3.41.275 Scanner Operations on SCRIPS

Manual Transmittal

November 14, 2017

Purpose

(1) This transmits revised IRM 3.41.275, OCR Scanning Operations, Scanner Operations on SCRIPS.

Material Changes

(1) IRM 3.41.275.1 added/updated the Purpose Scope and Objectives

(2) IRM 3.41.275.1.1 added/updated Background information

(3) IRM 3.41.275.1.2 added/updated Authority information for this IRM

(4) IRM 3.41.275.1.4 added/updated Roles and Responsibilities

(5) IRM 3.41.275.1.5 added/updated Program Management and Review

(6) IRM 3.41.275.1.6 added/updated Program Controls

(7) IRM 3.41.275.1.7 added/updated/moved Terms/Definitions/Acronyms

(8) IRM 3.41.275.1.8 added/updated Related Resources

(9) IRM 3.41.275.3.3.2 Added reference to 943 Stand-Alone Schedule R

(10) IRM 3.41.276.3.6 Added instruction for Archival of Stand-Alone Schedule R

(11) IRM 3.41.275.4.9.2 Added Instructions for Running a Job for Affordable Care Act Information Returns Processing (ACA IRP) and Stand-Alone schedule R

(12) IRM 3.41.275.4.11 Added reference to Stand-Alone Schedule R

(13) IRM 3.41.275.4.13.2 (2) Line (a) corrected ACA IRP instruction to say ACA IRP not IRP (Information Returns Processing)

(14) IRM 3.41.275.4.13.2 (2) Line (c) corrected the verbiage and ACA IRP instruction to say Form 1094 not Form 1096

(15) IRM 3.41.275.4.13.2 (2) Line (d) corrected the ACA IRP instruction to say ACA IRP -Manual Feed not Re-Image ACA IRP

(16) IRM 3.41.275.4.13.2 (8) Corrected ACA IRP instruction to say ACA IRP not IRP

(17) IRM 3.41.275.4.13.2.1 Added the entire subsection to include the instructions for ACA IRP 1094 Image Only

(18) IRM 3.41.275.4.13.3 removed end batch, close batch and start a new batch those aren’t options for that section

(19) IRM 3.41.275.4.13.3 removed the verbiage ***Or use menu shown below***

(20) IRM 3.41.275.4.13.4 (2) added 2 options that were missing to the table

(21) IRM 3.41.275.4.13.4 (13) removed the verbiage ***Or use menu shown below***

(22) IRM 3.41.275.4.13.5 (2) added 2 options that were missing to the table

(23) IRM 3.41.275.4.13.5 (13) removed the verbiage ***Or use menu shown below***

(24) IRM 3.41.275.4.13.6 Added the subsection to include instructions for Scanning Stand-Alone Schedule R

(25) IRM 3.41.275.4.17 (2) added the additional options of ACA IRP in boxes and Stand-Alone Schedule R in boxes or on batch carts

(26) IRM 3.41.275.4.18 (1) Line (a) added reference to Stand-Alone Schedule R and ACA IRP

(27) IRM 3.41.275.5.3.2 added additional ACA error messages to the table

(28) Reviewed and updated website addresses, legal references and IRM references, as necessary

(29) Various editorial changes and updates to the current tax year were made throughout this IRM

(30) IPU 16U1120 issued 06/23/2016 IRM 3.41.275.4.3.1(3) - no changes to instructions, edited the table to comply with 508 Compliant requirements

(31) IPU 16U1120 issued 06/23/2016 IRM 3.41.275.4.3.2(1) - no changes to instructions, edited the table to comply with 508 Compliant requirements

(32) IPU 16U1120 issued 06/23/2016 IRM 3.41.275.4.3.3(1) - no changes to instructions, edited the table to comply with 508 Compliant requirements.

(33) IPU 16U1120 issued 06/23/2016 IRM 3.41.275.4.3.4(1) - no changes to instructions, edited the table to comply with 508 Compliant requirements

(34) IPU 16U0468 issued 03-02-2016 IRM 3.41.275.1.4 Scope - Added ACA IRP to the table

(35) IPU 16U0468 issued 03-02-2016 IRM 3.41.275.1.5 Glossary - Updated the Glossary

(36) IPU 16U0468 issued 03-02-2016 IRM 3.41.275.2.3.2 Image Controller (IC) Functions - Updated the Form Storage table

(37) IPU 16U0468 issued 03-02-2016 IRM 3.41.275.3.9.2 (b) Running the Job - Added For ACA IRP, Arrow to the correct category of ACA IRP, then press "OK"

(38) IPU 16U0468 issued 03-02-2016 IRM 3.41.275.3.11(3) Perfecting the Documents

(39) IPU 16U0468 issued 03-02-2016 IRM 3.41.275.3.13.2 - Added ACA IRP

(40) IPU 16U0468 issued 03-02-2016 IRM 3.41.275.3.13.2.2 - Added Re-Image ACA IRP

(41) IPU 16U0468 issued 03-02-2016 IRM 3.41.275.3.18 - (a) - Added ACA IRP, also updated the Form Type table

(42) IPU 16U0468 issued 03-02-2016 IRM 3.41.275.4.3.2 - Added ACA IRP Error Messages

Effect on Other Documents

IRM 3.41.275 dated November 06, 2015 (effective January 01, 2016) is superseded. IPU 16U0468 and IPU 16U1120 issued from 03/02/2016 through 06/23/2016 are incorporated into this IRM.

Audience

Wage and Investment, Submission Processing Employees

Effective Date

(01-01-2018)

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

Program Scope and Objectives

  1. Purpose: Daily scanning of processable paper filed returns or schedules on the Service Center Recognition/Image Processing System (SCRIPS) are covered in this IRM. This processing will convert the taxpayer data reported to electronic data records for further validations to be applied to determine if the filers information return submission is acceptable to fulfill the filing requirement.

  2. Audience: The users of the IRM are Submission Processing Data Transcribers; Data Conversion Operation and their support staff which includes but is not limited to the following: peripheral scanner operators, clerks, leads and supervisors. These instructions apply to all campuses.

  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)

    • Chief Financial Officer (CFO)

    • Tax Payer Advocate (TAS)

    • Chief Counsel, Information Technology programmers

    • Statistics of Income (SOI)

    • Tax Exempt/Government Entities (TEGE)

    • Compliance Strategy and Policy and Operations Business Support

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

  6. Program Goals: This information is used to provide instruction for accurate scanning of data into the SCRIPS system. The Service Center Recognition Image Processing System (SCRIPS) utilizes character recognition and imaging technology to accumulate the Information Returns Processing (IRP), Affordable Care Act Information Returns Processing (ACA IRP), Form 94X and Schedule K-1 information for electronic transmission to master file. The returns are scanned and the data transferred electronically into the SCRIPS system.

Background

  1. SCRIPS utilizes the latest in high speed scanning and imaging technology. Documents are scanned, numbered, imaged, and sorted through one pass on the scanner. Once the paper documents are scanned and the minimum read accuracy rate is met, all remaining processing is performed from the captured electronic data.

Authority

  1. Authority for these procedures is found in Title 26 of the United States Code (USC) or more commonly known as the Internal Revenue Code (IRC). The IRC has been amended by acts, public laws, treasury determinations, rules, and regulations such as the following:

    • The Protecting Americans from Tax Hikes (PATH) Act

    • Hiring Incentives to Restore Employment (HIRE) Act

    • Consolidated Appropriations Act (Extenders)

    • American Taxpayer Relief Act (ATRA)

    • Health Care and Education Reconciliation Act

    • Information Reporting on Health Coverage by Insurers (Section 6055)

    • Information Reporting on Health Coverage by Employers (Section 6056)

    • Failure to File a Correct Information Return (Section 6721)

    Note:

    The above list may not be all inclusive of the various updates to the 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 Tax Act of 1986.

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

IRM Deviation

  1. IRM Deviations must be submitted in writing following instructions from IRM 1.11.2.2., Internal Management Documents System - Internal Revenue Manual (IRM) Process Standards, and elevated through appropriate channels for executive approval.

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 is responsible for providing feedback and support to local management to achieve and effectively monitor scheduled goals.

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

  4. The employee is responsible for applying the instruction present to the assigned task on the SCRIPS system to accurately convert paper data to electronic data record for proper posting for use by the Service.

Program Management and Review

  1. Program Reports: Below are a list of reports to use to show receipts, production and inventory for the paper return to electronic data conversion process. These reports will be utilized to report and monitor daily and weekly status of the program to completeness.

