Part 3. Submission Processing
Chapter 13. Campus Document Services
Section 6. Submission Processing Image Control Team (ICT) Correspondence Scanning
3.13.6 Submission Processing Image Control Team (ICT) Correspondence Scanning
Manual Transmittal
December 01, 2023
Purpose
(1) This transmits revised IRM 3.13.6 Campus Document Service, Submission Processing Image Control Team (ICT) Correspondence Scanning.
Material Changes
(1) IRM 3.13.6 - Removed the Ephesoft Command Code Resolved and replaced it with Save throughout the IRM. - IPU 23U0245 issued 02-07-2023
(2) IRM 3.13.6.2.1(1) Edited - ICT will date stamp the document after it returns from AM. - IPU 23U0293 issued 02-22-2023
(3) IRM 3.13.6.2.7 - Removed Form 3699 and replaced it with Form 14219. Form 3699 is no longer supported by warehouse stock. - IPU 23U0067 issued 01-09-2023
(4) IRM 3.13.6.2.7(1) - Changed Calendar Days to Business Days. - IPU 23U0518 issued 04-19-2023
(5) IRM 3.13.6.2.7(1) - Changed the 20 calendar days to business days of the IRS received date. - IPU 23U0528 issued 04-21-2023
(6) IRM 3.13.6.2.8 (6) - Envelopes - Added instructions for an envelope with a metallic address label must be photocopied so the envelope can be scanned. - IPU 23U0145 issued 01-20-2023
(7) IRM 3.13.6.3.3(2) - Changed Calendar Days to Business Days. - IPU 23U0518 issued 04-19-2023
(8) IRM 3.13.6.7 - Edited Scanner Preventive Maintenance Visit. - IPU 23U0929 issued 09-01-2023
(9) IRM 3.13.6.8 - Added new section for Scanner and Ephesoft Downtime Issues. - IPU 23U0929 issued 09-01-2023
(10) IRM 3.13.6.17 - Functions and Programs for ICT - Added SP-1040X OFP Codes. - IPU 23U0067 issued 01-09-2023
(11) IRM 3.13.6.17 - Edited Functions and Programs Chart sites must use Program Code 34310 for IMF Correspondence. - IPU 23U0567 issued 04-28-2023
(12) IRM 3.13.6.18 (f) - Added ICT Reports - The Uncontrolled Inventory volumes totals must be input daily thru the BBTS Production site, if no uncontrolled inventory is received enter “zero” in the BMF and IMF fields. - IPU 23U0145 issued 01-20-2023
(13) IRM 3.13.6.19 - ICT Reports updated the link to BBTS - CCD Home Page. - IPU 23U0929 issued 09-01-2023
(14) Exhibit 3.13.6-1 - Appendix A - Changed IDRS 0543021453 to 0543025331 domestic claims for Letters 6173, 6174 and 6174-A. - IPU 23U0067 issued 01-09-2023
(15) Exhibit 3.13.6-1 - Appendix A - Update the SP-1040X scanning instructions. - IPU 23U0245 issued 02-07-2023
(16) Exhibit 3.13.6-1 - Changed IDRS 1030362466 to 1030374428, Category Code SPC5 - 1040-X Erroneous Zero Returns-Transcription Error. - IPU 23U0351 issued 03-06-2023
(17) Exhibit 3.13.6-1 - Appendix A - Changed IDRS 0933278778 to 0933578782 for Category Code KITA and Exonerated Prisoner Claims issues for various doc types in this Exhibit.. - IPU 23U0816 issued 07-11-2023
(18) Exhibit 3.13.6-1 - Appendix A - Added Form 2439 scanning instructions: Doc Type: Corr Loose Forms/ Program Code: 710-40008/ Category Code: LSFM. - IPU 23U0789 issued 06-30-2023
(19) Exhibit 3.13.6-1 - Appendix A - Changed IDRS 0933278778 to 0933578782 for Category Code KITA/ Program Code 710-82385 for various doc types in this Exhibit. - IPU 23U0789 issued 06-30-2023
(20) Exhibit 3.13.6-2 - Appendix B Changed IDRS 0539280163 to 0534037958. - IPU 23U0518 issued 04-19-2023
(21) Exhibit 3.13.6-2 - Appendix B - Added new instructions for scanning documents via EEFAX to Philadelphia from Centralized Case Processing (CCP). - IPU 23U0902 issued 08-18-2023
(22) Exhibit 3.13.6-4 - Appendix D - Added new instructions for 941-X, 943-X and 944-X for lines 18a and 26a (ERC) and 18b and 26b (QSFL). - IPU 23U0385 issued 03-13-2023
(23) Exhibit 3.13.6-4 - Appendix D - Edits IPU 23U0385 instructions for 941-X, 943-X and 944-X for lines 18a and 26a (ERC) and 18b and 26b (QSFL). - IPU 23U0407 issued 03-16-2023
(24) Exhibit 3.13.6-6 - Appendix F - Edits to Category Code EPTP the Program Code is 710-72860. - IPU 23U0445 issued 03-21-2023
(25) Exhibit 3.13.6-4 - Appendix D - Edits to 943-X lines and 944-X lines. - IPU 23U0451 issued 03-22-2023
(26) Exhibit 3.13.6-4 - Appendix D - Edits to 944-X lines. - IPU 23U0453 issued 03-24-2023
(27) Exhibit 3.13.6-4 - Appendix D - Edits to 941-X, 943-X and 944-X regarding ERC and QSFL.- IPU 23U0518 issued 04-19-2023
(28) Exhibit 3.13.6-4 - Appendix D - Changed IDRS 0442177495 to 0442104608, Doc Type: BMF, Category Code: Various, listed in the last notes of this Appendix. - IPU 23U0614 issued 05-10-2023
(29) Exhibit 3.13.6-4 - Appendix D - Added Form 2439 scanning instructions: Doc Type; BMF Internal Request - 1120/ Program Code: 710-40001/ Category Code: IRRQ. - IPU 23U0789 issued 06-30-2023
(30) Exhibit 3.13.6-4 - Appendix D - Added new instructions for scanning documents via EEFAX to Philadelphia from Centralized Case Processing. (CCP). - IPU 23U0902 issued 08-18-2023
(31) Exhibit 3.13.6-5 - Appendix E - Changed Category Code IRRQ to EOIR for EO-Program Code 710-13100. - IPU 23U0067 issued 01-09-2023
(32) Exhibit 3.13.6-6 - Appendix F - Changed Category Code IRRQ to EPIR for Program Code 710-72800. - IPU 23U0067 issued 01-09-2023
(33) Exhibit 3.13.6-6 - Appendix F - Changed Category Code IRRQ to EPTP for Program Code 710-72801. - IPU 23U0067 issued 01-09-2023
(34) Exhibit 3.13.6-8 - Appendix H - Changed IDRS 0534178254 to 0532078254, Doc Type: Carrybacks and IMF International Carrybacks. - IPU23U0953 issued 9-12-2023
(35) Exhibit 3.13.6-9 - Appendix I - Changed IDRS 0442177495 to 0442104608, Doc Type: BMF Carrybacks, Category Code: Various. - IPU 23U0614 issued 05-10-2023
(36) Exhibit 3.13.6-14 - Appendix N - Added Scan UA Spanish IDRS 1183001929 to DOC TYPE: ID Theft Spanish IDT7. - IPU 23U0067 issued 01-09-2023
(37) Exhibit 3.13.6-14 - Appendix N - Edits made to various IDT Category Codes. - IPU 23U0067 issued 01-09-2023
(38) Exhibit 3.13.6-14 - Appendix N - IDT- IMF - Added an extra zero to Fresno's UA IDRS number 104200000. Ephesoft will only accept 10-digit IDRS numbers. - IPU 23U0154 issued 01-23-2023
(39) Minor editorial changes have been made throughout this IRM (e.g., spelling, punctuation, formatting, etc.). Other significant changes to this IRM are shown above.
Effect on Other Documents
IRM 3.13.6, dated November 04, 2022 (effective January 01, 2023) is superseded. - The following IPUs are incorporated throughout the IRM. 1/9/2023 IPU23U0067, 1/20/2023 IPU 23U0145 ,1/23/2023 IPU 23U0154, 2/7/2023 IPU23U0245, 2/22/2023 IPU 23U0293, 3/6/2023 IPU 23U0351, 3/13/2023 IPU 23U0385, 3/16/2023 IPU23U0407, 3/21/2023 IPU 23U0445, 3/22/2023 IPU 23U0451, 3/24/2023 IPU 23U0453, 4/19/2023 IPU 23U0518, 4/21/2023 IPU 23U0528, 4/28/2023 IPU 23U0567, 5/10/2023 IPU 23U0614, 06/30/2023 IPU 23U0789, 07/11/2023 IPU 23U0816, 08/18/2023 IPU 23U0902, 09/01/2023 IPU 23U0929 , 09/12/2023 IPU23U0953
Audience
Wage and Investment Employees in the Image Control Team (ICT) duties are; Batching, Document Preparation, Scanning, Review, Validate Forms and Correspondence scanned by Submission Processing for Accounts Management.
Effective Date
(01-01-2024)
James L. Fish
Director, Submission Processing
Customer Account Services
Wage and Investment Division
Program Scope and Objectives
(1) Purpose: The Image Control (ICT) team provides services for Accounts Management (AM) by scanning their correspondence and forms, sent in by taxpayer’s requesting adjustments to their accounts. The Kodak scanner uses the Ephesoft software to convert paper documents into digital images that are posted to the Accounts Management - Correspondence Imaging Inventory (CII).
(2) Audience: The primary users are Submission Processing employees, mainly clerks, tax examiners, and managers from Submission Processing.
(3) Policy Owner: The Director of Submission Processing.
(4) Program Owner: Paper Processing Branch Mail Management/Data Conversion (an Organization within Submission Processing).
(5) Primary Stakeholders: Affected by these procedures or have input to the procedures which may include a change in work flow, additional duties, change in established time frames, and similar issues are:
Accounts Management (AM)
Small Business/Self Employed (SB/SE)
Taxpayer Advocate Service (TAS)
Tax Exempt/Government Entities (TEGE)
Office of Servicewide Penalties are affected by the completion of these data records to posting.
Chief Counsel, Information Technology programmers
(6) Program Goals: To correctly and efficiently scan documents using the Ephesoft software for posting to the Correspondence Image System (CII).
Background
(1) The Image Control Team (ICT) scans taxpayer submitted amended and duplicate filed returns, claims, loose forms, and correspondence and internal adjustment requests using the Kodak scanner and Ephesoft software to convert the paper documents into digital images that post to the Correspondence Imaging System (CII) for use by Accounts Management staff. The daily workflow consists of batching, document preparation, scanning, review, validation, error inventory, and quality review.
Authority
(1) The following provide authority for the instructions in this IRM to be performed in support of completing compliance functions to make credits or refunds of any internal revenue tax, processing of non-revenue forms, and administrative support forms.
IRM deviations must be submitted in writing following and elevated through appropriate channels for executive approval.
Code sections which provide the IRS with the authority to issue levies.
Congressional Acts which outline additional authorities and responsibilities like the Travel and Transportation Reform Act of 1998 or the Tax Reform Act of 1986.
Policy Statements that provide authority for the work being done.
Note: The above list may not be all inclusive of the various updates to the IRC.
Responsibilities or Roles
(1) The Operations manager secures, assigns and provides training for the staff.
(2) The Planning and Analysis Staff provides feedback and support to local management and headquarters.
