3.10.5. Batch/Block Tracking System (BBTS)

(1) The Federal Managers’ Financial Integrity Act (FMFIA) of 1982 requires each executive agency to conduct annual evaluations of its systems of control using guidelines set by the Office of Management and Budget (OMB).

(2) In December 2004, OMB issued Circular Number A-123, revised, to provide guidance to Federal managers on improving the accountability and effectiveness of Federal managers on improving the accountability and effectiveness of Federal programs and operations by establishing, assessing, correcting, and reporting on internal control.

(3) For specific guidelines and responsibilities, refer to the Circular, and to IRM 1.4.1, Management Roles and Responsibilities and IRM 1.4.2, Monitoring and Improving Internal Control.

(1) Mail Management and Data Conversion handles the information contained in the IRM.

(2) The Director of Submission Processing manages the policy related to this IRM.

(3) The Team Manager ensures the IRM is timely submitted.

(1) The Batch/Block Tracking System (BBTS) is a comprehensive, integrated batch creation and tracking program. BBTS is the control and tracking system for the submissions as they make their way through pipeline processing.

(2) BBTS resides at the Enterprise Computing Center (ECC-MEM) in Memphis, Tennessee.

(3) BBTS captures and stores data regarding receipts and production volume. As a result, BBTS stores a vast amount of data which can be used in performance monitoring and production projections.

(4) Program Goals - Serve as a resource for utilizing BBTS applications in the tracking of taxpayer tax return information and recording of receipts and production by program.

(5) Annual Review - An IRM Document Clearance review is completed annually to ensure accuracy of the contents.

(1) Add and Remove approver for BEARS for BBTS following the steps below.

1. Click on "Microsoft Edge" and click on BEARS (Business Entitlement Access Request System).

2. From the BEARS landing page, open the Quick Links menu on the top left corner, expand the IRS Quick Links and select Modify Approval Group Request.

3. Once you are in the Modify Approval Group Request Form, enter the workgroup name or select one from the Approval Group pull down menu and select Next.

4. Use the Remove Members pull down menu to select the members you would like to remove. Select Finish to submit the request.

5. If you would like to add members to the group, enter member name or select from Add Members list to add to the workgroup then select Finish.

(1) After you have logged on successfully, the BBTS Main Menu appears. See Figure 3.10.5-12.

(2) The BBTS Main Menu has the following menu choices:

• Processing

• Maintenance

• Adjustments

• PIMS (for those with approved access level)

• Reports

(3) The Menu bar is located at the top of the screen and lists the following choices:

• BBTS

• Navigate

• Exit

• Window

(4) Click on "Navigate" in the Menu bar to select a BBTS Screen or Report. Select "Navigate" if you want to move from one screen to another screen. See Figure 3.10.5-13.

(5) The arrow (>) to the right of the menu items indicates that there is a sub-menu.

(1) The Processing Menu has the following 2 sub-menu choices, (with their own sub-menus):

(2) Processing Menu

Batching

• Batch Creation

• DLN Generation

• Batch Release

• Batch/Block Volume Change

• Automated Roadmap

• Batch Check-In

• Batch Deletion / Restoration

  Caution: Batch Restoration selection after a batch has been deleted may result in creation of a duplicate copy of the previously deleted batch. Parameters of the batch (e.g., number of documents or function location) may be automatically changed without warning. Inform the local BBTS Coordinator of all batch restoration activities prior to completing a batch restoration.

• Batch Rollback

• W/R Batch Rollback

• Entity Batch Creation

• Entity Release

• Entity Volume Change

• Entity Batch Deletion

• Entity Batch Assignment

• Entity Batch Slip Re-print

• ICT Batch Creation

• ICT Batch Release

• ICT Batch Volume Change

• ICT Uncontrolled Inv & Adj

• 1040X/CP Batch Creation

• 1040X/CP Transmittal Re-Input

• 1040X/CP Batch Release

• 1040X/CP Batch Volume Change

• 1040X/CP Batch Rollback

• 1040X/CP Batch Deletion /Restoration

Caution: Batch Restoration selection after a batch has been deleted may result in creation of a duplicate copy of the previously deleted batch. Parameters of the batch (e.g., number of documents or function location) may be automatically changed without warning. Inform the local BBTS Coordinator of all batch restoration activities prior to completing a batch restoration

Non-Batching

• 813 Entry / Reconciliation

• Off-Line DLN Generation

• Unit Production Log

• Integrated Submission and Remittance Processing (ISRP) Remittance Processing System Identification (RPSID) Generation Screen

(1) The Maintenance Menu has the following sub-menu choices:

• DLN Reference File

• Program/Route Cross-Reference

• User Security File

• Output File Creation

• Unit Production Log

• PCC Production Adjustments

• Program Code Maintenance

• SCCF Exceptions

• Route Change

• DLN Assignment

• Password Change

• Route File Maintenance

• Calendar File

• No DLNs Through 190

• Create Supplemental PCC

• User Information

• Entity User Maintenance

• Entity Program Code Maintenance

• Entity Batch Description Maintenance

• Entity Program Batch Desc Xref

• ICT User Maintenance

• ICT Route Maintenance

• ICT Program Code Maintenance

• ICT Batch Description Maintenance

• ICT Program Batch Desc Xref

• ICT Batch Deletion

• 1040X/CP Program Code Maintenance

• 1040X/CP Batch Description Maintenance

• 1040X/CP Program Batch Sesc Xref

• 1040X/CP Route Maintenance

(1) The Adjustments Menu has the following choices:

• Batch Profile Adjustment Log

• Daily Production Adjustment Log

• Employee Detail Adjustment Log

• Manager's Performance Adjustment Log

• Daily Performance Adjustment Log

(1) The Pipeline Inventory Monitoring System (PIMS) Menu has the following choices:

• PIMS Maintenance

• PIMS Estimates

• PIMS Closeout

(2) PIMS is a program within BBTS used by Managers and Production Monitors for monitoring receipt patterns, volumes received and processed by the pipeline, and for scheduling purposes.