    • IPS0083, Workstation Operator Statistics Program and Function Summary Report

    • IPS01119, Run Balance Report

    • IPS06440, Throughput Statistics Report

    • PCC 2240, Daily Production Report - Program Sequence

    • PCC 6040, SC WP&C Performance and Cost Report

    • PCC 6240, SC WP&C Program Analysis Report

    • PCB 0440, Daily Workload and Staff hours Schedule

    • PCB 0540, Weekly Workload and Staffing Schedule

  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. 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 reports.

Terms/Definitions/Acronyms

  1. The following acronyms are used throughout this IRM.

    Acronym Definition
    ACA IRP Affordable Care Act Information Return Processing
    ALE Applicable Large Employer
    CPU Central Processing Unit
    CR Character Recognition
    DLN Document Locator Number
    DV Data Validation
    ESC Escape
    FE Field Engineer
    IC Image Controller
    ICR Intelligent Character Recognition
    IICR Imaging and Intelligent Character Recognition
    IRM Internal Revenue Manual
    IRP Information Returns Processing
    IRS Internal Revenue Service
    OCR Optical Character Recognition
    OE Original Entry
    SA System Administration
    SCRIPS Service Center Recognition/Image Processing System
    SN Sequence Number
    SSME System Software Maintenance Engineer
    UMR Unscheduled Maintenance Report
    UW Unit-of-Work
  2. The following terms are used throughout this IRM.

    Term Definition
    Ultrasonic Double Detector and Wheel Double Detector Two double detectors, an ultrasonic double detector and a wheel double detector to detect double feeds. These are located to the right of the Autofeed Start. The Ultrasonic sensor determines if there is an air gap between two sheets of paper, and the Wheel double detector determines slippage between two pieces of paper. When a double feed occurs, the transport will stop and the documents DO NOT get sent to the stations along the transport.
    Alignment Edge A guide edge of a form, which serves to correctly position the document to be scanned. The guide edge for IRP, Schedule K-1 and Form 94X is the right side of the document.
    Application The type of tax forms processed by SCRIPS. SCRIPS currently processes IRP, ACA IRP, Schedule K-1, Form 940 and Form 941 documents.
    Bleached Image One of two images created by the scanner software. This is an image in which any drop-out ink is filtered so that only printed or handwritten data is captured. The bleached image is used for character recognition. Also see "True and Complete Image."
    Block Returns or documents grouped together for processing purposes.
    Capture The process of obtaining images of a document for character recognition and operator use.
    Conveyor Belts Belts which feed paper through the document transport.
    Cycle One week processing at the Submission Processing Site and Enterprise Computing Center at Martinsburg. The cycle is expressed by a four digit code; the first two digits are the processing year and the second two digits are the processing week in that year.
    Document A form or return within a block or unit-of-work. Can be a Form 1099, Schedule K-1, Form 941 etc.
    Document Feeder The area of the scanner where documents are placed to be processed through the scanner.
    Document Locator Number (DLN) A controlled number is assigned to each Form 940, Form 941, Information Returns Processing (IRP) Forms, or Schedule K-1 Form.
    Elevator A stacker mechanism that moves up and down to allow the stacker bins to fill properly.
    Error Messages Computer responses to unacceptable information or conditions. These messages may appear on the computer console or may be printed as reports.
    Filters Filters are done internally by software.
    Flip Wheel A stacker mechanism in the front of each stacker bin that rotates, grabbing each individual document within one of its slots and dropping it onto the document stacker. Also referred to as "money wheel" .
    Form Any IRS document that has a form number, e.g., Form 940, Form 941, Form 1096, etc.
    Image A digital picture of a paper document that is stored electronically on SCRIPS.
    Information Returns Processing (IRP) The application that processes Form 1096, Form 1098 (series), Form 1099 (series), Form 5498 and which allow the IRS to identify un-reported income, excess deductions, and non-filers of tax returns.
    Information Returns Processing (IRP) Sequence Number (SN) A six digit number that prints in lieu of a DLN on unrecognized IRP forms, also known as "FI" . number.
    Inkjet Serializer This is a high speed audit trail device, which operates under software control, to print the DLN or Sequence Number (SN).
    Jogger A device used to align documents uniformly in preparation for scanning.
    Julian Date The numeric day of the year that the return or document is numbered. The sixth, seventh, and eighth digits of the DLN represent the Julian date.
    Logon Signing on the terminal with a User ID and password. The logon tells the system who is using the terminal.
    Main Menu The Main Menu (on the Operator System Console) gives the BancTec IntelliScan XDS Scanner operator access to the Operations Menu. Any item on these menus may give access to more submenus for various system tasks.
    Menu A list of options from which the Scanner Operator makes a selection.
    Money Wheel A slotted rotating device used to grab, and then drop into the stacker bins, individual documents as they enter the Stacker area. Also referred to as a "flip wheel" .
    MMDDYY The format used for most IRS dates (Month, Day, Year).
    Operator Console A Windows 7 workstation used by the Scanner Operator to interface with the scanner, peripheral server software, and jam assist software.
    Over-Length Document Condition This occurs when two or more overlapped sheets of paper cover a sensor longer than expected for the page size specified to the software application for a given job run.
    Re-image For IRP documents, the process of imaging the document again when the previous image was of poor quality

    Note:

    To re-image IRP documents, the "IRP 1096 Image Only"

    option is used on the scanner.
    Reject Bin Documents that are invalid within a submission or documents that are caught in a jam condition are rejected to this bin. The reject bin is also referred to as a "Runout Bin" , "Flush Bin" , or "Mailbox " .
    Rescans A unit of work that must be reprocessed through the scanner because of a problem that occurred during initial scanning.
    Stacker Bins Bins which hold the documents after they have been successfully scanned. The BancTec IntelliScan XDS Scanner is configured with two single bin stackers that stack accepted documents horizontally (also see "Reject Bin" ).
    Statistics Facts or data about the system.
    Sub-menu A window containing a list of options which is displayed when an option from a previous menu has been selected.
    Transport Used to refer to the scanner or scanner mechanism.
    True and Complete Image The image that is generated for data entry or validation purposes. The drop-out ink is not filtered so the image is a true representation of the document. If available, it is always displayed on the right side of the monitor screen. Also see "Bleached Image."
    Unit-of-work (UW) A group of one or more Form 940, Form 941, IRP Forms, ACA IRP Forms or Schedule K-1.

    .

Related Resources

  1. IRM 3.41.274,General Instructions for Processing via SCRIPS .

  2. These instructions apply to the following applications for SCRIPS:

    • ACA IRP - Affordable Care Act Information Return Processing

    • IRP- Information Returns Processing

    • Schedule 1041 K-1, Schedule 1065 K-1, and Schedule 1120-S K-1

    • 941 - Employer's Quarterly Federal Tax Return

    • 941 - Schedule B and Schedule R

    • 940 - Employer's Annual Federal Unemployment (FUTA) Tax Return

    • 940 - Schedule A and Schedule R

    • 943 - Schedule R

Local Desk Procedures

  1. Some Submission Processing Campuses have developed local use Desk Procedures

  2. Such procedures are only to be used:

    • To supplement existing Headquarters’ procedures

    • For local routing procedures

  3. All existing local procedures must be reviewed by the Operations Manager or designated employee upon receipt of Servicewide Electronic Research Program (SERP) Alerts or a new revision to ensure conformance with Headquarters Procedures.

  4. Unit managers must have a signed approval, on file, from the responsible Operations Manager for all Submission Processing Local Desk Procedures.

    Note:

    The signed approval must reflect the current processing year

Operating System

  1. This section provides information about the SCRIPS operating system.

Overview

  1. The operating system environment consists of the hardware and software that make up SCRIPS. This equipment consists of five functional subsystems that include:

    • Character Recognition and Image Capture

    • Image Processing

    • System Control and Data Management

    • Character Recognition

    • Storage

Character Recognition and Image Capture

  1. The Character Recognition (CR) and Image Capture subsystem consists of up to three BancTec IntelliScan XDS Scanners that can operate independently of each other. The BanTec IntelliScan XDS Scanner is an Imaging and Intelligent Character Recognition (IICR) page and document scanner. See Figure 3.41.275-1.

    Figure 3.41.275-1

    This is an Image: 34929021.gif
     

    Please click here for the text description of the image.

  2. As each document travels through the scanner transport bed, the scanner performs the following functions:

    1. A bleached image of the document is captured. This is an image in which any drop-out ink is filtered so that only printed or handwritten data is captured. A true and complete image is captured.

    2. CR is performed.

    3. The DLN or Sequence Number (SN) is printed in the proper place on the document by an inkjet printer.

    4. The documents are then directed to one of the two stacker bins or the reject bin.

    5. A monitor and keyboard provide an interface between the scanner and the operator.

    6. The scanner system displays messages on the Operator Console screen and the Scanner Operator can enter commands through the keyboard.

