valid and can be easily resolved. Occasionally, distribution errors are caused by systemic/workflow issues. Such errors may be more complex and will require a system administrator to identify the problem. The system administrator may be able to initiate a systemic fix to move the cases from Error Inventory to the Unassigned Inventory. Systemic errors usually consist of a large number of cases going to Error Inventory, and will usually affect more than one campus.

  2. The most common "distribution error" is when the IDRS control base of a CIS case is closed. The description found on Case Notes and Message reads: "Distribution Error: Error trying to run ACTON: Matching sequence number not found." If this message is not displayed, a similar message will be shown. This error is caused when Distribution failed due to someone closing the IDRS control base of the CIS case.

  3. Click "Update data" change the IDRS C# to reflect the case control # now found on IDRS. Then click "Save and Return."

  4. Other distribution errors will display: Distribution Error: Error trying to run ACTON: Account or module not on TIF. If CIS data reflects correct TIN/SSN and MFT and not controlled in IDRS, Click “Update data”. Scroll down and click Update CIS Data & Open New IDRS Control. CIS will systemically control the case on IDRS. However, if SSN/TIN/MFT/tax period on the CIS Data Section is incorrect, research to see if case has been controlled on IDRS under the correct tax module, if control base is found, update the CIS Data section to match account information on IDRS and click Resolve

  5. Most of the other distribution errors are not as common. If the message displayed in the Case Notes states "Distribution Error: No work item returned by MQWorkflow" , this is a CIS workflow problem. The ICT manager/lead may need to submit a ticket in order to resolve the issue and send the case to the Unassigned Inventory.

Error Inventory - Outside The Scope of Campus Work Type

  1. When a document is scanned incorrectly and it’s identified in Error Inventory, the ICT operator can correct the work type and reassign the case to the appropriate campus.

  2. After viewing the document image, the ICT operator will click "TXMOD" under Quick Clicks.

  3. If the case is controlled on IDRS, close the control using CC ACTON and change the category to "MISC" , it’s important to review the IDRS control base to ensure you are closing the correct control base.

  4. Return to the CIS case, click "Update Data."

  5. Click the drop down arrow by "Work Type" and select the correct work type. Click the drop down arrow by "Campus" and select the appropriate campus, click "Reassign." The selection of the new work type will repopulate all of the drop downs including the MFT, Tax Period, Document Type, Category Code, Function and Program Code. The drop downs are set to predefined values that correspond to the work type. (You can change any of these fields if you know the correct entry).

    Note:

    CIS has been rolled out to all sites; you may start using the update data to change the work type to any of the applicable (IMF, IMF International, BMF, BMF International, EO and EP) work types.

  6. The case will now be directed to the Error Inventory queue of the selected campus.

Resolving Errors from the Affordable Care Act (ACA) Branded Prescription Drug (BPD) Inventory Error Queue

  1. The Error Image list displays a list of BPD images which require the correction/updating of image information data fields(s).

  2. The next section explains the Error Case listing which displays BPD cases which have IDRS case controls/data issues.

    Fields that need to be corrected/updated
    a) EIN
    b) MFT
    c) Tax Period
    d) Name Control
    e) Document Type
    f) IRS Received Date
    g) Category Code
    h) Program Code
    j) ICT Received Date
    The instructions below are how to resolve Error Case Listings:
    a) Click the View Image button to view the scanned image.
    b) Check any error message associated with the image. The message appears between the title bar and image information section.
    c) If an IDRS control is not established, the case will go to the Case Error listing for resolution.
    d) Click the Resolve button to correct the error.
    e) View the Case Details page and IDRS for any missing/incorrect information.
    f) All cases must have an IDRS control associated with it.
    g) The following fields must be checked on the BPD Inventory Case Details page:
    h) EIN
    i) MFT
    j) Tax Period
    k) Name Control
    l) IDRS Number
    m) Claim Amount
    n) IDRS Receive Date
    o) Control Base
  3. Once the information is updated/corrected on the Case Details page and/or IDRS, click the Manual Transmission button.

  4. Case flows to the LB&I Unassigned Inventory.

Business Operating Division (BOD) Errors not Resolved in Validation

  1. These cases are usually due to a nonexistent TIN being input in Validation. Research IDRS to determine the correct TIN and BOD. Follow the steps below using the information from IDRS.

    1. Open Error case and click on Update Data.

    2. Update BOD- ID field and click on Save and Return.

    3. Copy Case ID (You will need it to search for the case).

    4. Check the boxes in the Error in Case Control Checklist and Click Resolve.

    5. The case from error and goes to distribution (The case and its IDRS control are now synced).

    6. Search CIS for the case.

    7. Access case and click on Update Data.

    8. Update the TIN to the correct one and click on Save and Return.

    9. Erroneous control base closed and a control is open on the correct TIN in IDRS and CIS.

Temporary Storage and Disposition of scanned documents

  1. After all documents have completed scanning and quality control, documents need to be maintained in temporary storage. The cases need to be maintained in date and time order. Each file folder will include a Batch Cover Sheet that will provide information indicating on which scanner the documents were scanned, the Batch Name, and if the documents were numbered or unnumbered.

Retention of Documents

  1. Each site will have 1 – 3 production scanners. The scanners will be identified as scanner "A" , scanner "B" and scanner "C." The Batch Name on the Batch Cover Sheet is the date and time the documents were scanned. Within the batch, each case will have a unique string of numbers imprinted on the surface of the documents to identify the document.

  2. Scanned documents will be stored separately by scanner name (A, B or C), and DLN numbered documents will be stored separately from unnumbered documents. This will facilitate efficient retrieval of documents that need to be reimaged, and will also ensure that DLN numbered documents are returned to the Files function.

Disposal of Documents

  1. Unnumbered documents will be retained in the temporary storage area for a minimum of 7 business days after scanning in case any retrieval of documents for reimaging is warranted. Numbered documents may be reassembled and returned to Files as soon as scanning, validation, Quality Control has been completed. Documents are retained in temporary storage for a maximum of 14 business days during non-peak.

  2. Reassemble and return IRS DLN numbered documents to Files. Any document that has an IRS DLN imprinted on the surface will be sent back to the Files function. Prior to sending these documents to the Files function, it will be necessary to reassemble the documents. Ensure that all Form W-2, returns, envelopes, etc. are associated. Discard the ADS charge out document when you are reassembling the case. Do Not Destroy Any DLN Numbered Documents.

  3. If there is no DLN located on the document, the document will be destroyed by placing the paper in the appropriate receptacle identified for classified waste. Do Not Destroy Any DLN Numbered Documents.

Case Prints for Form 4251 Document Requests

  1. Filling of document requests (Form 4251) initiated from other areas outside of Adjustment Function will usually be conducted in the Files function. However, if Files needs assistance, ICT personnel may be required to fill these requests. This process requires ICT personnel to access CIS and do a search for the CIS Case ID. After locating the case on CIS, ICT personnel will print the case to route to the requestor.

Providing Prints of Images for Form 4251

  1. Access AMS/CIS and navigate to the Search Page.

  2. Select Case ID from the drop-dead menu for Search Type, and enter the Case ID from the Form 4251, Return Charge-Out, into the Search Value box. (The Case ID will either be typed or handwritten in the "#7 Requester and Remarks" portion of Form 4251).

  3. Select the appropriate work type, if unknown click on "Select."

  4. Once the information is entered in the appropriate boxes, press the "Enter" key or scroll down the page and click "Search."

  5. The Search Results List page will display.

    Note:

    Verify Search Type/Search Value fields if no Search Results Lists are displayed. Also, change the work type field to "Select" , if a specific work type was originally selected.

  6. Click on the underlined "Case ID number" in the Search Results List under the Case ID heading and the Case page for the case will display. Click on the "print icon" to print a copy of the CIS case.

  7. Once the case is printed, scroll down to the Case Notes section and, if present, click on "Request Completed Screen."

  8. Right click on the Request Completed screen and select "Print" , when the printing is finished, close the Request completed screen and return to the case page.

  9. Click on the "icon below the Document Images" to access the images for the document.

  10. The Image viewer will open and the first page of the document will be displayed.

  11. Verify that the document in the Image Viewer is the document being requested by comparing the information on the Form 4251 to the image of the document.

  12. Click the "Print Document icon" and then Print from the drop down list.

  13. Once "Print" is selected, the Print window is activated. Make sure you check the printer name to ensure the correct printer is selected, the Print Range is set to All Pages and the Optimize for PDF/Postscript Printing box is checked. If changes are made to any of these areas ensure you click the "Defaults" button to save your changes for subsequent print requests.

  14. Click "Print" on the Print Document box to start printing.

  15. On the Active Case page, scroll to the Attached Files and, if any are present click on the link(s).

  16. Once the attachment is open, click the "Print" icon to print all pages of the “pdf” file. If there are multiple Attached Files, open and print each one.

  17. If there are numerous Case Notes, click on the "Printable View link" to print out the Case Notes on a separate sheet.

  18. Click on "File" and select Print or click on the "Print" icon to print out the Case Notes.

  19. If the case has been linked to another case, it will be necessary to print the linked case. Click on the "Case ID" under the "Linked Cases" section and print the associated case page, document images, case notes, attached files and any request completed screens as shown above.

  20. Associate all the printed documents with the Case information print sheet on top, stamp the image with Copy Do Not Return to Files and route according to local procedures.

Distribution of Reroutes

  1. During the course of closing cases, CSRs will discover cases that need to be printed and rerouted to non-CIS users. These cases will print out on a minimum of two network printers located in the ICT area. Clerks in ICT will assemble the cases and route them to the designated functions/areas.

  2. The first page of each case will print with either Form 1725, Routing Slip, or Form 12960, Case Referral. At the top of every page of each case, CIS will print "CIS Image" in the left corner, the CIS case ID in the middle, and the Employee Number (of the CSR who routed the case) in the right corner. Example:

    CIS Image Case ID: CISWADGK7H Emp# 06351259168

    The CSR needs to fully complete the forms with the proper routing information, which includes stop number and team number. Cases will be returned to the Accounts Management if the necessary information is not completed properly.

  3. Clerks will pull the documents from the printer, associate (staple) all related pages of the case by Case #, and route to the function/area designated in the "To:" section of Form 1725 or Form 12960.

    1. For cases over 25 pages, a cover sheet will print every 25 pages indicating how many packets are within the case.

    2. Ensure that all pages belonging to the case are together and that they are in the proper order.

      Example:

      A ninety page document will have four cover sheets, in front of pages 1, 25, 50, and 75

    3. Using the Mail Stop List, sort each case according to the mail stop printed on the front of the coversheet.

    4. The packages will consist of 25 pages with the exception of the last one, which will contain the remainder of the pages

    5. The cover page will identify the CIS case ID and the total document page count

    6. The document page count does not include the cover pages

    7. Verify the CIS number, combine all pages ensuring all pages belong to the case and are in the correct order, and staple all pages together, at the top right hand corner of each coversheet, then stamp the document using the ICT Stamp.

  4. During the peak season, the printers will be generating numerous reroutes. It is very important to monitor the printers during the day to ensure:

    1. The paper trays are stocked, especially on the night shift,

    2. The print cartridges have not run out of ink,

    3. The printers are not turned off.

ICT Review Inventory

  1. ICT Review Inventory, has been added to CIS. It provides supervisors the ability to review the accuracy of the document validation performed by the ICT operators.

  2. ICT Review Inventory will be available to ICT Managers and ICT Work leaders. The inventory can be accessed from the main page in CIS.

  3. If a campus works more than one work type, the ICT Review Inventory page will be divided by work types and employees will need to be profiled under each work type. The page will provide users links as a means to navigate between the cases of the different work types in the inventory.

  4. The ICT supervisor will determine the percentage of images selected for review for each work type. The ”% Images for ICT Review” is work type specific. If your site works more than one work type, you will need to modify this field for each work type at your campus. To change the work type, click the drop down arrow next to "Primary Work Type" , select the work type and enter the percentage for review. Scroll down to the bottom of the page and click "Save" or "Save and Return." You need to save the changes each time you modify the review percentage.

  5. The percent value is entered on the User Profile Page or Team Maintenance page under % Images for ICT Review. The Assignment Attributes does not apply to ICT. The ICT Supervisors should not make any changes to this section.

  6. The images will be randomly selected when the quality review process runs each evening.

  7. The inventory contains a snapshot of the image and case information when it is released from ICT. The Images are kept in the ICT Review inventory for a maximum of three business days but can be removed earlier if reviews are performed on documents by ICT Manager/Work leader or Quality Review Team.

  8. Case data cannot be modified from the ICT Review page. Any correction to a case must be made outside of the ICT Review pages.

  9. The ICT Review page provides the supervisors the ability to compare an image to its validated data. The information available on the ICT Review page is as follows:

    Fields  
    Image ID Document Creation Timestamp
    Scanner IDRS Employee ID Plan Number
    Validator IDRS Employee ID Locator ID
    Category Code Scan Location ID
    Program Code Issue Type Code
    IRS Received Date Function Code
    Scan Date Work Type Code
    TIN Case Control Sequence Number
    MFT Code CSR Number
    Tax Period DLN
    Name Control  
    DSC Code  
    Document Type Code  

APPENDIX A - DOCUMENT TYPES, CATEGORY CODES, IMF

  1. The Document Types, sorting requirements, Category Codes, and Priority Codes (if any) for IMF documents are provided in the tables below.

  2. For Domestic IMF, Austin works their own Spanish cases, and all other sites should scan Spanish work to Fresno UA. To meet the Spanish criteria, the forms or correspondence must be written in Spanish. This process will apply across all categories, except Carrybacks and Injured Spouse.

  3. If hurricane Harvey, Irma or Maria is claimed on any document type use category code KATX and Function-Program Code 710-82365. For any other disaster claim, use category code DSTR and function-program code 710-82360. Both category codes are Priority Code 1 and are valid for all document types except: Faxes, ITIN and Special Processing. These Category Codes are not valid with any of the ID Theft doc types. Scan these documents to: Domestic English - 0630103922 or Domestic Spanish - 0630176475. Select AUSC as the DSC.

    Category Codes Exception
    SPC1 - SPC4 Faxes, ITIN, Special Processing, Identity (ID) Theft doc types, CP36D DMFE
    SSA2/SCRM (710-40052) ITIN, Special Processing, Quick Closures, ID Theft doc types
  4. NYCX category code are valid in both the Imaging Subsystem and CIS. The last page of this Appendix provides the valid program/category code combinations. Category code ERRF has been added as a valid option for most of the document types with the exception of the ID Theft and ID Theft Spanish document types. Sites will provide guidance about when to use these codes.

  5. If any type of work is specialized to a site and/or team, sort this work by Doc Type/category code/ program code, write the appropriate CSR number on the Batch Cover Sheet, and enter it at batch creation.

  6. In general, ICT does not need to enter the CSR number when scanning CSR initiated letter replies. If a document needs to be assigned to a specific CSR, write the CSR number on the first page of the document and enter it at batch creation or validation

  7. The valid MFT’s for all IMF doc types except ID Theft document types are: 00, 29, 30, 31, 55, and 65. Identity Theft Victim Assistance document types are also valid with all these MFTs.

  8. The valid MFT’s for ID theft and ID Theft Spanish document types: 00, 29, 30, and 31.

  9. There are a couple of MFT’s related to Affordable Care Act (ACA) and are valid with specific document types. The MFTs are listed with the appropriate ACA document types.

DOC TYPE: Correspondence
PROGRAM CODE: 710-40000

Sorting Requirements/Case Priority Category Code Description
Correspondence TPRQ All cases identified by the CSR screeners. Includes:
  • Written communications from a taxpayer or representative

  • Written communications in response to IRS requests for information or responses to letters initiated by CSRs

  • Form 843 -(with no request for interest abatement) identified by the CSR screening process

  • When the same taxpayer submits Form 843 for separate tax years, separate the years to create a new case.


Do not include:
  • Unnumbered Form 1040X. Batch Form 1040X under Doc Type “Forms 1040X”. (The only exceptions are Form 8379 attached to Form 1040X and Carrybacks-RINT.)

  • Form 8379. Batch Form 8379 under Doc Type "Injured Spouse Claims" .

  • Taxpayer responses to letters initiated by CSR’s and attached Form 1040X, Form 1045 or Form 8379.

  • Internal (IRS) Adjustments Requests (e.g., Form 3465) that are not CSR Specific. These documents should be batched as Internal Transcripts (and Certain CP Notices).

  • Original Tax returns

  • Does not include responses to letters for additional information if the Doc Type is 1040X, Carrybacks, or Injured Spouse Claims.

  • Fraudulent Returns

Note:

If the taxpayer includes one of the following letters: 216C, 449C, 662C, 2364C, or 4734C, with a Carryback form or loose, process as a carryback. Write the CSR number from the letter on the top of each carryback form and place the letter in the back of the case. Enter the CSR number when validating.

Correspondence F843 Form 843 requesting abatement of interest - identified by the CSR screening process
Correspondence SPC8 All Form 1040X claims with Letters 6060-A or
6060-D attached or claims notated with the following:
  1. Combat-Injured Veterans Tax Fairness Act of 2016

  2. Veteran Disability Severance

  3. St. Clair Claim

  4. Combat Injured Veteran

Scan to IDRS# 0930521136
 

DOC TYPE: Correspondence
PROGRAM CODE: 710-40005

Sorting Requirements/Case Priority Category Code Description
Correspondence related to First Time Homebuyer Credit
Case Priority 2
FTHC Correspondence with Form 5405 attached or correspondence that mentions the First Time Homebuyer Credit.
 