(3) The team manager/lead assign, monitor, and control the work flow to accomplish timely completion of the tasks required throughout this IRM.
(4) The team employees apply the instructions present to the assigned task on the Ephesoft system to accurately convert paper data to electronic data.
Program Management and Review
(1) Program Reports: The reports below are used to gather data for receipts, quality review, production and inventory for the Image Control Team and report and monitor daily and weekly status of the program to completion.
The ICT Weekly Report captures the inventory and production data to insure timeliness measures are maintained.
The Ephesoft Reports are retrieved from Business Objects.
The Embedded Quality Submission Processing (EQSP) Report.
(2) Program Effectiveness: Management measures goals using standard managerial reports by documents processed per hour reports. Each functionality must meet or exceed 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) Management uses unit production cards (UPCs) to measure and record activity in each functionality of this program.
Terms and Acronyms
(1) The following is a list of the acronyms that are used in this IRM section, this IRM uses prompts for data entry and are defined in the charts
Acronyms | Definition |
---|---|
AFCI | Affordable Care Act Fee Claims Inventories |
ATIN | Application for IRS Individual Taxpayer Identification Number |
AM | Accounts Management |
AMS | Accounts Management Services |
BPD | Brand Prescription Drugs |
BMF | Business Master File |
BI | Business International |
CAT A | Category A |
CC | Command Code |
CII | Correspondence Imaging Inventory |
CIS | Correspondence Imaging System |
CP | Computer Paragraph |
CORR | Correspondence |
CSR | Customer Service Representative |
DLN | Document Locator Number |
Doc Prep or Doc Prepped | Document Preparation |
EIN | Employee Identification Number |
ICT | Image Control Team |
IDT | Identify Theft |
IDRS | Integrated Data Retrieval System |
IDTVA | Identify Theft Victim Assistance |
II | Individual International |
IMF | Individual Master File |
IRM | Internal Revenue Manual |
IPF | Insurance Provider Fee |
MM/DD/YYYY | Month-Month/Day-Day/Year-Year |
MISC | Miscellaneous |
NOL | Net Operating Loss |
OCR | Optical Character Recognition |
PII | Personally Identifiable Information |
QR | Quality Review |
SCAMPS | Service Center Automated Mail Processing System |
SEID | Standard Employee Identifier |
SSN | Social Security Number |
SP | Submission Processing |
TAS | Taxpayer Advocate Service |
UPC | Unit Production Cards |
Related Resources
(1) IRM 21.5.1.4.2.4 Received Date – Determination
(2) IRM 21.5.1.5 Correspondence Imaging System (CII) Procedures.
(3) IRM 21.5.2.4.23.4 Statute Imminent Documents
(4) IRM 25.23.2.2.2 Priority Handling of Identity Theft Cases
(5) IRM 3.28.1.2.2 Form 3949-A Routing Instructions
(6) IRM 3.10.72-4Computer Paragraph (CP) Notices - Routing Guide
(7) IRM 3.10.72.5.5.2 Routing to Statutes
(8) IRM 3.10.72.5.14 Extracting and Routing - Form 14039, Identity Theft Affidavit
General Image Control Team Overview
(1) IRM deviations must be submitted in writing following instructions from IRM 1.11.2, Internal Revenue Manual (IRM) Process, IRM Standards and elevated through appropriate channels for executive approval.
(2) When ICT employees assist with other workloads inside the Receipt and Control restricted area, management must first temporarily restrict their IDRS profile using RSTRK definer U. This action will remove CC DOALL from the employees’ IDRS profile. The manager or Unit IDRS Security Representative (USR) can add or remove a restriction. ICT employees are not badged for access to the Receipt and Control restricted area (R on badge).
(3) This IRM provides instructions for the ICT clerks for Production Scanning, Exception Processing-Quality Control, Exception Processing—Reimage Request, and Scanner Maintenance in support of the Correspondence Imaging System (CII) for the Accounts Management (AM) Adjustments function.
(4) To avoid any unnecessary delays for the taxpayer, ICT Scanner Operators are required to perform a cursory review of all scanned documents ensuring the image is clear and legible.
(5) The Correspondence Imaging System (CII) consists of Production Scanning/Imaging, Quality Control, Review and Validation. The ICT clerks will utilize the CII Workflow application to work the Error Inventory and Reimage Requests. Access to the CII Workflow application requires the user to be logged into IDRS first. ICT clerks need special access provided by the CII office to process Reimage requests.
Incoming Documents
(1) The Image Control Team (ICT) will forward all incoming AM correspondence to the AM Customer Service Representative (CSR) Screener. The AM CSR Screener will sort the correspondence prior to being scanned into CII. The CSR Screeners will make the sort determination on Correspondence, not the ICT clerks. ICT will date stamp the document after it returns from AM.
(2) The AM CSR Screener determines if loose W2’s need scanning if not notated. Not all W2’s need scanning if there is an open case.
(3) All ICT employees identifying discovered remittances that are cash or other items of value, including credit, debit, and gift cards, must immediately notify their unit manager or designee following the IRM 3.8.46.1(2) and (3)(a),(b),(c), Discovered Remittances instructions.
(4) All cases involving identity theft will receive priority treatment, refer to IRM 25.23.2.2.2- Priority Handling of Identity Theft Cases. Envelopes must be kept and scanned with all IDT cases.
(5) When IDTVA cases are received by fax with unprocessed returns or copies of IRS initiated correspondence attached. Refer toIRM 3.10.72.5.14, Extracting and Routing - Form 14039, Identity Theft Affidavit.
(6) Scan IDTVA batches as IORS, and AM-IDTVA must batch OARS documents separately and expedite to ICT, scan as priority 1.
(7) Only the AM-IDTVA work with compliance involvement is pre-screened and pre-batched prior to ICT following guidance in Exhibit 3.13.6-14 . This guidance must not be applied to the ICTl processing of loose Form 14039. The ICT clerks are not required to perform additional research. The documents must be sent with the Form 3210 .
Note: Guidance for batching cases for the AM-IDTVA Return Preparer Misconduct program refer to Exhibit 3.13.6-1 and Exhibit 3.13.6-13.
(8) Ogden only - 3949 A sorting and routing instructions refer to: IRM 3.28.1.2.2Form 3949-A Routing Instructions.
(9) All ICT sites must use the following references for processing their work: IRM 3.10.72-4, Computer Paragraph (CP) Notices - Routing Guide, IRM 3.10.72.5.5.2, Routing to Statutes, IRM 3.10.72.5.4, Date Stamping Acknowledgements.
(10) Correspondence received in ICT intended for AM and is "rejected" back from the AM Screeners with their comments stating "not" AM Screening criteria, will be stamped with the ICT received date. They will be scanned using the "Correspondence" doc type. Refer to the Exhibits for scanning instructions..
(11) Documents will be received in the ICT area sorted by document type within an IRS Received Date. Some Document Types will require additional sorting in ICT.
(12) All DLN numbered documents must be sorted, scanned, and temporarily stored separately from unnumbered documents because they will be refiled in the Files function after the storage period has expired.
Refer to IRM 10.5.1.2.2 (3),Sensitive But Unclassified (SBU) Data.
(13) Follow current established procedures for determining the received date on incoming receipts. Refer to IRM 21.5.1.4.2.4, Received Date - Determination.
(14) When there is no IRS or handwritten received date on the document, use the following priority list when you are unsure of the IRS received date.
Latest postmark or private delivery service date on the envelope.
Service Center Automated Mail Processing System (SCAMPS) digital dates.
Note: SCAMPS sprays a digital date on the envelope.
Date the document/correspondence was prepared or signed.
Exception: If the only available date is from a copy of a previously filed return, do not use the copied signature’s date. Continue to (d) or (e) below.
Julian Date of the Document Locator Number (DLN) minus 10 days.
Note: The Julian Date is the 6-8 digits of a DLN. Using an fictitious example for PII purposes, in the DLN 00111-111-11100-1, the Julian Date is 111. Refer to DLN Composition in Document 6209, IRS Processing Codes and Information, for additional information.
Today’s date minus 10 days.
Note: For information concerning the Statute Reprocessable Return, see IRM 21.5.2.4.23.4, Statute Imminent Documents.
Once the correct received date is determined, write the date in the top right corner of the first page of the document as follows: IRS RCVD DT MM/DD/YYYY.
(15) On computer generated cases, use the transcript or notice date minus 14 days to determine the IRS received date. If no computer generated date is present, use the IRS received date on the source document. The received date of the duplicate return must be determined by using the CP36/TRNS 193 date on IDRS or CII, minus 14 days.
Note: CP 98, CP 198, Push Code Condition, resulting from a TPI must be controlled using the IRS received date of the source document.
(16) Carryback claims are priority cases and must be identified for expedite scanning. Carryback claims can be received at any site. The receiving site will scan the claims to the appropriate site as outline in Exhibit 3.13.6-8, Appendix H-Scanning of Carryback Applications/Claims-IMF/IMF International . Form 1040-X and Form 1120X may not have carryback claims separated and identified prior to receipt, when date stamping these forms. Form 1120 treat as a carryback if page (4) Line 11 has an x in the box.
Check Part 2 on Form 1120X or Line 1 on Form 1040-X form to determine if the carryback box is marked.
If the box is checked, treat form as a carryback and expedite scanning.
If the box is not checked or any other indication of Net Operating Loss (NOL) on the form itself, but may have an NOL Worksheet within the case.
If a case is received with indications it is either a carryback or carryforward and includes other issues with special handling/assignment, then the carryback or carryforward takes precedence.
(17) On computer generated cases, use the transcript or notice date minus 14 days to determine the IRS received date. If no computer generated date is present, use the IRS received date on the source document. The received date of the duplicate return must be determined by using the CP36/TRNS 193 date on IDRS or CII, minus 14 days.
Note: CP 98, CP 198, Push Code Condition, resulting from a TPI must be controlled using the IRS received date of the source document.
(18) When fax receipts are timely dated and time stamped by the fax machine, no further action is required to evidence receipt. Otherwise, fax receipts received before 2:00 p.m. local time, are considered received on the current date. Documents received after 2:00 p.m., local time, are considered received the next business day.
Note: The Taxpayer Advocate Service (TAS) organization is not a point of filing and TAS employees have not been delegated the authority to accept returns for filing. Treat all TAS Received Dates as invalid by circling them and edit the Received Date according to instructions.
(19) Stamp the first page of each case and find a clear spot on the documents to avoid stamping over any taxpayer provided information.
(20) If cases are routed back to ICT, circle out the original ICT date.
(21) Sometimes a single document which identifies several taxpayers is received from a CPA or tax practitioner. When this happens, a copy of the document will need to be made for each taxpayer. Each document will then need to be sanitized (blacken the other taxpayer's names and TINs) so that it reflects only one taxpayer's information. If the correspondence contains tax documents from different taxpayers, then associate the appropriate taxpayer's document with the copy of the document that has been sanitized to reflect their information.
Exception: ″BMF″ Beginning in January 2010, a new Schedule R (Form 941), Allocation Schedule for Aggregate Form 941 Filers, will contain an EIN for one ″agent″ along with a listing of numerous different EINs. When the Schedule R is prepared for scanning, do not make additional copies. The case must be scanned and validated to the "agent" EIN.
(22) Sort the forms and Form 4251, Return Charge Out, Computer Paragraph (CP) notices, etc., by document type and category code.