Peripheral Server Software
  1. Although SCRIPS no longer has a Peripheral Server Monitor, the peripheral server functions are now provided via software. This software directs the scanned image files from the Scanner to the Image Controller (IC) and is an integral part of the run-to-run balancing process, which is used on SCRIPS to track documents as they move through the system.

  2. The system status and error messages that were previously displayed on the Peripheral Server Monitor are now displayed in the Peripheral Server Window on the Operator Console. Located in lower left corner of scanning screen.

Image Processing

  1. The Image Processing subsystem consists of up to three Image Controllers and their associated multiple disk drives. Each Image Controller and its associated disk drives is called an IC.

  2. There is one IC connected to each scanner.

  3. The IC performs operational functions for the BancTec IntelliScan XDS Scanner such as the following:

    • Run-To-Run Balancing document tracking

    • Batch and form controls

    • System and status/error checking

    • Transmission of image files to the Multiprocessor Server

    • Transmission of log files to the Multiprocessor Server

Image Controller (IC) Set Up
  1. There is a 19 inch monitor and keyboard attached to the Image Controller that provides an interface between the scanner and the operator.

  2. The connection between the IC and the Scanner and Server is controlled on the IC.

  3. All three ICs are able to be connected to the server simultaneously.

Image Controller (IC) Functions
  1. The IC lifts image data into form specific strips and transmits these, together with the Character Recognition (CR) data, to the Recognition Engines and then to the Multiprocessor Server.

  2. The IC performs additional quality control of imaged documents and writes the images to its temporary disk storage to maintain data integrity and provide backup.

  3. The IC disk drives can normally store more image files than can be scanned in one day. The maximum recommended image file storage capacity of an IC is listed below:

    Form Stored Images
    Affordable Care Act(ACA) IRP Approximately 2,000,000 documents
    IRP Approximately 600,000 image files
    Approximately 2,000,000 documents
    K-1 Approximately 1,000,000 documents
    940 /941/943 Stand-Alone Schedule R Approximately 2,200,000 documents
  4. The IC automatically synchronizes the processing of documents read by the scanner and processed by the Multiprocessor Server to ensure integrity of data.

  5. The Scanner and IC operate as a single unit with automatic system monitoring and synchronization. The IC monitors the scanner and allows the scanner to operate independently of the Multiprocessor Server.

System Control and Data Management

  1. The System Control and Data management subsystem performs the following:

    1. Receives images from the Image Controller and writes them to the data base.

    2. Manages the data base where the images and image data are stored.

    3. Manages DLN/SN assignment and tracking.

    4. Automatically routes work to the workstations.

    5. Automatically passes images which require character recognition to the Recognition Engines.

Character Recognition

  1. The Character Recognition is performed by the following:

    1. Recognition Engines to identify data

    2. Workstation Operators to identify those characters not recognized by the Recognition Engines

Archival Storage

  1. The Archival Storage subsystem stores true and complete electronic images of all, Stand-Alone Schedule R (including Form 943 with Schedule R), Form 940, Employer's Annual Federal Unemployment (FUTA) Tax Return, Form 941, Employer's Quarterly Federal Tax Return, Schedule K-1 (Form 1041, Form 1065, and Form 1120-S), ACA IRP (Form 1094-B and Form 1094-C), and IRP (Form 1096).

Scanner Operations

  1. This section describes the SCRIPS scanner operations.

Scanner Parts

  1. The scanner consists of the following:

    • Transport (conveyor belts)

    • Power On/Off Button

    • Image Camera as there are 2

    • Document Feeder

    • Serializer

    • Stacker Bins

    • Reject Bin

    • Stacker Buttons

    • Red Emergency Stop Button. Shuts off power to the scanner, not just the conveyor

    • Main Panel Switches

Scanner Functions

  1. The BancTec IntelliScan XDS Scanner performs the following functions:

    1. Captures one picture of the document (creates a bleached image that is used for CR and a true and complete image that is used for further processing such as DV, Quality Review (QR), Archive, etc.)

    2. Prints an identifying number on the documents

    3. Archives images

    4. Transmits document images and data for further processing

    5. Produces a list of errors

    6. Provides error reports

    7. Generates scanner reports at end of processing

Stacker Buttons

  1. The Stacker Control Panel contains the following switches to communicate conditions of the stacker bins and the reject bin to the operator:

    1. RUNOUT BIN - AUX PKT CLEAR button lights up when there are one or more documents in the Reject Pocket.

    2. Bin 1 - When the FEED STOP/START and STACKER FLUSH buttons are flashing, the bin is full.

    3. Bin 2 - When the FEED STOP/START and STACKER FLUSH buttons are flashing, the bin is full.

      Note:

      After emptying the bins, press the STACKER FLUSH button to reset the elevator to the top position.

Image Controller Preparation

  1. Check the IC to determine if it is ready to accept scanned work and monitor it to ensure the work is moving through the IC into the database.

  2. The IC Main Window will be displayed on the monitor. If it is not, contact the Systems Administrator (SA).

  3. There are 4 major areas on the screen

    • Command area

    • Counter area

    • Indicator area

    • Log area

  4. Check to make sure the image controller is connected to the Scanner and the Server by verifying that the buttons/options in the Command Area displays "Scanner Disconnect" and "Server Disconnect" . If they say "Scanner Connect" and/or "Server Connect" place the mouse pointer over the button and click once to connect them.

  5. Check the Indicator area to ensure the indicators for each process are green. The boxes should be green in color and have a "G" displayed on them. If any process indicator is anything other than green, contact the SA.

  6. Periodically during scanning, the Counter area should be observed to ensure the counters are advancing. The counts in the Next to Scan, Next to Load, Next to Process, and Next to Send should be changing fairly rapidly. If you are scanning and the counts are not changing, contact the SA.

  7. If a message window appears on the IC monitor screen indicating a serious problem (i.e., File Not Found, File is Missing), contact an SA or System Software Maintenance Engineer (SSME) immediately.

Scanner Operator Tasks

  1. The Scanner Operator will use screen menus to perform the day to day functions while operating the transport. They are responsible for the following functions:

    1. Reading/Updating the scanner communication log

    2. Performing maintenance/housekeeping checks

    3. Logging on to the operator console

    4. Adjusting the scanner for daily operations

    5. Perfecting the documents for scanning

    6. Selecting and Running a job

    7. Loading the documents into the feeder tray

    8. Scanning the documents

    9. Monitoring the IC

    10. Monitoring image quality by periodically viewing the images in the job window on the Operator Console

    11. Monitoring Inkjet quality

    12. Rescanning

    13. Re-Imaging

    14. Interrupting/Resuming a job

    15. Recovering from scanner failure

    16. Responding to jam conditions

    17. Removing documents from the stacker and reject bins

    18. Ending the job

    19. Completing reports

    20. Completing end of shift housekeeping tasks

    21. Contacting the System Administrator (SA) or Systems Software Maintenance Engineer (SSME) for problems

    22. Changing the FTD cycle on the system

Reading/Updating the Scanner Communication Log

  1. The Scanner Communication Log is updated by Scanner Operators to inform other operators about the scanners.

  2. The Scanner Operator must read and update the Scanner Communication Log for information on:

    1. How the scanners are running

    2. How the ICs are draining

    3. What type of documents were scanned on the previous shift

    4. What type of documents should be scanned on this shift

    5. Any reoccurring error messages

    6. Any other information relevant to the scanning operation

Performing Maintenance/Housekeeping Checks

  1. You should perform the following housekeeping and preventive maintenance at the beginning of the shift and on an as needed basis prior to running the scanner:

    1. Check for foreign objects (staples, register tapes, and page corners).

    2. Clear area under the paper guides.

    3. Clean glass and bars above the camera with a soft, dry, lint-free cloth.

      Note:

      Do not use paper towels, facial tissues, or napkins. These contain wood particles and/or oils that can scratch or smear camera glass. Do not use detergent cleaning agents.

    4. Check for missing, broken, loose, or excessively worn parts (LED lamps, transport belts, rollers, etc.).

    5. Dust the scanner with the air gun.

      Note:

      Keep camera areas covered to avoid scratching.

    6. Clean the feed wheel. (Check with SSME for further instructions.)

Checking the Ink Supply
  1. As part of the Maintenance/Housekeeping checks, check and replace serializer ink supply.

  2. An inkjet cartridge is located to the left of Bin 1.

  3. To replace an inkjet cartridge push cartridge eject button, lift cartridge out and replace with new cartridge

    Note:

    Notate date replaced and T# on cartridge.

    Note:

    Do not use paper products. The lint will clog the jets of the ink serializer.

Logging onto the Scanner Operator Console

  1. You must log onto the Operator Console to access applications and jobs.

    Note:

    Make sure that the keyboard is not in caps lock mode.