(1) The Reports Menu has the following choices: See Figure 3.10.5-14.

• Re-print Transmittals

• Batch Query

• Receipts Report

• Production Report

• Inventory Report

• Late Cycle Report

• Sorted MCR Report

• Quarterly Scheduled Data Report

(2) The Reports Menu allows the user to access BBTS Reports. Depending upon the level of access a user has access to all reports may not be available to all users. BBTS reports are used to track Receipts, Production, Inventory, Late Cycles, Query Batches and DLNs. With the "Reports" Menu, users have the capability to reprint transmittals. See Figure 3.10.5-14.

(3) Production Report

This application allows the user to generate a report which shows batches that are released by a specific Function (Exhibit 3.10.5-2) since the last processing day cut-off. The report identifies the total volume of each program released as well as the total volume of all programs released. To generate the Production Report: See Figure 3.10.5-15.

1. "Navigate" to the "Reports Screen".

2. Click on the "Production Report".

3. Choose a function and press <ENTER>.

4. "Limit the results to Program" (Optional). Press <ENTER>.

5. "Production date" - the current date is generated. Use the MMDDYYYY format to change.

6. "Navigate" to "Report" on the Main Menu Toolbar.

7. Select "Print".

8. Select "Report".

9. System generates Report.

10. Select "Print" and then select "OK".

11. Report prints.

(4) Inventory Report

This application allows the user to generate a report which shows the current inventory of a specified function broken down by program. It also identifies the total inventory of the specified Function. To generate the Inventory Report:

1. "Navigate" to the "Reports Screen".

2. Click on the "Inventory Report".

3. Select the appropriate function from the list.

4. Click on "Report" in the Menu Toolbar.

5. Select "Print".

6. Select "Report".

7. System generates Report.

8. Select "Print" and then select "OK".

9. Report prints. Figure 3.10.5-16.

(5) Late Cycle Report

This application allows the user to generate a report, which shows batches of work that are in jeopardy of missing the cycle date for the function in which they reside. After these batches are identified, they are processed before the functional cycle date deadline. To generate the Late Cycle Report: See Figure 3.10.5-17 and Figure 3.10.5-18.

1. "Navigate" to the "Reports Menu".

2. Click on the "Late Cycle Report".

3. Enter a Function.

4. Press <TAB> to skip the Program field. (Optional)

5. Press <ENTER>to skip the MF Identification Code. (Optional)

6. Enter a cycle (YYYY/CC). (Example 2018/20)

7. Press <ENTER>.

8. Enter the days in function. (Optional)

9. Click on "Report" on the Toolbar.

10. Select "Print".

11. Select "Late Cycle Report".

12. System generates report.

13. Select "Print" and then select "OK".

14. Report prints.

(6) Batch Query

This application allows the user to query on a single batch sequence number or a single block DLN. The user inputs either a batch number/program code combination or a DLN. To generate the Batch Query Report:

1. "Navigate" to the "Reports Menu".

2. Click on the "Batch Query" screen.

3. User may use one of the two (2) options "Active Batch" or "Active DLN" to query a batch. See instructions in (d) or (j).

4. Click on "Active Batch".

5. Key in the 5-digit Program Number. Cursor automatically moves to the next field.

6. Key in Batch Sequence Number. Press <ENTER>.

7. Click on "Get Records". This allows the user to view the current information pertaining to the Batch.

8. Select "Print" and then select "OK".

   Note: The Julian Date field consists of the Julian Date/YYYY.

9. Report prints.

10. Click on "Active DLN". Enter the DLN in the appropriate fields.

11. Press <ENTER>.

12. Click on "Get Records". This allows the user to view the current information pertaining to the Batch.

13. Select "Print" and then select "OK".

14. Report prints.

(7) Receipts Report

This application allows the user to generate a report which shows receipts for a specific function. To generate the Receipt Reports:

1. "Navigate" to the "Reports Menu".

2. Click on "Receipts Report".

3. The previous day's date is generated. If a date is needed other than the previous day's date enter the new date in MM/DD/YYYY format.

4. Select a Function Code from the list of codes.

5. Click on "Report" on the Menu Toolbar.

6. Select "Print".

7. Select "Report".

8. System generates Report.

9. Select "Print" and then select "OK".

10. Report prints.

(8) Sorted MCR Report

This application allows the user to generate a report that shows a list of DLNs and associated volume sent to Master Control (MCR) the previous night. To generate the Sorted MCR Report:

1. "Navigate" to the "Reports Menu".

2. Click on the "Sorted MCR Report".

3. Enter the work date in MM/DD/YYYY format.

4. "Navigate" to the Toolbar and select MCR.

5. Select "Print".

6. Select "Sorted MCR Report".

7. Select "Print" and then select "OK".

8. Report prints.

(9) Files Reports

This application allows the user to generate a report that shows a list of all DLNs generated in the Campus. This Report is used in the Files area to assist them in determining the adequate shelving space for documents received. To generate the Files Reports:

1. "Navigate" to the "Reports Menu".