DOC TYPE: Correspondence
PROGRAM CODE: 710-40070

Sorting Requirements/Case Priority Category Code Description
Correspondence related to HCTC HCTC 1) The 2014 Form 1040X with "HCTC" written across the top margin will always be scanned as HCTC.
2) If you find a 2014 Form 1040X with a the Form 8885 attached, scan as HCTC.
3) The notation HCTC does not have to be written if the form is found.
4) The Form 8885 may be a 2013 with the 13 crossed-out and a ‘14’ written in its place. Scan to Andover Unassigned (UA) 0830141335.
 

DOC TYPE: Correspondence
PROGRAM CODE: 710-82385

Sorting Requirements/Case Priority Category Code Description
Correspondence related to KITA KITA All cases identified as KITA Scan to IDRS# 0933878755
 

DOC TYPE: Return Preparer Misconduct
PROGRAM CODE: 710-85440

Sorting Requirements/Case Priority Category Code Description
  RPMC Form 14157-A with correspondence along with other forms (for example, Form 14157, Form 1040 series, or Form 1040X is received in ICT)

Caution:

Do not detach Form 14157-A from any forms or correspondence included.

  1. Scan the entire package to DSC: Andover (ANSC) Unassigned (UA)

  2. Loose Form 14157 alone, follow existing procedures.

    Responses to Letters 5955C and 5956C – IDRS group numbers beginning with 11817.

Note:

If the IDRS number begins anything other than 11817, refer to Exhibit 3.13.6-13, for information regarding DOC TYPE:COMP RPM-IDII

 

DOC TYPE: Loose Forms
PROGRAM CODE: 710-40057

Sorting Requirements/Case Priority Category Code Description
(KCSP-ICT only)
Undeliverable Letter 6060A and 6060B with no Forwarding address
SPC8 Letter 6060A and 6060D sent by Department of Defense – Combat Injured Veteran Fairness Act of 2016.
No good address available to resend, scanning incase veterans call and need letter.
Letter is not IDRS generated so we can’t issue a new one.
Scan to IDRS# 1185002483
 

DOC TYPE: Corr-Loose Forms
PROGRAM CODE: 710-40008

Sorting Requirements/Case Priority Category Code Description
Loose Forms LSFM
  • Section 83b Elections

  • Form 8606, Nondeductible IRAs

  • Forward other loose forms to the CSR screening process for sorting

  • If correspondence is included with a form, forward to CSR screening process, unless you can classify the document elsewhere

  • Form 8839, Qualified Adoption Expense

CSR screening process may identify other documents as Corr-Loose Forms. Examples include: Loose Certificates (for example: death certificates, birth certificates) Letter 12C replies, Forms 8606, Form 8812 and Form 5329.
 

Note:

Scan Form 5329 to MFT 30 and the tax period stated on Form.

DOC TYPE: Corr-Math Error
PROGRAM CODE: 710-40003

Sorting Requirements/Case Priority Category Code Description
  MATH Includes:
  • Form 8862, Information to Claim Earned Income Credit after Disallowance.

  • Correspondence with a math error CP notice attached. Math error CP notices include:

    • CP 10 or 10A

    • CP 11, 11A, or 11M

    • CP 13, 13A, or 13M

    • CP 16

 

DOC TYPE: Corr-Payment Inquiry
PROGRAM CODE: 710-40004

Sorting Requirements/Case Priority Category Code Description
  PYMT Includes:
  • Any correspondence which includes a copy of a cancelled check.

  • Payment/balance due stubs which include statement indicating previously paid or something similar.

Note:

Forward to the CSR screener if the taxpayer correspondence or other information is included.

 

DOC TYPE: Corr-Penalty
PROGRAM CODE: 710-40009

Sorting Requirements/Case Priority Category Code Description
  PLTY
  • Form 2210 Underpayment of Estimated Tax by Individual Estates.

  • As identified by the CSR screening process.

 

DOC TYPE: 1040X-CAT-A
Program Code: Various

Sorting Requirements/Case Priority Category Code Description
  CAT-A ProgramCode: 710- 40059
Form 1040X with CAT-A criteria. Generally, identified by Submission Processing (SP).
These forms will include 1040X/CAT-A Claim Referral Reason/Cover Sheet” identifying the specific CAT-A criteria identified.
Scan the cover sheet as the second page of each case and use the appropriate cat code and program code.
Case Priority 2 FTHB ProgramCode: 710- 40051
Form 1040X - CAT-A criteria, related to First Time Homebuyer credit.
Generally Identified by SP, “CAT-A Criteria for Form 5405 Tax Credit $1,500 Tax Credit 1,500 or Greater” sheet attached.
  HCTX
  • Program Code: 710 -40071

  • Related to HCTC CAT-A issues. Scan to Andover UA 0848900000.

  SPJT
  • Program Code: 710 -40056

  • Amended returns related to Separate to Joint issues

 

DOC TYPE: 4442
PROGRAM CODE: Various

Sorting Requirements/Case Priority Category Code Description
Form 4442
Case Priority 1
TWRO
Program Code: 700-60200
Form 4442, Inquiry Referral requires a separate sort due to the case priority. Write the CSR number on top of the form if present in Box 27 of Form 4442.
Case Priority 2 HCTC
  • Program Code: 710 - 40070

  • Related to HCTC - 1040X issues.

  • Scan to Andover UA 0848900000.

 

DOC TYPE: Quick Closure
PROGRAM CODE: 710-40001

Sorting Requirements/Case Priority Category Code Description
Quick Closures
Case Priority 2
PHZ1 Includes:
  • Address changes with no other issues

  • Forms or transcripts requests

  • Payment or notice stubs with phone numbers only

  • CP 12 series of math error notices

  • CSR screening process may identify other types of documents.

 

DOC TYPE: Operations Assistance Request (OAR)
PROGRAM CODE: 710-40000

Sorting Requirements/Case Priority Category Code Description
Operations Assistance Request
If marked "expedite" (indication will be near box 4 of the form)
Case Priority 1
ATAO Form 12412Operational Assistance Request (OAR). Most OARs will be faxed to ICT; a few original hard copies will be routed.
  • All must be given top priority. The Criteria Code is Box #4 located in the upper right corner of Form 12412.

  • After scanning, all original hard copy not faxed OARs must be given to the workleader who, after one week, will return the OAR with Form 3210 to the TAS Liaison Originator.

Operations Assistance Request
If not marked "expedite" Case Priority 2
ATAO Same as above
 

DOC TYPE: 1040X
PROGRAM CODE: 710-40051

Sorting Requirements/Case Priority Category Code Description
Form 1040XCase Priority 1 SPC4 All cases identified as
“ICT- IVO”
Scan to IDRS# 0631001101
 

DOC TYPE: 1040X
PROGRAM CODE: 710-40051

Sorting Requirements/Case Priority Category Code Description
Form 1040X
Case Priority 2
SPC1
Adoption Claims filed on Form 1040X Pre-identified by Submission Processing or by ICT.
  1. Adoption Claims -

    • Scan to IDRS# 0830141335

    • DSC: Andover

 

DOC TYPE: 1040X Spanish
PROGRAM CODE: Various

Sorting Requirements/Case Priority Category Code Description
Form 1040X (One sort) XRET Program Code: 710-40051
Unnumbered Form 1040X are batched into this Doc Type even if the form comes in with correspondence, a Taxpayer response to a CSR initiated letter or any Notice (e.g., Balance Due Notice).
  • The only exceptions are Form 8379 (Injured Spouse) attached to Form 1040X and Carrybacks-RINT.

  • Form 1040X with Form 14039 attached.

  • If same taxpayer submits multiple Forms 1040X’s at the same time for the same taxpayer, separate each one to create a new case.

  • It’s important to leave all supporting information with each case. For example, copies of Form 1040 attached to a Form 1040X; do not separate the form from the Form 1040X.

  • If correspondence is received with multiple cases attached (e.g., letter from the customer with three Form 1040X for multiple years), If correspondence is received with multiple cases attached (e.g., letter from the customer with three Form 1040X for multiple years), put Form 1040X on top and:

    1. Leave the correspondence and envelope with the case with the oldest date (e.g., 199912-200312, leave correspondence and envelope with the 199912 case).

    2. Separate the other cases (multiple years) to create new cases.

    3. Insert a Separator Sheet between each new case.

  XRET Program Code: 710-40051
  • Exonerated Prisoner Claims notated as “EXPR”

  • All cases identified as Exonerated Prisoner Scan to IDRS# 0931627391

  XRET Program Code: 710-40051
All cases identified as Veteran Disability Claims
Scan to IDRS# 0939265082
  KITA Program Code: 710 - 82385

Scan to IDRS# 0933878755
First Time Homebuyer Credit Claims on Form 1040X - Case Priority 2 FTHB Program Code: 710-40051
  • Any Form 1040X with Form 5405, First-Time Homebuyer Credit, attached or Form 1040X with HUD-1 Form, Settlement Statement.

  F843 Program Code: 710-40007
  • Form 843 requesting abatement of interest - identified by the CSR screening process

  HCTX Program Code: 710- 40071
  SPJT
  • Program Code:- 710-40056

  • Amended returns related to Separate to Joint issues

 

DOC TYPE: 1040X
PROGRAM CODE: 710-40051

Sorting Requirements/Case Priority Category Code Description
Form 1040X (One Sort) XRET
  • Unnumbered Form 1040X (including Spanish) are batched into this Doc Type even if the form comes in with correspondence, a taxpayer response to a CSR initiated letter or any Notice (for example: Bal Due Notice).

    Exception:

    Form 8379 (Injured Spouse) attached to Form 1040X and Carrybacks-RINT. Form 1040X with Form 14039 attached.

  • If same taxpayer submits multiple 1040X Forms at the same time for the same taxpayer, separate each one to create a new case. It’s important to leave all supporting information with each case. For example, copies of Form 1040 attached to a Form 1040X; do not separate the form from the Form 1040X.

  • If correspondence is received with multiple cases attached (e.g., letter from the customer with three Form 1040X for multiple years), put Form 1040X on top and:

    1. Leave the correspondence and envelope with the case with the oldest date (for example: 201112-201312, leave correspondence and envelope with the 199912 case).

    2. Separate the other cases (multiple years) to create new cases.

    3. Insert a Separator Sheet between each new case.

Form 1040X (One Sort) XRET
  • Exonerated Prisoner Claims notated as "EXPR"

  • All cases identified as Exonerated Prisoner would be Scan to IDRS# 0931627391

Form 1040X (One Sort) XRET All cases identified as Veteran Disability Claims
Scan to IDRS# 0939265082
Form 1040X (One Sort) XRET All cases identified as Sinai Peninsula Claims
Scan to IDRS# 0830141335
   

Note:

Special handling of 1040 returns received from Code & Edit as Amended Returns:

 

DOC TYPE: 1040X
PROGRAM CODE: 710-82385

Sorting Requirements/Case Priority Category Code Description
Form 1040X (One Sort) KITA/KIA
  • All cases identified as KITA, scan to 0933878755

  • Also the following claims can be identified by several different notations such as;

    1. 911 Rescue

    2. Amended pursuant to IRC 104(a) Pub 3920, Terrorist Act

    3. Terrorist Attacks World Trade Center or

    4. Tax Forgiveness Victims of Terrorist Act

  • These claims can be for older tax years, please do not refer these claims to Statute.
    Scan to IDRS# 0933878755

 

DOC TYPE: 1040X
PROGRAM CODE: 710- 40051

Sorting Requirements/Case Priority Category Code Description
First Time Homebuyer Credit Claims on Form 1040X - Alert: Statute Year Returns
Case Priority 2
FTHB
  • Any Form 1040X with Form 5405, First-Time Homebuyer Credit, attached or Form 1040X with HUD-1 Form, Settlement Statement.

  • Form 1040X meeting the criteria below will be scanned directly to CSR #1030302151. Enter the CSR number at batch creation/validation.

  • All Form 1040X cases can be identified using the following criteria:

    1. Affordable Health Care Act 2010

    2. Affordable Care Act

    3. Student Loan Forgiveness

    4. Income Exclusion for Loan Forgiveness for Health Professionals

    5. Excluded student loan amount under 2010 Health Care Act

  • Individuals filing Form 1040X will write Excluded student loan amount under 2010 Health Care Act in the Explanation of Changes box. The claims may also refer to the criteria above.

 

DOC TYPE: 1040X
PROGRAM CODE: 710-40057

Sorting Requirements/Case Priority Category Code Description
Correspondence All Form 1040X SPC8 All Form 1040X claims with Letters 6060-A or 6060-D attached or claims notated with the following:
  1. Combat-Injured Veterans Tax Fairness Act of 2016

  2. Veteran Disability Severance

  3. St. Clair Claim

  4. Combat Injured Veteran

. Scan to IDRS# 0930521136
 

DOC TYPE: 1040X
PROGRAM CODE: 710-40071

Sorting Requirements/Case Priority Category Code Description
  HCTX
  • The 2014 Form 1040X with "HCTC" written across the top margin will always be scanned as HCTC.

  • If you find a 2014 Form 1040X with a Form 8885 attached, scan as HCTC. The notation HCTC does not have to be written if the form is found.

  • The Form 8885 may be a 2013 with the 13 crossed-out and a ‘14’ written in its place. Scan to Andover UA 0848900000.

Note:

If you receive returns related to HCTC prior to 2013. Scan to Andover UA IDRS# 0848900000 using HCTX

 

DOC TYPE: 1040X
PROGRAM CODE: 710-40056

Sorting Requirements/Case Priority Category Code Description
  SPJT Amended returns related to Separate to Joint issue
 
  1. To accept a 1040 family return from Code and Edit as a 1040X it must contain BOTH a Code & Edit stamp AND one of the following written notations: COPY, CORRECTED, DUPLICATE, AMENDED, REVISED, SUBSTITUTE, SUPERSEDES, TENTATIVE or TC150 or TC150 posted.

  2. Returns coming from Rejects with the DLN or Void notated should be scanned in as 1040X.

  3. It is not necessary to write "TC150" or "TC 150 " Posted on the return if it has BOTH a Code & Edit stamp and written notation.

  4. Areas other than Code & Edit may also write "TC 150" or" TC 150" posted. There may or may not be a stamp. These should also be accepted as Amended Returns.

  5. If a return is stamped with a red "W-7" , this only indicates it was received with a "W-7" application. It is not an indicator for an Amended return.

  6. The following 1040 returns should be given to the ICT manager or work leader to provide feedback to the originator (keep the routing slip or tag with the return):

    1. No written notations or someone has written type.

    2. The written notation is circled out or

    3. No Code & Edit Stamp or 1040X stamp.

Note:

If the taxpayer includes one of the following letters: 216C, 449C, 662C, 2364C, or 4734C, with a Carryback form or loose, process as a carryback. Write the CSR number from the letter on the top of each carryback form and place the letter in the back of the case. Enter the CSR number when validating.

DOC TYPE: Injured Spouse Claim
PROGRAM CODE: 710–97140

Sorting Requirements/
Case Priority
Category Code Description
CP36D charge out with DLN numbered documents
Case Priority 3
DMFC Requires a separate sort due to DLN numbered documents attached. Place CP36D charge out on top of the numbered documents.
CP36D charge out without DLN Numbered documents
Case Priority 3
DMFC Requires a separate sort when CP36D charge out comes from Files without DLN numbered documents attached. If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy.
Forms 8379
Case Priority 3
Injured Spouse with Form 5405 attached
Case Priority 2
DMFC
  1. Ensure the Form 8379 is the first page of the case. Includes Form 1040X with Form 8379 attached.

  2. If multiple 8379 forms are submitted at the same time, each one will be imaged and counted separately. It is important to leave all supporting information with each case.

  3. For example, copies of Form 1040 attached to a Form 8379, should not be batched separately from the Form 8379. If correspondence is received with multiple cases attached (e.g., letter from the customer with three Form 8379 for multiple years):

    • Leave the correspondence and envelope with the first case (put Form 8379 on top).

    • Separate the other cases to create new cases.

    • Insert a Separator Sheet between each new case.

 

DOC TYPE: CP36D - DMFE
PROGRAM CODE: 710–97144

Sorting Requirements/Case Priority Category Code Description
CP36D Return filed electronically
Case Priority 3
DMFE CP36D return filed electronically will not generate a charge out.
 

DOC TYPE: Duplicate Filing
PROGRAM CODE: 710–40050

Sorting Requirements/Case Priority Category Code Description
CP29 charge out with DLN numbered documents CP29 Requires a separate sort due to DLN numbered documents attached and different Category Code. Place CP29 charge out on top of the numbered document.
CP29 charge out without DLN numbered documents CP29 Requires a separate sort when CP29 charge out comes from Files without DLN numbered documents attached. If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy.
CP35 charge out, No charge out for - CP36 and CP36 S/B DUPF Requires a separate sort due to DLN numbered documents attached, different Category Code, and document attached to CP charge out. Place CP charge out on top of the numbered document.
CP35 charge out DUPF Requires a separate sort when the CP charge out comes from Files without DLN numbered documents attached. If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy.
CP93 charge out with DLN numbered documents DAUD Requires a separate sort due to DLN numbered documents attached and different Category Code. Place CP93 charge out on top of the numbered document.
CP93 charge out without DLN numbered documents DAUD Requires a separate sort when CP93 charge out comes from Files without DLN numbered documents attached. If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy.
  MXSP MXEN Program Code 40054 – as identified by the CSR ICT screener; primarily for CSR use.
 

DOC TYPE: CP36F
PROGRAM CODE: 710–40058

Sorting Requirements/Case Priority Category Code Description
CP36F/CP36G with DLN numbered documents C36F Requires a separate sort due to DLN numbered documents attached and different Category Code/Program Code. Place CP charge out on top of the numbered document.
CP36F /CP36G without DLN numbered documents C36F Requires a separate sort when these charge outs come from Files without DLN numbered documents attached.
 