  2. After the scanner has been powered up, the Warning window is displayed.

    Figure 3.41.275-2

    WARNING
     
    UNAUTHORIZED ACCESS TO THIS UNITED STATES GOVERNMENT COMPUTER SYSTEM AND SOFTWARE IS PROHIBITED BY PUBLIC LAW 99-474, TITLE 18, UNITED STATES CODE PUBLIC LAW 99-474 AND CHAPTER XXI, SECTION 1030 STATES THAT:
    Whoever knowingly, or intentionally accesses a computer without authorization or exceeds authorized access, and by means of such conduct, obtains, alters, damages, destroys, or discloses information, or prevents authorized use of (data or a computer owned by or operated for) the Government of the United States, Shall be punished by a fine under this title or imprisonment for not more than 10 years, or both. All activities on this system may be recorded and monitored. Individuals using this system expressly consent to such monitoring. Evidence of possible misconduct or abuse may be provided to appropriate officials.
    REPORT UNAUTHORIZED USE TO AN INFORMATION SYSTEMS SECURITY ANALYST
     
     
    IF YOU ARE NOT AUTHORIZED TO CONTINUE,
    TURN OFF COMPUTER NOW!!!
     
    Otherwise, you may
    press <Esc> to continue
     
  3. Read the entire warning message and press the <Esc> Key to continue with the login process.

  4. The Warning window will close and a Login window will open in the center of the screen.

  5. At the Standard Employee Identifier (SEID) prompt, type an upper case "S" followed by your SEID and press the <Tab> key.

  6. Type your assigned Password and press the <Enter> key combination to activate the Login command button.

    Note:

    For security purposes, your password will not be shown.

  7. If you made an error entering either the SEID (Standard Employee Identifier) or password, or your password has expired, an error Message window opens in the center of the screen informing you of the error and you must do the following:

    1. Press the <Enter> key to OK the message. The Message window closes leaving the Login window on the screen.

    2. Try steps (5) and (6) again.

    3. If you make an error in typing and decide you want to clear everything and start again, you can do this by pressing the <Alt>-C key combination to activate the "CLEAR" command button. The SEID and password are cleared and you can re-enter them.

    4. There is a limit as to how many times you can attempt to login and fail (this parameter is set locally by your SA). If you exceed the number of allowable login attempts, you are locked out of the system database but the workstation is not locked. An error Message window opens informing you that you are locked out and telling you to contact your supervisor. If this occurs press the <Enter> key to acknowledge the message and contact your Supervisor or SA to unlock your profile so you can regain access to the system.

    5. If you forget your password or have problems logging onto the scanner, contact the SA.

    6. If you type in your password in the Login window and press the <Alt>-L key combination and an error Message window opens and informs you that your password has expired, you must select a new password from a password list. First, press the <Enter> key to OK the message. The message window closes and a Password window opens. The password window contains a list of five passwords and each is composed of eight alphanumeric and special characters. You must pick one from the list, type it in and press the <Enter>key. The system will then ask you to retype the password again to verify your choice. Type the same password in again and press the <Enter> key. The password window closes and a Message window opens informing you that your password has been changed. Press the <Enter> key to acknowledge this message. The message window closes and the Authorization Disclaimer window opens.

  8. If your logon is correct, then the Authorization Disclaimer will appear.

    Figure 3.41.275-3

    AUTHORIZATION DISCLAIMER
     
    This system is for the use by authorized users only.
    Individuals using this computer system without authority, or
    in excess of their authority, are subject to having all of
    their activities on this system monitored and recorded by
    system personnel.
     
    In the course of monitoring individuals who are
    improperly using this system, or in the course of systems maintenance, the activities of authorized users may also be monitored.
     
    Anyone using this system expressly consents to such
    monitoring, and is advised that if such monitoring reveals possible evidence of criminal activity, system personnel may provide the evidence of such monitoring to law enforcement
    officials.
     
    press <Enter> to continue
  9. Read the entire Authorization Disclaimer.

  10. Press the <Esc> key to exit the Authorization Disclaimer window.

  11. The BancTec IntelliScan XDS Scanner Main Menu will be displayed.

Selecting and Running a Job

  1. In order to scan a form type, you must first hit enter or the right arrow key to display the list of programs.

Selecting a Job
  1. The Form Selection Menu is displayed.

  2. Use the arrow keys or mouse to highlight the application you want to scan and press the <Enter> key. Or select the option number of the application you want to scan.

  3. After the selected application software is loaded, the category selection menu for the loaded application appears.

Running a Job
  1. In the Category Selection Menu, use the arrow keys or mouse to highlight the application category desired and:

    1. For IRP or ACA IRP , Arrow to the correct category of IRP, then press "OK" .

    2. For Stand-Alone Schedule R, K-1, 940, and 941, <Tab> to and enter each field. Then <Tab> to the "OK" button and hit <Enter> or click on the "OK" button.

  2. For all programs, the Serializer will automatically move to the Page Location. "Press Auto Feed Button or spacebarWhen Ready."

  3. The scanner is ready to start scanning.

Adjusting the Scanner

  1. While scanning it may be necessary to make adjustments to the scanner.

Adjusting the Feeder
  1. Check the feeder to see if adjustments are necessary.

    1. Front Stack Guide - with documents face up and top of document towards back of scanner, adjust the front stack guide in alignment with the bottom of the documents.

    Figure 3.41.275-4

    This is an Image: 34929033.gif
     

    Please click here for the text description of the image.

Adjusting the Feeder Speed
  1. The feeder speed is adjusted by pressing and holding the Autofeed Start Button located to the left of the Feed Stop/Flush button.

    1. The feeder speed can only be adjusted while the feeder is stopped.

    2. Each run job is started using the default maximum feeder speed.

    3. Initially, the feeder speed can only be decreased.

    4. If the feeder speed has been decreased during the run job, then it can be increased to the default maximum level.

Double Document Detect Sensors
  1. The application software will automatically set the correct double document detect sensor for the job loaded.

  2. If numerous double detect error messages are encountered, contact SSME or SA.

  3. If there are numerous false double detect error messages, contact the SSME or SA.

Adjusting the Serializer
  1. The Serializer adjusts to form type automatically.

Check the Universal Stacker
  1. Check the Universal Stacker to ensure that there are not any documents left from a previous job in either of the Stacker Bins or in the Reject Bins.

    Note:

    After removing documents, ensure stackers have returned to the full "UP" position. Press Stacker Flush button.

    Figure 3.41.275-5

    This is an Image: 34929035.gif
     

    Please click here for the text description of the image.

Checking the Printer
  1. Ensure that the printer is on-line.

  2. Ensure that there is a sufficient supply of paper in the printer.

Perfecting the Documents

  1. Retrieve the documents to be scanned. The documents will be in the staging area for your Submission Processing Site.

  2. Make sure the documents are perfected before placing them in the feeder to ensure the system runs smoothly.

  3. Remove the IRP documents, ACA IRP, Schedule K-1, Stand-Alone Schedule R, Form 940, or Form 941 that are in boxes or on trucks.

  4. Check the documents for the following:

    • Staples

    • Folded edges

    • Perforated side edges that have not been detached

    • Continuous sheets that have not been separated

    • Holes and/or tears

    • Attachments (bank tapes, correspondence, scotch tape, envelopes, etc.)

    • Upside down or backward documents

  5. Use the jogger to straighten edges and reduce static.

    1. Place the documents in the jogger.

    2. Rotate the documents 90 degrees at a time until the edges are straight.

    3. Remove the documents from the jogger.

Loading Documents in the Feeder Tray

  1. The documents will be placed in the feeder face up with the bottom of the form closest to you.

  2. Ensure that all of the documents in the feeder are straight.

  3. The feeder draws from the top document when scanning. Documents added to the feeder should be placed under the stack currently loaded.

Scanning the Documents

  1. You will now begin to process the documents through the scanner.

  2. Periodically during scanning, monitor the IC to ensure the counters are advancing and all indicator area boxes are green.

  3. Also, while running a job, periodically monitor image quality of the documents being scanned by looking at the "BancTec IntelliScan XDS job window which is continually" displayed on the Operator Console.

Scanning IRP
  1. When scanning IRP, follow the procedures listed below.

  2. There are four menu options for IRP, select one of the following:

    1. IRP—Regular—Use this option for scannable submissions of Form 1096 with their associated Form 1097 series, Form 1098 series, Form 1099 series, and Form 5498. This option will accept nonconforming forms, including photocopies and homemade forms, as long as the form is scannable (i.e., the form is 8″ or 8 1/1″ x 11″ and is not torn or otherwise mutilated). These constitute the bulk of IRP processing.

    2. IRP—Original Entry—Use this option to force all of the documents to OE Image at the workstations.

    3. IRP—1096 Image Only—Use this option for any Form 1096 that are input on ISRP as well as Form 1096 scanned on SCRIPS, but that need to be re-imaged. They will be scanned only for purposes of capturing an image for archive.