2. Click on "Files Report".

3. Current Beginning and Ending Julian date and tax year is generated in NNN/YYYY format. This is the beginning and ending Julian dates for DLNs or batches to be researched.

4. Enter the Tax class and/or Document Code. (Optional).

5. "Navigate" to the Toolbar and select "Files".

6. Select "Print".

7. Select "DLN Generate Report" or "Unprocessed Batches Report".

8. Select "Print" and then select "OK".

9. Report prints.

(1) The Block to Cart Assignment (Automated Roadmap) Screen allows the Error Correction/Data Control functions to keep track of batches of work on BBTS by cart number, slot number, and day of the week. By keeping track of the batches, Error Correction/Data Control can determine when each batch must be moved to the next function.

(2) "Navigate" to "Automated Roadmap". See Figure 3.10.5-19.

(3) Enter the "Program Code".

(4) Enter the "Batch Number".

(5) After entering the "Program Code" and "Batch Number" all the information for that Batch will appear.

(6) Enter the "Cart Number" then press <ENTER>.

(7) Enter the "Slot Number". Use the arrow key if more than one DLN.

(8) "Navigate" to the Toolbar, select "Roadmap". Select "Save". See Figure 3.10.5-20.

(1) The generated Batch Transmittal Form 6695, is routed to Data Control for retention and balancing. See IRM 3.17.30.3.4, Master Control Record Verification, for MCR (Master Control Record) Balancing Procedures.

(2) Form 6695 are returned from Data Conversion after the MCRs have been established on Service Center Control File (SCCF). The form is used for count verification of generated Non-remittance MCRs. Its purpose is to assign and keep track of ABC's, track Remittance Processing System Identifications (RPSIDs) and print Form 1332 for each RPSID generated.

(1) The Unit Production Log consists of Receipt and Production volumes for unique Organization, Function, Program (OFP) combinations. The log is completed by various types of work in order to maintain and update WP&C information. See Figure 3.10.5-22 and Figure 3.10.5-23.

1. "Navigate" to the "Unit Production Log Screen".

   Note: The Work date and Julian Date are automatically displayed.

2. Enter the appropriate 2-digit "Organization Code" and press <ENTER>.

3. Enter the 3-digit "Function Code". Press <ENTER>.

4. Enter the 5-digit "Program Code". Press <ENTER>.

5. Enter the "Additional Receipts" processed for the week then press <ENTER>.

6. Enter the "Additional Production" for the week then press <ENTER>.

7. Verify that all entries are correct.

8. If the information is correct, enter "Y" and press <ENTER>. A pop-up window indicates hold_dt=MMDDYYYY. Click "OK". Cursor returns to the 2-digit "Organization Code".

9. If the information is incorrect, enter "N" to cancel and press <ENTER>. A pop-up window indicates hold_dt=MMDDYYYY. Click "OK". Cursor returns to the 2-digit "Organization Code".

(2) Printing the Unit Production Report

1. Click on "Tools" on the Menu Toolbar.

2. Click on "Unit Production Log Report".

3. Click on the "Org Code" on the lower left-hand side of the screen.

4. Enter the appropriate 2-digit Organization Code then press <ENTER>.

5. Select "Print Report".

6. System generates Report.

7. Select "Print" and then select "OK".

8. Report prints.

(1) The Batch Creation Screen is used to create batch numbers. BBTS systemically creates and assigns new batch numbers by "Program Number", ranging from 0001 to 9999. Once BBTS reaches Batch Number 9999 for a Program Number, the next batch number for that same Program Number will be 0001.

(2) BBTS will create "re-circulating" batch numbers by Program Number and may create two Batch Numbers on the same day that are the same (but for different Program Numbers).

(3) To create a batch number, "navigate" to the Batch Creation Screen and enter the following. See Figure 3.10.5-24.

• Batch Type

• Program Code

• Batch Identification

• DIP Type

• Batch Source

• DLN Reference Number

• Acct (Account) Type (IRP Only)

• RRPS/Lockbox Batch?

• Received Date

• Alt (Alternate) Cycle Start

• Days in Cycle

• Release Date

• Release Cycle

• Route

• Estimated Volume

• How many batches?

• Continue?

(1) This screen is used primarily for batches of standard, un-numbered work (returns that are not yet identified with DLNs). "Navigate" to Batch Creation Screen. See Figure 3.10.5-25.

(2) The following information must be entered to establish Non-Remit batches of work:

1. "Batch Type-" Non-Remit Pre-batch automatically appears in this field. Press <ENTER>. The cursor will move to the Program Code field.

2. Program Code- The "Program Code" is the 5-digit Program Code assigned to the batch. Enter the "Program Code" and the cursor will automatically move to next field.

   Note: This field also offers a pop-up screen by selecting "Tools" and "List of Values".

3. Batch ID- Enter the "Batch ID" information or leave blank. Press <ENTER>.

   Caution: Form 1040 returns only - Returns received after the grace period, but with timely postmarks should be re-batched and input "TIMELYPM" in the Batch ID on the Batch Creation Screen.

4. Batch Number- The "Batch Number" is automatically generated at the end of this process.

5. Batch Source- The "Batch Source" automatically defaults to "Standard". If the "Batch Source" type is not Re-input, Reprocessable or Odd Batch, press <ENTER> and the cursor will automatically move to next field. If the "Batch Source" type is a Re-input, a Reprocessable or Odd Batch, see below.