This IMF International doc type is included in Appendix A since IMF SP sites are responsible for scanning documents.

DOC TYPE: IMF International Special Processing ★
PROGRAM CODE: 710–85374

Sorting Requirements/Case Priority Category Code Description
CP36P IMF International with DLN numbered documents
(Identified by literal International)
CHRGOUT 36P
I36P Requires a separate sort due to different work type – IMF International, DLN numbered documents attached and different Category Code/Program Code. Place CP notice charge out on top of the numbered document. Scan documents directly to Philadelphia. Select "PSC " from the drop down menu when scanning. Follow the steps below when scanning:
  1. Batch Class – II_Special Processing

  2. Category Code – I36P

  3. Program Code – 85374

  4. Case Priority - 1

  5. MFT 30

  6. Designated Service Center "PSC"

CP36P (IMF International) without DLN numbered documents
(Identified by literal International)
I36P Requires a separate sort when these charge outs come from Files without DLN numbered documents attached.
  • Follow same steps shown above – 1 through 5

 

★This IMF International doc type is included since IMF sites may receive electronic notice charge outs identified as International. If received, sites will be responsible for scanning them.

DOC TYPE: Internal Transcripts (Includes: Certain CP Notices and Internal IRS Requests)
PROGRAM CODE: 710-40000

Sorting Requirements/Case Priority Category Code Description
Scrambled SSN Cases IRRQ  
Internal Adjustment Requests, Documents to be associated with open CIS case, miscellaneous documents IRRQ  
IRAFASSESS (CP320), Credit (CP346) IRRQ
MFT: 29
 
CP41 charge out with DLN numbered documents OTHE  
CP41 charge out without DLN numbered documents OTHE  
CP08,
CP09,
CP27,
CP54 B/G
CP85
CP87
replies
TPRQ Includes:
  • CP08, Additional Child Tax Credit

  • CP09, Earned Income Credit

  • CP27, EIC Potential for T/P Without Qualifying Children

  • CP85, Exam EIC "Soft" Notice

  • CP87, Exam Dupe TIN Notice The CSR screener may identify other types of cases.

The CSR screener may identify other types of cases.
DIAGQ IRRQ Requires a separate sort based on portrait orientation of document.
Only doc prep the page containing the Tax Period as shown below. Destroy the duplicate copy of the notice.
  MXEN Program Code 40054 – Work identified by CSR screeners.
Internal Transcript REFA Program Code 710-40310
ACA Related use, mft 65- Mirrored Module Transcript
 

DOC TYPE: Spanish
PROGRAM CODE: Various

Sorting Requirements/Case Priority Category Code Description
Spanish Correspondence SPAC Correspondence written in Spanish
  HCTC Program Code 710-40077, Scan to Andover UA 0848900000
 

DOC TYPE: Faxes
PROGRAM CODE: 710-40080

Sorting Requirements/Case Priority Category Code Description
IMF Faxes PPRQ Unsolicited faxes from Tax Practitioners
 

DOC TYPE: CSR Specific (CUSTOMER SERVICE REPRESENTATIVE)
PROGRAM CODE: 710-40000

Sorting Requirements/Case Priority Category Code Description
CP98
CP98A
Form 4251 with DLN Numbered document
IRRQ
  • Requires a separate sort due to DLN numbered documents attached. Place CP 98/CP98A.

  • Form 4251 on top of the numbered document.

CP98
CP98A
Form 4251 without DLN Numbered document
IRRQ
  • Requires a separate when CP98/CP 98A/Form 4251 comes from Files without a DLN numbered documents attached.

  • Place CP98/CP 98A/Form 4251 on top of the numbered document.

  • If a duplicate copy is attached, only doc prep the once with the Files annotation on it.

  • Destroy the second copy.

DIAGQ, Multiple Listings IRRQ
  • Requires a separate sort because these documents will not have DLN numbered documents attached.

  • Multiple Listings include:Utility 50, 766 Reject, Code & Edit Unpostables.

  • Multiple Listings will come from Management with the IRS Received Date identified.

Any incoming case designated with a specific CSR number with DLN numbered documents TPRQ Requires a separate sort due to DLN numbered documents attached. Includes cases from ERS, Code & Edit, or any other case with a DLN numbered document attached designated with a specific CSR number.
Any incoming case designated with a specific CSR number without DLN numbered documents TPRQ
  • Requires a separate sort because these documents will not have DLN numbered documents attached. Includes responses to Tech Assist requests. Does not include replies to CSR correspondence.

  • Technical Assistance Replies will normally have more than one page associated with a case.

  • It is only necessary to batch the Technical Assistance Reply Form and any supporting information provided by Exam. The CSR already has the original case on CIS. Insert a separator sheet between each Technical Assistance Reply Form.

 

DOC TYPE: ACA-1040X
PROGRAM CODE: 710-40320

Sorting Requirements/Case Priority Category Code Description
Form 1040X ACAX All other ACA provisions Scan to Fresno
 

DOC TYPE: ACA5-Loose Forms
PROGRAM CODE: 710-40313

Sorting Requirements/Case Priority Category Code Description
  ACA5 All ACA loose forms
 

DOC TYPE: ACA-Correspondence
PROGRAM CODE: 710-40310

Sorting Requirements/Case Priority Category Code Description
Correspondence ACA7 All ACA provisions
 

DOC TYPE: ACA-Spanish
PROGRAM CODE: 710-40317

Sorting Requirements/Case Priority Category Code Description
Correspondence ACAC Correspondence written in Spanish related to ACA. For example, letter with Form 8962 and/or Form 8965 attached.
 

The document request code used when ordering documents (CC ESTAB) will determine whether the documents need to be doc prepped and scanned, or routed to the appropriate area as paper. Document Requests (Form 4251) initiated by the CIS. The CSR should use request code "S" (CC ESTAB). This code should only be used by CSRs working in the Correspondence Imaging System (CIS).

  • This code indicates to Files and ICT that the request must be filled by scanning the document and sending an image through CIS instead of sending a hardcopy to the requestor. When document request code "S" is used, "CIS Scan Request" it will print below the DLN on Form 4251.

  • Additionally, document request code "X" (CC ESTAB) has been established for Non-CIS users who need a hardcopy or actual print of a TC 29X adjustment document relating to a CIS case. This request code should only be used when an actual print or hardcopy of the image is needed. When document request code "X" is used, CIS Print Request will print below the DLN on Form 4251.

  • Files and ICT will use the Form 4251 to determine whether the document is to be scanned or routed as paper. Scan the document if the form shows “CIS Scan Request” (under the DLN). If the form does not state “CIS Scan Request,” route the document as paper.

IMF Valid Document Type Program Code Combinations Category Code
Correspondence 40000 TETR
NOMERGE 40053 NYCX or TETR
Internal Transcripts 40000 TETR
CSR Specific 40000 TETR
OARS 40000 TETR
CP86 40000 TETR
Quick Closure 40001 TETR
Duplicate Filing 40050 NYCX or TETR
Form 1040X 40050 NYCX or TETR
Carryback 40063 NYCX or TETR
Carryback 40064 NYCX or TETR
Injured Spouse Claim 97140 NYCX or TETR
Spanish 40007 TETR

APPENDIX B - DOCUMENT TYPES, CATEGORY CODES, PRIORITY CODES IMF INTERNATIONAL(II) - PHILADELPHIA

  1. The Document Types, sorting requirements, Category Codes, and Priority Codes (if any) for IMF International are provided in the tables below.

  2. If hurricane Harvey, Irma or Maria is claimed on any document type use category code KATX and Function-Program Code 710-82365. For any other disaster claim, use category code DSTR and function-program code 710-82360. Both category codes are Priority Code 1 and are valid for all document types except: Faxes, ITIN and Special Processing. These Category Codes are not valid with any of the ID Theft doc types. Scan these documents to IDRS Number 0531500000.

  3. Category code SPC 1 – 4 is a valid option for all document types except Special Processing. Program Codes, 85370, 85371, and 85372, are used to support the Economic Stimulus Rebate. Category code ERRF has been added as a valid code for all document types. Sites will provide guidance about when to use these codes.

  4. If any type of work is specialized to a site and/or team, sort this work by Document Type, category code, and program code. Write the appropriate CSR number on the Batch Cover Sheet, and enter it at batch creation.

  5. In general, ICT does not need to enter the CSR number when scanning CSR initiated letter replies. If a document needs to be assigned to a specific CSR, write the CSR number on the first page of the document and enter it at batch creation or validation.

  6. Follow appropriate IRM guidelines when scanning envelopes.

  7. The following MFT’s are valid with all document types: 00, 29, 30, 31, and 55:

DOC TYPE: II ACA-Corr
PROGRAM CODE: 710- 33010

Sorting Requirements/Case Priority Category Code Description
ACA-Corr IPTC Includes Non-Spanish correspondence regarding ACA. For example, letter with Form 8962 and/or Form 8965 attached.
 

DOC TYPE: II ACA 1040X
PROGRAM CODE: 710- 33020

Sorting Requirements/Case Priority Category Code Description
ACA 1040X IPTX Form 1040X with ACA criteria. For example, Form 1040X with Form 8962 and/or Form 8965 attached.
 

Doc Type: II Correspondence
Program Code: 710-33040

Sorting Requirements/Case Priority Category Code Description
IMF - INT Correspondence Form 1040
MFT: 30
ITRQ Includes all non-Spanish written communications from a taxpayer or representative. Includes written communications in response to IRS requests for information, taxpayer responses to letters initiated by CSRs, annotated notice responses that provide additional data or dispute a notice, and anything that is not included in any one of the Document Types listed below Types listed below (e.g., Form 5329, Form 1310, Form 2210)
If more than one tax period for the following Forms are received for the same taxpayer, separate the years to create a new case. Leave the envelope with the first case:
  • Form 843 (Claim for Refund and Request for Abatement)

  • Form 8862 (Information to Claim Earned Income Credit After Disallowance).

Do not include:
  • Unnumbered Form 1040X. Batch Form 1040X under Doc Type Forms 1040X. (The only exceptions are Form 8379 attached to Form 1040X and Carrybacks-RINT.)

  • Form 8379. Batch Form 8379 under Doc Type" Injured Spouse Claims"

  • Internal (IRS) Adjustments Requests (e.g., Form 3465) and undeliverables. These documents should be batched under Internal Transcripts (and Certain CP Notices)

  • Tax Returns

Does not include responses to letters for additional information if the Doc Type is 1040X, Carrybacks or loose Forms 8379.

Note:

If the taxpayer includes one of the following letters: 216C, 449C, 662C, 2364C, or 4734C, with a Carryback form or loose, process as a carryback. Write the CSR number from the letter on the top of each carryback form and place the letter in the back of the case. Enter the CSR number when validating.

  IPYT International Payment Tracer. Requires a separate sort due to different category code.
  F843 Form 843 requesting abatement of interest - identified by the CSR screening process
  IIRQ Form 843. Requires a separate sort due to different category code.
  IMFINTL Letter 5532C and Letter 5533C scan to International Philadelphia.
 

Doc Type: II Operations Assistance Request (OAR)
Program Code: 710-33040

Sorting Requirements/Case Priority Category Code Description
IMF-INT OAR (One sort)
If marked "expedite" (indication will be near box 4 of the form)
Case Priority 1
ATAO
  • Form 12412, Operational Assistance Request (OAR). Most OARs will be faxed to ICT; a few original hard copies will be routed.

  • All must be given top priority. The Criteria Code is Box #4 located in the upper right corner of Form 12412.

  • After scanning, all original hard copy (not faxed) OARs must be given to the workleader who, after one week, will return the OAR with Form 3210 to the TAS Liaison Originator.

IMF-INT OAR (One sort)
If not marked "expedite"
Case Priority 2
ATAO Same as above
 

Doc Type: II Correspondence Spanish
Program Code: 710-33041

Sorting Requirements/Case Priority Category Code Description
IMF-INT
Correspondence Spanish
IOTH Includes all written Spanish communications from a taxpayer or representative.
Includes written communications in response to IRS requests for information, taxpayer responses to letters initiated by CSRs, annotated notice responses that provide additional data or dispute a notice, and anything that is not included in any one of the Document Types listed below Types listed below (e.g., Form 5329, Form 1310, Form 2210)
If more than one tax period for the following Forms are received for the same taxpayer, separate the years to create a new case. Leave the envelope with the first case:
  • Form 843 (Claim for Refund and Request for Abatement)

  • Form 8862 (Information to Claim Earned Income Credit After Disallowance).


Do not include:
  • Unnumbered Form 1040X. Batch Form 1040X under Doc Type "Form 1040X" . (The only exceptions are Form 8379 attached to Form 1040X and Form Carrybacks-RINT.)

  • Form 8379. Batch under Doc Type "Injured Spouse Claims" .

  • Internal (IRS) Adjustments Requests (for example: Form 3465) and undeliverables. These documents should be batched as Internal Transcripts (and Certain CP Notices).

  • Tax Returns


Does not include responses to letters for additional information if the Doc Type is 1040X, Carrybacks, or loose Form 8379.
  F843 Form 843 requesting abatement of interest - identified by the CSR screening process
 

Doc Type: II Duplicate Filing
Program Code: 710-33080

Sorting Requirements/Case Priority Category Code Description
CP29 charge out with DLN numbered documents IN29 Requires a separate sort due to DLN numbered documents attached and different Category Code. Place CP 29 charge out on top of the numbered document.
CP29 charge out without DLN numbered documents IN29
  • Requires a separate sort when CP 29 charge out comes from Files without DLN numbered documents attached.

  • If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy.

CP 36 charge out with DLN numbered documents IDPF CP notice does not generate a charge out for scanning.
CP 36 charge out without DLN numbered documents IDPF CP notice does not generate a charge out for scanning.
CP 93 charge out with DLN numbered documents IDPA Requires a separate sort due to DLN numbered documents attached and different Category Code. Place CP 93 charge out on top of the numbered document.
CP 93 charge out without DLN numbered documents IDPA
  • Requires a separate sort when CP 93 charge out comes from Files without DLN numbered documents attached.

  • If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy.

 

Doc Type: II Duplicate Filing Spanish
Program Code: 710-33083

Sorting Requirements/Case Priority Category Code Description
CP 29
CP 93 charge out with DLN numbered documents
ITLR Requires a separate sort due to DLN numbered documents attached. Place CP notice charge out on top of the numbered document.
CP 29
CP 93 charge out without DLN numbered documents
ITLR
  • Requires a separate sort when the charge out comes from Files without DLN numbered documents attached.

  • If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy.

 

Doc Type: II Duplicate Filing
Program Code: 710-33088

Sorting Requirements/Case Priority Category Code Description
CP36 F
CP36 G IMF International with DLN numbered documents (Identified by literal International)
I36F
  1. Requires a separate sort due to DLN numbered document attached and different Category Code/ Program Code. Place CP notice charge out on top of the numbered documents.

  2. Scan documents directly to Philadelphia, select PSC from the drop down menu when scanning. Follow the steps below when scanning:

    1. Batch Class – II_Duplicate_Filing - IDPF

    2. Category Code – I36F

    3. Program Code – 33088

    4. MFT 30

    5. Designated Service Center – "PSC"

CP36 F/CP36 G (IMF International) without DLN numbered documents I36F
  1. Requires a separate sort when these charge outs come from Files without DLN numbered documents attached.

  2. Follow same steps shown above – 1 through 5

 

Doc Type: II Special Processing
Program Code: 710-85374

Sorting Requirements/Case Priority Category Code Description
CP 36P IMF International with DLN numbered documents
(Identified by literal International) CHRGOUT 36P
I36P
  1. Requires a separate sort due to DLN numbered document attached.

  2. Place CP notice charge out on top of the numbered document. Scan documents directly to Philadelphia select “PSC” from the drop down menu when scanning. Follow the steps below when scanning:

    1. Batch Class – II_Special Processing

    2. Category Code – I36P

    3. Program Code – 85374

    4. Case Priority - 1

    5. MFT 30

    6. Designated Service Center – "PSC"

CP 36P (IMF International) without DLN numbered documents I36P
  1. Requires a separate sort when these charge outs come from Files without DLN numbered documents attached.

  2. Follow same steps shown above – 1 through 5

 

Doc Type: II 1040X
Program Code: 710-33080

Sorting Requirements/Case Priority Category Code Description
IMF-INT 1040X
Alert: Statute Year Returns

Case Priority 2
IXRT
  • Unnumbered Form 1040X – International are batched into this Doc Type even if the form is attached to correspondence, taxpayer response to a CSR initiated letter or any notice (e.g., Bal Due Notice).

  • Place the correspondence behind the Form 1040X.

    Exception:

    If Form 1040X is a carryback, scan as Carryback-RINT.

  • Form 14039 with Form 1040X attached and meets IMF International criteria. Enter case priority 2

  • If multiple Form 1040X are submitted at the same time, each one will be imaged and counted separately. It is important to leave all supporting information with each case. For example, copies of Form 1040 attached to a Form 1040X, do not separate form from Form 1040X.

  • If correspondence is received with multiple cases attached (for example: letter from the customer with three Form 1040X for multiple years), put Form 1040X on top and:

    1. Leave the correspondence and envelope with the case with the oldest date (for example: 201212-2001312, leave correspondence and envelope with 2001212 case).

    2. Separate the other cases (multiple years) to create new cases.

    3. Insert a Separator Sheet between each new case.

 

Doc Type: II 1040X Spanish
Program Code: 710-33083

Sorting Requirements/Case Priority Category Code Description
IMF-INT
Form 1040X Spanish
Alert: Statute Year Returns
Case Priority 2
ITLR
  • Unnumbered Form 1040X – Spanish are batched into this Doc Type even if the form is attached to correspondence, a taxpayer response to a CSR initiated letter or any type of notice (for example: Bal Due Notice).

