3.41.275  Scanner Operations on SCRIPS

Manual Transmittal

November 06, 2015


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

Material Changes

(1) IPU 15U0278 issued 02-09-2015 IRM Glossary changes

(2) IPU 15U0278 issued 02-09-2015 IRM Updated Windows XP to 7

(3) IPU 15U0278 issued 02-09-2015 IRM Corrected references to SA and SME

(4) Added IRM Deviation information

Effect on Other Documents

"IRM 3.41.275 dated November 11, 2014 (effective January 01, 2016) is superseded. IPU’s used in this IRM are 15U0278."


All Operating Divisions

Effective Date


Paul J. Mamo
Director, Submission Processing
Customer Account Services
Wage and Investment  (01-01-2015)

  1. This section provides an introduction to the Service Center Recognition/Image Processing System (SCRIPS) scanner instructions.  (01-01-2016)
IRM Deviation

  1. Must be submitted in writing following instructions from IRM Internal Management Documents System - Internal Revenue Manual (IRM) Process Standards, and elevated through appropriate channels for executive approval.  (01-01-2015)

  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.  (01-01-2015)

  1. The purpose of this IRM is to provide detailed instructions for the Scanner Operations on SCRIPS (BancTec IntelliScan XDS Scanner).  (01-01-2015)

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

    • IRP — Information Returns Processing

    • Schedule K-1 (Form 1041, Form 1065, and Form 1120-S)

    • 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

  2. Managers should ensure that each Scanner Operator has his/her own individual copy of this handbook. These procedures are to be used in conjunction with the Banc Tec IntelliScan XDS Scanner Operations Handbook and IRM 3.0.273, Administrative Reference Guide.

  3. Employees are reminded to consider any ethical issues while following these instructions.  (01-01-2015)
Local Desk Procedure Guidelines

  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.


    The signed approval must reflect the current processing year.  (02-09-2015)

  1. The following are commonly used terms:

    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, 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 weeks 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


    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, Forms 941, IRP Forms, or Schedule K-1.  (01-01-2015)

  1. The following acronyms are used throughout this IRM.

    Acronym Definition
    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
    SSME System Software Maintenance Engineer
    UMR Unscheduled Maintenance Report
    UW Unit-of-Work  (01-01-2015)
Operating System

  1. This section provides information about the SCRIPS operating system.  (01-01-2015)

  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  (01-01-2015)
Character Recognition and Image Capture

  1. The Character Recognition 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 image is too large to be displayed in the current screen. Please click the link to view 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.  (01-01-2015)
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.  (01-01-2015)
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  (01-01-2015)
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. The procedures for making these connections are given in Chapter 16 of the System Administrator Handbook.

  3. All three ICs are able to be connected to the server simultaneously.  (01-01-2015)
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
    IRP Approximately 600,000 image files
    K-1 Approximately 1,000,000 documents
    940 /941 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.  (01-01-2015)
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.  (01-01-2015)
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  (01-01-2015)
Archival Storage

  1. The Archival Storage subsystem stores true and complete electronic images of all, Form 940, Form 941, Schedule K-1 (Form 1041, Form 1065, and Form 1120-S), and IRP Form 1096.  (01-01-2015)
Scanner Operations

  1. This section describes the SCRIPS scanner operations.  (01-01-2015)
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  (01-01-2015)
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  (01-01-2015)
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.


      After emptying the bins, press the STACKER FLUSH button to reset the elevator to the top position.  (01-01-2015)
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.  (01-01-2015)
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  (01-01-2015)
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  (01-01-2015)
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.


      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.


      Keep camera areas covered to avoid scratching.

    6. Clean the feed wheel. (Check with SSME for further instructions.)  (01-01-2015)
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


    Notate date replaced and T# on cartridge.


    Do not use paper products. The lint will clog the jets of the ink serializer.  (01-01-2015)
Logging onto the Scanner Operator Console

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


    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
    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.
    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 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.


    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

    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
    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.  (01-01-2015)
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.  (01-01-2015)
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.  (01-01-2015)
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, Arrow to the correct category of IRP, then press "OK" .

    2. For 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.  (01-01-2015)
Adjusting the Scanner

  1. While scanning it may be necessary to make adjustments to the scanner.  (01-01-2015)
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 image is too large to be displayed in the current screen. Please click the link to view the image.  (01-01-2015)
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.

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