6. DLN Reference Num- The "DLN Reference Number" is a 1–4-digit number assigned to DLN Reference established for a program.

   Note: Each DLN Reference Number is established to distinguish it from others by having specified criteria such as the Masterfile (MF) for the work to be processed, Tax Class, Doc Code, Blocking Range and other pertinent information.

   Enter the "DLN Reference Number" for the batch and press <ENTER>.

   Note: (1) This field also offers a pop-up screen by selecting "Tools" and "List of Values". (2) This field auto-populates if there is only one choice available in the DLN Reference file for the five-digit Program Code entered.

7. Acct Type- The "Acct (Account) Type" box is used for all IRP batches (Schedule K-1s, etc.).

8. RRPS/Lockbox Batch- This field automatically defaults to "No". If the batch is a "RRPS/Lockbox Batch", use the down arrow to select "Yes" then press <ENTER>.

9. Received Date- This date is automatically generated in Julian Date/Year format (NNN/YYYY). If the date is correct, press <ENTER>. If the date is incorrect, manually enter the correct date and press <ENTER>.

10. Alt Cycle Start- The "Alt (Alternate) Cycle Start" date is automatically generated in Julian Date/Year format (NNN/YYYY). If the date is incorrect, manually enter the correct date and press <ENTER>.

11. Days in Cycle- Enter the "Days in Cycle" then press <ENTER>.

    Note: Refer to IRM 3.30.123, Cycles, Criteria and Critical Dates

12. Release Date- The "Release Date" is automatically generated in Julian Date/Year format (NNN/YYYY). Press <ENTER>.

13. Release Cycle- The "Release Cycle" is automatically generated then press <ENTER>.

14. Route- The "Routing Paths" are listed in the "List of Values". To view the list of routing paths, click on "Tools", then "List of Values". Enter the number that corresponds to the "Routing Path" selected then press <ENTER>.

15. Estimated Volume- Enter the "Estimated Volume" of the batch then press <ENTER>.

16. SCRIPS Block Count- The "SCRIPS Block Count" is used for programs controlled by BBTS but processed via SCRIPS, (Schedule K-1s, etc.).

17. How many batches? - Enter the "number of identical batches" to be created then press <ENTER>.

18. Continue- This field automatically defaults to "Y" to continue. If "N" is entered, the cursor automatically moves to the "Program Code" field.

(3) A pop-up window opens with the following message: "Batch created successfully." Press the <ENTER> key to complete the action.

(4) When the Batch has been entered and created, a Form 9382, is generated and the Batch automatically moves to the next function assigned within the Routing path.

(5) To print the Form 9382 use the following procedures: See Figure 3.10.5-26

1. Click on "Batch" on the menu bar.

2. Select "Print".

3. Select "Form 9382".

4. A Batch Transmittal Form 9382 is generated. See Figure 3.10.5-27



5. Select "Print" and then select "OK".

6. A pop-up window appears with the following message: "Did the Form 9382 report(s) print correctly?" See Figure 3.10.5-28

7. Select either "Yes", "No" (Print Again) or "Cancel" (Print Later).

(1) The Entity Batch Creation Screen is used to create batch numbers. BBTS systemically creates and assigns new recirculating batch numbers for Entity work by "Program Number", ranging from 000000 to 999999 returning to 000001 for a program that has previously generated batch 999999.

(2) To create a batch number, "navigate" to the Entity Batch Creation Screen and enter the following.

• Program Code

• Batch Description

• IRS Received Date

• Entity Received Date

• Batch Volume

• How many batches?

• Auto Assignment
  No Auto Assignment
  Auto Employee
  Auto Team

• Continue?

(1) The ICT Batch Creation Screen is used to create batch numbers. BBTS systemically creates and assigns new recirculating batch numbers for ICT work by Program Number, ranging from 000000 to 999999 returning to 000001 for a program that has previously generated batch 999999.

(2) To create a batch number, navigate to the ICT Batch Creation Screen and enter the following.

• Program Code

• Batch Description

• IRS Received Date

• ICT Received Date

• Batch Volume

• How many batches?

• Auto Assignment
  No Auto Assignment
  Auto Employee
  Auto Team
  Continue?

(1) The 1040X/CP Batch Creation Screen is used to create batch numbers. BBTS systemically creates and assigns new recirculating batch numbers for 1040X and CP work by Program Number, ranging from 000000 to 999999 returning to 000001 for a program that has previously generated batch 999999.

(2) To create a batch number, navigate to the 1040X/CP Batch Creation Screen and enter the following.

• Program Code

• Batch Description

• IRS Received Date

• 1040X/CP Received Date

• Batch Volume

• How many batches?

• Auto Assignment
  No Auto Assignment
  Auto Employee
  Auto Team

• Continue?

(1) This screen allows the Batching Function to select and release blocks of returns from the Manual Deposit Function and establishes With-Remit batches of work into the pipeline process. See Figure 3.10.5-29

(2) Click on the "Navigate" function to select and access the Batch Creation screen.

(3) Batch Type- From the drop-down window use the mouse to click and select "Manual Deposit Final Batch". The cursor then will move automatically to the Program Code field.

(4) Program Code- Enter the 5-digit Program Code assigned to the Batch. The cursor automatically moves to the Batch ID field if the code is recognized as an acceptable code. If not recognized as an acceptable code the system will open an additional window listing all available acceptable codes.

(5) Batch ID- Enter the Batch ID information or leave blank then press <ENTER>.