  • When applicable, write the CSR number on the top of each Form 1040X. Place correspondence behind the Form 1040X.

    Exception:

    If Form 1040X is a carryback, scan as Carryback-RINT.

  • Form 14039 attached and if it includes Spanish Correspondence or Spanish form and meets IMF International criteria. Enter case priority 2.

  • If multiple Form 1040X are submitted at the same time, each one will be imaged and counted separately. It is important to leave all supporting information with each case. For example, copies of Form 1040 attached to a Form 1040X, do not separate form from the Form 1040X.

  • If correspondence is received with multiple cases attached (for example: letter from the customer with three Form 1040X for multiple years), put Form 1040X on top and:

    1. Leave the correspondence and envelope with the case with the oldest date (e.g., 199912-200312, leave correspondence and envelope with 199912 case).

    2. Separate the other cases (multiple years) to create new cases.

    3. Insert a Separator Sheet between each new case.

 

Doc Type: II Internal Requests
Program Code: 710-33040

Sorting Requirements/Case Priority Category Code Description
CP 98
CP 98A
Form 4251with DLN numbered documents
Miscellaneous Transcripts/documents with DLN numbered documents
(Form 4251 see note below)
IRRQ
  • CP98/CP 98A/Form 4251/ with DLN numbered documents, requires a separate sort due to DLN numbered documents attached.

  • Place CP98/CP98A/ Form 4251 on top of the numbered document. Requires a separate sort due to DLN numbered documents attached. Includes:

  • Form 3465, miscellaneous documents, cases from ERS, Code & Edit or any other non-categorized, non-taxpayer initiated documents or any other case with a DLN numbered document attached.

CP98/CP98A/ Form 4251/Misc Transcripts or documents without DLN numbered documents (Form 4251 see the note below at the end of this exhibit) IRRQ
  • Requires a separate sort when CP 98 /CP98A/ Form 4251/ comes from Files without DLN numbered documents attached. If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy.

  • Includes Form 3465, miscellaneous transcripts/documents, cases from ERs, Code & Edit and any other non-categorized, non-taxpayer initiated documents or any other case without a DLN numbered document. Technical Assistance

  • Replies will normally have more than one page associated with a case. It is only necessary to batch the Technical Assistance Reply Form and any supporting information provided by Exam.

  • The CSR already has the original case on CIS. Insert a separator sheet between each Technical Assistance Reply Form. Form 14039 alone or correspondence written in English, and meets IMF International criteria. Use Priority Code 2.

  • Also treat as English when taxpayer indicates he wants to be contacted in Spanish but does not include explanation in Spanish or correspondence in Spanish.

CP 41 charge out with DLN numbered documents OTHE Requires a separate sort due to DLN numbered documents attached and different category code.
CP 41 charge out without DLN numbered documents. OTHE Required when CP 41 comes from files without DLN numbered documents attached.
Unpostables cases with DLN numbered documents. NLUN Unpostable cases where the transactions did not post to Master File (MF) Requires a separate sort due to DLN numbered documents attached.

Example:

Form 4251, Forms 3465, GUF 55-47, and GUF Transcripts.

Unpostables cases without DLN numbered documents. NLUN Unpostable cases where the transactions did not post to Master File (MF) Requires a separate sort when documents are received without DLN numbered document.

Example:

Form 4251, Forms 3465, GUF 55-47, GUF Transcripts

  INUP Requires a separate sort due to different category code.
Form 8833 and Form 8843 IIRQ Requires a separate sort due to different category code.
  IRRQ ACA related use 710-33010, MFT 00, 30, 31, and, 35
 

DOC TYPE: II Internal Requests Spanish
PROGRAM CODE: 710-33041

Sorting Requirements/Case Priority Category Code Description
  • CP98/ CP98A,

  • Form 4251 with DLN numbered documents

  • Miscellaneous Transcripts/documents with DLN numbered documents

  • (Form 4251 see the note below at the end of this exhibit)

IRRQ
  • Requires a separate sort when CP98 /CP98A/ Form 4251/ comes from Files with DLN numbered documents attached.

  • If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy.

  • Requires a separate sort due to DLN numbered documents attached. Includes: Form 3465, miscellaneous documents, cases from ERS, Code & Edit or any other non-categorized, non-taxpayer initiated documents or any other case with a DLN numbered document attached.

CP98
CP98A
Form 4251/Misc Transcripts or documents without DLN numbered documents
IRRQ
  • Requires a separate sort when CP98 /CP98A/ Form 4251/ comes from Files without DLN numbered documents attached.

  • If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy.

  • Includes Form 3465, miscellaneous transcripts/documents and any other non-categorized, non-taxpayer initiated documents or any other case without a DLN numbered document.

  • Technical Assistance Replies will normally have more than one page associated with a case.

  • It is only necessary to batch the Technical Assistance Reply Form and any supporting information provided by Exam. The CSR already has the original case on CIS. Insert a separator sheet between each Technical Assistance Reply Form.

  • Form 14039 with explanation in Spanish or correspondence written in Spanish, and meets IMF International criteria. Use priority code 2.

CP41 - charge out with DLN numbered documents OTHE Requires a separate sort due to DLN numbered documents attached and different category code.
CP41 charge out without DLN numbered documents. OTHE Requires when CP41 comes from files without DLN numbered documents attached.
Unpostable cases with DLN numbered documents. NLUN Unpostable cases where the transactions did not post to Master File (MF) Requires a separate sort due to DLN numbered documents attached.

Example:

Form 4251, Form 3465, GUF 55-47, and GUF Transcripts.

Unpostable cases without DLN numbered documents NLUN Unpostable cases where the transactions did not post to Master File (MF) Requires a separate sort when documents are received without DLN numbered document.

Example:

Form 4251, Form 3465, GUF 55-47, and GUF Transcripts.

  INUP Requires a separate sort due to different category code.
 

Doc Type: II Quick Closure
Program Code: 710-33043

Sorting Requirements/Case Priority Category Code Description
Quick Closures Correspondence (One sort) Case Priority 2 SPC1 Includes Non-Spanish correspondence presorted by a CSR. (e.g., address changes)
 

The following documents are now part of the electronic notices/transcripts and ICT no longer receives them as paper:

Doc Type Program Code
NoMerge 710-33040
CP86 710-33080

Other transcripts received electronically include: AMRH, STAT, DECD ES CR, CR EL DECD, DUPASMT, REBATEREV and REFMFT31.

Note:

The document request code used when ordering documents (CC ESTAB) will determine whether the documents need to be doc prepped and scanned, or routed to the appropriate area as paper. Document Requests (Form 4251) initiated by CIS. The CSRs should use request code S(CC ESTAB). This code should only be used by CSRs working in the Correspondence Imaging System (CIS). This code indicates to Files and ICT that the request must be filled by scanning the document and sending an image through CIS instead of sending a hardcopy to the requestor. When document request code S is used, CIS Scan Request will print below the DLN on Form 4251.

  • Additionally, document request code "X" (CC ESTAB) has been established for Non-CIS users who need a hardcopy or actual print of a TC 29X adjustment document relating to a CIS case. This request code should only be used when an actual print or hardcopy of the image is needed. When document request code"X" is used, CIS Print Request will print below the DLN on Form 4251.

  • Files and ICT will use the Form 4251 to determine whether the document is to be scanned or routed as paper. Scan the document if the form shows CIS Scan Request (under the DLN). If the form does not state CIS Scan Request, route the document as paper.

APPENDIX C - DOCUMENT TYPES, CATEGORY CODES, PRIORITY CODES BMF INTERNATIONAL (BI)

  1. The Document Types, sorting requirements, Category Codes, and Priority Codes (if any) for BMF International are provided in the tables below.

  2. If hurricane Harvey, Irma or Maria is claimed on any document type use category code KATX and Function-Program Code 710-82365. For any other disaster claim, use category code DSTR and function-program code 710-82360. Both category codes are Priority Code 1 and are valid for all document types except: Faxes, ITIN and Special Processing. These Category Codes are not valid with any of the ID Theft doc types.

  3. Scan all CHRGOUT223 (CP223) using the default category code IDPA and Program Code 33080, regardless of any notation on the return.

  4. Category code ERRF has been added as a valid code for all document types. Sites will provide guidance about when to use these codes.

  5. If any type of work is specialized to a site and/or team, sort this work by Document Type, category code, and program code. Write the appropriate CSR number on the Batch Cover Sheet, and enter it at batch creation.

  6. If a document type consists of multiple MFTs, and are not sorted or batched by MFT, the ICT Validation Clerk must enter the appropriate MFT during validation. MFT 00 is valid with any doc type.

  7. In general, ICT does not need to enter the CSR number when scanning CSR initiated letter replies. If a document needs to be assigned to a specific CSR, write the CSR number on the first page of the document and enter it at batch creation or validation.

  8. There are several document types that are valid with MFT 51 and 52. However, ICT should not scan taxpayer correspondence pertaining to Form 706 (MFT 52) or Form 709 (MFT 51). This is now Compliance work, route documents to Cincinnati Compliance. Refer to your local routing guide to obtain the appropriate stop number.

Doc Type: BI 4442-1120
Program Code: 700-60200

Sorting Requirements/
Case Priority
Category Code/MFT Description
Form 4442
Case Priority 1
TWRO
MFT: 02
Form 4442, Inquiry Referral, requires a separate sort due to the case priority. Write the CSR number on top of the form if present in Box 27 of Form 4442.
 

Doc Type: BI 4442
Program Code: 700-60200

Sorting Requirements/
Case Priority
Category Code/MFT Description
Form 4442 TWRO
MFT: 00, 01, 05, 06, 08, 10, 11, 12, 13, 14, 15, 16, 17
Form 4442, Inquiry Referral, requires a separate sort due to the case priority. Write the CSR number on top of the form if present in Box 27 of Form 4442.

Reminder:

Do not mix MFT’s unless it’s the 94X series.

 

Doc Type: BI Correspondence
Program Code: 710-33030, 710-33081
Form(s) 941, 94X, 1041, 1065, 8804, 8805, 940, 943, 1042, 8278, 944, 8752, 945, 8288, 3520-A

Sorting Requirements/Case Priority Category Code/MFT Description
94X - Correspondence IXRT
  • Program Code - 710-33081

  • Amended and Unnumbered Form 94X (International are batched into this new Doc Type even if the forms come in with correspondence, a Taxpayer response to a CSR initiated letter or any Notice (e.g., Bal Due Notice).

  • * Place the correspondence behind the Form 94X).

Reminder:

Do not mix MFT’s unless it’s the 94X series.

Correspondence ITRQ and IPYT /
MFT:
01, 05, 06, 08, 10, 11, 12, 14, 15, 16, 17, 42, 68
  1. Includes all written communications from a taxpayer or representative, Form 941C and Form 843 (excluding Visa Claims).

  2. Includes written communications in response to IRS requests for information, taxpayer responses to letters initiated by CSRs, annotated notice responses that provide additional data or dispute a notice, and anything that is not included in any one of the Document Types listed below.

  3. If more than one tax period for the following Forms are received for the same taxpayer, separate the years to create a new case. Leave the envelope with the first case:

    • Form 941C

    • Form 843 (Claim for Refund and Request for Abatement)

  4. Do not include:

    • Original tax returns

    • Unnumbered F1120X.

      Note:

      Batch F1120X under Doc Type “Forms 1120X”. (The only exception is Carrybacks-RINT)

    • Internal (IRS) Adjustments Requests (for example: Form 3465) and undeliverables. These documents should be batched under Internal Transcripts (and Certain CP Notices).

Reminder:

Do not mix MFT’s unless it’s the 94X series.

Civil Penalty ITRQ
MFT 13
Any correspondence requesting a response to a Civil Penalty
  F843 Form 843 requesting abatement of interest - identified by the CSR screening process
 

Doc Type: BI Correspondence 1120/706/709
Program Code: 710 - 33030

Sorting Requirements/Case Priority Category Code/MFT Description
Correspondence ITRQ and IPYT
MFT: 02
  1. Includes all written communications from a taxpayer or representative and Form 843

  2. Includes written communications in response to IRS requests for information, taxpayer responses to letters initiated by CSRs, annotated notice responses that provide additional data or dispute a notice, and anything that is not included in any one of the Document Types listed below.

  3. If multiple Forms 843 are received for the same taxpayer, separate the years to create a new case. Leave the envelope with the first case:

  4. Do not include:

    • Unnumbered Form 1120X Batch Form 1120X under Doc Type “Forms 1120X”. (The only exception is Carrybacks-RINT)

    • Internal (IRS) Adjustments Requests

      Note:

      Internal (IRS) Adjustments Requests (for example: Form 3465) These documents should be batched under Internal Transcripts (and Certain CP Notices).

    • Original tax Returns

  BMFINTL Letters 5532C and 5533C scan to the International Ogden Team
  F843 Form 843 requesting abatement of interest - identified by the CSR screening process
 

Doc Type: BI Correspondence Spanish
Program Code: 710-33031
Form(s) 941, 1041, 1065, 8804, 8805, 940, 943, 1042, 8278, 944, 8752, 945, 8288

Sorting Requirements/Case Priority Category Code/MFT Description
Correspondence IOTH and IPYT

MFT: 01, 05, 06, 08, 10, 11, 12, 14, 15, 16, 17, 68
  1. Includes all written communications from a taxpayer or representative, Form 941C and Form 843 (excluding Visa Claims).

  2. Includes written communications in response to IRS requests for information, taxpayer responses to letters initiated by CSRs, annotated notice responses that provide additional data or dispute a notice, and anything that is not included in any one of the Document Types listed below.

  3. If more than one tax period for the following Forms are received for the same taxpayer, separate the years to create a new case. Leave the envelope with the first case:

    • Form 843 (Claim for Refund and Request for Abatement)

    • Form 941C (Supporting Statement To Correct Information)

  4. Do not include:

    • Unnumbered Form 1120X. Batch Form 1120X under Doc Type “Forms 1120X”. (The only exception is Carrybacks-RINT

    • Internal (IRS) Adjustments Requests (e.g., Form 3465) and undeliverables. These documents should be batched under Internal Transcripts (and Certain CP Notices).

    • Original tax Returns

Reminder:

Do not mix MFT’s unless it’s the 94X series.

Civil Penalty ITRQ
MFT 13
Any correspondence requesting a response to a Civil Penalty
  F843 Forms 843 with request for interest abatement
 

BI Correspondence Spanish 1120/706/709
Program Code: 710–33031

Sorting Requirements/Case Priority Category Code/MFT Description
Correspondence IOTH and IPYT
MFT: 02
  1. Includes all written communications from a taxpayer or representative and Form 843.

  2. Includes written communications in response to IRS requests for information, taxpayer responses to letters initiated by CSRs, annotated notice responses that provide additional data or dispute a notice.

  3. If multiple Forms 843 are received for the same taxpayer, separate the years to create a new case. Leave the envelope with the first case:

  4. Do not include:

    • Unnumbered Form 1120X. Batch Form 1120X under Doc Type “Form 1120X”. (The only exception is Carrybacks-RINT)

    • Internal (IRS) Adjustments Requests (e.g., Form 3465) and undeliverables. These documents should be batched under Internal Transcripts (and Certain CP Notices).

    • Original tax Returns

  F843 Form 843 requesting abatement of interest - identified by the CSR screening process
 

BI Duplicate Filing
Program Code: 710–33081
Form(s) 941, 1041, 1065, 8804, 8805, 940, 943, 1042, 8278, 944, 8752, 945, 8288

Sorting Requirements/Case Priority Category Code/MFT Description
Form 94X IXRT
  • Amended and Unnumbered Form 94X (International are batched into this new Doc Type even if the forms come in with correspondence, a Taxpayer response to a CSR initiated letter or any Notice (e.g., Bal Due Notice).

  • * Place the correspondence behind the Form 94X).

Reminder:

Do not mix MFT’s unless it’s the 94X series.

CP 190with DLN numbered documents I190
MFT: 01, 05, 06, 08, 10, 11, 12, 13, 14, 15, 16, 17
Requires a separate sort due to DLN numbered documents attached and different Category Code. Place CP 190 charge out on top of the numbered document.

Reminder:

Do not mix MFT’s unless it’s the 94X series.

CP190 without DLN numbered documents I190 Requires a separate sort when CP 190 charge out comes from Files without DLN numbered documents attached. If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy.
CP 93
CP 293
CP 170
with DLN numbered documents
IDPF Requires a separate sort due to DLN numbered documents attached and different Category Code. Place CP notice charge out on top of the numbered document.
CP 193
CP 293,
CP 170without DLN numbered documents
IDPF Requires a separate sort when CP notice charge out comes from Files without DLN numbered documents attached. If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy.
 

BI Duplicate Filing Spanish
Program Code: 710–33084
Form(s) 941, 1041, 1065, 8804, 8805, 940, 943, 1042, 8278, 944, 8752, 945, 8288

Sorting Requirements/Case Priority Category Code/MFT Description
CP 190,
CP193
and
CP293with DLN numbered documents
ITLR
MFT’s: 01, 05, 06, 08, 10, 11, 12, 13, 14, 15, 16, 17
Requires a separate sort due to DLN numbered documents attached and different Category Code. Place CP notice charge out on top of the numbered document.

Reminder:

Do not mix MFT’s unless it’s the 94X series.

CP 190
CP 193
and
CP 293without DLN numbered documents
ITLR
  • Requires a separate sort when CP notice charge out comes from Files without DLN numbered documents attached.

  • If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy.

 

BI Duplicate Filing 1120/706/709
Program Code: 710–33081

Sorting Requirements/Case Priority Category Code/MFT Description
CP190
with DLN numbered documents
I190
MFT: 02
  • Requires a separate sort due to DLN numbered documents attached and different MFT and Category Code.