    4. IRP—Manual Feed (Key DocId) Use this option for nonconforming forms/submissions that were rejected under the "IRP–Regular" option. These may include photocopies, homemade forms, and forms without a document code at the top of the page, etc. With changes made to the "IRP–Regular" process, this option is no longer necessary. However, it may still be used in some circumstances.

  3. The first document imaged must be a drop-out ink Form 1096.

  4. <Tab> to the "OK" button and hit <Enter> or click on the "OK" button. The Serializer automatically moves to "Page Location." Verify that the serializer is in the correct position (See IRM 3.41.275.4.13.1.1 ). Press the <Auto Feed Button> or <Spacebar> key to continue.

  5. If you selected "IRP-Regular" , "IRP-Original Entry" , or "IRP-1096 Image Only" in (2) above, the feeder will then begin sending the documents through the transport.

  6. If you selected "IRP-Manual Feed (Key DocId)" in (2) above, you will be required to enter a document code for each manual entry.

    1. Click on the correct form type from the drop down window click on the four character 1099,1098 or 5498 document code for the submission you are scanning from the table below:

      Form Document Code
      1097-BTC 5050
      1098 8181
      1098-E 8484
      1098-T 8383
      1099-A 8080
      1099-B 7979
      1099-C 8585
      1099-DIV 9191
      1099-G 8686
      1099-INT 9292
      1099-K 1010
      1099-MISC 9595
      1099-OID 9696
      1099-PATR 9797
      1099-Q 3131
      1099-R 9898
      1099-S 7575
      5498 2828
    2. Then feed the Form 1096 and associated forms from that submission through the Scanner

  7. The serializer will print a 14 digit DLN on the Form 1096, 16 digit DLN on IRP forms that are 2 to a page, or 18 digit DLN on IRP forms that are 3 to a page. A six digit number will be assigned, if the form type code was not recognized and the document will go to Forms Identification (FI).

    Note:

    Make sure that each document is numbered with a legible DLN or IRP SN.

  8. Continue putting the documents into the feeder until you have completed a box or tub, except when scanning "IRP-Manual Feed (Key DocId)" .

  9. If you selected "IRP-Regular" , "IRP-Original Entry" , or "IRP-1096 Image Only" in (2) above, press the <F3> key when you have completed scanning. The End of Batch menu will be displayed. You have an option to start a new batch or quit scanning.

  10. If you selected "IRP-Manual Feed (Key DocId)" in (2) above, press the <F3> key to get the message "Enter Next Form Type to Process: nn or Q to Quit" , then press ""Q" " to quit, and <Enter> when you have completed scanning.

  11. The IRP Assigned DLN Report and the Scanner Statistics Report will then be generated but not automatically printed. They will be available on demand.

  12. Per local procedures, indicate the Julian date and the starting/ending block numbers of each tub or box scanned.

Information Returns Program (IRP)1096 Image Only
  1. Select IRP from the Job Selection Menu.

    Note:

    DO NOT use the re-image selection for IRP.

  2. The IRP Category Selection Menu will appear.

  3. Select "IRP– 1096 Image Only" from the IRP Category Selection Menu.

  4. The message "Receiving DLN Confirmation" will appear.

  5. Load the feeder with the IRP Form 1096s that need to be re-imaged.

  6. Press the <Auto Feed Button> or <Spacebar> key to feed the Form 1096s through the transport. Once the scanner has finished loading the information, it will automatically start feeding documents and scanning. Be sure documents are in the feeder by this time.

    Note:

    The re-imaged documents will not appear on the IC monitor.

  7. The re-imaged Forms 1096 will be sent to the Workstation Operators. The Workstation Operator will enter the DLN from the imaged Forms 1096s.

  8. After all the Form 1096s are re-imaged for the day, press the <F3> key to end the job.

Scanning Affordable Care Act (ACA) IRP
  1. When scanning ACA IRP, follow the procedures listed below.

  2. There are four menu options for ACA IRP, select one of the following:

    1. ACA IRP - Use this option for scannable submissions of Form 1094 series with their associated Form 1095 series. This option will accept nonconforming forms as long as the form is scannable (i.e., the form is "8 ½ x 11" and is not torn or otherwise mutilated). These constitute the bulk of ACA IRP processing.

    2. ACA IRP - Original Entry - Use this option to force all of the documents to OE Image at the workstations.

    3. ACA IRP - 1094 Image Only - Use this option for any Form 1094 series that are input on ISRP as well as Form 1094 scanned on SCRIPS, but that need to be re-imaged. They will be scanned only for purposes of capturing an image for archive.

    4. ACA IRP -Manual Feed - Use this option for nonconforming forms/submissions that were rejected under the "ACA IRP – Regular" option. These may include forms that were scanned backwards, forms without a clear image in the 1094 series.

  3. The first document imaged must be a Form 1094 series.

  4. <Tab> to the "OK" button and hit <Enter> or click on the "OK" button. The Serializer automatically moves to "Page Location" . Verify that the serializer is in the correct position (See IRM 3.41.275.4.10.1.3 . Press the Auto Feed button or spacebar key to continue.

  5. If you selected "ACA IRP-Regular" , "ACA IRP-Original Entry" , or "ACA IRP- 1094 Image Only" in (2) above, the feeder will then begin sending the documents through the transport. The serializer will print a 14 digit DLN on the Form 1094 and the 1095 series returns. A six digit number will be assigned, if the form identifier (Form ID) was not recognized and the document will go to Forms Identification (FI).

    Note:

    Make sure that each document is numbered with a legible DLN or ACA IRP SN.

  6. The serializer will print a 14 digit DLN on the Form 1094 and the 1095 series returns. A six digit number will be assigned, if the form identifier (Form ID) was not recognized and the document will go to Forms Identification (FI).

    Note:

    Make sure that each document is numbered with a legible DLN or ACA IRP SN

  7. Continue putting the documents into the feeder until you have completed a box or tub.

  8. If you selected "ACA IRP Manual Feed " in (2) above, press the <F3> key to get the message <Enter> Next Form Type to Process: nn or" Q" to Quit", then press "Q" to quit, and Enter when you have completed scanning.

  9. The ACA IRP Assigned DLN Report and the Scanner Statistics Report will then be generated but not automatically printed. They will be available on demand.

  10. Per local procedures, indicate the Julian date and the starting/ending block numbers of each tub or box scanned.

Affordable Care Act (ACA) IRP 1094 Image Only
  1. Select ACA IRP from the Job Selection Menu.

    Note:

    DO NOT use the re-image selection for ACA IRP.

  2. The ACA IRP Category Selection Menu will appear.

  3. Select "ACA IRP- 1094 Image Only" from the ACA IRP Category Selection Menu.

  4. The message "Receiving DLN Confirmation" will appear.

  5. Load the feeder with the ACA IRP Form 1094s that need to be re-imaged.

  6. Press the <Auto Feed Button> or <Spacebar> key to feed the Form 1094s through the transport. Once the scanner has finished loading the information, it will automatically start feeding documents and scanning. Be sure documents are in the feeder by this time.

    Note:

    The re-imaged documents will not appear on the IC monitor.

  7. The re-imaged Forms 1094 will be sent to the Workstation Operators. The Workstation Operator will enter the DLN from the imaged Forms 1094s.

  8. After all the Form 1094s are re-imaged for the day, press the <F3> key to end the job.

Scanning Schedule K-1
  1. When scanning Schedule K-1, follow the procedures listed below:

  2. Select the appropriate form type from the Schedule K-1 category Selection Menu. There are three options:

    1. Form 1041 K-1 (44386)

    2. Form 1065 K-1 (44387)

    3. Form 1120S K-1 (44388)

  3. Tab to the cycle and enter the 2 digit CYCLE in the Cycle Number and confirm Cycle Number fields. These require two matching fields.

  4. Tab to the Batch Number and enter the 4 digit Batch Number and confirm Batch Number fields cycle. This requires two consecutive matching entries.

    Note:

    The Batch Number is located in the top right corner of the Batch Transmittal Form 9382.

  5. Enter the two digit Tax year. These require two matching entries. Tax Year must be current TY to current TY -2

  6. <Tab> to the "OK" button and hit <Enter> or click the "OK" button. The Serializer automatically moves to the K-1 Location. Verify that the serializer and stacker are in the correct position.

  7. Place documents into the feeder. The first document scanned must be a Form 1332-SC . Press the <Auto Feed Button> or <Spacebar> to continue. The feeder will begin sending the documents through the transport.

  8. The serializer will print a 14 digit DLN on each page 1 document. A six digit number will be assigned if the form type code was not recognized, and the document will go to Form Identification (FI).