(6) DLN Reference Number- "Click on Tools" in the Menu Bar. Select "List of Values". Choose DLN Reference Number then press <ENTER>. See Figure 3.10.5-30.

(7) Received Date- Enter the "Received Date" from the Form 813 (the current date is automatically generated) in Julian Date/Year format (NNNYYYY) then press <ENTER>.

(8) Alternate Cycle Start Date- Automatically generated according to the Received date then press <ENTER>.

(9) Days in Cycle- Enter the "Days in Cycle" then press <ENTER>.

(10) Release Date- Automatically generated then press <ENTER>.

(11) Release Cycle- Automatically generated then press <ENTER>.

(12) Route- Enter the number that corresponds to the Routing Path or click on "Tools". Click on "List of Values" then press <ENTER>. See Figure 3.10.5-31

(13) A pop-up window appears with message. Select "OK". The cursor is located on the FLC field. See Figure 3.10.5-32

(14) Click on "Tools", then "List of Values". Use the down arrow to select the appropriate block. Press "OK".

(15) A pop-up window appears, showing the DLN selected. Arrow down to the next line for the selection of the next block. Repeat Step 14. The volume increases as additional blocks are selected. See Figure 3.10.5-33

(16) Click on "Batch", then "Save". You are now ready to print the transmittal(s). Click on "Print", select Form 9382. A pop up window appears with the following message: "Did the Form 9382 report(s) print correctly?" The System will generate a Form 9382. Select "Print" and then select "OK". Select either "Yes", "No" (Print Again), or "Cancel" (Print Later).

(1) For Reprocessables, Re-inputs and Odd Batches, use the Non-Remit Input Screen.

(2) All information entered on the Non-Remit Input Screen is taken from the Block Transmittal Form 813 (Accounting/Rejects), Form 9893 (Reprocessables/Re-inputs), and Form 1332 (Rejects).

(3) All information should be entered from the document itself, not the attachments (which may increase the risk of errors).

1. Select the "Routing Path". Once the routing path has been selected in the Batch Creation Screen, a pop-up window will appear. Press <ENTER>to complete the action.

Note: "The Alpha Block Control" (ABC) automatically generates and fills the fields automatically. Since there are some Program Numbers for which more than one valid Tax Class/Doc Code combination is valid, you must select the valid Tax Class/Doc Code to be used.

2. The cursor appears on the "FLC Field". Enter the File Location Code.

3. The cursor automatically moves to the "Julian Date field".

4. Enter the "Julian Date" "NNNYYYY" then press<ENTER>.

5. Enter the "Block" number then press <ENTER>.

6. Enter the "Serial" number (if required) then press <ENTER>.

7. Enter the last digit of the year then press <ENTER>.

8. Enter the count then press <ENTER>.

9. Continue to enter the "DLNs" using the arrow down key.

10. Write the "ABC" on the Form 3893, Form 1332 or Form 813 upon the entry of each DLN.

11. On the Menu bar, click on "Batch" and then "Save". See Figure 3.10.5-34.



Note: The cursor returns to the Batch Type field.

12. Write the "Batch" number on the Form 3893, Form 1332 or Form 813.

13. Click on "Batch" on the Menu bar and Select "Print".

14. Select Form 9382. An image of the generated Batch Transmittal Form 9382 appears. See Figure 3.10.5-35



15. Select "Print" and then select "OK".

16. A pop-up window appears with the following message: "Did the Form 9382 report(s) print correctly?" Select either "Yes", "No" (Print Again), or "Cancel" (Print Later).

17. Form 9382(s) prints.

(1) This screen allows the user to release batches of work that have been previously established to the next function in its specified route. This screen is used by Batching, Code and Edit, Data Conversion, and Entity functions.

(2) "Navigate" to the Batch Release Screen for final release batches.

(3) Select the Function Code from the drop-down list. See Figure 3.10.5-36

(4) Program Code- Enter the 5-digit program from the Form 9382, Batch Transmittal. The cursor automatically moves to the "Batch Number" field.

(5) Enter the "Batch Number" from the Form 9382, Batch Transmittal.

1. If the "Batch Number" is less than four digits, press <ENTER>.

2. If the "Batch Number" is entered as 4-digit, the cursor automatically goes to the next Program Code field.

(6) If any of the Batches are not in the Function, a message appears. See Figure 3.10.5-37

(7) Click the "OK" button to show the Batch was not released.

(8) Check your transmittal for clarification.

(1) This module allows the user to delete a batch when an error has occurred in any of the fields as long as the batch is deleted on the same day the batch was created. Various functions use this screen.

(2) To delete a batch:

1. Select "Navigate" then click "Batch Deletion/Restoration" screen.

2. Select "Delete Batch" from the three menu choices at the left.

3. Enter the "Program Number." Press <Enter>.

4. Enter the "Batch Number." Press <Enter>.

5. A pop-up will appear indicating that the batch has been assigned to the next function in the selected routing path and ask if you want to delete the function just following the function in which you are working.

   Note: Caution should be taken when utilizing this functionality. The Batch Restoration selection should be used by only authorized individuals. This selection may automatically change parameters of the batch (such as function location of the batch or number of documents) automatically and without warning.

(1) "Navigate" to the "Batch/Block Volume Change Screen" in the Toolbar. See Figure 3.10.5-38

(2) Enter the 5-digit "Program Code" from the Form 9382, Batch Transmittal. The cursor will move to the "Batch Number" field.

(3) Enter the "Batch Number" from the Form 9382 then press <ENTER>.

(4) All assigned DLNs for the Batch appear.