  • Place CP190 charge out on top of the numbered document.

CP190
without DLN numbered documents
I190
  • Requires a separate sort when CP190 charge out comes from Files without a DLN numbered documents attached and different MFT and Category Code.

  • If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy.

CP193
CP293
CP170with DLN numbered documents
IDPF
  • Requires a separate sort when CP notice charge out comes from Files with DLN numbered documents attached.

  • If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy.

CP193
CP293
CP170 without DLN numbered documents
IDPF
  • Requires a separate sort when CP notice charge out comes from Files without DLN numbered documents attached.

  • If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy.

 

BI Duplicate Filing 1120/706/709 Spanish
Program Code: 710–33084

Sorting Requirements/Case Priority Category Code/MFT Description
CP190
CP193 and
CP293with DLN numbered documents
MFT: 02
ITLR
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP notice charge out on top of the numbered document.

CP190
CP193 and
CP293 with DLN numbered documents
ITLR
  • Requires a separate sort when CP notice charge out comes from Files without DLN numbered documents attached.

  • If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy.

 

BI CP223
Program Code: 710–33080

Sorting Requirements/Case Priority Category Code/MFT Description
CP223
with DLN numbered documents
IDPA
  • Requires a separate sort due to DLN numbered documents attached and different MFT and Category Code

Place CP223 charge out on top of the numbered document
CP223
without DLN numbered documents
MFT: 13, 42, 55, 68
  • Requires a separate sort when CP223 charge out comes from Files without a DLN numbered documents attached and different MFT and Category Code


If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy.
 

BI CP234-1041
Program Code: 710–33030

Sorting Requirements/Case Priority Category Code/MFT Description
CP234 with DLN numbered documents I234
MFT: 05
  • CP234 – Estimated Tax Penalty. Forms 1041. These documents will come to ICT with DLN numbered returns attached.

  • Place CP234 charge out on top of the numbered document.

CP234 without DLN numbered document I234
  • CP234 – Estimated Tax Penalty. Forms 1041. These documents will come to ICT without DLN numbered returns attached.

  • If a duplicate copy is attached, only doc prep one. Destroy the second copy.

 

BI CP234-1120
Program Code: 710–33030

Sorting Requirements/Case Priority Category Code/MFT Description
CP 234with DLN numbered documents I234
MFT: 02
  • CP 234 – Estimated Tax Penalty. Forms 1120. These documents will come to ICT with DLN numbered returns attached.

  • Place CP 234 charge out on top of the numbered document.

CP 234 without DLN numbered document I234
  • CP 234 – Estimated Tax Penalty. Forms 1120. These documents will come to ICT with DLN numbered returns attached.

  • Place CP 234 charge out on top of the numbered document.

 

BI CP234-8804
Program Code: 710–33030

Sorting Requirements/Case Priority Category Code/MFT Description
CP234 with DLN numbered documents I234
MFT: 08
  • CP234 – Estimated Tax Penalty. Form 8804. These documents will come to ICT with DLN numbered returns attached.

  • Place CP234 charge out on top of the numbered document.

CP 234 without DLN numbered document I234
  • CP234 – Estimated Tax Penalty. Forms 8804. These documents will come to ICT without DLN numbered returns attached.

  • If a duplicate copy is attached, only doc prep one. Destroy the second copy.

 

BI CP194
Program Code: 710–33030
Form(s) 941, 940, 943, 1042, 944, 945

Sorting Requirements/Case Priority Category Code/MFT Description
CP194 IDPA
MFT: 01, 10, 11, 12, 14, 16
CP194 – Potential Federal Tax Deposit Penalty. These documents will come to ICT with DLN numbered returns attached. If a duplicate copy is attached, only doc prep one. Destroy the second copy.

Reminder:

Do not mix MFT’s unless it’s the 94X series.

CP194 IDPA
  • CP194 – These documents will come to ICT without DLN numbered returns attached.

  • If a duplicate copy is attached, only doc prep one. Destroy the second copy.

 

BI 1120X
Program Code: 710-33081

Sorting Requirements/Case Priority Category Code/MFT Description
Form 1120X
Alert: Statute Year Returns
Case Priority 2
IXRT
MFT: 02
  • Unnumbered Form 1120X (including Spanish) are batched into this Doc Type even if the forms come in with correspondence, a Taxpayer response to a CSR initiated letter or any Notice (e.g., Bal Due Notice).

  • Does not include: Carrybacks-RINT

  • If multiple Form 1120X are submitted at the same time, each one will be imaged and counted separately. It is important to leave all supporting information with each case.

    Example:

    Copies of Form 1120 attached to a Form 1120X, should not be batched separately from the Form 1120X.

  • If correspondence is received with multiple cases attached (e.g., letter from the customer with three Form 1120X for multiple years), put Form 1120X on top and:

    1. Leave the correspondence and envelope with the case with the oldest date (e.g., 199912-200312, leave correspondence and envelope with 199912 case).

    2. Separate the other cases (multiple years) to create new cases.

    3. Insert a Separator Sheet between each new case.

 

BI OECD
Program Code: 710–33033

Sorting Requirements/Case Priority Category Code/MFT Description
OECD OECD, P810
MFT: 12
OECD – Exchange of information Form -1042S sharing
 

BI Civil Penalty 660/677 Form 3520A
Program Code: 710–33039

Sorting Requirements/Case Priority Category Code/MFT Description
Civil Penalty 660/ Form 3520A ISPJ
MFT: 13, 42, 55, 68
Taxpayer response to assessment of civil penalty on Form 3520A.

Reminder:

Do not mix MFT’s unless it’s the 94X series.

  I190
IDPF
  • Electronic CP notices (CP 19, CP193, CP293).

  • Cases created with program code 33081.

 

BI VISA
Program Code: 710–33032

Sorting Requirements/Case Priority Category Code/MFT Description
Visa IETP
MFT: 01
  • Claim filed on Form 843 by individual with SSN on claim.

  • Case should be assigned on the business account for the tax year listed, using MFT 01.

 

BI Operations Assistance Request (OAR)
Program Code: 710–33030
Form(s) 941, 1041, 1065, 8804, 8805, 940, 943, 1042, 8278, 944, 8752, 945, 8288

Sorting Requirements/Case Priority Category Code/MFT Description
Operations Assistance Request
If marked "expedite" (indication will be near box 4 of the form)
Case Priority 1
ATAO
MFT: 01, 05, 06, 08, 10, 11, 12, 13, 14, 15, 16, 17, 68
  1. Form 12412, Operational Assistance Request (OAR).

    • Most OARs will be faxed to ICT; a few original hard copies will be routed.

    • All must be given top priority.

    • The Criteria Code is Box #4 located in the upper right corner of Form 12412.

  2. After scanning, all original hard copy (not faxed) OARs must be given to the work leader who, after one week, will return the OAR with Form 3210 to the TAS Liaison Originator.

Reminder:

Do not mix MFT’s unless it’s the 94X series.

Operations Assistance Request
If not marked "expedite" Case Priority 2
  Same as above
 

BI OARs - 1120/706/709
Program Code: 710–33030

Sorting Requirements/Case Priority Category Code Description
Operations Assistance Request
If marked "expedite" (indication will be near box 4 of the form)
Case Priority 1
ATAO
  1. Form 12412, Operational Assistance Request (OAR).

    • Most OARs will be faxed to ICT; a few original hard copies will be routed.

    • All must be given top priority.

    • The Criteria Code is Box #4 located in the upper right corner of Form 12412.

  2. After scanning, all original hard copy (not faxed) OARs must be given to the work leader who, after one week, will return the OAR with Form 3210 to the TAS Liaison Originator.

Operations Assistance Request
If not marked "expedite" Case Priority 2
  Same as above
 

BI Internal Requests
Program Code: 710–33030
Form(s) 941, 1041, 1065, 8804, 8805, 940, 943, 1042, 8278, 944, 8752, 945, 8288, 3520-A

 

Sorting Requirements/Case Priority Category Code/MFT Description
CP198
CP198A
CP195
Form 4251with DLN numbered documents Miscellaneous Transcripts/documents with DLN numbered documents (Form 4251 see the note below at the end of this exhibit)
IIRQ
MFT: 01, 05, 06, 08, 10, 11, 12, 13, 14, 15, 16, 17,42,
68
  1. CP198/CP198A/Form 4251/ with DLN numbered documents, requires a separate sort due to DLN numbered documents attached.

  2. Place CP198/Form 4251 on top of the numbered document.

  3. Includes:

    • Form 3465,

    • miscellaneous documents,

    • cases from ERS,

    • Code & Edit or any other non-categorized,

    • non-taxpayer initiated documents or any other case with a DLN numbered document attached.

Reminder:

Do not mix MFT’s unless it’s the 94X series.

CP198
CP198A,
CP195
Form 4251 without DLN numbered returns Miscellaneous Transcripts/documents without DLN numbered documents(Form 4251 see the note below at the end of this exhibit)
IIRQ
  • Requires a separate sort when CP notices, Form 4251 come from Files without DLN numbered documents attached.

  • If a duplicate copy is attached, only doc prep the one with the Files annotation on it.

  • Destroy the second copy.

  • Includes Form 3465, miscellaneous transcripts/documents and any other non-categorized, non-taxpayer initiated documents or any other case without a DLN numbered document.

  • Technical Assistance Replies will normally have more than one page associated with a case. It is only necessary to batch the Technical Assistance Reply Form and any supporting information provided by Exam.

  • The CSR already has the original case on CIS. Insert a separator sheet between each Technical Assistance Reply Form.

Unpostable cases with DLN numbered documents NLUN
INUP
Unpostable cases where the transactions did not post to Master File (MF) Requires a separate sort due to DLN numbered documents attached.
Unpostable cases without DLN numbered documents NLUN
INUP
Unpostable cases where the transactions did not post to Master File (MF) Requires a separate sort when documents are received without DLN numbered document.
 

BI International Requests 1120/706/709
Program Code: 710–33031

Sorting Requirements/Case Priority Category Code Description
CP198
CP198A
CP195
Form 4251 with DLN numbered documents
Miscellaneous Transcripts/documents with DLN numbered documents (Form 4251 see the note below at the end of this exhibit)
IIRQ
  • CP198/CP198A/CP195/Form 4251/ with DLN numbered documents, requires a separate sort due to DLN numbered documents attached.

  • Place CP198/Form 4251 on top of the numbered document.

  • Requires a separate sort due to DLN numbered documents attached. Includes: Form 3465, miscellaneous documents, cases from ERS, Code & Edit or any other non-categorized, non-taxpayer initiated documents or any other case with a DLN numbered document attached.

CP198
CP198A
CP195
Form 4251 without DLN numbered returns
Miscellaneous Transcripts/documents without DLN numbered documents (Form 4251 see the note below at the end of this exhibit)
IIRQ
  • Requires a separate sort when notices or Form 4251 come from Files without DLN numbered documents attached.

  • If a duplicate copy is attached, only doc prep the one with the Files annotation on it.

  • Destroy the second copy.

  • Includes Form 3465, miscellaneous transcripts/documents and any other non-categorized, non-taxpayer initiated documents or any other case without a DLN numbered document.

  • Technical Assistance Replies will normally have more than one page associated with a case.

  • It is only necessary to batch the Technical Assistance Reply Form and any supporting information provided by Exam.

  • The CSR already has the original case on CIS. Insert a separator sheet between each Technical Assistance Reply Form

Unpostables cases with DLN numbered documents NLUN
INUP
Unpostable cases where the transactions did not post to Master File (MF) Requires a separate sort due to DLN numbered documents attached.
Unpostables cases without DLN numbered documents NLUN
INUP
Unpostable cases where the transactions did not post to Master File (MF) Requires a separate sort when documents are received without DLN numbered document.
 

Note:

The document request code used when ordering documents (CC ESTAB) will determine whether the documents need to be doc prepped and scanned, or routed to the appropriate area as paper. Document Requests (F4251) initiated by CIS. The CSRs should use request code S (CC ESTAB). This code should only be used by CSRs working in the Correspondence Imaging System (CIS). This code indicates to Files and ICT that the request must be filled by scanning the document and sending an image through CIS instead of sending a hardcopy to the requestor. When document request code S is used, “CIS Scan Request” will print below the DLN on Form 4251.

  • Additionally, document request code “X” (CC ESTAB) has been established for Non-CIS users who need a hardcopy or actual print of a TC 29X adjustment document relating to a CIS case. This request code should only be used when an actual print or hardcopy of the image is needed.

  • When document request code X is used, “CIS Print Request” will print below the DLN on Form 4251. Files and ICT will use the Form 4251 to determine whether the document is to be scanned or routed as paper. Scan the document if the form shows “CIS Scan Request” (under the DLN). If the form does not state “CIS Scan Request,” route the document as paper.

BMF International Valid Doc Type, Category Code, Program Code Combinations

Doc Type Program Code Category Codes
Correspondence 33030 TETR
Correspondence - 1120/706/709 33030 TETR
Correspondence Spanish 33031 TETR
Correspondence Spanish 1120/706/709 33031 TETR
Duplicate Filing 33081 TETR
Duplicate Filing - 1120/706/709 33081 TETR
Duplicate Filing Spanish 33084 TETR
Duplicate Filing 1120/706/709 Spanish 33084 TETR
1120X 33081 TETR
OAR 33030 TETR
OAR 1120/706/709 33030 TETR

APPENDIX D - DOCUMENT TYPES, CATEGORY CODES, BMF

  1. The Document Types, sorting requirements, Category Codes, and Priority Codes (if any) for BMF are provided in the tables below.

  2. If hurricane Harvey, Irma or Maria is claimed on any document type use category code KATX and Function-Program Code 710-82365. For any other disaster claim, use category code DSTR and function-program code 710-82360. Both category codes are Priority Code 1 and are valid for all document types except: Faxes, ITIN and Special Processing. These Category Codes are not valid with any of the ID Theft doc types.

  3. Category Codes PHZ1 (710-10006) and PHZ2 (710-10004) should be used with the first 7 Document types – Correspondence-Form xxx as well as Civil Penalty. Category codes: SPC1, SPC2, SPC3, SPC4, and ERRF are valid options for all of the document types. Category code TETR is valid with certain doc types. The last page of this Appendix provides the valid doc type/program code combination. Sites will provide guidance about when to use any of these codes.

  4. If any type of work is specialized to a site and/or team, sort this work by Document Type, category code, and program code. Write the appropriate CSR number on the Batch Cover Sheet, and enter it at batch creation.

DOC TYPE: BMF Correspondence - 940
PROGRAM CODE: 710–10000

Sorting Requirements/Case Priority Category Code/MFT Description
Correspondence - 940 TPRQ
MFT: 10
  1. Includes Form 940 with written communications from a taxpayer or representative or Form 843.

  2. Includes written communications in response to IRS requests for information, taxpayer responses to letters initiated by CSRs, annotated notice responses that provide additional data or dispute a notice.

  3. If multiple Form 843 are received for the same taxpayer, separate each form to create a new case. Each one will be imaged and counted separately. It is important to leave all supporting information with each case. Leave the envelope with the first case.

  4. Do not include:

    • Internal (IRS) Adjustment Requests (e.g., Form 3465 and undeliverables. These documents should be batched under Internal Transcripts and undeliverables. These documents should be batched under Internal Transcripts.

    • Original tax returns

  F843 Form 843 requesting abatement of interest - identified by the CSR screening process
  SPAC
  • Program Code: 710-10007

  • Correspondence written in Spanish

 

DOC TYPE: BMF Correspondence - 94X
PROGRAM CODE: 710-10000
Form(s) 941, 941c, 943, 944, 945

Sorting Requirements/Case Priority Category Code/MFT Description
Correspondence – 94X TPRQ
MFT: 01, 11, 14, 16
  1. Includes Form 94X with written communications from a taxpayer or representative or Form 843.

  2. Includes written communications in response to IRS requests for information, taxpayer responses to letters initiated by CSRs, annotated notice responses that provide additional data or dispute a notice.

  3. If multiple Form 843 are received for the same taxpayer, separate each form to create a new case. Each one will be imaged and counted separately. It is important to leave all supporting information with each case. Leave the envelope with the first case.

  4. Do not include:

    • Internal (IRS) Adjustment Requests (e.g., Form 3465 and undeliverables. These documents should be batched under Internal Transcripts.

    • Original Tax returns

Reminder:

Do not mix MFT’s unless it’s the 94X series.

  SPAC
  • Program Code 710-10007

  • Correspondence written in Spanish

  F843 Form 843 requesting abatement of interest - identified by the CSR screening process
  F8974 Form 8974 Research Credits
 

DOC TYPE: BMF Correspondence - 1041
PROGRAM CODE: 710-10000

Sorting Requirements/Case Priority Category Code/MFT Description
Correspondence – 1041 TPRQ
MFT: 05
  1. Includes Form 1041 with written communications from a taxpayer or representative or Form 843.

  2. Includes written communications in response to IRS requests for information, taxpayer responses to letters initiated by CSRs, annotated notice responses that provide additional data or dispute a notice.

  3. If multiple Form 843 are received for the same taxpayer, separate each form to create a new case. Each one will be imaged and counted separately. It is important to leave all supporting information with each case. Leave the envelope with the first case.

  4. Do not include:

    • Internal (IRS) Adjustment Requests (e.g., Form 3465 and undeliverables. These documents should be batched under Internal Transcripts.

    • Original tax returns

  F843 Form 843 requesting abatement of interest - identified by the CSR screening process
  SPAC
  • Program Code 710-10007

  • Correspondence written in Spanish

 

DOC TYPE: BMF Correspondence - 1065
PROGRAM CODE: 710-10000

Sorting Requirements/Case Priority Category Code/MFT Description
Correspondence – 1065 TPRQ
MFT: 06
  1. Includes Form 1065 with written communications from a taxpayer or representative or Form 843.