  9. Continue putting the documents into the feeder tray.

  10. Monitor the stacker bins. When they are full, remove documents.

  11. When you have completed scanning the Batch, or if you are ready to stop scanning, and you have an empty feeder, press <F3> to end the job.

  12. You will be prompted with the End Batch menu,

    1. Start a new batch

    2. Quit Scanning – Close out the run

  13. At this time, a K-1 Assigned DLN Report with additional Summary Page and Scanner Statistics Report will be generated and sent to the printer.

Re-Imaging Schedule K-1
  1. To re-image documents, perform the following procedures.

    Note:

    The data entry operator suspends <F9> the block for "poor quality image" and works the document from the pulled paper document.

  2. Select the Re-image application from the Job Selection Menu. It will take a few minutes for the application software to load.

  3. The system will display the DLNs to be re-imaged.

  4. Click on the DLN for the document to be re-imaged.

  5. The system will display a prompt telling you to feed the document with the DLN that you just entered.

  6. Visually verify that the document and the SN are correct prior to feeding the document.

  7. Documents are hand dropped.

  8. The system will return to re-image list.

  9. If there are no more Schedule K-1 to be re-imaged, press <F3> and answer prompt yes or no.

    Note:

    A screen report will not be generated.

  10. If there are additional documents to re-image, remain at the scanner and repeat steps 5 through 9 until there are no more re-imaging documents to be scanned.

Scanning Form 941
  1. When scanning Form 941, follow the procedures listed below.

    Note:

    If for any reason a return has to be re-scanned, the original sprayed DLN MUST be lined through prior to sending the return through the scanner the second time.

  2. Select the appropriate form type from the 941 category Selection Menu Window. There are six options:

    Batch Type Description Program Number
    941 Perfects Refunds 11206
    941 Perfects Non-Refund/Others 11205
    941 Perfects Non-Refund/With Remit 11208
    941 Imperfects Refunds 11206
    941 Imperfects Non-Refund/Other 11205
    941 Imperfects Non-Refund/With Remit 11208
  3. Tab to the Cycle Number and enter the 2 digit Cycle in the Cycle Number and Confirm Cycle fields. This requires two consecutive matching entries.

    Note:

    The Cycle is located in the top right corner of the Batch Transmittal Form 9382, below the Batch Number and release date.

  4. Use the criteria in the table below to determine when the cycle needs to be entered.

    IF THEN
    The Batch ID (located on the left side of the Form 9382, Batch Transmittal, below the File indicator) is notated "Program Completion Date (PCD)" or "Timely (T)" Press <Enter> to leave the cycle blank
    The Batch ID (located on the left side of the Form 9382, Batch Transmittal, below the File indicator) is notated other than"PCD" or "Timely (T)" Input the last two digits of the cycle located on the right side of Form 9382, Batch Transmittal, below the Batch No and Rel. Date.
  5. <Tab> to the Batch Number and enter the 4 digit Batch Number in the Batch Number and Confirm Batch Number fields. This requires two consecutive matching entries.

  6. <Tab> to the "OK" button and hit <Enter> or click the "OK" button. The Serializer automatically moves "to the 941 Location." Verify that the serializer and stacker are in the correct position.

  7. Place documents into the feeder. The first document scanned must be a Form 941 Page 1 (Perfects) or a Form 1332-SC (Imperfects). Press the <Auto Feed Button> or <Spacebar> to continue. The feeder will begin sending the documents through the transport.

  8. The serializer will print a 14 digit on each page that is recognized. A six digit number will be assigned if the form type code was not recognized, and the document will go to forms identification (FI).

  9. Continue putting the documents into the feeder tray.

  10. Monitor the stacker pockets. When they are full, remove documents.

  11. Documents sent to the "Reject Bin" should be placed in a colored folder in the first with Batch Transmittal in the slot that begins each batch or in each stat box for each batch.

  12. When you have completed scanning the Batch, or if you are ready to stop scanning, press the <F3> key to initiate End of Job.

  13. The End Batch menu will be displayed.

    1. Start a new batch

    2. Quit scanning - Close out the run

  14. When selecting "Quit" , a 941 Assigned DLN Report and additional Summary Page will be sent to the printer and a Scanner Statistics Report will be generated, but not printed. It will be available on demand.

Scanning Form 940
  1. When scanning Form 940, follow the procedures listed below.

    Note:

    If for any reason a return has to be re-scanned, the original sprayed DLN MUST be lined through prior to sending the return through the scanner the second time.

  2. Select the appropriate form type from the 940 category Selection Menu Window. There are six options:

    Batch Type Description Program Number
    940 Perfect All Others 11140
    940 Perfect Refund 11141
    940 Perfect With Remit 11142
    940 Imperfect All others 11145
    940 Imperfect Refund 11146
    940 Imperfect With Remit 11147

    Note:

    Program number will be located on the Form 9382, Batch Transmittal, in the top middle margin.

  3. <Tab> to the Cycle Number and enter the 2 digit Cycle in the Cycle Number and Confirm Cycle fields. This requires two consecutive matching entries. The cycle is located in the top right corner of the Batch Transmittal Form 9382 , below the Batch Number and release date.

  4. Use the criteria in the table below to determine when the cycle needs to be entered.

    IF THEN
    The Batch ID (located on the left side of the Form 9382 , Batch Transmittal, below the File indicator) is notated "Program Completion Date (PCD)" or "Timely (T)" Press <Enter> to leave the cycle blank
    The Batch ID (located on the left side of the Form 9382 , Batch Transmittal, below the File indicator) is notated other than"PCD" or "Timely (T)" Input the last two digits of the cycle located on the right side of Form 9382, Batch Transmittal, below the Batch No and Rel. Date.
  5. <Tab> to the Batch Number and enter the 4 digit Batch Number in the Batch Number and Confirm Batch Number fields. This requires two consecutive matching entries.

  6. <Tab> to the "OK" button and hit <Enter> or click the "OK" button. The serializer will automatically move "to the 940 location." Verify that the serializer and stacker are in the correct position.

  7. Place documents into the feeder. The first document scanned must be Form 940 Page 1 (Perfects) or a Form 1332-SC (Imperfects). Press <Auto Feed Button> or <Spacebar> to continue. The feeder will begin sending the documents through the transport.

  8. The serializer will print a 14 digit page that is recognized. A six digit Forms Identification (FI) number will be assigned if the form type code was not recognized. The document will go to FI processing.

  9. Continue putting the documents into the feeder tray.

  10. Monitor the stacker bins. When they are full, remove the documents. Place documents back into their boxes or gusset folders.

  11. Documents sent to the "Run out bin" should be placed in a colored folder in the first slot on the batch cart or the first stat box for each batch.

  12. When you have completed scanning the Batch, or if you are ready to stop scanning, press the <F3> key to initiate End of Job.

  13. The End Batch menu will be displayed as shown below.

    1. Start a new batch

    2. Quit Scanning – Close out the run

  14. When selecting "Quit" , a Form 940 Assigned DLN Report and additional Summary Page will be sent to the printer and a Scanner Statistics Report will be generated, but not printed. It will be available on demand.

Scanning Stand-Alone Schedule R (include Schedule R with 943 attached)
  1. When scanning Stand-Alone Schedule R, follow the procedures listed below.

    Note:

    If for any reason a return has to be re-scanned, the original sprayed DLN MUST be lined through prior to sending the return through the scanner the second time.

  2. Select the appropriate form type from the Stand-Alone Schedule R category Selection Menu Window. There are four options:

    Batch Type Program Number
    943 with Schedule R 11621
    940 Schedule R 11620
    941 Schedule R 11620
    943 Schedule R 11620
  3. Enter the 2 digit Tax Year in the Tax Year and Confirm Tax Year fields. This requires two consecutive matching entries.

    Note:

    The Tax Year is located in the top middle of the Schedule R or Page 1 of the 94X form.

  4. Enter the 14 digit DLN stamped in the right corner of the Form 943 when scanning 943 with Schedule R attached.

    Note:

    The DLN is located in the top right corner of the Form 943

    Exception:

    This field is only entered when scanning 943 with Schedule R attached.

  5. <Tab> to the "OK" button and hit <Enter> or click the "OK" button. The Serializer automatically moves "to the 941 Location." Verify that the serializer and stacker are in the correct position.

  6. Place documents into the feeder. The first document scanned must be a Form 941/940/943 Page 1. Press the <Auto Feed Button> or <Spacebar> to continue. The feeder will begin sending the documents through the transport.

  7. The serializer will print a 14 digit on each page that is recognized. A six digit number will be assigned if the form type code was not recognized, and the document will go to forms identification (FI).

    Note:

    The serializer will not print a DLN on the pages when scanning 943 with Schedule R attached.