Note: As identified by local management, guidelines may allow for additional screening of incoming receipts to identify any mis-routed cases or other quick closures. Immediately return original documents to the taxpayer. Form 1040-X CATA cases are being screened for Category A (CATA) criteria prior to forwarding to ICT. The cases will include a cover sheet to identify the particular CATA issue and will be reviewed by AM CSRs for accuracy. CATA cases require a referral to Examination prior to taking any action. It is vital that these cases remain separated from the regular Form 1040-X and scanned into CII accordingly. These cases must be scanned into CII using the applicable category code with document type "1040-XCATA." Refer to Exhibit 3.13.6-10, APPENDIX J - SCANNING CATEGORY A CASES (CATA), for additional information. Do Not Destroy Numbered Documents.
(23) Ogden only - all 1040-X received in Ogden transshipped to Kansas City SP. This process mirrors the current procedures AM is following for all ramp down sites in which only a Campus Support function is available to ensure SP 1040-X requirements are addressed (follow statue procedures).
(24) If a case has multiple forms and Tax Reform documents are included the Tax Reform Category Codes will take precedence, however Category Codes for OARS, CATA, Carryback Identity Theft and Injured Spouse any category that requires an IDRS number will take precedence over Tax Reform.
(25) There are several document types that are valid with MFT 51 and 52. However, ICT must not scan taxpayer correspondence pertaining to Form 706 (MFT 52) or Form 709 (MFT 51). This is now Compliance work, route documents to Cincinnati Compliance. Refer to your local routing guide to obtain the appropriate stop number.
Sorting into Categories
(1) Refer to the List of Exhibits
Exhibit | Appendix | Program | Sites |
---|---|---|---|
Appendix A | IMF | IMF | |
Appendix B | IMF | IMF International | |
Appendix C | BMF | BMF International | |
Appendix D | BMF | BMF | |
Appendix E | EO | Ogden | |
Appendix F | EP | Ogden | |
Appendix G | LB&I - ACA | Ogden | |
Appendix H | Scanning Carryback Claims/Applications | IMF/IMF International | |
Appendix I | Scanning Carryback Claims/Applications | BMF /BMF International | |
Appendix J | Category A | All | |
Appendix K | Streamlined Documents | BMF and IMF | |
Appendix L | IDT and IDTVA | BMF | |
Appendix M | IDTVA | IMF/IMF International | |
Appendix N | IDT | IMF | |
Appendix O | Tax Reform | IMF | |
Appendix P | Tax Reform | BMF |
Batch Cover Sheet
(1) When completing the Batch Cover Sheet, use colored pens (red, green, purple) and or yellow highlighter the entries so the entries are easily identified for the scanner operator. Enter the data on the Batch Cover Sheet as follows:
Numbered, Unnumbered - a "X" must be notated in one of the boxes depending on which documents are included in the batch.
(2) IRS Received Date - Enter the "IRS Received Date" for the batch of work. Small batches with different dates within a Document Type, combine batches up to 25 or less and enter a future date, in the format "1/1/YY", which will be two years in the future (for example: during calendar year 2015 enter 1/1/17) for the IRS Received Date.
(3) Tax Period - If all of the cases in the batch have the same Tax Period, enter the appropriate Tax Period, otherwise leave blank.
(4) Function/Program - Enter the Function/Program on the batch cover sheet per the appropriate Appendix.
(5) IMF - MFT will default to MFT 30, if left blank. However, if the MFT for the entire batch is other than 30, enter the appropriate MFT. The only valid MFTs are blank, 00,29,30,31, 35, and 55.
(6) BMF - Enter the appropriate MFT for the batch. If ICT does not sort documents by MFT, write mixed in this field; you will be prompted to update this field during validation.
(7) Case Priorities are as follows:
BMF - Will be set as indicated in the Appendixes.
IMF - Will be set as indicated in the Appendixes.
Note: Additional Case Priorities are set by Accounts Management, but must include "Disaster Claims", "Military Operations" and any similar special handling documents.
(8) Issue Type - Management will determine if an Issue Type is to be entered.
(9) Statute Field - The values of the Statute field are "yes" or "no". The field will default to "no". This field only applies to statute cases that Statute employees have reviewed and cleared for processing. Cases will have a stamp from Statute indicating "No Statute Issue". Do not include claims that do not have the required Statute stamp. Check the "Statute Search" field on the batch cover sheet when you have documents that include the "No Statute issue stamp."
(10) CSR Number - Enter a specific, 10-digit CSR Number if the entire batch is to be assigned to one CSR or a specific CSR team.
(11) Document Type - Check the appropriate Document Type from the list on the Batch Cover Sheet.
(12) Category Codes - Check the appropriate Category Code from the list on the Batch Cover Sheet. If Katrina or Disaster relief is claimed on any Document Type, check the appropriate box. Headquarters has requested other category codes for special projects. Management will provide this information when appropriate.
(13) Batcher’s SEID - Enter employee’s SEID of the person sorting the batch of work to be doc prepped. Notate your SEID or use employee stamp, and today’s date
(14) Batch Volume - Enter the number of cases in the batch. Recommended batch size is up to 50 cases. Do not over fill the batch folder Document 6982, IMF File Folders - 2 Inch. It is crucial there is an accurate count of cases because it could result in the batch going to Ephesoft Review queue for reconciliation.
(15) The ICT Received Date must be written or stamped on the top of the Batch Cover Sheet. If several ICT Received Dates exist within a batch, write "Mixed ICT Date."
(16) Designated Service Center - Enter the Designated Service Center code only if the batch of work is being transferred to another Campus. Otherwise, leave this field blank.
(17) Document Preparer’s SEID - Enter employee’s SEID of the person preparing the batch of work for scanning. Notate your SEID or use employee stamp, and today’s date.
(18) Doc Prep Volume - Enter the number of cases in the batch. Recommended batch size is up to 50 cases. Do not over fill the batch folder, Document 6982. It is crucial there is an accurate count of cases because it could result in the batch going to Quality Control for reconciliation.
(19) Batch Name (Date and Timestamp) - Completed by the Scanner Operator.
(20) Scanner ID - Completed by the Scanner Operator.
(21) Scanner Operator SEID or Initials - and today’s date- Completed by the Scanner Operator.
(22) Volume Scanned - Completed by the Scanner Operator.
Note: IRS Received Date Determination - If unsure of the IRS received date refer to IRM 21.5.1.4.2.4, Received Date - Determination
Batch Cover Sheet - Outside the Scope of the Campus Work Type
(1) The ICT clerks enter and/or verify the appropriate Document Type, Category Code, Function and Program on the Batch Cover Sheet. When corrections are made, they must be a valid combination of document type, function/program, and category code as shown below
(2) Campuses will be responsible for batching and scanning documents identified as work outside their normal work type to other sites. For example, when a BMF site finds an IMF case, the case will be batched, doc prepped and scanned. ICT and AM Screeners will continue to route non-Adjustments work as paper, it will not be scanned.
(3) When working Error Inventory, refer to the chart below when re-assigning a case to another SC (BMF).
(4) Currently, the primary work type(s) by campus are as follows:
IMF - Atlanta, Andover, Austin, Brookhaven, Fresno, Kansas City, Memphis, Ogden and Philadelphia
IMF International -Austin and Philadelphia
BMF - Kansas City and Ogden
BMF- International - Kansas City and Ogden
BMF - Exempt Organization, Employee Plan - Ogden
(5) Documents will be doc prepped according to IRM 3.13.6.2.7 Preparing Documents for Scanning - General Instructions.
(6) Envelopes will be prepared according to IRM 3.13.6.2.8, Envelopes.
(7) The Batch Cover Sheet, Form 13503-H, Image Control Team Batch Cover Sheet - Other Campus, has been developed for batching work identified as outside the scope of the campus work type. Refer to Section IRM 3.13.6.2.3, Batch Cover Sheet, when completing this form. Documents with the same work type can be batched together. For example, when a BMF site identifies IMF documents, and all the documents have the same document type/category code can be batched together.
(8) Each site has designated primary work type(s). All batch classes for the primary work type(s) will be available for batch creation in the Imaging Subsystem. A single generic batch class has been established for each of the work types that are outside the scope of the primary work type(s) for a campus. The generic batch classes have been set up with the default values shown in the chart below. Based on the work type, the ICT clerk will complete the Batch Cover Sheet and enter the appropriate MFT, function and program code.
| BMF | IMF | BMF INT'L | IMF INT'L | EXEMPT ORG | EMPLOYEE PLAN | LB&I and ACA |
---|---|---|---|---|---|---|---|
DOC TYPE | CORR 94X | CORR | CORR 1120 | CORR | CORR | CORR | CORR |
CAT CODE | TPRQ | TPRQ | ITRQ | ITRQ | EXOR | TPRQ | TPRQ |
MFT | 01 | 30 | 02 | 30 | 67 | 74 | 03 |
FUNCTION | 710 | 710 | 710 | 710 | 710 | 710 | 710 |
PROGRAM | 10000 | 40000 | 33030 | 33040 | 13100 | 72801 | 10004 |
(9) Rather than transshipping documents, ICT will scan items identified as outside their campus work type. ICT will direct the documents according to the chart below. For example, if Ogden (BMF site) finds an IMF International case, Ogden will scan and direct the work to Philadelphia. Below is the Outside the Scope of the Campus Work Chart.
Site | BMF | IMF | BMF Int'l | IMF Int'l | Exempt Org | Employee Plan | LB&I and ACA |
---|---|---|---|---|---|---|---|
Andover | KCSPC | N/A | OAMC | PAMC | OAMC | OAMC | OAMC |
Atlanta | OAMC | N/A | OAMC | PAMC | OAMC | OAMC | OAMC |
Austin | KCSPC | N/A | OAMC | PAMC | OAMC | OAMC | OAMC |
Brookhaven | OAMC | N/A | OAMC | PAMC | OAMC | OAMC | OAMC |
Fresno | OAMC | N/A | OAMC | PAMC | OAMC | OAMC | OAMC |
Kansas City | OAMC | N/A | OAMC | PAMC | OAMC | OAMC | OAMC |
Memphis | KCSPC | N/A | OAMC | PAMC | OAMC | OAMC | OAMC |
Ogden | N/A | KCAMC | OAMC | PAMC | N/A | N/A | N/A |
Philadelphia | KCSPC | N/A | N/A | N/A | OAMC | OAMC | OAMC |
(10) Special scanning instructions apply to carryback claims. Refer to the table in Exhibit 3.13.6-8, Scanning of Carryback and Carryforward Applications/Claims – IMF/IMF International, or IRM 3.13.6-9, Appendix I – Scanning of Carrybacks and Carryforward Applications/Claims and Form 1138 – BMF/BMF International and EO, for further details. Carryback claims and applications can be received at any site
(11) This chart will also be used when a case is identified in Error Inventory that was scanned under the incorrect work type.
Batch Cover Sheet ACA Fee Claims Inventories (AFCI) Work Type
(1) When completing the Batch Cover Sheet, use colored pens (red, green, purple) or yellow highlighter the entries so they are easily identified by the scanner operator.
(2) Numbered, Unnumbered – An X must be notated in either the "Numbered or Unnumbered Box" depending on which documents are included in the batch.
(3) IRS Received Date – Enter the "IRS Received Date" for the batch of work. If there are small batches with different dates within a Document Type, combine the small batches and enter a future date in the format "1/1/YY", which will be 2 years in the future (e.g., during calendar year 2015 enter "1/1/17") for the IRS Received Date.
Note: If unsure of the IRS received date refer toIRM 21.5.1.4.2.4, Received Date - Determination.
(4) MFT- Enter the appropriate MFT for the batch. Will default to MFT 30 if left blank, refer to IRM 3.13.6.23 .