(5) Click in the "Actual Volume" column next to the DLN for volume to be corrected. See Figure 3.10.5-39

(6) Make the change. Press <ENTER> and record will be highlighted and the partial release indicator will be checked.

(7) When finished with all volume changes, press the "Release Entire Batch" button for final release or use the procedures below for releasing a Partial Batch:

• Navigate to "Batch/Block Volume" screen.

• Enter the program and batch number from the Form 9382.

• Click on the "Partial Release Indicator" boxes on the blocks to be released. The box will change to being "checked" and the record will be highlighted.

• When finished, click on the "Release Partial Batch" button. All blocks "checked" will be released.

(8) If this block is to be deleted, follow the instructions in (9) below. See Figure 3.10.5-40

(9) To Delete a Block Record:

1. Click on "Tools" in the Toolbar.

2. Click on "Delete block record".

3. Ensure that the correct DLN that is highlighted is selected before deleting.

4. A pop-up sub-menu appears asking, "Are you sure you want to delete this DLN?" Click "Yes" or "No" See Figure 3.10.5-41



5. When all volume changes and block deletes are complete, click on "Release Entire Batch".

(10) Repeat instructions in (1) through (7) above to continue releasing batches of work.

(1) This screen is used to return a batch of work to a prior function as long as the release to that function occurred within the same BBTS day. For example, function 190 releases an incorrect batch of work to function 230. Function 190 can return the batch to their function as long as BBTS is still in the same day that the batch was originally released.

(2) "Navigate" to "Batch Rollback".

(3) Enter the "Program Code" and "Batch Number" to be rolled back from the Form 9382 then press <ENTER>.

(4) The current and prior function will appear on the screen then press <ENTER>.

(5) Click on "Move Back".

(6) A Batch Rollback confirmation message appears with, "Batch has been returned to Function 230". See Figure 3.10.5-42

(7) Click on the "OK" button.

(8) Corrections can be made to this batch.

(1) The DLN Generation Screen is used to establish a block of With-Remit (W/R) returns processed by the Manual Deposit function. This application allows the BBTS user to input specific information used to generate With-Remit (W/R) Block DLNs and Alpha Block Control (ABC) Codes. The DLN and the ABC for each block is established within the batch of work.

(2) "Navigate" to the "DLN Generation Screen".

(3) With-Remit automatically appears in the first field.

(4) Enter the 5-digit Program Code.

(5) The File Location Code (FLC) automatically generates. User may override then press <ENTER>.

(6) Enter the appropriate Reference Number then press <ENTER>. Refer to your local Reference file.

(7) Enter the number of DLNs needed then press <ENTER>.

(8) Press "Continue".

(9) Click on "DLNs" on the Menu Toolbar.

(10) Select "Print" and "Manual Deposit DLNs".

(11) To Print:

1. Click on the file.

2. Select "Print".

3. Enter the number of copies needed.

4. Click on "OK".

(1) This process establishes the DLN and the ABC for each block within the batch of work. After the DLNs are generated for the Batch, a print of Form 9382 and Form 1332 is needed.

(2) "Navigate" to the "DLN Generation Screen". See Figure 3.10.5-45

(3) Non-Remit is highlighted. Press the <ENTER> key.

(4) Enter the 5-digit "Program Code" from the Batch Transmittal Form 9382. Cursor automatically moves to the next field.

(5) Enter the Batch number from the Form 9382, Batch Transmittal. If the Batch number is less than 4-digit, press <ENTER>. If the Batch number is 4-digit, the cursor will advance to the next field.

(6) Enter a 3-digit number in the "Docs per Block" field to indicate the block size (number of documents in the block) then press <ENTER>.

(7) The "File Location Code (FLC)" is systemically generated for regular pipeline systems. For some Non-Master File (NMF) and Information Returns Processing (IRP) batches, the cursor stops momentarily to allow the BBTS user to manually change the field. If no changes are needed, press <ENTER>.

(8) The cursor moves to the "DLNs Needed" field.

(9) Is the number of DLNs correct? If "yes", press <ENTER>. If "no", click on the DLNs Needed field to override the number generated.

(10) BBTS assigns the number of DLNs requested. Use the scroll bar at the right of the screen to review the DLNs assigned.

(11) Click on "Continue" and repeat instructions in (1) through (11) above to assign DLNs to numerous batches at one time.

(1) After completing the instructions in IRM 3.10.5.6.1, click on "DLNs" located on the Menu Toolbar.

(2) Select "Print" select Form 9382. See Figure 3.10.5-46

(3) A pop-up window appears with the following message: "Did the Form 9382 (report) print correctly?"

(4) System generates Form 9382(s).

(5) Select "Print" and then select "OK".

(6) Select the number of copies to print.

(7) Click "OK". See Figure 3.10.5-47

(8) A pop-up window appears with the following message, "Did the Form 9382 report(s) print correctly?" See Figure 3.10.5-48

(9) Select either "Yes", "No" (Print Again), or "Cancel" (Print Later).

(10) Form 9382 prints.

(11) Click on "DLNs" located in the Menu Toolbar.

(12) Click on "Print Preview" to ensure Form 1332 prints correctly. See Figure 3.10.5-49

(13) Select "Print" and then select "OK".

(14) Select the number of copies to print. See Figure 3.10.5-50

(15) Click on "OK".

(16) A pop-up window appears with the following message: "Did the Form 1332 report(s) print correctly?"