  8. Continue putting the documents into the feeder tray.

  9. Monitor the stacker pockets. When they are full, remove documents.

  10. Documents sent to the "Reject Bin" should be placed in a colored folder in the first with Batch Transmittal in the slot that begins each batch or in each stat box for each batch.

  11. When you have completed scanning the Batch, or if you are ready to stop scanning, press the <F3> key to initiate End of Job.

  12. The End Batch menu will be displayed.

    1. Start a new batch

    2. Quit scanning - Close out the run

  13. When selecting "Quit" , a Schedule R Assigned DLN Report and additional Summary Page will be sent to the printer and a Scanner Statistics Report will be generated, but not printed. It will be available on demand.

Interrupting/Resuming a Job
  1. On occasion while scanning you may need to temporarily pause the feeding of documents. To do this hit the <Spacebar>, the orange FEEDSTOP/FLUSH button or either of the FEEDSTOP/START buttons at the stackers. The feeder will stop and the transport will clear.

  2. To resume scanning, press the <Spacebar>, either AUTOFEED START button, or FEEDSTOP START button at the stackers (this is helpful when you are emptying the stacker bins, you can restart the feeder from here instead of having to walk back to the front of the scanner).

Recovering from Scanner Failure

  1. After a scanner failure, the SA will notify you when you may continue scanning. Follow procedures to Logon (See IRM 3.41.275.4.8 and Running a Job (See IRM 3.41.275.4.9.2 .

  2. If the scanner was in the middle of scanning a block/Unit -of- Work (UW) when it failed, you must:

    1. Go to the stacker bin and find the last transmittal document scanned (DLN/SN present) and all the documents associated with it.

      Note:

      A transmittal document can be an IRP Form 1096, a Schedule K-1 or a Form 1332.

    2. Check the Runout bin for any documents and remove them.

    3. Always check the last block scanned from the scanner failure (freeze, crash, etc.) to see if it is on the system. If the block is not there, send the block back through for rescan. Make sure the block before that is on the system. Most of the time, failures only involve the block it crashed on, but there are occasions, if the blocks are small, it could involve more than one block.

    4. Tape over or line through the old DLN on IRP, K-1, 940, or 941 documents prior to rescanning.

    5. Rescan the block/UW.

  3. Regular scanning may be resumed with the next completely unscanned block/UW (no DLNs/SNs are on the documents).

Responding to a Jam

  1. A jam condition occurs when there is an irregularity with one of the processes or when a document gets caught somewhere in the transport.

  2. When a jam occurs perform the following:

    1. Remove the documents;

    2. Utilize the Banc Tec viewer screen on the Operator Console to assist in recovering from the jam

Removing Documents After a Jam
  1. Use the following steps to remove documents after a jam.

  2. Remove the documents from the reject pocket.

  3. Check the stacker pockets for documents that have not been numbered.

  4. Locate and remove the documents from the transport.

    1. Press the "Flush" button to clear the transport or

    2. Manually remove the documents.

      Note:

      Documents will be in reverse order. Pull out mismatched documents. Refer to the console for the last document read. Refeed any documents that are left from the jam in proper order.

Peripheral Server Window

  1. The Peripheral Server software runs without operator intervention and manages the flow of data from the scanner image capture to a disk on the scanner and then over to the IC.

  2. The Peripheral Server Window, located in the bottom left corner on the Operator Console should always display the status, "Waiting for Data from the Scanner" . If it does not, contact the SA.

Removing the Documents from the Stacker Bins

  1. Periodically removing the documents from the stacker bins will prevent the scanner from stopping because the pockets are full.

    1. Remove the documents by pulling them straight towards you.

    2. Ensure that the documents stay in the order they were scanned.

    3. Straighten the documents.

    4. Fan the documents to ensure all of the documents have a legible DLN/SN.

  2. Place the documents as follows:

    1. IRP in boxes.

    2. ACA IRP in boxes

    3. Schedules K-1 in boxes or on batch carts.

    4. Forms 941 in boxes or on batch carts.

    5. Forms 940 in boxes or on batch carts.

    6. Stand-Alone Schedule R in boxes or on batch carts.

  3. Return the scanned documents to the area where your Submission Processing Site stores completed work.

Ending a Job

  1. You end your job when:

    1. You complete a batch of (Stand-Alone Schedule R/K-1/940/941) or box or tub of IRP/ACA IRP.

    2. You want to scan a different type of document.

    3. You want to scan a different category of documents.

    4. You need to leave the scanner for an extended time (lunch, meeting, etc.).

    5. You need to generate a report.

    6. Your shift has ended.

  2. You end your job by doing the following:

    1. Ensure that the feeder is empty.

    2. Press the <F3> key. The End Batch menu will be displayed.

    3. If you answer "Quit" the DLN/SN Assigned report, the Job Statistics report, and the Scanner Jam report will generate.

      Form Type Printed Reports
      ACA IRP ACA IRP Scanner Statistics Report

      Note:

      The ACA IRP Assigned DLN Report is generated and available to print on demand from back-end menus.

      IRP IRP Scanner Statistics Report

      Note:

      The IRP Assigned DLN Report is generated and available to print on demand from back-end menus.

      K-1 K-1 Assigned DLN Report, Summary page, and
      Scanner Statistics Report
      941 941 Assigned DLN Report and Summary Page
      940 940 Assigned DLN Report and Summary Page
    4. The Scanner Jam report is also generated, however, it can only be printed from the back-end menus.

  3. If you want to logoff the scanner, do the following:

    1. You must first end your job, as described above, before you can logoff.

    2. In the Run Selection Window click on the "Close TRP" icon in the lower right corner of the screen. A Yes/No box will be displayed. Answer "Yes" to close the application and logoff.

  4. If you want to shut down the scanner, do the following:

    1. You must first end your job and log off before you can shut down the scanner.

    2. On the Operator Console, press the <Ctrl>, <Alt> and the <Del> keys all at the same time.

    3. The Windows 7 Security Window is displayed. Using the Arrow keys or the <Tab> Key, highlight the "Shut Down" button and press the <Enter> key. If it is already highlighted, press the <Enter> key.

    4. The Window 7 Shut Down Window is then displayed. Select Shut Down in the selection scroll window box. Highlight the OK button and press <Enter> key.

    5. Press the ON/OFF POWER button located underneath the RED STOP button. This turns off the lights and vacuum.

    6. Click once on the "Scanner Disconnect" button in the Command Area of the IC monitor screen to disconnect the Scanner from the IC.

Completing Reports

  1. Reports are used to keep a record of problems and production.

  2. Fill out Unscheduled Maintenance Reports (UMRs).

  3. Get DLN/SN assigned reports from the laser printer.

  4. Fill out the customer evaluation performance sheet when requested.

  5. Distribute all the reports to the appropriate personnel.

End of Shift Housekeeping Tasks

  1. You should perform the following housekeeping tasks at the end of your shift.

    1. Use the air gun to dust off the deskew rollers in the document feeder and image camera.

    2. Put the materials that you used back where they belong.

    3. Wipe down the glass of the camera with a lint free cloth.

Contacting Systems Analyst (SA) or System Subject Matter Expert (SSME) for Problems

  1. You must contact the SA or SSME with any scanning problems or concerns.

    1. Contact the SA for software problems.

    2. Contact the (Subject Matter Expert) SME for transport and hardware problems.

  2. Notify the manager that there is a problem.

  3. Record problem on an UMR.

  4. Switch to another scanner if available (check with your manager).

Changing the Federal Tax Deposit (FTD) Cycle

  1. Follow local procedures to ensure the FTD (Federal Tax Deposit) Cycle Number has been changed. Even though FTDs are not processed any longer, the Cycle Number is needed for the BMF processing sites. From DLN Maintenance window, tab down to the FTD Cycle.

  2. Changing the FTD Cycle is accomplished from a workstation terminal.

Logging Onto a Workstation Terminal
  1. To log onto a workstation terminal, do the following:

    1. Read the warning screen and press the <Esc> key to continue.

    2. Enter your logon ID. ("S" followed by your SEID)

    3. Enter your password.

    4. Press the <Alt>–L key combination.

    5. Read the Authorization Disclaimer window and press the< Esc> key to continue.

    6. The Workstation Main Menu will appear

Incrementing and Updating the FTD Cycle
  1. Tab down to the FTD Current Cycle selection. The current cycle and the date it was last updated will be highlighted.

  2. To change the cycle, press the <Alt> -R key combination.

  3. The message "Are you sure you want to roll over the current FTD processing Cycle Number Y/N" will be displayed. Make sure the cycle does need to be rolled forward before you continue because it can not be rolled back.