(5) Tax Period - If all of the cases in the batch have the same Tax Period, enter the appropriate Tax Period. Otherwise, leave this field blank.
(6) Document Type - Write-in the appropriate doc type.
(7) Category Codes - TPRQ will be utilized for all ACA Fee Claims Inventories (AFCI), Brand Prescription Drugs (BPD) and Insurance Provider Fee (IPF) cases.
(8) Batcher SEID - Enter the SEID (or use employee stamp) of the employee who is sorting the batch of work to be Doc Prepped, and today’s date.
(9) Batch Volume - Enter the number of cases in the batch. Recommended batch size is up to 50 cases. It is crucial there is an accurate count of cases because it could result in the batch going to Quality Control for reconciliation.
(10) The ICT Received Date must be written or stamped on the top of the Batch Cover Sheet. If several ICT Received Dates exist within a batch, write "Mixed ICT Date."
(11) Designated Service Center - Enter the SEID (or use employee stamp) of the employee who is preparing the batch of work to be scanned.
(12) Document Preparer SEID - Enter the SEID (or use employee stamp) of the employee who is preparing the batch of work to be scanned, and today’s date.
(13) Doc Prep Volume - Enter the number of cases that have been Doc Prepped. Recommended batch size is up to 50 cases. It is crucial that there is an accurate count of cases because it could result in the batch going to Quality Control for reconciliation.
(14) Batch Name (Date and Timestamp) - Completed by the Scanner Operator.
(15) Scanner ID - Completed by the Scanner Operator.
(16) Scanner Operator SEID or Initials and today’s date - Completed by the Scanner Operator.
(17) Volume Scanned - Completed by the Scanner Operator.
Document Preparation Overview
(1) Document Preparation refers to the set of manual tasks that are required to prepare paper documents for imaging into a production scanner. Careful preparation of documents is essential to ensure case integrity and successful auto-feed during the production scanning process. Check all documents to ensure all the documents in a batch are the same Document Type, Category Code, and if possible, have the same IRS Received Date.
(2) Colored envelopes must be photocopied at a lighter density, so they are legible when scanned.
(3) When taxpayer submits documents that are difficult to read because they are, illegible, very dark, very light or blurred. The document preparer must write "ODU" (Original Document Unreadable) on the face of each document. When the document is dark, document preparer must reverse the image on copy machine and make a copy. This will allow the validator to see the information needed in white
Preparing Documents for Scanning - General Instructions
(1) The Image Control Team (ICT) is responsible for the clerical functions within CII. To meet processing timeframes, all cases must be prepped, scanned and validated within 10 business days of ICT receipt or 20 business days of the IRS received date.
(2) Care must be taken when preparing documents for scanning. Proper document preparation helps prevent issues during the subsequent stages of the scanning process.
Below are instructions for scanning large cases over 400 pages.
Insert a separator sheet every 200 pages.
Make a batch for the "one" case.
Scan the batch as if it were "two or more" documents.
Review as normal, do not merge the separate cases
Validate all the separate cases using the same information.
Note: Large case (over 400 pages) will be scanned into CII in entirety. Coordinate any exceptions with the Inventory Control Manager AM ICM. The CII image will be retained in the system as the taxpayer's source document.
(3) Follow the steps below to prepare documents for scanning:
The recommended batch size is up to 50 pages for each case. The rule of thumb is to put enough cases in a batch to fill a batch folder (Document 6981, 6982 or 6983), whichever folder is appropriate for the particular batch. Do not overfill the batch folder so that it is bulging. Ensure all documents in the batch are the same "Document TypeandCategory Code."
Remove all staples, paper clips, rubber bands or any device holding the document together. Fan the documents to ensure pages are separated and to ensure pages are free of staples.
Keep all documents (paper, routing slips, etc.) comprising a CII case together and intact.
Note: Refer to IRM 3.13.6.2.8, Envelopes, to determine when envelopes must be retained and scanned.
The right edge of a portrait document or the bottom edge of a landscape document is fed into the scanner first. Portrait documents are usually correspondence, returns or notices. Landscape documents are usually transcripts. It is important that the edge leading into the scanner is undamaged. Trim the ragged end with scissors/paper cutter to ensure a clean leading edge.
IMF - items smaller than "8 1/2 x 11" Form W-2 must be placed at the leading -edge center of the stack of pages.
BMF - items smaller than "8 1/2 x 11" must be placed at the leading- edge center of the stack of pages.
Envelopes must be placed at the end of the case in the center leading edge, all 4 sides of the envelopes need to have a clean cut to prevent scanner jamming. There are special instructions for envelopes that are damaged, opened at both ends, and non-standard envelopes, oversized, manila envelopes. Refer to IRM 3.13.6.2.8, Envelopes section for further instructions.
All attached notes must be taped on two ends of the document, not covering any information (written or pre-printed).
Insert a Separator Sheet at the beginning of each new case with the arrow pointing in the direction of the leading edge. Separator Sheets are used in a batch of work to distinguish between individual cases. The Separator Sheets are printed on colored paper to assist in the location of cases for rescanning. The pages, envelopes, and separator sheets must always face down in the same direction. Refer to IRM 3.13.6.3.3, Scanning Production Batches.
Torn documents may be repaired with tape if no adhesive is exposed. If the removal of staples has caused damage to the paper, place tape over area to prevent small pieces from causing an obstruction in the production scanner.
Photocopy badly damaged documents, write "ODU" (Original Document is Unreadable) on the face of the copied document, and place the copy in batch for scanning.
Classified waste is documentation containing taxpayer entity or account information that is not part of the case and is not needed for audit trail purposes. Refer toIRM 21.5.1.6 General Adjustments for guidance on handling classified waste to prevent inadvertent/unlawful destruction of records, if the documents meets the classified waste instructions destroy the damaged original as classified waste.
When taxpayer submits documents that are difficult to read or illegible, the document preparer must write "ODU" (Original Document Unreadable) on the face of each document. When the document is dark, Document Preparer must reverse the image on copy machine and make a copy. This will allow the validator to see the information needed in white.
When Form 14039, Identity Theft Affidavit, is received with other documentation containing the taxpayer's complete Social Security Number (SSN) or the taxpayer's complete Individual Taxpayer Identification Number (ITIN) (for example: social security card), the ICT Clerk must write the entire SSN/ITIN in Section B of the Form 14039 where the last 4 digits of the taxpayer SSN/ITIN is present.
When taxpayer submits legal sized documents, photocopy to 8 1/2" x 11" document, or place entire case at the end of the batch. Wrap the legal document around the gusset. This will allow the scanner to not have to stop.
Below are the BMF and IMF charts on how to assemble documents for scanning.
The completed, batched cases will be placed in file folders (Document 6981, Document 6982, or Document 6983), whichever folder is appropriate for the particular batch) and placed on a batch cart for transport to the scanning operation. It is recommended that different Document Types be separated so they can be easily identified for assignment of Priority Code or Issue Type, if needed. NUMBERED DOCUMENTS AND UNNUMBERED DOCUMENTS MUST BE MAINTAINED SEPARATELY.
If a numbered return (DLN) is attached to the charge out, verify that the DLN on the return matches the one printed on the charge out.
If the taxpayer has enclosed original documents (for example: driver’s license, passport, Social Security cards, cancelled or voided checks). Follow steps in paragraph 4 so the taxpayer will receive their original documents back if they are sent in error. Certified copies are not original documents and do not need to be returned (for example certified copies of birth or death certificates, copies of divorce decrees).
BMF | Assemble each document in the following order: |
---|---|
1 | Separator Sheet |
2 | The amended return, Carryback (if present), or correspondence, including documents with the IRS and ICT received date stamps. Note: When possible, the first page of the case must contain the taxpayer’s name, Employer Identification Number (EIN) and tax period. This will allow the taxpayer data to appear on the first image for manual entry during Validation. A Batch Cover Sheet will be completed and placed on top of the batch. |
3 | Any small pieces of paper |
4 | Place a full- sized paper between small documents or envelopes to prevent multi feeds (an example if you only have a FTD coupon and a envelope a full - sized white paper needs to be inserted to prevent multi feed at scanner). Note: This procedure is only for the sites that have problems with multi-feeds and small documents. |
IMF | Assemble each document in the following order: |
---|---|
1 | Separator Sheet |
2 | Form 1040-X, Form 8379 or Carryback (if present) Note: When possible, the first page of the case must contain the taxpayer’s name, Taxpayer Identification Number (TIN)/2-D barcode and tax period. This will allow the taxpayer data to appear on the first image for manual entry during Validation. A Batch Cover Sheet will be completed and placed on top of the batch. |
3 | 2-D barcode notice (if present) |
4 | CSR letter reply or correspondence |
5 | Form W-2 (if present) |
6 | Any small pieces of paper |
7 | Envelope(s) |
8 | If an envelope, Form W2, or small pieces of paper are at the end of a batch, place a full-sized sheet of paper at the end of the batch. |
Note: Do not scan original documents received with a request for an Individual Taxpayer Identification Number (ITIN) or an Adoption Taxpayer Identification Number (ATIN). These requests will be submitted on a Form W-7, Application for IRS Individual Taxpayer Identification Number, or a Form W-7A, Application for Taxpayer Identification Number for Pending U.S. Adoptions. Forward these original documents and forms via a Form 3210, Document Transmittal, to the appropriate address below:
IRS - AUSPC ITIN Unit Stop 6090 or
IRS - AUSPC ATIN Unit Stop 6182
3651 South Interregional Highway 35
Austin, TX 78741
Caution: Extreme care must be taken to ensure that only the material relative to the taxpayer(s) to which the correspondence is addressed is enclosed in the envelope. Refer to IRM 21.3.3.4.25, Breaches of Personally Identifiable Information (PII) Caused by Manual Stuffing Errors, for additional information. If the original document is a state tax return, follow the instructions in IRM 21.3.3.4.25, Misdirected Mail.
(4) Returning original documents to the taxpayer:
The documents must be photocopied prior to scanning.
After copying the document, place the photocopy of the document with the case for scanning. Annotate photocopy on the document.
Complete and attach Form 14219, Return of Documents to Taxpayer, and place the "original" document in the designated receptacle for return to the taxpayer.
Be sure to include the taxpayer’s name and address with the document. If no address is indicated, check the envelope for a return address. If no return address is on the envelope, research for the address on IDRS. These documents will be mailed to the taxpayer at a later time as assigned by Management.
Envelopes
(1) These procedures provide instructions for addressing envelope issues.
(2) Cut down all sides of the envelope to no more than 8 ½ x 11 and no less than 3 x 5. Information such as the return address and postmark are to be retained.
(3) Tears and wrinkles that would jam the scanner must be mended during the document preparation process prior to scanning.
(4) Oversized envelopes wider than 12 inches must be trimmed to 11½ inches prior to scanning, or photocopied and reduced to the standard paper size ("8 ½ X 11"). The return address and postmark are to be retained.
(5) Padded (bubble) and manila (thick) envelopes must be photocopied prior to scanning. After copying the part of the envelope with useful information, place the original envelope with the classified waste. Place the photocopy of the envelope with the case for scanning. Also, make photocopies of envelopes when the return address or postmark date is not clearly legible.
(6) An envelope with a metallic address label must be photocopied so the envelope can be scanned.
(7) The back of the envelopes must be removed, if there is useful information on the back of the envelope, photocopy the back and place the photocopy with the case.