(17) Select either "Yes", "No" (Print Again) or "Cancel" (Print Later). If "Yes" is selected, Form 1332 will print. See Figure 3.10.5-51 and Figure 3.10.5-52

(1) This application allows the user to reprint Batch Transmittal(s) Form 9382, Form 1332, and Form 813.

(2) "Navigate" to the "Reports Screen".

(3) Click on the "Re-print Transmittal".

(4) Enter the 5-digit "Program Code".

(5) Click on the "Batch Number" field and enter the Batch Number.

(6) Select either "Reprint 9382" or "Reprint 1332" as appropriate. A pop-up window indicates Form 9382 successfully scheduled to print or Form 1332 successfully scheduled to be printed. Click "OK".

(7) Select "Reports" on the Menu Toolbar.

(8) Select the "Print" option. Click on the form User wants to print.

(9) System generates forms.

(10) Select "Print" and then select "OK".

(11) A pop-up window appears with the following message: "Did the Form 9382 or 1332 report(s) print correctly?". Select either "Yes", "No" (Print Again) or "Cancel" (Print Later).

(12) Follow the instructions in (2) through (11) above when re-printing Remittance Processing Identification (RPSIDs) transmittal.

(13) To Re-print a Form 813, Enter "DLN". Select "Re-print 813". A pop-up window indicates Form 813 successfully scheduled to be printed. Click "OK". Follow the instructions in (7) through (12) above.

(1) The ISRP (Integrated Submission and Remittance Processing System) RPSID Screen allows the user to assign a RPSID number to all With-Remit returns processed through Deposit and to delete a RPSID number that was erroneously assigned.

(2) "Navigate" to the "ISRP RPSID Generation Screen". See Figure 3.10.5-54 and Figure 3.10.5-55

(3) To create RPSIDs follow the instructions in (4) through (13) below.

(4) Enter the beginning RPSID number. Press <TAB>.

(5) Enter the Program number. Press <TAB>.

(6) Enter MFT. Press the <TAB> key.

(7) Enter the Transaction Code. Press <TAB>.

(8) Enter the Tax Year (YYYY). Press <TAB>.

(9) Enter the Tax Period (MM). Press <TAB>.

(10) Enter the Received Date (MMDDYYYY). Press <TAB>.

(11) Enter the number of RPSIDs. Press <TAB>.

(12) Select the "Generate RPSIDs" button.

(13) Screen displays list of generated RPSIDs.

(14) To print transmittals, select "BBTS", "print", "transmittal". See Figure 3.10.5-56.

(15) The Form 9382, Batch Transmittal(s) generates as an Adobe Acrobat pdf file. When the file has been generated print the transmittal(s). See Figure 3.10.5-57

(16) After printing the generated Form 9382, Batch Transmittal(s), close Adobe Acrobat and return to BBTS. A message window appears with the following Pop-up message: "Did the Form 9382 report(s) print correctly?" Select either "Yes", "No (Print Again)", or "Cancel (Print Later)". See Figure 3.10.5-58

(17) The Form 1332, Block Header(s), generates as an Adobe Acrobat pdf file. When the file has been generated print the transmittal(s). See Figure 3.10.5-59

(18) After printing Form 1332, Block Header(s), close Adobe Acrobat and return to BBTS. A pop-up message appears with the following message: Did the Form 1332 report(s) print correctly?. Select either "Yes", "No (Print Again)", or "Cancel (Print Later)". See Figure 3.10.5-60

(19) To print additional sets of RPSIDs, "Navigate" to the Toolbar and click on "Tools", and select "Generate RPSIDs". Repeat instructions in (3) through (18) above. See Figure 3.10.5-61

(20) To Delete RPSIDs that have been created under the incorrect Program Number, MFT, Transaction Code or a combination of items, use the following instructions: See Figure 3.10.5-62 through Figure 3.10.5-64

1. Select "Tools"

2. Select "Delete RPSIDs"

3. Select the Program Code that was entered incorrectly then press <TAB>.

4. Select the Starting RPSID that you want to delete then press <TAB>.

5. Select the Ending RPSID that you want to delete then press <TAB>.

6. Press the "Delete" button then press the <TAB> key.

7. Screen displays a confirmation message displaying the RPSID range and Program code that you want to delete. Complete the process by selecting "yes", to confirm deletion or "no" to cancel deletion.

(1) This screen allows the user to list and balance the individual money amounts in a block that has been assigned a DLN through the With Remittance DLN Generation Screen. The user will also have the capability to generate and print the Form 813 and Form 813-A.

(2) "Navigate" to 813 Entry/Reconciliation. See Figure 3.10.5-65

(3) Select the DLN to be listed and balanced. The user will select the DLN previously generated through the With Remittance DLN Generation Screen:

1. File Location Code and Tax/Class Doc Code.

2. 3-digit Julian Date.

3. Blocking series and the year digit.

4. Click on "Tools" and select "List".

(4) Individual money amounts (deposit credits only) must be listed for each Manual Deposit DLN. A maximum of 100 documents (serial numbers 00-99) can be entered per block DLN. The money amounts are entered from the actual payment documents (checks, money orders, etc.). See Figure 3.10.5-66

(5) Use the following instructions for Listing Money Amounts:

1. Enter the Credit money amount then press <ENTER>. Use the up/down arrow to move to the corresponding credit money amount.

2. Enter the Debit money amount ONLY if found on Form 3244, Payment Posting Voucher, and ONLY after its corresponding credit money amount is entered. Press <TAB> to move to the debit money amount field. To continue entering debit money amounts press <ENTER>. Press <ENTER> again to continue entering debit money amounts. The Totals credit money amount field increases as money amounts are entered.