  2. Includes written communications in response to IRS requests for information, taxpayer responses to letters initiated by CSR(s), annotated notice responses that provide additional data or dispute a notice.

  3. If multiple Form 843 are received for the same taxpayer, separate each form to create a new case. Each one will be imaged and counted separately. It is important to leave all supporting information with each case.

    Example:

    Copies of Form 1065 attached to Form 843, should not be separated.

    Leave the envelope with the first case.

  4. Do not include:

    • Internal (IRS) Adjustment Requests (e.g., Form 3465) or undeliverables. These documents should be batched under Internal Transcripts.

    • Original tax returns

  SPAC
  • Program Code - 710-10007

  • Correspondence written in Spanish

 

DOC TYPE: BMF Correspondence - 1120
PROGRAM CODE: 710-10000

Sorting Requirements/Case Priority Category Code/MFT Description
Correspondence – 1120 TPRQ
MFT: 02
  1. Includes Form 1120 with written communications from a taxpayer or representative or Form 843.

  2. Includes written communications in response to IRS requests for information, taxpayer responses to letters initiated by CSR(s), annotated notice responses that provide additional data or dispute a notice.

  3. If multiple Form 1120X and Form 843 are attached to correspondence, separate each form to create a new case. Each one will be imaged and counted separately.

  4. Each Form 1120X be batched as Document type 1120X. Leave 1120X with correspondence and batch as TPRQ.

  5. Do not include:

    • Internal (IRS) Adjustment Requests (for example: Form 3465 and undeliverables. These documents should be batched under Internal Transcripts

    • Original Tax returns

  F843 Form 843 requesting abatement of interest - identified by the CSR screening process
  SPAC
  • Program Code: 710-10007

  • Correspondence written in Spanish

 

DOC TYPE: BMF Correspondence - 8752
PROGRAM CODE: 710-10000

Sorting Requirements/Case Priority Category Code/MFT Description
Correspondence – 8752 TPRQ
MFT: 15
  1. Includes Form 8752 with written communications from a taxpayer or representative or Form 843.

  2. Includes written communications in response to IRS requests for information, taxpayer responses to letters initiated by CSRs, annotated notice responses that provide additional data or dispute a notice.

  3. If multiple Form 843 are received for the same taxpayer, separate each form to create a new case.

  4. Each one will be imaged and counted separately. It is important to leave all supporting information with each case. Leave the envelope with the first case.

  5. Do not include:

    • Internal (IRS) Adjustment Requests (for example: Form 3465) or undeliverables. These documents should be batched under Internal Transcripts.

    • Original tax returns

  SPAC
  • Program Code: 710-10007

  • Correspondence written in Spanish

 

DOC TYPE: BMF Correspondence - 1066
PROGRAM CODE: 710-10000

Sorting Requirements/Case Priority Category Code/MFT Description
Correspondence – 1066 TPRQ
MFT: 07
  1. Includes Form 1066 with written communications from a taxpayer or representative or Form 843

  2. Includes written communications in response to IRS requests for information, taxpayer responses to letters initiated by CSR(s), annotated notice responses that provide additional data or dispute a notice.

  3. If multiple Form 843 are received for the same taxpayer, separate each form to create a new case.

  4. Each one will be imaged and counted separately. It is important to leave all supporting information with each case. Leave the envelope with the first case.

  5. Do not include:

    • Internal (IRS) Adjustment Requests (for example: Form 3465) or undeliverables. These documents should be batched under Internal Transcripts

    • Original tax returns

  SPAC
  • Program Code: 710-10007

  • Correspondence written in Spanish

 

DOC TYPE: BMF CP207- 94X
PROGRAM CODE: 710-10000
Form(s) 941 - 01, 940 - 10, 943 - 11, 944 - 14, 945 - 16

Sorting Requirements/Case Priority Category Code/MFT Description
CP207 Form – 94X
Case Priority 4
TPRQ
MFT: 01, 10, 11, 14, 16
CP207, FTD Information Notice-Proposal FTD Penalty, generated for the following forms: Form 941, 940, 943, 944, 945

Reminder:

Do not mix MFT’s unless it’s the 94X series.

 

DOC TYPE: BMF CP267- 94X
PROGRAM CODE: 710-10000
Form(s) 941 - 01, 940 - 10, 943 - 11, 944 - 14, 945 - 16

Sorting Requirements/Case Priority Category Code/MFT Description
CP267
Case Priority 4
TPRQ
MFT: 01, 10, 11, 14, 16
CP267, Notice of Excess Credit generated for the following forms: Form 941,940, 943, 944, 945

Reminder:

Do not mix MFT’s unless it’s the 94X series.

 

DOC TYPE: BMF CP267- 1041
PROGRAM CODE: 710-10000

Sorting Requirements/Case Priority Category Code/MFT Description
CP267
Case Priority 4
TPRQ
MFT: 05
CP267 generated for Form 1041
 

DOC TYPE: BMF CP 267- 1120
PROGRAM CODE: 710-10000

Sorting Requirements/Case Priority Category Code/MFT Description
CP267
Case Priority 4
TPRQ
MFT: 02
CP267 generated for Form 1120.
 

DOC TYPE: BMF CP267- 1066
PROGRAM CODE: 710-10000

Sorting Requirements/Case Priority Category Code/MFT Description
CP267
Case Priority 4
TPRQ
MFT: 07
CP267 generated for Form 1066
 

DOC TYPE: BMF Duplicate Filing - 940
PROGRAM CODE: 710-10050

Sorting Requirements/Case Priority Category Code/MFT Description
CP190with DLN numbered documents CP190
MFT: 10
Requires a separate sort due to DLN numbered documents attached and different Category Code. Place CP charge out on top of the numbered document.
CP190 without DLN numbered documents CP190 Requires a separate sort when CP190 charge out comes from Files without DLN numbered documents attached.
CP193
CP170with DLN numbered documents
DUPF Requires a separate sort due to DLN numbered documents attached and different Category Code. Place CP charge out on top of the numbered document.
CP193
CP170 without DLN numbered documents
DUPF Requires a separate sort when CP193 charge out comes from Files without DLN numbered documents attached.
CP293with DLN numbered documents DAUD Requires a separate sort due to DLN numbered documents attached and different Category Code. Place CP charge out on top of the numbered document.
CP293 without DLN numbered documents DAUD Requires a separate sort when CP293 charge out comes from Files without DLN numbered documents attached.
DUPF/Amended BDUP Requires a separate sort due to different category code
 

DOC TYPE: BMF Duplicate Filing - 94X
PROGRAM CODE: 710-10050
Form(s) 941 - 01, 943 - 11, 944 - 14, 945 - 16

Sorting Requirements/Case Priority Category Code/MFT Description
CP190with DLN numbered documents CP190
MFT: 01, 11, 14, 16
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

Reminder:

Do not mix MFT’s unless it’s the 94X series.

CP190 without DLN numbered documents CP190 Requires a separate sort when CP190 charge out comes from Files without DLN numbered documents attached.
CP193
CP170 with DLN numbered documents
DUPF
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP193
CP170 without DLN numbered documents
DUPF Requires a separate sort when CP193 charge out comes from Files without DLN numbered documents attached.
CP293with DLN numbered documents DAUD
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP293 without DLN numbered documents DAUD Requires a separate sort when CP293 charge out comes from Files without DLN numbered documents attached.
DUPF/Amended BDUP Requires a separate sort due to different category code
 

If a second copy of a charge out is received, only the copy with the Files annotation should be doc prepped. Destroy the second copy of the charge out.

DOC TYPE: BMF Duplicate Filing - 1041
PROGRAM CODE: 710-10050

Sorting Requirements/Case Priority Category Code/MFT Description
CP190with DLN numbered documents CP190
MFT: 05
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP 190 without DLN numbered documents CP190 Requires a separate sort when CP190 charge out comes from Files without DLN numbered documents attached.
CP193/CP170 with DLN numbered documents DUPF
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP193
CP170 without DLN numbered documents
DUPF Requires a separate sort when CP193 charge out comes from Files without DLN numbered documents attached.
CP293with DLN numbered documents DAUD
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP293 without DLN numbered documents DAUD Requires a separate sort when CP293 charge out comes from Files without DLN numbered documents attached.
DUPF/ Amended BMFO Requires a separate sort due to different category code.
 

DOC TYPE: BMF Duplicate Filing - 1065
PROGRAM CODE: 710-10050

Sorting Requirements/Case Priority Category Code/MFT Description
CP190 with DLN numbered documents CP190
MFT: 06
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP190 without DLN numbered documents CP190 Requires a separate sort when CP190 charge out comes from Files without DLN numbered documents attached.
CP193/CP 170 with DLN numbered documents DUPF
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP193/CP 170 without DLN numbered documents DUPF Requires a separate sort when CP193 charge out comes from Files without DLN numbered documents attached.
CP293 withDLN numbered documents DAUD
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP293 without DLN numbered documents DAUD Requires a separate sort when CP293 charge out comes from Files without DLN numbered documents attached.
DUPF/ Amended BMFO Requires a separate sort due to different category code
 

If a second copy of a charge out is received, only the copy with the Files annotation should be doc prepped. Destroy the second copy of the charge out.

DOC TYPE: BMF Duplicate Filing - 1120
PROGRAM CODE: 710-10050

Sorting Requirements/Case Priority Category Code/MFT Description
CP190 with DLN numbered documents CP190
MFT: 02
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP190 without DLN numbered documents CP190 Requires a separate sort when CP190 charge out comes from Files without DLN numbered documents attached.
CP193 and
CP170 with DLN numbered documents
DUPF
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP193 and
CP170 without DLN numbered documents
DUPF Requires a separate sort when CP193 charge out comes from Files without DLN numbered documents attached.
CP293with DLN numbered documents DAUD
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP293 without DLN numbered documents DAUD Requires a separate sort when CP293 charge out comes from Files without DLN numbered documents attached.
DUPF/ Amended BMFO Requires a separate sort due to different category code
 

DOC TYPE: BMF Duplicate Filing - 8752
PROGRAM CODE: 710-10050

Sorting Requirements/Case Priority Category Code/MFT Description
CP190with DLN numbered documents CP190
MFT: 15
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP190 without DLN numbered documents C190 Requires a separate sort when CP190 charge out comes from Files without DLN numbered documents attached.
CP193 and
CP 170 with DLN numbered documents
DUPF
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP193 and
CP170 without DLN numbered documents
DUPF Requires a separate sort when CP193 charge out comes from Files without DLN numbered documents attached.
CP293with DLN numbered documents DAUD
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP293 without DLN numbered documents DAUD Requires a separate sort when CP293 charge out comes from Files without DLN numbered documents attached.
DUPF/ Amended BMFO Requires a separate sort due to different category code.
 

If a second copy of a charge out is received, only the copy with the Files annotation should be doc prepped. Destroy the second copy of the charge out.

DOC TYPE: BMF Duplicate Filing - 1066
PROGRAM CODE: 710-10050

Sorting Requirements/Case Priority Category Code/MFT Description
CP190with DLN numbered documents CP190
MFT: 07
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP190 without DLN numbered documents CP190 Requires a separate sort when CP190 charge out comes from Files without DLN numbered documents attached.
CP193 and
CP170with DLN numbered documents
DUPF
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP193 and
CP170 without DLN numbered documents
DUPF Requires a separate sort when CP193 charge out comes from Files without DLN numbered documents attached.
CP293 with DLN numbered documents DAUD
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP293 without DLN numbered documents DAUD Requires a separate sort when CP293 charge out comes from Files without DLN numbered documents attached.
DUPF/ Amended BMFO Requires a separate sort due to different category code.
 

If a second copy of a charge out is received, only the copy with the Files annotation should be doc prepped. Destroy the second copy of the charge out.

DOC TYPE: BMF Form 941C
PROGRAM CODE: 710-10050

Sorting Requirements/Case Priority Category Code/MFT Description
Form 941C Alert:
Statute Year Returns
Case Priority 2
941X
MFT: 01, 11, 14, 16
  • Unnumbered Form 941C - filed to correct Form 941, 943, 944, 945 are batched into this Doc Type. If multiple Form 941C are submitted at the same time, each one will be imaged and counted separately.

    Note:

    If the original return, is a different quarter than what the ”C” is amending, detach and send to batching.

  • It is important to leave all supporting information with each case. For example, copies of Form 941 attached to a Form 941C, should not be batched separately from the Form 941C

  • If correspondence is received with multiple forms (Forms 941C) attached (e.g., letter from the customer with three Form 941C), put Form 941C on top and:

    1. Leave the correspondence and envelope with the case with the tax period (for example: 199912-200312, leave correspondence and envelope with 199912 return) and batch as Document type TPRQ.

    2. Separate the other cases (multiple quarters) to create new cases. These separate cases should be batched as Form 941C.

    3. Insert a Separator Sheet between each new case.

Reminder:

Do not mix MFT’s unless it’s the 94X series.

 

DOC TYPE: BMF Form 941X
PROGRAM CODE: 710-10050

Sorting Requirements/Case Priority Category Code/MFT Description
Form 941X Alert:
Statute Year Returns
Case Priority 2
941X
MFT: 01
  • Unnumbered Form 941X - filed to correct Form 941. If multiple Form 941X are submitted at the same time, each one will be imaged and counted separately.

    Note:

    If the "original" return, is a different quarter than what the "X" is amending, detach and send to batching)

  • It is important to leave all supporting information with each case.
    For example, copies of Form 941 attached to a Form 941X, should not be batched separately from the Form 941X.

  • If correspondence is received with multiple forms (Forms 941X) attached (e.g., letter from the customer with three Form 941X), put Form 941X on top and:

    1. Leave the correspondence and envelope with the return with the oldest tax period (for example: 199912-200312, leave correspondence and envelope with the 199912 return) and batch as Document type TPRQ.

    2. Separate the other cases (multiple quarters) to create new cases. These separate cases should be batched as Form 941X.

    3. Insert a Separator Sheet between each new case.

 

DOC TYPE: BMF Form 943X
PROGRAM CODE: 710-10050

Sorting Requirements/Case Priority Category Code/MFT Description
Form 943X Alert:
Statute Year Returns
Case Priority 2
943X
MFT: 11
  • Unnumbered Form 943X - filed to correct Form 943. If multiple Form 943X are submitted at the same time, each one will be imaged and counted separately.

    Note:

    If the "origina" l return, is a different quarter than what the "X" is amending, detach and send to batching.

  • It is important to leave all supporting information with each case.

    Example:

    Copies of Form 943 attached to a Form 943X, should not be batched separately from the Form 943X.

  • If correspondence is received with multiple forms (Forms 943X) attached (e.g., letter from the customer with three Form 943X), put Form 943X on top and:

    1. Leave the correspondence and envelope with the return with the oldest tax period (for example: 199912-200312, leave correspondence and envelope with the 199912 return) and batch as Document type TPRQ

    2. Separate the other case (multiple quarters) to create new cases. The separate cases should be batched as Form 943X.

    3. Insert a Separator Sheet between each new case.

 

DOC TYPE: BMF Form 944X
PROGRAM CODE: 710-10050

Sorting Requirements/Case Priority Category Code/MFT Description
Form 944X
Alert: Statute Year Returns
Case Priority 2
944X
MFT: 14
  • Unnumbered Form 944X - filed to correct Form 944. If multiple Form 944X are submitted at the same time, each one will be imaged and counted separately.

    Note:

    If the "origina" l return, is a different quarter than what the "X" is amending, detach and send to batching

  • It is important to leave all supporting information with each case.

    Example:

    Copies of Form 944 attached to a Form 944X, should not be batched separately from the Form 944X.

  • If correspondence is received with multiple forms (Forms 944X) attached (e.g., letter from the customer with three Form 941X), put Form 944X on top and:

    1. Leave the correspondence and envelope with the return with the oldest tax period (for example: 199912-200312, leave correspondence and envelope with the 199912 return) and batch as Document type TPRQ.

    2. Separate the other cases (multiple quarters) to create new cases. These separate cases should be batched as Form 944X.

    3. Insert a Separator Sheet between each new case.

 

DOC TYPE: BMF Form 945X
PROGRAM CODE: 710-10050

Sorting Requirements/Case Priority Category Code/MFT Description
Form 945X
Alert: Statute Year Returns
Case Priority 2
945X
MFT: 16
  • Unnumbered Form 941X - filed to correct Form 945. If multiple Form 945X are submitted at the same time, each one will be imaged and counted separately.

    Note:

    If the “original” return, is a different quarter than what the "X " is amending, detach and send to batching.

  • It is important to leave all supporting information with each case.

    Example:

    Copies of Form 945 attached to a Form 945X, should not be batched separately from the Form 945X.

  • If correspondence is received with multiple forms (Forms 945X) attached (e.g., letter from the customer with three Form 945X), put Form 945X on top and:

    1. Leave the correspondence and envelope with the return with the oldest tax period (for example: 199912-200312, leave correspondence and envelope with the 199912 return) and batch as Document type

    2. Separate the other case (multiple quarters) to create new cases. The separate cases should be batched as Form 945X.

    3. Insert a Separator Sheet between each new case.

 

DOC TYPE: BMF Form – 1065X
PROGRAM CODE: 710-10050

Sorting Requirements/Case Priority Category Code/MFT Description
orm 1065X
Statute Year Returns
Case Priority 2
XRET
MFT: 06
Form 1065X, Amended Return or Administrative Adjustment Request (AAR)
 

DOC TYPE: BMF Form 1066X
PROGRAM CODE: 710-10050

Sorting Requirements/Case Priority Category Code/MFT Description
Form 1066X
Statute Year Returns
Case Priority 2
XRET
MFT: 07
Form 1066X, Amended Return or Administrative Adjustment Request (AAR), and Box H - Real Estate Mortgage Investment Conduit (REMIC) is checked.
This only applies if on the 1065X form these 2 boxes are marked, it makes it a REMIC case, which goes MFT 07.
 