(8) Envelopes from the taxpayers are good for determining the omitted stamped received date and for research purposes. The following are taxpayer correspondence case exceptions when the envelope must be scanned:
CP 08 - Additional Child Tax Credit
CP 09 - Earned Income Credit - You May Be Entitled to EIC
CP 27- EIC Potential for T/P Without Qualifying Children
Form 843 - International (foreign) Return Address
Envelopes with any notations, including indications of a new address Correspondence with any of the following "C" letters attached: 105C, 106C, 853C, 854C, or 1265C.
Correspondence cases with a copy of any "C" letter related to a statute year.
Correspondence cases without an IRS stamped received date.
Whenever in doubt, scan the envelope.
Note: Scan the envelope with all other case types (XRET, DUPF, DMFC, etc.)
Scanning and Cleaning the Production Scanner
(1) ICT clerks will scan/image batches on the production scanner; perform rescanning of documents/pages where the quality of the image is not acceptable, is the wrong Document Type; or split cases that were originally scanned without a Document Separator Sheet; and service Reimage Requests from CSR(s).
(2) At the beginning of the shift, the Scanner Operator must:
Vacuum the output tray and input areas (input Tray and transport).
Clean rubber rollers with rubber cleaning wipe not alcohol wipe.
Vacuum the transport area.
Remove and vacuum under the background strips.
Using Count Only Mode, run a transport cleaning sheet through the scanner several times.
Clean the imaging guides with lint free wipe or alcohol wipe.
Calibrating the Production Scanner
(1) These procedures provide instructions for calibrating the production scanner. The scanner must be calibrated only when prompted to do so. Clean the scanner before calibrating. Failure to clean the scanner beforehand may cause image quality issues.
Select Settings on the scanner touchscreen.
On the Settings screen, select Calibrate.
From the resulting Calibration screen, select Image Calibration
Place the calibration target in the Input Tray, and press "OK" on the touchscreen.
When the calibration is finished, the Idle screen will display.
Logging into Correspondence Imaging System (CII) Imaging Subsystem Scanning Module
(1) These procedures provide instructions for clerks to log on to the Ephesoft Capture Scan Module of the CII Imaging Subsystem.
(2) Turn on the scanner.
(3) Once the scanner has performed the self-test and the message "Ready" appears on the scanner’s Operator Control Panel, turn on the production scanner workstation.
(4) Use your Network LOGON to log on to the scanner workstation.
(5) Open the Ephesoft Capture Scan module by either:
Clicking the Ephesoft Capture icon on the desktop or,
Accessing the Internet and typing into your URL https://amsscanning.enterprise.irs.gov/dcma/
(6) The Ephesoft Capture - Click on New Documents
(7) At the end of the day (or after the night shift), turn the scanner off, and log off the scanning workstation (DO NOT turn the scanning workstation off).
Note: It is important to leave the scanning workstation on to be able to get the normal local area network (LAN) software upgrades, such as virus updates, Internet explorer updates, etc.
Scanning Production Batches
(1) These procedures provide instructions for scanning batches of documents in the ICT using the Kodak i1840 Production Scanner.
(2) In an effort to meet processing timeframes, all cases must be prepped, scanned and validated within 10 business days of ICT receipt or 20 business days of the IRS received date.
(3) Select a batch to be scanned. Remove the Batch Cover Sheet and properly orient the documents to their leading edge by jogging the batch.
Note: Proper alignment/orientation is very important to the Optical Character Recognition (OCR) portion of the scanning process. The batch may need to be sent back to Document Preparation if not properly aligned or oriented.
(4) Place the batch of documents in the scanner’s input tray:
Documents will be scanned face up in the landscape orientation.
Exception: Legal-sized paper and over-sized envelopes that will be scanned portrait.
(5) Select the start tab from the AMS Scanning screen.
The scanner will start scanning the documents.
Images will start appearing on the screen in the thumbnails.
(6) Using the information on the Batch Cover Sheet, select the appropriate Batch Class for the type of documents to be processed from the Batch Class drop-down list.
(7) Enter the number of documents in the batch from the Batch Cover Sheet in the Documents per Batch dialog box.
(8) Enter the values from the Batch Cover Sheet in the corresponding Batch Fields listed below:
Fields | Action |
---|---|
a) Document Type | Preset when batch class selected – Update as necessary |
b) Category Code | Preset when batch class selected – Update as necessary |
c) Program Code | Preset when batch class selected – Update as necessary |
d) IRS Received Date | Enter a hyphen or slash between month, day and year |
e) Case Priority | Preset at batch level – Update as necessary |
f) Expedite | Default is NO. If Form 1040-X or CORR has priority use drop down and select YES |
g) MFT | Preset at batch level - Update as necessary |
h) Tax Period | Leave blank or enter YYYYMM format |
i) Issue Type | Management will provide input |
j) CSR Number | Enter when appropriate |
k) Scan Type | Enter when appropriate |
l) Designated Service Center | This field is currently preset to the Campus where the scanning is taking place; update as necessary |
m) Function | Preset is ADJ |
n) Statute Searched | Default is “No” Update to Yes as necessary |
(9) If there is a case priority entered on the Batch Cover Sheet, enter it in the Case Priority field of the Create Batch window.
Use the drop down menu to change the Priority field to match the Case Priority field. (For example, Carrybacks over one million dollars will always be a Case Priority 1
And the Priority field must also be 1. If the Case Priority is 2, the Priority field must also be a 2, etc.
If the case priority on the batch cover sheet is 5, 6, 7, or 8, change the priority to 4.) If there is no Case Priority on the Batch Cover Sheet, leave the Case Priority field blank and the Priority field at the default value (50).
(10) If there is an ICT received date present on the Batch Cover Sheet, input it at batch creation. Otherwise, leave this field blank.
(11) Once all applicable fields in the Create Batch window are filled in, click OK. The Create Batch window will close.
(12) Notate the batch name located in the Description field. The entire description must be noted on the batch cover sheet. Example: 08-07-2017_06_41_25AM
(13) If the scanner has gone into Power Saver mode, the green LED will flash and the touchscreen will be blank. Do the following to resume scanning:
If the Input Tray is empty, insert some paper
If there is paper in the Input Tray, remove it and reinsert it
Note: The INITIALIZING screen will appear and, when the scanner is ready, the IDLE screen will appear.
(14) During the imaging process, the scanner will imprint a sequence number at the bottom of each full-sized sheet.
(15) Press "End Job" on touchscreen. If "End Job" is not pressed, the scanner will automatically end the scanning process after a short delay.
Note: This a local management decision to allow the scanner to end without pushing the "End Job."
(16) The batch contents will appear in the Batch Contents panel and the first image of the first document will appear in the Image Viewer active window.
(17) Perform a cursory review of the scanned documents. Use the "Down Arrow key" on the screen to scroll through the images, to verify that all the imaged pages of the document were scanned properly.
Scanning TEGE Cases into ECM
(1) Cincinnati-AM Campus Support (only)
Cincinnati- Fields | Action |
---|---|
1) Workflow | Select the Form type or Correspondence from the dropdown list |
2) Scanner ID | Preset when batch class selected – Update as necessary |
3) IRS Received Date | Enter a hyphen or slash between month, day and year |
4) ICT Received Date | Enter a hyphen or slash between month, day and year |
5) Expedite Batch? | Default is “No” Update to Yes as necessary |
6) Scanner Type | Production |
7) Site Code | This field is currently preset to the Campus where the scanning is taking place; update as necessary |
Note: TEGE documents with multiple taxpayers need to be scanned "as is" without redacting.
(2) Follow normal ICT Review procedures
(3) Refer to IRM 3.13.6.10.5.1 Validating TEGE Cases in ECM
Closing Production Batches
(1) These procedures provide instructions for closing a batch in the scanning module and finishing the batch scanning process.
(2) The Batch Name is located in the Batch Contents window and the title bar of the Ephesoft Capture Scan window. Write the Batch Name on the Batch Cover Sheet before closing the batch.
(3) Complete the Batch Cover Sheet by:
Enter the Batch Name, including Date and Time
Circle the appropriate scanner ID: A, B, C, or F
Enter your SEID and Date at the bottom, and
Enter the volume (number of documents) scanned
(4) After completing the Batch Cover Sheet, close the batch by clicking finish.
(5) The message dialog box displays "Are you sure you want to finish this batch?"
(6) Click "OK" and the batch closes.
(7) Remove scanned documents from the Scanner Output Tray.
(8) Place the completed Batch Cover Sheet on top of the batch of work.
(9) Place the scanned documents in the Batch File Folder and return the folder to the cart.
Note: DO NOT mix numbered and unnumbered batches on the same cart.
(10) When all batches have been completed, push the cart to the temporary storage area.
Quality Control
(1) The purpose of the Quality Control (QC) Inventory batches is to allow the Exception Clerk to correct batches or documents that have been rejected, for various reasons, from Validation module. These batches are identified by the QC in the Notes column in the Validation queue.
(2) Log in to Ephesoft
Click on "View My Batches"
Click on "Validation button"
Sort by Notes, ascending, to identify the batches that are in QC status
(3) Open a QC batch
Click on "Function Key- F4 Key"
Fix the reason for rejection, complete any fields in the middle section and then validate. This must be done for all QC documents.
(4) Click on, Function Key - F3 QC batch, or click on "More", at top of the middle section, click on F" Function Key - F4", then repeat and click on "Function Key - F3"
The Function Key - F3 will activate the fields and the user will be able to update any needed information
If a rescan is needed, secure the document(s) and delete the bad image(s)
(5) Deleting Pages
Open the error batch needing to be deleted
Press the Shift + Delete keys on the keyboard
Click "OK" when the Delete documents popup window asks , are you sure you want to delete batch with identifier?
Exception Processing - Quality Control
(1) The following subsections provide instructions for clerks to log in to the Ephesoft 9.0 in order to perform Exception Processing and Quality Control (QC) processes.
Note: Not all batches/documents require a rescan during QC. The QC module can be worked from any workstation in ICT and uses a regular workstation license unless scanning.
Logging into CII Imaging Subsystem Exception Processing
(1) If you are seated at a workstation that has an exception scanner, initialize the exception scanner as follows:
Turn on the exception scanner
When the display window on the front of the exception scanner displays "Ready", log on to the exception workstation using your Network logon.
If you are not seated at a workstation that has an exception scanner, log in to the workstation using your LAN LOGON.
Log into the "QC" module by either:
Click the "Ephesoft Capture icon" on the desktop or
Accessing the Internet and typing into your URL https://amsscanning.enterprise.irs.gov/dcma/
The Review Module window will open.
Click on the "Validation Icon", then on the notes column to show items waiting for "QC" queue.
At the end of the day (shift), turn the scanner off, and log off the exception workstation (Do NOT turn the exception workstation off).
Note: It is important to leave the exception workstation turned on in order to receive scheduled local area network (LAN) software upgrades, such as antivirus software updates, browser updates, etc.
Inserting Pages, Splitting/Merging Documents
(1) These procedures provide instructions for correcting documents or pages that have been rejected to QC. These procedures include inserting pages, splitting documents.
(2) Click on the "double page icon" in the top left corner of the document panel for all documents in the Batch Contents Panel to expand the batch tree in order to view the rejected documents and/or pages to be corrected.
(3) Use the "Down Arrow key" on the screen to move from one document or page to another to perform a review of the images.
(4) Reject and/or corrective action message appears at the top of the middle section (fields section) it is the QC Reason Box. If we are rejecting a whole document or one page, the note will appear in the same area.
Rejected pages - Review the Note dialog box to determine the reason the pages were rejected and what action needs to be taken.
Rejected documents - Review the Note dialog box to determine the reason the documents were rejected and what action needs to be taken.