3. Select "Save" to commit the transaction when all money amounts have been entered. Select "Closed".

4. Enter the DLN to list additional blocks. Follow instructions in (a) through (c) above.

(6) Use the following procedures for Reconciliation to Balancing a DLN: See Figure 3.10.5-67

1. Verify total amount from encoding tape versus totals listed for DLNs.

2. Reconcile money amounts on checks with the deposit ticket and the Form 813.

3. Select the appropriate DLN, File Location Code, Tax/Class Doc Code, 3-digit Julian date, Blocking Series and the year digit. Use the down arrow for each field.

4. To change the indicator code, use the down arrow key and select one of the following indicator codes:

• Courtesy Deposit

• Manual Deposit

• Cash Window

• Foreign Deposit

• User Fees

• Installment Agreement

• Reinstated Installment

5. Click on "Tools" on the Menu bar and select "Balance". A pop-up window appears.

6. Enter the total credit amount from the encoding tape then press <ENTER>twice.

7. Select "Balance DLN" then press <ENTER>. The block will be checked identifying DLN is balanced.

8. Click on the "Closed" button.

9. Repeat (a) through (h) for additional blocks.

10. The Form 813-A cannot be printed until the reconciliation process has been completed.

    Note: Once the manual deposit block has been listed, balanced, and reconciled, the user will generate and print the Form 813-A to commit the DLN to the Service Center Control File (SCCF).

11. DLNs generated through off-line DLN generation are not established on SCCF through BBTS. These DLNs are generally established via Data Control forms (813, etc.) transcribed in ISRP or by other systemic processes (Reject Reinput actions, etc.) or by manual IDRS SCCF adjustments in Data Control Accounting.

(7) Printing Form 813

1. Click on "DLN" on the Main Menu Toolbar.

2. Select "Print" option and Form 813.

   Note: The print jobs are output in the Adobe (PDF) format.

3. Close the Adobe Acrobat window.

4. The message "Did the Form 813 report(s) print correctly?" appears. See Figure 3.10.5-68

5. Select either "Yes", "No" (Print Again), or "Cancel" (Print Later).

(8) Generating and Printing Form 813-A

1. Click on "Tools" on the Main Menu Toolbar.

2. Select "Generate Form 813-A(s)"

3. A pop-up message appears: "Form 813-A generated. Do you want to print your Form 813-A?". See Figure 3.10.5-69

4. Select either "Yes", "No" (Print Again), or "Cancel" (Print Later).



5. A pop-up window appears. Form 813-A scheduled to print are highlighted.

6. Select Print Form 813-A(s). Click on "Close" button.

Note: The print jobs are output in the Adobe (PDF) Acrobat format. See Figure 3.10.5-70

7. Close the Adobe Acrobat window.



8. A pop-up window appears with the following message: "Did the Form 813-A report(s) print correctly?"

9. Select either "Yes", "No" (Print Again), or "Cancel" (Print Later). See Figure 3.10.5-71

(9) Replacing a DLN

1. Click on "Tools" on the Main Menu Toolbar.

2. Select "Replace a DLN".

3. A pop-up window appears with a list of DLNs not yet listed.

4. Click on the selected DLN from the list.

5. Click on "Replace a DLN". See Figure 3.10.5-72 and Figure 3.10.5-73.

   Note: The replaced DLN must be balanced (The listings of credit and debit amounts are successfully moved to the new DLN).

(10) Removing a DLN from Form 813-A

1. Upon the completion of the Recapitulation of the Document Register, Form 813-A, the user can recreate and remove a DLN from the Form 813-A. See Figure 3.10.5-74 and Figure 3.10.5-75

2. Select the appropriate DLN using the down arrow for each field.

3. The DLN includes the File Location Code and the Tax/Class Doc Code, 3-digit Julian Date, Blocking Series and the Year digit.

4. Click on "Tools". Select "Remove DLN from Form 813-A".

5. A pop-up window appears asking if the DLN should be removed. Select either "Yes" or "No".

6. Select "Yes" a pop-up window appears. The DLN was successfully removed from the Form 813-A.

(1) The Off-Line DLN Generation Screen allows the user to establish Off-Line DLN Generation for Non-Master File (NMF) payments, returns sent from the Campus area offices.

(2) This screen is used for DLN renumbering performed in Rejects or in Accounting.

(3) This screen is used by Numbering for documents requiring numbering which are processed through general purpose processing (GPP).

(4) This screen is also for Employee Plan/Exempt Organization (EP/EO) user fees. All NMF documents are pre-sorted into like area offices, and Master File (MFT) codes. EP/EO user fees are pre-sorted by form number only.

(5) The user assigns Document Locator Numbers (DLNs) to payments and returns. The payments and returns can be in the form of payment vouchers, such as Form 2424, Form 3244, Form 2552, and Form 3413, and BMF and IMF returns.

(6) Follow the instructions below to generate DLNs:

1. "Navigate" to the Off-Line DLN Generation Screen. See Figure 3.10.5-76 and Figure 3.10.5-77

2. Enter the File Location Code (FLC).

   Note: The cursor automatically moves to the next field.

3. Enter the Tax Class.

4. Enter the Document Code.

5. Enter the Julian Date/Year then press <ENTER>.

6. Enter the Start range.

7. Enter the End range then press <ENTER>.

8. Enter the number of DLNs required.

9. Click on "Generate DLNs".