DOC TYPE: BMF 1120X
PROGRAM CODE: 710-10050

Sorting Requirements/Case Priority Category Code/MFT Description
Form 1120X:
Statute Year Returns
Case Priority 2
XRET
MFT: 02
  • Unnumbered Form 1120X (including Spanish) are batched into this Doc Type.

  • If multiple Form 1120X are submitted at the same time, each one will be imaged and counted separately.

  • It is important to leave all supporting information with each case.

    Example:

    Copies of Form 1120 attached to a Form 1120X, should not be batched separately from the Form 1120X.

  • If correspondence is received with multiple cases attached (for example: letter from the customer with three Form 1120X for multiple years), put Form 1120X on top and:

    1. Leave the correspondence and envelope with the return with the oldest tax year (for example: 199912-200312, leave correspondence and envelope with 199912 return) and batch as Document Type – Correspondence.

    2. Separate the other cases (multiple years) to create new cases and batch them as Form 1120X.

    3. Insert a Separator Sheet between each new case and batch them as Form 1120X. The only exception is Carrybacks-RINT/1120X and 1139 TENT.

 

DOC TYPE: BMF Internal Requests
PROGRAM CODE: 710-10000
Form(S) 941- 01, 1041- 05, 1065- 06,1066 - 07, CT-1 -09, 940- 10, 943- 11, 1042 -12, 944- 14, 8752-15, 945- 16

Sorting Requirements/Case Priority Category Code/MFT Description
CP198,
CP192
Form 4251 with DLN numbered documents Miscellaneous Transcripts/documents with DLN numbered documents (Form 4251 see the note at the end of this exhibit)
IRRQ
MFT: 00, 01, 05, 06, 07, 09, 10, 11, 12, 13, 14, 15, 16 (same MFTs for below)
  • CP Notices, Form 4251 with DLN numbered documents attached.

  • Place CP198/CP192/Form 4251 on top of the numbered document.

  • Includes Form 3465, miscellaneous transcripts/documents and any other non-categorized, non-taxpayer initiated documents or any other case with a DLN numbered document

Reminder:

Do not mix MFT’s unless it’s the 94X series.

CP198
CP192
Form 4251
Misc. Transcripts/document} without DLN numbered documents (Form 4251 see the note at the end of this exhibit)
IRRQ
  • Requires a separate sort when CP notices or Form 4251 come from Files without DLN numbered documents attached.

  • If a duplicate copy is attached, only doc prep the one with the Files annotation on it.

  • Destroy the second copy.

  • Includes Form 3465, miscellaneous transcripts/documents and any other non-categorized, non-taxpayer initiated documents or any other case without a DLN numbered document

Miscellaneous Transcripts IRRQ
  • Requires a separate sort based on portrait orientation of document. Only doc prep the page containing the Tax Period.

  • Destroy the duplicate copy of the notice.

CP195 charge out with DLN numbered documents OTHE
MFT: 01, 05, 07, 10, 11, 12, 13, 14, 15, 16
Requires a separate sort due to different category code. Requires a separate sort due to DLN numbered document attached and different category code.

Reminder:

Do not mix MFT’s unless it’s the 94X series.

CP195 charge out without DLN numbered documents. OTHE
MFT: 01, 05, 07, 10, 11, 12, 13, 14, 15, 16
Requires a separate sort due to different category code. Requires a separate sort when CP195 charge out comes from files without DLN numbered documents attached.

Reminder:

Do not mix MFT’s unless it’s the 94X series.

Unpostables cases with DLN numbered documents. NLUN
MFT: 00, 01, 05, 06, 07, 10, 11, 12, 13, 14, 15, 16
Requires a separate sort due to DLN numbered documents attached and different category code. Examples include: Form 4251; Form 3465, GUF-transcripts.

Reminder:

Do not mix MFT’s unless it’s the 94X series.

Unpostables cases without DLN numbered documents. NLUN
MFT: 00, 01, 05, 06, 07, 10, 11, 12, 13, 14, 15, 16
Requires a separate sort due to DLN numbered documents attached and different category code. Examples include: Form 4251; Form 3465, GUF-transcripts

Reminder:

Do not mix MFT’s unless it’s the 94X series.

Any incoming case designated with a specific CSR number with DLN numbered documents TPRQ
MFT: 00, 01, 05, 06, 07, 09, 10, 11, 12, 13, 14, 15,16
Requires a separate sort due to DLN numbered documents attached. Includes cases from ERS, Code & Edit, or any other case with a DLN numbered document attached designated with a specific CSR number.

Reminder:

Do not mix MFT’s unless it’s the 94X series.

Any incoming case designated with a specific CSR number without DLN numbered documents TPRQ
MFT: 00, 01, 05, 06, 07, 09, 10, 11, 12, 13, 14, 15,16
  • Requires a separate sort because these documents will not have DLN numbered documents attached. Includes cases returned from Exam, Statute or response to Tech Assist Request or any other incoming case designated with a specific CSR number.

  • Technical Assistance Replies will normally have more than one page associated with a case.

  • It is only necessary to batch the Technical Assistance Reply Form and any supporting information provided by Exam.

  • The CSR already has the original case on CIS. Insert a separator sheet between each Technical Assistance Reply Form.

  • Do not mix MFT’s unless it’s the 94X series.

 
IRRQ
MFT: 00, 01, 05, 06, 10, 11, 14, 16, 34, 43
Program Code 710-10310 - ACA related

Reminder:

Do not mix MFT’s unless it’s the 94X series.

 

DOC TYPE: BMF Internal Requests- 1120
PROGRAM CODE: 710-10000

Sorting Requirements/Case Priority Category Code/MFT Description
CP98
CP192
Form 4251with DLN numbered documents
Miscellaneous Transcripts/documents with DLN numbered documents (Form 4251 see note below)
IRRQ
MFT: 02
  • CP98/CP192/Form 4251 with DLN numbered documents attached.

  • Place CP98/CP192/Form 4251 on top of the numbered document.

  • Includes Form 3465, miscellaneous transcripts/documents and any other non-categorized, non-taxpayer initiated documents or any other case with a DLN numbered document

CP98
CP192
Form 4251
Misc. Transcripts/document without DLN numbered documents
(Form 4251 see the note below at the end of this exhibit.)
IRRQ
  • Requires a separate sort when CP98/CP192/Form 4251 come from Files without DLN numbered documents attached.

  • If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy.

  • Includes Form 3465, miscellaneous transcripts/documents and any other non-categorized, non-taxpayer initiated documents or any other case without a DLN numbered document

Miscellaneous Transcripts IRRQ
  • Requires a separate sort based on portrait orientation of document. Only doc prep the page containing the “Tax Period” as shown below.

  • Destroy the duplicate copy of the notice.

CP195 charge out with DLN numbered documents OTHE
  • Requires a separate sort due to DLN numbered document attached and different category code.

  • If CP195 are specialized to certain teams, campuses enter appropriate CSR number either on CP195 itself, or on the Batch Cover Sheet for entry at scanner

CP195 charge out without DLN numbered documents. OTHE
  • Requires a separate sort due to different category code.

  • Requires a separate sort when CP195 comes from files without DLN numbered documents attached.

Unpostables cases with DLN numbered documents. NLUN Requires a separate sort due to DLN numbered documents attached and different category code.

Example:

Form 4251; Form 3465, GUF-transcripts.

Unpostables cases without DLN numbered documents. NLUN Requires a separate sort due to DLN numbered documents attached and different category code.

Example:

Form 4251; Form 3465, GUF-transcripts.

Any incoming case designated with a specific CSR number with DLN numbered documents TPRQ Requires a separate sort due to DLN numbered documents attached. Includes cases from ERS, Code & Edit, or any other case with a DLN numbered document attached designated with a specific CSR number.
Any incoming case designated with a specific CSR number without DLN numbered documents TPRQ
  • Requires a separate sort because these documents will not have DLN numbered documents attached.

  • Includes cases returned from Exam, Statute or response to Tech Assist Request or any other incoming case designated with a specific CSR number.

  • Technical Assistance Replies will normally have more than one page associated with a case. It is only necessary to batch the Technical Assistance Reply Form and any supporting information provided by Exam.

  • The CSR already has the original case on CIS. Insert a separator sheet between each Technical Assistance Reply Form.

 

DOC TYPE: BMF Operations Assistance Request (OAR)
PROGRAM CODE: 710-10000
Form(S) 941 - 01, 1041- 05, 1065 - 06, 1066 - 07, 940 - 10, 943 - 11, 944 - 14,945 - 16, 8752 – 15,

Sorting Requirements/Case Priority Category Code/MFT Description
OARS Operations Assistance Request If marked "expedite" (indication will be near box 4 of the form)
Case Priority 1
ATAO
MFT: 01, 05, 06, 07, 10, 11, 13, 14, 15, 16
  • Form 12412, Operational Assistance Request (OAR).

  • Most OARs will be faxed to ICT; a few original hard copies will be routed.

  • All must be given top priority.

  • The Criteria Code is Box #4 located in the upper right corner of Form 12412.

  • After scanning, all original hard copy (not faxed) OARs must be given to the work leader who, after one week, will return the OAR with Form 3210 to the TAS Liaison Originator.

Reminder:

Do not mix MFT’s unless it’s the 94X series.

Operations Assistance Request If not marked "expedite"
Case Priority 2
ATAO Same as above
 

DOC TYPE: BMF OARs – 1120
PROGRAM CODE: 710-10000

Sorting Requirements/Case Priority Category Code/MFT Description
OARS Operations Assistance Request If marked "expedite" (indication will be near box 4 of the form)
Case Priority 1
ATAO
MFT: 02
  • Form 12412, Operational Assistance Request (OAR).

  • Most OARs will be faxed to ICT; a few original hard copies will be routed.

  • All must be given top priority. The Criteria Code is Box #4 located in the upper right corner of Form 12412.

  • After scanning, all original hard copy (not faxed) OARs must be given to the work leader who, after one week, will return the OAR with Form 3210 to the TAS Liaison Originator.

Operations Assistance Request If not marked "expedite"
Case Priority 2
ATAO Same as above
 

DOC TYPE: BMF Penalty Appeals
PROGRAM CODE: 710-01011
Form 941 - 01, Form 1041- 05, Form 1065 - 06, Form 1066 - 07, Form 940 - 10, Form 943 - 11, Form 944 - 14, Form 8752 – 15, Form 945 - 16, Form 1120 - 02

Sorting Requirements/Case Priority Category Code/MFT Description
Penalty Appeals
Case Priority 4
SPC2
MFT: 01, 02, 05, 06, 07, 10,11, 13, 14,15, 16
Includes replies to Letter 852C and Letter 854C.

Reminder:

Do not mix MFT’s unless it’s the 94X series.

  SPC2, SPC1 SPC3, SPC4, TETR, ERRF Program Code - 710 - 01011
 

DOC TYPE: BMF Misc CP174
PROGRAM CODE: 710-01014

Sorting Requirements/Case Priority Category Code/MFT Description
MISC - CP174
Form 940with DLN numbered documents
CP174
MFT: 10
  • CP174 -- Unexplained or Questionable Exempt Amounts (FUTA). These documents will come to ICT with a DLN numbered returns attached.

  • Place CP174 on top of the numbered document.

MISC - CP174
Form 940 without DLN numbered documents
CP174
  • CP174 These documents will come to ICT without DLN numbered returns attached. If a duplicate copy is attached, only doc prep one.

  • Destroy the second copy

 

DOC TYPE: BMF ACA-Correspondence -1120
PROGRAM CODE: 710-10310

Sorting Requirements/Case Priority Category Code/MFT Description
  ACA1
MFT: 02
Correspondence related to 45R.

Example:

Letter with Form 8941 attached.

 

DOC TYPE: BMF Misc CP175
PROGRAM CODE: 710-15420
Form 941 - 01, Form 1041 - 05, Form 943 - 11, Form 944 - 14, Form 945 - 16

Sorting Requirements/Case Priority Category Code/MFT Description
MISC - CP175with DLN numbered documents CP175
MFT: 01, 05, 11, 14, 16
  • CP175 -- Unexplained Adjustment to Withholding, Tips or FICA. These documents will come to ICT with a DLN numbered returns attached.

  • Place CP175 on top of the numbered document.

Reminder:

Do not mix MFT’s unless it’s the 94X series.

MISC - CP175
without DLN numbered documents
CP175
  • CP175 – These documents will come to ICT without DLN numbered returns attached.

  • If a duplicate copy is attached, only doc prep one. Destroy the second copy

 

DOC TYPE: BMF Misc CP194,
PROGRAM CODE: 710-15420
Form 941 - 01, Form 943 - 11, Form 944 - 14, Form 945 - 16, Form CT-1

Sorting Requirements/Case Priority Category Code/MFT Description
MISC - CP194 CP194
MFT: 01, 11, 14, 16, 09
  • CP194-Potential Federal Tax Deposit Penalty. These documents will come to ICT with DLN numbered returns attached.

  • Place charge out on top of the numbered document.

Reminder:

Do not mix MFT’s unless it’s the 94X series.

MISC - CP194 CP194
  • CP194 -These documents will come to ICT without DLN numbered returns attached.

  • If a duplicate copy is attached, only doc prep one. Destroy the second copy.

 

DOC TYPE: BMF Misc CP234 - 1120
PROGRAM CODE: 710-15420

Sorting Requirements/Case Priority Category Code/MFT Description
MISC - CP234with DLN numbered document CP234
MFT: 02
  • CP234 – Estimated Tax Penalty. Forms 1120. These documents will come to ICT with DLN numbered returns attached.

  • Place charge out on top of the numbered document.

MISC - CP234 without DLN numbered document CP234
  • CP234 – Estimated Tax Penalty. Forms 1120. These documents will come to ICT without DLN numbered returns attached.

  • If a duplicate copy is attached, only doc prep one. Destroy the second copy

 

DOC TYPE: BMF Misc CP234 - 1041
PROGRAM CODE: 710-15420

Sorting Requirements/Case Priority Category Code/MFT Description
MISC - CP234with DLN numbered document CP234
MFT: 05
  • CP234 – Estimated Tax Penalty. Forms 1041. These documents will come to ICT with DLN numbered returns attached.

  • Place charge out on top of the numbered document.

MISC - CP234 without DLN numbered document CP234
  • CP234 – Estimated Tax Penalty. Forms 1120. These documents will come to ICT without DLN numbered returns attached.

  • If a duplicate copy is attached, only doc prep one. Destroy the second copy

 

DOC TYPE: BMF Civil Penalty
PROGRAM CODE: 710-10000

Sorting Requirements/Case Priority Category Code/MFT Description
BMF Civil Penalty TPRQ
MFT: 13
Correspondence pertaining to civil penalty
 

DOC TYPE: BMF ACA Correspondence
PROGRAM CODE: 710-10310
Form 941 - 01, 1041 - 05, 943 - 11, 944 - 14, 945 - 16, 1065 - 06

Sorting Requirements/Case Priority Category Code/MFT Description
BMF ACA Correspondence ACAC
MFT: 00, 01, 10, 11, 14, 16, 05, 06, 43
Correspondence related to Affordable Care Act (ACA)

Reminder:

Do not mix MFT’s unless it’s the 94X series.

 

DOC TYPE: BMF ACA Correspondence 4980H
Program Code 710-10310

Sorting Requirements/Case Priority Category Code/MFT Description
BMF ACA Correspondence 4980H ACA
MFT: 43
Correspondence related to 4980H (AM impact not yet determined).

 

DOC TYPE: BMF ACA Correspondence 45R
PROGRAM CODE: 710-10310
Forms 1041 - 05, 1065 - 06

Sorting Requirements/Case Priority Category Code/MFT Description
BMF ACA Correspondence 45R ACA1
MFT: 00,05, 06
Correspondence related to 45R.

Example:

Letter with Form 8941 attached.

 

DOC TYPE: BMF ACA 4442
PROGRAM CODE: 710-60210
Form 941 - 01, 1041 - 05, 943 - 11, 944 - 14, 945 - 16, 1065 - 06

Sorting Requirements/Case Priority Category Code/MFT Description
BMF ACA 4442 TWRA
MFT: 00, 01, 10, 11, 14, 16, 05, 06, 43
Form 4442 related to ACA

Reminder:

Do not mix MFT’s unless it’s the 94X series.

 

DOC TYPE: BMF ACA F-1120X
PROGRAM CODE: 710-10320

Sorting Requirements/Case Priority Category Code/MFT Description
BMF ACA F-1120X ACAX
MFT: 02
Form 1120x with ACA criteria.

Example:

Form 1120X with Form 8941 attached.

 

DOC TYPE: BMF ACA Amended
PROGRAM CODE: 710-10320
Form 941 - 01, 1041 - 05, 943 - 11, 944 - 14, 945 - 16, 1065 - 06

Sorting Requirements/Case Priority Category Code/MFT Description
BMF ACA Amended ACAX
MFT: 00, 01, 10, 11, 14, 16, 05, 06, 43
Amended return with ACA criteria.

Example:

Amended Form 1041 with Form 8941 attached.

Reminder:

Do not mix MFT’s unless it’s the 94X series.

 

DOC TYPE: BMF ACA-Correspondence -1120
PROGRAM CODE: 710 - 10310

Sorting Requirements/Case Priority Category Code/MFT Description
BMF ACA-Correspondence -1120 ACA1
MFT: 02
Correspondence related to 45R.

Example:

Letter with Form 8941 attached.