(5) Deleting Document(s) or Page(s):
Select the document(s) or page(s) to be deleted in the Batch Contents panel.
Locate the paper document(s) or page(s) in the batch. Do not delete the image(s) until the paper document(s) or page(s) is found.
Click "Document or Page" on the menu bar and select "Delete." To delete a document: In document view click on document to be deleted then hit Shift + Delete. To delete multiple documents at one time, hold down Ctrl and click each document to be deleted. Then Shift + Delete.
The message box displays "Are you sure you want to delete the (documents) page(s)?"
Click "YES" and the document(s) or page(s) will be deleted.
(6) Inserting Page(s):
If an additional page(s) needs to be inserted, place the page(s) to be inserted in the Input Tray BEFORE selecting Insert.
Click on the page in the "Batch Contents Panel" above the position where the additional page(s) will be inserted.
Click "More "on the menu bar and select "Insert" from the drop down menu.
Once "Insert" is selected, the scanner will "AUTOMATICALLY" begin to rescan the additional page(s).
The inserted page(s) will be displayed within the document in the Batch Contents Panel and can be viewed in the Image Viewing area.
(7) Inserting Document(s):
To insert a document(s), click on the last document in the Batch Contents Panel.
Note: A CII Document Separator sheet MUST be on top of each of the documents being inserted into a batch in order for the exception scanner to recognize the documents as individual cases.
Click on the "More Icon"
Click on "Insert documents" the Scanner will begin feeding documents.
After scanning is complete, the document(s) will be displayed in the Batch Contents Panel at the end of the batch.
(8) Merging Document Page(s):
Note: Only reject large cases to be merged to QC, smaller cases can be corrected in Validation.
When a CII Document Separator Sheet is put in the wrong place during Document Preparation, one document can be split into two or more documents. The split documents can be merged into one document. All parts of the split document must be rejected so that they can be merged.
Click on the "rejected documents "in the Batch Contents Panel and on the "Double Page Icon" next to the documents to view all the pages of the split documents.
Review the thumbnail images of the split documents to "verify that" they must be merged into one document.
Highlight the second document.
Click on "Merge icon", then merge with the document prior to selected document. Choose the merge option tab in the middle top of the screen, a drop-down list of all documents in the batch will appear. Click on the "Document number "you want your document to merge with. It may not always be the prior or the next document.
The split documents will be merged into one document and the new document will be displayed within the Batch Contents Panel where the first document was. The volume count of the batch will be changed to one less than the number of documents that were combined.
(9) Dragging and Dropping Page(s):
If pages are in the wrong document or in the wrong order, they can be moved into the correct position.
Review the thumbnail images to determine which page is in the wrong document.
Click on the "page" that needs to be moved.
Click and "hold" the left mouse button down.
Move the cursor to the position in the Batch Contents Panel where the page belongs.
Release the button. The page will be moved to the new location.
(10) Correcting Page Alignment/Orientation.
Proper alignment/orientation is very important to the Optical Character Recognition (OCR) portion of the scanning process. In order for OCR to function properly, the first page in each document in the batch must be the page that the OCR can read, and it must be aligned correctly. If the page that the OCR can read is upside down or sideways, it can be turned right-side up.
Review the thumbnail images to determine which page is turned incorrectly.
Click on the "page" that needs to be turned to highlight it.
Click on "Rotate Icon", continue selecting Left or Right until the page is right-side up.
(11) Changing Form Types Within a Document Type:
The batch does not have to be deleted if the" Document Type" is incorrect. It can be changed in Validation.
If the "Workflow" is incorrect, it must be rejected and can be changed in Quality without deleting the batch.
If the "Form Type" is incorrect, it can only be changed if the batch was redirected to Review by the software.
Note: The "Form Type" is chosen by the software when leaving the scanning module and not by the scanner. The Reviewer must change this when needed.
If the Document Type selected during batch creation does not match the documents within the batch, delete the batch, change the form type within the QC process.
Another menu will appear with a list of form type options.
Select the appropriate form type and click "OK."
The incorrect form type will be replaced with the form type selected from the menu. The change will be displayed in the Batch Contents Panel.
(12) After all inserting, splitting, and changing form types has been completed, unreject the documents by selecting "F3", and finish validating the documents.
(13) Close the batch.
Scanning Exceptions from Quality Control
(1) These procedures provide instructions for re-scanning documents or pages that have been rejected during scanning, review or validation.
(2) In the Batch Contents Panel, click the "Double Page Icon" in the upper left corner of the screen. Then all the documents will expand the batch tree in order to identify which documents or pages were rejected.
(3) Review the Document/Page Notes for each document or page that has been rejected to determine what actions to take.
(4) If it is necessary to re-scan documents or pages, use the Batch Name (date and times scanned) in the Batch Contents Panel to find and retrieve the batch containing the documents that need to be corrected from a cart or the temporary storage area if the batch has been shelved.
(5) Retrieve the first document/page from the batch that needs to be rescanned.
(6) Properly orient the pages of the document to their leading edge by jogging the document.
Note: Proper alignment/orientation is very important to the OCR portion of the scanning process. The batch may need to be sent back to Document Preparation if not properly aligned or oriented.
(7) Place the document or page for rescanning in the Exception scanner’s Input Tray.
Documents/pages will be scanned face down in the landscape orientation. (Exception is legal-sized paper and over-sized envelopes that will be scanned portrait).
The documents/pages will be oriented so that the previously stapled corners are on the opposite side from the feeder on the scanner.
The arrows point to the edge of the documents/pages, which will be the leading edge into the scanner.
The documents/pages leading edges will be oriented based on whether the documents/pages are Forms/Letters/Correspondence or Transcripts.
(8) Verify the Kodak i1440/i260 is set as the scanning source in the Scan Controls Panel. If the wrong scanning source is selected:
Navigate to the Scan Controls panel within the Scanning module and click the down arrow next to the Source Device box.
Select the Kodak i1440 as the scanning source from the Source drop-down list.
(9) In the Batch Contents panel a red "indicator" will identify the documents that need to be corrected, rescanned and/or replaced. The note in the QC reason field must refer to specific the page(s).
(10) Below are instructions for replacing pages within the batch.
If there are several pages that need to be replaced, click on the first page in the Batch Contents Panel.
Place the page in the scanner input tray face down.
Right click on the page to be replaced and select, "Insert or Scan" click on Page on the menu bar.
The scanner will AUTOMATICALLY begin to scan the page.
The rescanned page will not replace the original page within the document. The new page(s) will not replace the incorrect page(s); they must be deleted manually. Repeat the process for all the pages within a document that need to be replaced and for all the documents with rejected pages in the batch.
(11) If an entire batch needs to be deleted and rescanned, the Document Panel needs to be in the Document View mode, hold down Ctrl and click "each document" until all are highlighted; then Shift + Delete. The last document may need to be deleted again.
Note: Document Type is changed in the Validation process and does not need to be rejected unless there are issues that cannot be corrected in Validation.
(12) After rescanning of all documents (or pages) is complete, click on the "first document" in the Batch Contents Panel.
(13) Use the Down Arrow key on the screen to scroll through the images or use the thumbnail views to verify that all the imaged pages of the document were rescanned properly.
(14) After all corrections have been completed, unreject the documents and/or pages that are marked with a red "indicator."
(15) On the Document Separator Sheet for each case, indicate the action taken (e.g., rescanned), initial and date. In the Comments portion of the Batch Cover Sheet, provide a more in-depth description of the actions taken for each case. Also, indicate SSN, Name Control and Tax Period for each case and initial and date the cover sheet.
(16) Close the batch.
(17) Log in to the Validation module and validate the batch.
Exception Processing - Reimage Requests
(1) When a CSR identifies poorly prepped/imaged documents, they will input a note on CII indicating the problem with the case and suspend the case to Reimage. The note will be used to generate a Reimage Report that will be provided to the ICT clerk by the ICT manager. After the reimage request has been completed, the clerk will access CII and provide a case note to the CSR. The clerk may need to retrieve the paper documents from temporary storage and rescan the problem documents. The report contains the Function, Case ID, and Locator Identification Code (LIC).
(2) The Locator Identification Code will be used to retrieve the paper documents from temporary storage. It identifies the Batch Name (date and time scanned), Campus, Scanner ID, and Document Number.
(3) If a case has been suspended for reimaging, research the case in the CII Application and review the Case Notes/Note Description.
(4) To locate the documents for rescanning from temporary storage:
Identify the Scanner ID in the LIC on the Reimage Report and locate the area in temporary storage for that scanner (A, B, or C).
Identify the Batch Name in the LIC and locate that Batch Name on the Batch Cover Sheet within the hanging files. The batches will be filed in order of the date and time the batches where scanned. It will be necessary to check both the numbered and unnumbered areas for the batches.
Pull the entire batch from the hanging files.
(5) Make a copy of the Reimage Report, highlight the LIC that requires re-imaging, and place the copy of the reimage report on top of the Batch Cover Sheet for the document(s) within the batch.
(6) Depending on the number of batches pulled, either:
Place all the batches on a cart and push the cart to the Exception Processing area, or
Hand carry the batches to the Exception Processing area.
Scanning Exception Batches/Documents Identified on Reimage Report
(1) These procedures provide instructions for scanning documents identified on the Reimage Report. The steps for exception scanning are similar to production scanning; the only difference is that the exception scanner is the Kodak i1440/i260.
(2) Batches that contain the documents to be reimaged will be provided to the Exception Processing Scanner operation. Find the document in the batch and jog the pages to ensure the pages are properly oriented to the leading edge.
Note: Proper alignment/orientation is very important to the OCR portion of the scanning process.
(3) Place the document(s) in the scanner’s Input Tray.
Note: If scanning more than one document from a batch, the documents MUST have the CII Document Separator on top of each document in order to separate the documents into individual cases.
Documents will be scanned face down in the landscape orientation. (Exception is legal-sized paper and over-sized envelopes that will be scanned portrait.)
The documents will be oriented so that the previously stapled corners are on the opposite corner from the feeder on the scanner.
The arrows point to the edge of the documents, which will be the leading edge into the scanner.
(4) In order to provide a new image for the CSR, it will be necessary to create a new batch using the information from the original Batch Cover Sheet.
(5) If the Create Batch window is not already open, create a batch by:
Clicking the "Scan New Documents."
(6) Using the original Batch Cover Sheet, select the appropriate document type from the Batch Class drop down list in the Create Batch window that matches the document type on the cover sheet.
(7) Enter the number of documents to be rescanned in the Documents per Batch dialog box.
(8) Enter values from the Batch Cover Sheet in the corresponding Batch Fields listed below:
Fields | Action Needed |
---|---|
a) Document Type | preset when batch class selected – update as necessary |
b) Category Code | preset when batch class selected – update as necessary |
c) Program Code | preset when batch class selected – update as necessary |
d) IRS Received Date | Enter the date when it is the same date for all cases in the batch, otherwise enter January 1, the year will be 2 years in the future (for example: during calendar year 2015 enter 1/1/17) |
e) Case Priority | Enter Case Priority |
f) MFT | Enter MFT |
g) Tax Period (yyyymm format) | Enter Tax Period when it is the same date for all documents in the batch, otherwise leave blank. |
h) Issue Type | Enter Issue Type |
i) ICT Received Date | Enter the date when it is the same date for all documents in the batch, otherwise leave blank |
j) CSR Number | Enter CSR Number |
k) Designated Service Center | Preset to scanning location, update as necessary |
l) Statute Searched | Preset to "No" update "Yes" as necessary |
(9) Verify the Kodak i1440/i260 is set as the scanning source in the Scan Controls Panel.