  4. Press "Y" for yes. The FTD Cycle Number will be incremented by one.

Exiting from the Workstation Terminal
  1. To exit from the workstation terminal, use the following procedures:

    1. Press the <Alt> -X key combination to go to the Additional Function Selection Menu

    2. Press the <Alt> -X key combination to go to the Workstation Main Menu

    3. Press the <Alt> -X key combination to exit from the Workstation Main Menu

Scanner Error Message

  1. This section provides instructions for responding to error messages.

    Note:

    Use the <Alt>- Backspace key combination to notate error messages.

Feeder Error Messages

  1. Feeder Empty—If the feeder hopper is empty, place new documents in the feeder and press "<Spacebar>" to continue. If there are no more documents, press <F3> to end the job.

  2. Document Late to Aligner Entrance Sensor (1.1) - A document is late arriving to the sensor after being detected at the previous sensor. Check the paper path leading to the sensor and remove any obstructions, then clean both sides of the sensor. Check the condition of the document, then correct any problems found. Check the transport for debris. Clean the transport in the area of the sensor. Hand feed remaining documents, restart the feeder.

  3. Gap too Narrow at the Aligner Entrance Sensor (2.71) - This message means the gap between the documents as they passed through the area is too small. Remove all documents from the track and flush the transport. Hand feed remaining documents, restart the feeder.

  4. Double feed detected. Documents held at the handfeed track (0.125) - The double feed sensors have detected two pieces of paper are attempting to go through the sensors at one time. Remove all paper from track and verify the documents are not stapled, paper clipped, or otherwise stuck together. Hand drop all removed documents, restart the feeder.

  5. Unexpected Item Detected at Dbl Feed exit sensor (3.2) - This jam occurs when the current sensor sees a document the previous sensor did not see. Remove all documents from the track and flush the transport. Clean both sides of the sensor before the sensor indicated in the message. Hand feed remaining documents, restart the feeder.

Stacker Error Message

  1. Bin Full—Check the "Bin Full Indicator" buttons above the stacker or the graphic figure on the console to identify which stacker is full.

  2. Remove the documents from the full stacker bin(s).

  3. Press one of the FEED STOP/START buttons or the <spacebar> or AUTOFEED START button to restart the transport.

Application Specific Error Messages

  1. This section covers error messages specific to each application.

IRP Error Messages
  1. The scanner will print a one-character reject code to the left of the DLN area on any form that is rejected. The reject codes and descriptions are shown below. If more than one code is printed, you must decide whether the submission can be corrected and rescanned, or routed to the Doc Prep function. Although each truly rejected page has a reject code printed on it, not all the pages in the reject bin will have a reject code. At the time a page is rejected with a reject code, any pages within the transport mechanism may be flushed to the reject bin as well. These flushed pages will not have a reject code.

  2. The "Regular" , "OE" , and "1096 Image Only" scanner applications accept nonconforming forms. A nonconforming form is any form that the scanner cannot recognize, and therefore cannot assign a DLN. For nonconforming forms, a six-digit IRP sequence number prints in lieu of a DLN. The sequence number, like the DLN, is used by the scanner operator to identify rejected forms that need to be refed.

  3. IRP error messages are as follows:

    Error Message Explanation Action
    Invalid Submission—Consecutive 1096 check Reject and Accept bin. Reject Code ="X" —There is a Form 1096 immediately following a Form 1096.
    1. Remove the Form 1096 from the stacker bins. Remove all documents down to the Form 1096 in the reject bin that have an "X" printed in the upper middle of the document.

      Note:

      All rejected documents will have an "X" with a sequence number on them. Re-feed in that order. Example: X1066, X1067, X1068, X1069

    2. If a determination can be made that one of the Form 1096 belongs to the Form 1099 for the submission, route the unrelated Form 1096 to the Doc Prep function, and re-feed the related Form 1096 along with any rejected documents.

    3. If a determination cannot be made, route both Form 1096 and Form 1099 that were behind the Form 1096 in the reject bin to the Doc Prep function.

    Document (XXXX) is rejected, incorrect form type. Reject Code = "M" , the scanner will reject a document when the document type does not match selected form type. If there is a mixture of form types, route the rejected documents to the Doc Prep function.
ACA IRP Error Messages
  1. ACA IRP error messages are listed below:

    Error Message Explanation Action
    Invalid Submission—Consecutive 1094 check Reject and Accept bin. Reject Code ="X" - When there is a Form 1094 series immediately following a Form 1094 series.
    A transmittal immediately followed by another transmittal.
    1. Remove the Form 1094 from the stacker bins. Remove all documents down to the Form 1094 in the reject bin that have an "X" printed in the upper middle of the document.

      Note:

      All rejected documents will have an "X" with a sequence number on them. Re-feed in that order. Example: X1066, X1067, X1068, X1069

    2. If a determination can be made that one of the Form 1094s belongs to the Form 1095s for the submission, route the unrelated forms to the Doc Prep function, and re-feed the related Form 1094 along with any rejected documents.

    3. If a determination cannot be made, route both Form 1094s and Form 1095s that were behind the Form 1094s in the reject bin to the Doc Prep function.

    Invalid Submission—
    Missing Page 1
    Reject Code =X
    A Form 1094-C page 2 or page 3
    1. Remove the returns from the reject stacker bin. Remove all documents down to the page in error in the reject bin that have an "X" printed in the upper middle of the document.

      Note:

      All rejected documents will have an "X" with a sequence number on them. Re-feed in that order. Example: X1066, X1067, X1068, X1069

    2. If a determination can be made that one of the pages is blank and not required remove the page from the submission and continue scanning.

    3. If pages are present that are not part of the submission, route the unrelated forms to the Doc Prep function, and re-feed the related Form 1094 along with any rejected documents.

    4. If a determination cannot be made, route both Form 1094s and Form 1095s that were behind the Form 1094s in the reject bin to the Doc Prep function.

    Waiting to Resolve Invalid Submission Reject Code =X Resolve the invalid condition be examining the UW and determining what actions to take listed above.
K-1 Error Messages
  1. K-1 error messages are listed below:

    Error Message Explanation Action
    Document rejected, breaker sheet is missing. The first scanned document was not recognized as a Form 1332 Transmittal/Breaker Sheet. Remove document from Reject bin and ensure the first scanned document is a Form 1332.
    Second breaker is rejected, received two in a row There is a Form 1332 immediately following a Form 1332 Remove the document from Reject bin
    Document (XXXX) is rejected, incorrect form type Reject Code = "M" , the scanner will reject a document when the document type does not match selected form type. If there is a mixture of form types, route the rejected documents to the Doc Prep function.
    Document is rejected, UW exceeds 100 There are more than 100 documents in this block of work Remove documents from Reject bin, and Insert breaker sheet
941 Error Messages
  1. 941 Error Messages are listed below:

    Error Message Explanation Action
    Document is rejected. First document must be a Page 1 or Breaker. The first scanned document was not recognized as a Form 941 Page 1 or a Form 1332 Transmittal/Breaker Sheet. Remove document from Reject bin and ensure the first scanned document is a Form 941 Page 1 or a Form 1332. If necessary, insert a blank page 1.
    Document is rejected. Received consecutive Breaker sheets. There is a Form 1332 immediately following a Form 1332. Remove the document from Reject bin.
    Document is rejected, UW exceeds 80. There are more than 80 documents in this block of work. Remove documents from Reject bin, matching up all Page 1s and 2s. Insert breaker sheet.

    Note:

    If you are unable to correct the rejected condition, drop a delete sheet. During scanning, certain documents may reject because the submissions are invalid. The function will route these submissions to the Pre-Doc Prep function for disposition. The Pre-Doc Prep function is responsible for correcting the submissions and returning them for scanning. When returns are missing pages (page 1 or 2), route them to Code and Edit for correspondence

940 Error Messages
  1. 940 Error Messages are listed below:

    Error Message Explanation Action
    Document is rejected. First document must be a Page 1 or Breaker. The first scanned document was not recognized as a Form 940 Page 1 of a Form 1332/Breaker Sheet. Remove document from Reject bin and ensure the first scanned document is a Form 940 Page 1 or a Form 1332/Breaker Sheet. If unable to locate page 1, insert a blank page 1.
    Document is rejected. Received consecutive Breaker sheets. There is a Form 1332 immediately following a Form 1332. Remove the document from the Reject bin.
    Document is rejected. UW exceeds 80. There are more than 80 documents in this block or work. Remove documents from Reject bin, matching up all Page 1s and 2s. Insert breaker sheet.
  2. If you are unable to correct the rejected condition, drop a delete sheet. During scanning, certain documents may reject because the submissions are invalid. The function will route these submissions to the Pre-Doc Prep function for disposition. The Pre-Doc Prep function is responsible for correcting the submissions and returning them for scanning. When returns are missing pages (page 1 or 2), route them to Code and Edit for correspondence.