 

DOC TYPE: BMF 4442
PROGRAM CODE: 700-60200

Sorting Requirements/Case Priority Category Code/MFT Description
Forms 4442
Case Priority 1
TWRO
MFT: 02
  • Inquiry Referral requires a separate sort due to the case priority.

  • Write the CSR number on top of the form if present in Box 27 of Form 4442.

 

BMF Valid Doc Type, Category Code, Program Code Combinations

Doc Type Program Code Category Codes
Correspondence - 1041 10000 TETR
Correspondence - 1120 10000 TETR
Duplicate Filing - Form 1041 10050 TETR
Duplicate Filing - Form 1120 10050 TETR
Form- 1120X 10050 TETR
Internal Requests 10000 TETR
Operations Assistance Request 10000 TETR
OARs-1120 10000 TETR
Penalty Appeals 10000 TETR
Penalty Appeals - 1120 10000 TETR
No Merge 10000 TETR
No Merge 1120 10000 TETR

 

Doc Type - BMF Generic - Correspondence
Program Code: 710-10000

Sorting Requirements/Case Priority Category Code/MFT Description
BMF Generic TPRQ When the BMF-ICT clerks are unable to determine the doc type on correspondence

 

Files needs to send the physical document request to the originating CSR request, not to ICT, and then forward to the CSR.

Note:

The document request code used when ordering documents (CC ESTAB) will determine whether the documents need to be doc prepped and scanned, or routed to the appropriate area as paper. Document Requests (Form 4251) initiated by CIS. The CSRs should use request code "S" (CC ESTAB). This code should only be used by CSRs working in the Correspondence Imaging System (CIS).
This code indicates to Files and ICT that the request must be filled by scanning the document and sending an image through CIS instead of sending a hardcopy to the requestor. When document request code "S" is used, CIS Scan Request will print below the DLN on Form 4251.

  • Additionally, document request code "X" (CC ESTAB) has been established for Non-CIS users who need a hardcopy or actual print of a TC 29X adjustment document relating to a CIS case. This request code should only be used when an actual print or hardcopy of the image is needed

  • When document request code "X" is used, CIS Print Request will print below the DLN on Form 4251. Files and ICT will use the Form 4251 to determine whether the document is to be scanned or routed as paper. Scan the document if the form shows CIS Scan Request (under the DLN). If the form does not state CIS Scan Request, route the document as paper.

Note:

If TP includes one of the following letters: 216C, 449C, 662C, 2364C, or 4734C, with BMF Carryback form or loose, process as a carryback. Write the CSR number from the letter on the top of each form and place the letter in the back. For Ogden - BMF Carrybacks are assigned CSR # 0434904179

APPENDIX E - DOCUMENT TYPES, CATEGORY CODES, PRIORITY CODES EXEMPT ORGANIZATION (EO) OGDEN

  1. The Document Types, sorting requirements, Category Codes, and Priority Codes (if any) for EO are provided in the tables below.

  2. If hurricane Harvey, Irma or Maria is claimed on any document type use category code KATX and Function-Program Code 710-82365. For any other disaster claim, use category code DSTR and function-program code 710-82360. Both category codes are Priority Code 1 and are valid for all document types except: Faxes, ITIN and Special Processing. These Category Codes are not valid with any of the ID Theft doc types.

  3. Category codes, SPC1, SPC2, SPC3, SPC1 and ERRF are valid codes with any Document Type. Category code TETR is valid with all document types that include Form 990T, MFT 34 except Internal Transcripts. Category code EDUP (710-13103) is valid with the following document types: EO Duplicate Filing and EO Amended Form(s) 990, 990C, 990PF, 990T, 1041A, 5227 and EO Duplicate Filing and EO Amended 1120POL, 1120C.

  4. Category code ERRF has been added as a valid code for all document types. Sites will provide guidance about when to use these codes.

  5. If any type of work is specialized to a site and/or team, sort this work by Document Type, category code, and program code. Write the appropriate CSR number on the Batch Cover Sheet, and enter it at batch creation.

DOC TYPE: E0 4442
PROGRAM CODE: 700-60200

Sorting Requirements/
Case Priority
Category
Code/
MFT
Description
Form 4442
Case Priority 1
TWRO
MFT: 33, 34, 36, 37, 44, 46, 49, 50, 67, 84, 85
  • Form 4442, Inquiry Referral requires a separate sort due to the case priority.

  • Write the CSR number on top of the form if present in Box 27 of Form 4442.

 

DOC TYPE: E0 4442 -1120
PROGRAM CODE: 700-60200

Sorting Requirements/
Case Priority
Category Code/MFT Description
Form 4442
Case Priority 1
TWRO
MFT: 02
  • Form 4442, Inquiry Referral requires a separate sort due to the case priority.

  • Write the CSR number on top of the form if present in Box 27 of Form 4442.

 

DOC TYPE:E0 ACA Corr45R
PROGRAM CODE: 710-10310

Sorting Requirements/
Case Priority
Category Code/MFT Description
  ACA1
MFT: 34
Correspondence related to 45R.

Example:

Letter with Form 8941 attached.

 

DOC TYPE: EO-ACA Amended 990T
PROGRAM CODE: 710-10320

Sorting Requirements/
Case Priority
Category
Code/MFT
Description
  ACAX
MFT: 34
Amended return with ACA criteria.

Example:

Amended Form 990-T with Form 8941 attached.

 

DOC TYPE: EO Correspondence
PROGRAM CODE: 710-13100
Form 990- 67, 990C -33, 990PF -44, 990T -34, 1041A -36, 4720-50, 5227-37

Sorting Requirements/Case Priority Category Code/MFT Description
Correspondence EXOR
MFT: 67, 33, 44, 34, 36. 50, 37
  1. Includes all written communications from a taxpayer or representative.

  2. Includes written communications in response to IRS requests for information, taxpayer responses to letters initiated by CSRs annotated notice responses that provide additional data or dispute a notice, and anything that is not included in any one of the Document Types listed below.

  3. If more than one tax period for Form 843 is received for the same taxpayer, separate the years to create a new case. Leave the envelope with the first case.

  4. Do not include:

    • Internal (IRS) Adjustments Requests (for example: Form 3465) that are not CSR Specific. These documents should be batched under Internal Transcripts (and Certain CP Notices).

    • EO Penalty Appeals Correspondence. These are batched within their own document type.

    • Original Tax Returns

  F843 Form 843 requesting abatement of interest - identified by the CSR screening process
 

DOC TYPE: EO Correspondence – 1120POL, 1120C
PROGRAM CODE: 710-13100

Sorting Requirements/Case Priority Category Code/MFT Description
Correspondence
Form 1120POL
Form 1120C
EXOR
MFT: 02
  1. Includes all written communications from a taxpayer or representative, excluding tax returns.

  2. Includes written communications in response to IRS requests for information, taxpayer responses to letters initiated by CSRs, annotated notice responses that provide additional data or dispute a notice.

  3. If more than one tax period for the following Forms are received for the same taxpayer, separate the years to create a new case. Leave the envelope with the first case: Do not include:

    • Form 843 (Claim for Refund and Request for Abatement)

    • Internal (IRS) Adjustments Requests (e.g., Form 3465) that are not CSR Specific. These documents should be batched under Internal Transcripts (and Certain CP Notices). Original Tax Returns

  F843 Form 843 requesting abatement of interest - identified by the CSR screening process
 

DOC TYPE: EO Tax Exempt Bonds - Correspondence
PROGRAM CODE: 710-13200

Sorting Requirements/Case Priority Category Code/MFT Description
Form 8038 OTHE
MFT: 46, 85
Unnumbered Form 8038, check to ensure amended return box is not checked.
Tax Exempt Bonds (TEB) First Read TBFR
MFT: 46, 85
Correspondence referencing Form 8038 identified through CSR/TE sort.
 

DOC TYPE: EO CP234 - 990C, 990T, 1041A
PROGRAM CODE: 710-13100
Form(s) 990C-33, 990PF-44, 990T-34, 1041A-36

Sorting Requirements/Case Priority Category Code/MFT Description
CP234with DLN numbered document CP234
MFT:
33, 34, 36, 44
  • CP234 – Estimated Tax Penalty. These documents will come to ICT with DLN numbered returns attached.

  • Place charge out on top of the numbered document

CP234 without DLN numbered document CP234
  • CP234 – Estimated Tax Penalty. These documents will come to ICT without DLN numbered returns attached.

  • If a duplicate copy is attached, only doc prep one. Destroy the second copy.

 

DOC TYPE: EO CP234 - 1120C, 1120POL
PROGRAM CODE: 710-13100

Sorting Requirements/Case Priority Category Code/MFT Description
CP234with DLN numbered document CP234
MFT: 02
  • CP234 – Estimated Tax Penalty. These documents will come to ICT with DLN numbered returns attached.

  • Place charge out on top of the numbered document.

CP234 without DLN numbered document CP234
MFT: 02
  • CP234 – These documents will come to ICT without DLN numbered returns attached.

  • If a duplicate copy is attached, only doc prep one. Destroy the second copy.

 

DOC TYPE: EO Duplicate Filing
PROGRAM CODE: 710-13103
Form(s) 990- 67, 990C-33, 990PF-44, 990T-34, 1041A-36, 4720-50, 5227-37

Sorting Requirements/Case Priority Category Code/MFT Description
CP190 charge out with DLN numbered documents CP190
MFT:
67, 33, 44, 34, 36, 50, 37, 85
(same MFTs for below)
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP190 charge out without DLN unnumbered documents CP190 Requires a separate sort when CP190 charge out comes from Files without DLN numbered documents attached.
CP193 charge out with DLN numbered documents EDUP
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP193 charge out without DLN numbered documents EDUP Requires a separate sort when CP 193 charge out comes from Files without DLN numbered documents attached.
CP293 charge out with DLN numbered documents DAUD
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP293 charge out without DLN numbered documents DAUD Requires a separate sort when CP293 charge out comes from Files without DLN numbered documents attached.
 

DOC TYPE: EO Duplicate Filing - 1120POL, 1120C
PROGRAM CODE: 710-13103

Sorting Requirements/Case Priority Category Code/MFT Description
CP190 charge out with DLN numbered documents CP190
MFT: 02
(same MFT for below)
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP190 charge out without DLN numbered documents CP190 Requires a separate sort when CP190 charge out comes from Files without DLN numbered documents attached.
CP193 charge out with DLN numbered documents EDUP
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP193 charge out without DLN numbered documents EDUP Requires a separate sort when CP193 charge out comes from Files without DLN numbered documents attached.
CP293 charge out with DLN numbered documents DAUD
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document.

CP293 charge out without DLN numbered documents DAUD Requires a separate sort when CP293 charge out comes from Files without DLN numbered documents attached.
 

DOC TYPE: EO Duplicate Filing - 8703
PROGRAM CODE: 710-13203

Sorting Requirements/Case Priority Category Code/MFT Description
CP190
CP193
CP293 charge out with DLN numbered documents
TDUP
MFT: 84
(same MFT for below)
  • Requires a separate sort due to DLN numbered documents attached and different Category Code.

  • Place CP charge out on top of the numbered document. MFT 84 Requires a 3 digit plan number.

CP190
CP193
CP293 charge out without DLN numbered documents
TDUP Requires a separate sort when CP190 charge out comes from Files without DLN numbered documents attached. MFT 84 Requires a 3 digit plan number.
 

DOC TYPE: EO Amended
PROGRAM CODE: 710-13103
Form(s) 990- 67, 990C-33, 990PF-44, 990T-34, 1041A-36, 4720-50, 5227-37

Sorting Requirements/Case Priority Category Code/MFT Description
Amended
Form 990,
Form 990C
Form 990PF
Form 990T
Form 1041A
Form 4720
Form 5227
EDUP /DUPF
MFT: 33, 34, 36, 37, 44, 49, 50, 67
  • Unnumbered amended returns are batched into this Doc Type even if the forms come in with correspondence, a Taxpayer response to a CSR initiated letter with the CSR number on it, or any Notice (e.g., Bal Due Notice).

  • Write the CSR number on the top of each amended return if applicable, and place the page with the CSR number on it behind page 1 of the return.

 

DOC TYPE: EO Amended - 1120POL, 1120
PROGRAM CODE: 710-13103

Sorting Requirements/Case Priority Category Code/MFT Description
Amended
Form 1120 POL
Form 1120C
EDUP
DUPF
MFT:02
  • Unnumbered amended returns are batched into this Doc Type even if the forms come in with correspondence, a Taxpayer response to a CSR initiated letter with the CSR number on it, or any Notice (e.g., Bal Due Notice).

  • Write the CSR number on the top of each amended return if applicable, and place the page with the CSR number on it behind page 1 of the return.

 

DOC TYPE: EO Operations Asst. Req. (OAR)
PROGRAM CODE: 710-13100
Form 990- 67, 990C-33, 990PF-44, 990T-34, 1041A-36, 4720-50, 5227-37

Sorting Requirements/Case Priority Category Code/MFT Description
Operations Assistance Request (One sort) If marked "expedite" (indication will be near box 4 of the form)
Case Priority 1
ATAO
MFT: 67, 33, 44, 34, 36. 50, 37
  • F12412, Operational Assistance Request (OAR).

  • Most OARs will be faxed to ICT; a few original hard copies will be routed.

  • All must be given top priority.

  • The Criteria Code is Box #4 located in the upper right corner of F12412.

  • After scanning, all original hard copy (not faxed) OARs must be given to the workleader who, after one week, will return the OAR with F3210 to the TAS Liaison Originator.

Operations Assistance Request (One sort) If not marked "expedite"
Case Priority 2
ATAO
MFT:67, 33, 44,34, 36. 50, 37
Same as above.
 

DOC TYPE: EO OAR – 1120POL, 1120C
PROGRAM CODE: 710 - 13100

Sorting Requirements/Case Priority Category Code/MFT Description
Operations Assistance Request (One sort) If marked "expedite" (indication will be near box 4 of the form)
Case Priority 1
ATAO
MFT: 02
  • F12412, Operational Assistance Request (OAR).

  • Most OARs will be faxed to ICT; a few original hard copies will be routed.

  • All must be given top priority.

  • The Criteria Code is Box #4 located in the upper right corner of F12412.

  • After scanning, all original hard copy (not faxed) OARs must be given to the workleader who, after one week, will return the OAR with F3210 to the TAS Liaison Originator.

Operations Assistance Request (One sort) If not marked "expedite" Priority 2 ATAO
MFT: 02
Same as above.
 

DOC TYPE: EO Carryback - 990C, 990T
PROGRAM CODE: 710-13102 (RINT)
PROGRAM CODE: 710-13106 (TENT)

Sorting Requirements/Case Priority Category Code/MFT Description
Restricted Interest Carrybacks (Amended)
Form 990C
Form 990T
$1 million or more
Case Priority 1
RINT
MFT: 33, 34
(same MFTs for below)
  • Requires a separate sort based on different Category Code and dollar amount.

  • If multiple tax periods are received for the same taxpayer, separate Forms by the appropriate tax period.

  • It is important to leave all supporting information with each case.

  • If TP response to a letter includes Carrybacks, write the CSR number on the top of each Carryback and place the letter behind page 1.

Restricted Interest Carrybacks (Amended)
Form 990C
Form 990T
$100,000- $999,999
Case Priority 2
RINT See above.
Restricted Interest Carrybacks (Amended)
Form 990C
Form 990T
$5,000 - $99,999
Case Priority 3
RINT See above.
Restricted Interest Carrybacks (Amended Form 990C
Form 990T
$0- $4,999
Case Priority 4
RINT See above.
Tentative Carrybacks
Form 1139
Form 990T
Form, 990C
$1 million or more
Case Priority 1
TENT See above.
Tentative Carrybacks
Form 1139
Form 990T
Form 990C
$100,000- $999,999
Case Priority 2
TENT See above.
Tentative Carrybacks
Form 1139
Form
Form 990T
Form 990C
$5,000- $99,999
Case Priority 3
TENT See above.
Tentative Carrybacks
Form 1139
Form 990T
Form 990C
$0- $4,999
Case Priority 4
TENT See above.
 

DOC TYPE: EO Carrybacks - 1120POL, 1120C
PROGRAM CODE: 710-13102 (RINT)
PROGRAM CODE: 710-13106 (TENT)

Sorting Requirements/Case Priority Category Code/MFT Description
Restricted Interest Carrybacks (Amended)
Form 1120POL
Form 1120C
$1 million or more
Case Priority 1
RINT
MFT: 02
(same MFT for below)
  • Requires a separate sort based on different Category Code and dollar amount.

  • If multiple tax periods are received for the same taxpayer, separate Forms by the appropriate tax period. It is important to leave all supporting information with each case.

  • If TP response to a letter includes Carrybacks, write the CSR number on the top of each Carryback and place the letter behind page 1.

Restricted Interest Carrybacks (Amended) Form 1120POL Form 1120C)
$100,000- $999,999
Case Priority 2
RINT See above.
Restricted Interest Carrybacks (Amended) Form 1120POL
Form 1120C)
$5,000- $99,999
Case Priority 3
RINT See above.
Restricted Interest Carrybacks (Amended) Form 1120POL
Form 1120C
$0--$4,999
Case Priority 4
RINT See above.
Tentative Carrybacks
Form 1139
$1 million or more Case Priority 1
TENT See above.
Tentative Carrybacks
Form 1139
$100,000 - $999,999
Case Priority 2
TENT See above.
Tentative Carrybacks
Form 1139
$5,000 - $99,999
Case Priority 3
TENT See above.
Tentative Carrybacks
Form 1139)
$0- $4,999
Case Priority 4
TENT See above.
 

DOC TYPE: EO Quick Closure
PROGRAM CODE: 710-13101
Form(s) 990- 67, 990C-33, 990PF-44, 990T-34, 1041A-36, 4720-50, 5227-37