Navigate to the Scan Controls panel within the Scanning module and click the down arrow next to the Source Device box.
Select the Kodak i1440 as the scanning source from the Source drop-down list.
(10) After verifying the correct scanning source, click "Start", the Scanner will begin feeding documents.
Note: Please reimage Identification Documents (ID), (for example: Birth Certificates, Passports, and ID’s), in color to improve the image.
(11) In the Batch Contents Panel click on the "Double Page Icon" for the document. The document tree displays all pages for that document and the first page of the document displays in Image Viewer.
(12) Use the Down Arrow key on the screen to scroll through the images or use the thumbnail views to verify that all the imaged pages of the document were rescanned properly.
(13) The Scanner Operator must ensure no overlaps or skewed edges. If the document still does not scan properly, the scanner operator can delete and rescan the entire document.
(14) If a page of a document did not rescan properly, the scanner operator can delete and replace or insert the page.
(15) Once all scanning processes are complete, annotate on the Reimage Report the actions that were taken and close the batch. Use the Reimage Report with the annotations to send a Case Note back to the CSR to let them know the actions have been taken.
Closing Exception Batches
(1) These procedures provide instructions for closing a batch after finishing the exception scanning process.
(2) Close the Batch by clicking Finish.
(3) The message dialogue box displays "Are you sure you want to finish this batch?"
(4) Click "OK", the batch closes and goes to Validation with a new LIC (Date and Time).
(5) Remove scanned documents from the Scanner Output Tray.
(6) Write the new LIC on the new Batch Cover sheet, place with the documents, and place the batch in a new folder.
(7) Repeat the processes above until all the documents listed on the Reimage Report have been rescanned.
(8) When the reimaged documents are validated, they will be electronically routed back to the CSR.
(9) After completing the scanning of the documents that needed to be reimaged, send a Case Note back to the CSR to let them know that their request was completed.
(10) The batches can be returned to and refiled in the temporary storage area.
Sending a Case Note or a Case Message to a Customer Service Representative
(1) Below are the instructions on how to search for a case in the CII Application. A "Case Note" will be sent after each request for a reimage has been completed. If the batch is no longer available in the temporary storage area, a "Case Note" will need to be sent to the CSR to inform them that the paper document is not available for reimaging.
Note: Case Notes are "permanent" and Case Messengers are "temporary." Case Messages will be deleted when a case is archived.
(2) Annotate on the Reimage Report what actions have been taken on completed requests or if the paper document is no longer available.
(3) To access CII to search for a case or send a case note to a CSR, it is necessary to log on to IDRS first.
(4) Once the IDRS session is opened, click on the AMS Desktop Icon. Read and acknowledge the Warning Banner.
(5) The first-time you login to your workstation a security warning will pop up. Click the check box to Always trust content from this publisher and click the "Run" button. If you answer "Always/Run" you must not receive the prompt again on that workstation.
(6) The AMS screen will appear, click the "Inventory" link in the "Case Management" section of the AMS home page.
(7) Authorized CII users will see a CII tab on the Inventory Summary page. Click the "CII tab" in the Inventory Summary section, then click the "Work CII Inventory" link.
(8) The CII Main page will be displayed.
(9) Click on "Search and the Search for Case" page will display. Change the Case Type to "All Cases."
(10) Select Case ID from the drop-down menu for Search Type and enter the Case ID from the Reimage Report in the Search Value box. If the work type is unknown, change the work type to "Select", this allows a search of all the work types in the application.
(11) Once the information is entered in the appropriate boxes, press the "Enter" key or scroll down the page and click Search.
(12) The Search Results List page will display. Click on the underlined "Case ID" under the Case ID Heading.
(13) After clicking the Case ID, the Suspense Case page for the case will display.
(14) Scroll down to the Case Notes Section of the case page. The Note Description provides an explanation of why the case was suspended to reimage.
(15) To send a message, click "Case Message" located under "Case Notes and Messages."
(16) In the text box enter the message to the CSR. When leaving a message, always start with "ICT". For example, "ICT- No better image. Document appears how we received it." After writing the text, click Add Message and then click "Close Window." The message will be added to the Message Description section and the information is electronically routed to the CSR.
(17) Once the user clicks "Close", CII returns the user to the Suspense Case page. If additional cases require a Case Message, click "Search" to return to the Search for Case page.
(18) After the user clicks on "Search from the Suspense Case Page", Search for Case page re-displays.
(19) Continue the Search and Add Note process until case messages have been sent for all the cases listed on the Reimage Report.
(20) Click on "Logoff" on the CII Main page screen to close the CII session.
(21) After logging off CII, click on the "X" in the upper right hand corner to close the browser window.
(22) The AMS browser window will close and user will be logged off of CII. Press the "F12" key to sign off of IDRS.
Scanner Preventive Maintenance Visit
(1) The Maintenance Contract for the current year includes the same coverage as last year; see details below.
Note: Please call the Help Desk (866-743-5748) to request a scanner maintenance visit, indicate that the visit is for a CII scanner. This will expedite the request.
The Scanner Maintenance coverage is as follows:
All sites except Brookhaven and Memphis: | Maintenance |
---|---|
Scanners | Preventive Maintenance Visit /coverage |
Kodak I5850 (Production) | 4 visits per scanner |
Kodak I4850 (Files/Mid-size) | 2 |
Kodak I3450 (Exception) | 1 |
(2) Schedule your visits at least 1 week prior to the date you want the scanner serviced.
(3) Notify Roy A. Steward and Jason Small by email for scheduled maintenance visits.
(4) Schedule preventive maintenance visits on an as-needed basis taking scan volume into consideration (e.g., you will schedule more visits during peak season). If you have any preventive maintenance visits left towards the end of the year, make sure you schedule them before the contract expires. It’s very important to schedule these visits to ensure scanners run at the optimum level and prevent unnecessary scanner downtime.
(5) Follow the steps below when scheduling a preventive maintenance visit.
(6) Call the Help Desk number toll- free number (866-743-5748) or submit a request online via IR Works. It’s best to call the Help Desk if you are not familiar with IRS Works.
(7) Ticket Assignment Group: AMS Imaging
Scanner and Ephesoft Down Issues
(1) Follow the steps below for submitting tickets for Scanners and Ephesoft downtime issues.
Priority 1 | |
---|---|
1) All production scanners are down. | |
2) Call the Help Desk toll- free number (866-743-5748) | |
3) Notify Roy A. Steward and Jason Small by email after calling the help desk to open a ticket. | |
4) Ticket Assignment Group: AMS Imaging. |
Priority 2 – All Sites | |
---|---|
1) Sites are required to use their other production scanner as back-up while waiting for service. | |
2) Files scanner with several documents to scan with request older than 7 days. | |
3) Ephesoft issues that impact multiple workstations or a single workstation connected to i1840 scanner. | |
4) Call the Help Desk toll- free number (866-743-5748). | |
5) Notify Roy A. Steward and Jason Small by email after calling the help desk to open a ticket. | |
6) Ticket Assignment Group: - AMS Imaging |
Priority 3 – All Sites | |
---|---|
1) All other tickets related to Ephesoft issues. | |
2) Files scanner (i730)/(i610 | |
3) Exception scanner (i1440)/(i260) | |
4) Mid-size scanner (i730) | |
5) Issues with Ephesoft Capture Recognition and /or Export Service. | |
6) Call the Help Desk toll- free number (866-743-5748). | |
7) Notify Roy A. Steward and Jason Small by email after calling the help desk to open a ticket. | |
8) Ticket Assignment Group: - AMS Imaging |
Support Activities Overview
(1) This IRM provides instructions for ICT clerks for Document Preparation. Validation, Error Inventory, Temporary Storage and Disposition of Scanned Documents and Printing of Images for Form 4251 (Document Requests) in support of the Correspondence Imaging System (CII) for the Submission Processing (SP) function.
(2) Specifically, ICT clerks will prepare documents for scanning/imaging; review; validate and input taxpayer data for CII to automatically establish an IDRS control base; perform IDRS research and establish control bases on those cases that CII could not establish automatically; retain documents in temporary storage after scanning; return IRS DLN numbered documents to Files; and dispose of documents after the expiration of the temporary storage period. In addition, if the Files function needs assistance with printing CII cases for non-CII users, this guide provides ICT clerks with instructions to print case data, images, case notes, and linked cases for Form 4251.
(3) To perform some of the tasks identified above, clerks must have access to the CII Imaging Subsystem and CII Workflow.
The ICT clerks will utilize the CII Workflow application to work the Error Inventory and Reimage Requests. Access to the CII Workflow application requires the user to be logged into IDRS first.
Uploading eFax documents into Ephesoft
(1) Document is received via EEFAX and opened by the ICT lead or manager.
(2) The document is “dragged and dropped” into the designated encrypted folder assigned to ICT EEFAX documents on your department’s drive. This folder serves as an electronic retention wall.
(3) The lead opens Ephesoft.
(4) The EEFAX documents are reviewed to determine the work type and then "dragged and dropped" into the "UPLOAD FILES" section of Ephesoft. Adobe Pro isn’t required unless, the user is combining documents
(5) Information from the EEFAX document is used to complete the Batch Class Fields in Ephesoft.
(6) The Start Batch option is selected and the documents are transmitted to the designated scanner. When completing these fields, make sure the check box is marked.
(7) The document is ready to go through the review and validation process.
(8) Once the document pass thru validation, a CII case is established.
(9) Drag from “new” encrypted folder and drop to “completed” encrypted folder.
Note: The instructions above eliminate batching and doc prepping, EEFAX documents must not be printed. but uploaded into Ephesoft using the instructions above.
Ephesoft Imaging Software Scanning Review Overview
(1) The purpose of the Review queue is to allow the user to perfect the batch during the Review process. The clerk identifies a need to correct a document, they can perform various operations on the batch like classifying, splitting, copying, deleting the document, change the document type, or scan color photos.
Note: All documents that are posted in Review and Quality Control (QC) queues must be reviewed regardless if they have "green or red highlight indicators." The green highlight indictors are not 100 percent accurate.
Note: The clerks are not required to flip and delete pages in Review
Accessing Batch Review
(1) Select View My Batches on the Operator Menu
(2) Click on "Review Button" and the list of batches in "Ready for Review" status will display.
(3) Select the Batch to review by double clicking on the Batch Name (highlights the row).
(4) When the batch is listed in the Review state, its status is changed to "Ready for Review" and it needs to be reviewed by the user.
Note: All documents that are posted in Review and Quality Control (QC) Queues must be reviewed regardless if they have "green or red highlight indicators." The green highlight indictors are not 100 percent accurate.
Document Review Procedures
(1) The Review Module displays a document tree panel, a middle panel with individual pages for current document, and right panel with the full-sized first page of the document. The Center Panel displays the Batch Instance ID Number, Batch Name, Batch Priority, and Form Type. The Button Menu contains the Merge Button which allows merging of documents. The More Button has Insert Pages and Re-Scan functionality. The More Button also lists keyboard shortcuts for additional functions like rotate, delete, and navigating pages/documents.
(2) Upon opening the batch, the number of documents counted systemically in the batch will compare against the Documents Expected batch level field. If the number of documents counted by the system doesn’t match the Documents Expected batch level field, a popup window will appear showing the discrepancy. In order to see the discrepancy between Documents Expected and Documents Available, hover-over the first document thumbnail image in the Left Panel.
Note: The pop-up that appears when you hover-over the first document in the batch will also offer other information as to why the batch was sent to "Review" by the software.
(3) Review the first red highlighted “thumbnail” document.
Note: All documents that are posted in Review and Quality Control (QC) Queues must be reviewed regardless if they have "green or red highlight indicators." The green highlight indictors are not 100 percent accurate.
(4) Click on the "Review Button" to accept each document and turn the document "Thumbnail "green.
(5) After processing the final document, Click the "Review Button" twice to accept and save.
(6) When the Review Done window displays. Click "OK" to close the batch
Merging Pages
(1) Highlight the second document that needs to be merged by clicking on the Document "Thumbnail" in the Left Panel.
(2) Click the "Merge Button" on the Middle Panel.
(3) Select the document to merge from the drop down options.
(4) System verifies Merge Selection and if you are sure you want to merge the selected documents, click the "OK" Button.
(5) Documents that were merged will display in the Center Panel.
Splitting Pages
(1) Select/highlight the page where the document will split in the Center Panel.
(2) There are 2 ways to split a document:
Hold down the Ctrl key and press “2.”
Or, Click on "Split Image Icon" on the shortcut panel between the middle and right panels.
System will ask for confirmation of the Split request. Choose the option for "Fields and Tables."
If you agree with the Split changes, click "OK" otherwise click Cancel.
Inserting Pages
(1) To insert a page, follow the steps below.
Perform a cursory review of the documents scanned.
Locate the original document within the batch.
Place the original document to be inserted in the scanner input tray.
Select/highlight the page where the document must be inserted in the Center Panel. The insert page(s) will be inserted before the highlighted page.
Select Scanning on the More Menu.
Click on "Insert pages option", the page will insert before the highlighted page within the batch.
Verify that the page has been inserted.
A system window will ask “Are you sure to insert the selected page(s).
If you agree with the inserted pages - click "OK" otherwise click Cancel.
Note: When replacing pages, the original imprinted number on the page will be overwritten and the page will be renumbered based on the new position in the batch. The original imprinted number must be removed before replacing pages back into the batch when a new number will be imprinted on the pages.
General Instructions for Validation in the Correspondence Imaging System (CII)
(1) Validation is a process to verify and/or enter information for cases in order for the cases to be controlled on IDRS and placed in workflow for distribution to the CSRs. The ICT employees must also validate the batches scanned and created in the Files function. If documents/batches need to be rescanned in Files for any reason, ICT management must coordinate with Files management.
(2) Use the Tab Key to move through the index fields.
(3) Management may request IDRS research Command Codes (CC) TPIIP, INOLES, NAMEE and NAMES in the Validation module rather than sending it to Error Inventory. This will be dependent on the volume of cases going to Error Inventory.
If the TIN cannot be determined through normal IDRS research or by viewing the images of the documents. In these instances, enter nine zeros (000000000) in the TIN field and click "Save." The zeros in the TIN will remove the case from the Validation Inventory and send the case to the workflow subsystem to be resolved by a CSR.
If the Tax Period cannot be determined, enter the most recent tax year (for example, 201612 would be the appropriate tax year for the 2017 calendar year. If multiple tax periods are referenced in a document, use the earliest tax period (for example, if 1999 and 2000 are both present, use 199912).
If the Name Control cannot be determined by viewing the images, research the TIN using Business/Individual name, address. In these instances, enter AAAA in the Name Control field and click "Save." This will remove the case from the Validation Inventory and send the case to the workflow subsystem to be resolved by a CSR.
If a document has been scanned in error, refer to Appendices to determine correct codes.
Note: IMF Exempt Organizations (EO) documents cannot be changed in validation send to QC.
If the scanner operator used the incorrect document type, it can be corrected in Validation and provide instructions to change the document type.
Note: Management may elect to temporarily suspend the IDRS research requirement during periods of high work volume.
(4) To verify Document Type, Category Code and Program use the Tables in the Appendix A, B, C, D, E, F, or G Document Types, Category Codes, Priority Codes and routing instructions.
(5) If a batch of documents was not sorted by MFT when scanned, example Correspondence 94X, the MFT must be selected for each document in the batch. View each document and select the appropriate MFT.
(6) View each document to determine the correct IRS Received Date, and enter it using MM/DD/YYYY format.
(7) If there is no ICT Received Date stamp use what is on the other documents. If it is a mixed ICT received date use what is the majority of the same dates in the batch. Don’t reject to QC for missing ICT Stamp.
Note: If no IRS Received Date Refer to IRM 21.5.1.4.2.4 IRS Received Date Determination.
(8) If the current date is more than 60 days after the IRS received date entered, a popup window will display with the message IRS Received Date is older than 60 days.
(9) On Cycle transcripts (charge-out sheets), the Case Control Sequence Number will be captured by OCR. Verify that the sequence number was captured correctly. The numbers in the validation field must match the Case Control Sequence Number on the image.
(10) The Ephesoft Capture software has the ability to read the bar code and automatically populate the index fields during Validation. The clerk must view the image and input any missing data to prevent cases from erroneously being sent to Error Inventory. The first page of the case must have a complete, visible and undamaged barcode and must have been scanned using one of the document types designed to read the 2-D barcode.
(11) The chart below is a breakdown of the Work Types, Doc Types, Category Codes and Program Codes.
Work Type | Doc Type | Category Code | Program Code |
---|---|---|---|
IMF | Correspondence | TPRQ | 40000 |
IMF | Quick Closure | TPRQ | 40001 |
IMF | Internal Transcripts | TPRQ | 40000 |
IMF | Spanish | SPAC | 40007 |
IMF INT’L (IIl) | Correspondence | ITRQ | 33040 |
IMF INT’L (II) | Correspondence Spanish | IOTH | 33041 |
IMF INT’L | Quick Closure | ITRQ | 33043 |
IMF Generic | Correspondence | TPRQ | 40000 |
II Generic | Correspondence | ITRQ | 33040 |
Logging into CII Imaging Subsystem Validation Module
(1) Log on to the workstation using your Network Login.
(2) Access the Ephesoft Smart Capture software by typing the following “URL” into your web browser: https://amsscanning.enterprise.irs.gov/dcma/
Click View My Batches.
Click the Validation button at the top of the page.
The system is ready for the process of validating/manually entering index information to begin.
Note: If a document" is " scanned directly to a site, and it’s not validated correctly then it will post to the receiving site’s Error Inventory. For example: The document has instructions to scan to a specific IDRS number, if not validated correctly it posts to the receiving site’s Error Inventory.
If a document "is not" scanned directly to a site, and it’s not validated correctly it will post to the originating sites’s Error Inventory. For example: The document didn’t have specific scanning instructions, if not validated correctly it will post to the originating sites Error Inventory.
Validating Documents
(1) These procedures provide instructions for validating and/or manually entering data into index fields for each document scanned in order to establish a control on IDRS and CII.
Note: All documents that are posted in Review and Validation Queues must be reviewed regardless if they have "green or red highlight indicators" the green highlight indictors are not 100 percent accurate.
(2) Batches with the highest priority must be worked first. If no batches have a high priority, they must be worked by the oldest date first. Select a Batch and use one of the following methods:
Double click on the "batch" or;
Click on the "batch once to highlight it", and then click the "Open" button at the top of the page.
Three panels will be displayed.
The Batch Contents panel will be on the left.
The Index Fields will be in the center.
The Image Viewer will be on the right.
(3) Begin the validation process for each of the index fields in the center panel.
(4) The Document Type, Category Code, Program Code, Function Code, IRS Received Date, and MFT index fields were populated with information entered at the scanner during batch creation and must be verified during validation.
To verify Document Type, Category Code and Program use the Tables in the Appendix A, B, C, D, E, F, or G, Document Types, Category Codes, Priority Codes and routing instructions.
The Form Type is not the Document Type, the Form Type is only for the workflow that is automatically assigned in scanning, if the Form Type is listed incorrectly it does not affect any reports, ICT is only concerned with the Document Type.
To verify the IRS Received date, refer to IRM 21.5.1.4.2.4, Received Date - Determination.
For assistance with Name Control issues refer to: http://core.publish.no.irs.gov/docs/pdf/d7071--2016-01-00.pdf.
(5) Verify the information in each field and make necessary changes by viewing the corresponding information from the document in the Image Viewer. IDRS research may be needed for further processing. Use the TAB key to move through the index fields in the Index Fields panel.
(6) Use the TAB key to move through the index fields in the Index Fields panel.
Note: Management may request IDRS research Command Codes (CC) TPIIP, NAMES, NAMEE and INOLE, in Validation to avoid documents falling out to Error Inventory
Note: You must use the TAB key to move through all the Index fields in order to initiate the validation for each field.
Do not make an entry to the DLN field. If the OCR (Optical Character Recognition) software captured the DLN, you may delete it. If you choose to retain the DLN, verify it and make any necessary corrections. If the DLN field has been automatically populated as a result of a 2-D bar-coded notice, do not delete it.
Enter the CSR number when necessary.
On Affordable Care Act (ACA) Fee Claim Inventories (FCI), Branded Prescription Drugs (BPD) and Insurance Provider Fee (IPF) cases enter the claim amount when available. Refer to IRM 21.2.1.8.1, ACA Fee Claim Inventories (AFCI), for more details.
(7) If the index information needs to be enhanced to be legible, use the zoom icons to zoom in and out until the information can be read.
(8) If the scroll bars on the bottom or right side of the image viewer were used to locate the index information, it will be necessary to use the mouse to return to the correct index field in the center panel.
After validating or entering data and tabbing through the last Index field, click the "Validate" button at the top of the center panel.
After clicking the "Validate" button, a message dialog box will display when:
The IRS Received Date entered is more than 60 days from the current date and the Tax Period is older than five years.
If the information entered is correct, click "Validate" again.
If the information is not correct, make the necessary corrections then click "Validate" again.
If an index field such as the IRS Received Date, Tax Period, or ICT Received Date is entered in the wrong format, an error message will display after the "Validate" button is clicked.
(9) Repeat the above process for each document in the batch. If it becomes necessary to leave a batch before all the validation is complete, the batch can be marked as "In Work" by using the F7 key.
(10) To resume validating the batch, locate the batch marked "In Work" with your SEID in parenthesis in the Notes column.
(11) Double click on the batch or highlight the batch and click the "Open" button at the top of the page.
(12) The batch opens and validation can continue.
(13) Enter the information from the magnified zone into the index field and use the Tab key to move to the next field. Once the Tab key is used to move to the next index field, the image will revert to its original size.
(14) If the scroll bars on the bottom or right side of the image viewer were used to locate the index information, it will be necessary to use the mouse to return to the correct index field in the Index Field Panel.
(15) A message dialog box will display when:
The IRS Received Date entered is more than 60 days from the current date.
A Tax Period is older than five years.
(16) If the information entered is correct, click "Yes." If the information is not correct, click "No." Return to the incorrect field and make the necessary corrections.
(17) A validation error message will appear next to the field that is entered in an invalid format of the window when information is entered incorrectly in an index field such as:
Alpha characters in an all numeric field.
The field contains more or less than the required number of characters.
A future IRS Received Date is entered at Batch Creation.
(18) If an index field such as the IRS Received Date, Tax Period, or ICT Date is entered in the wrong format, an error message will appear next to the field that is entered in an invalid format of the validation window.
(19) When a validation error message is received in the lower left corner of the window, the system prevents the user from tabbing out of the field until the information has been correctly entered.
Field Description | Required Entry | Notes |
---|---|---|
Document Type | True | None |
Program Code | True | None |
Category Code | True | None |
Function Code | True | None |
IRS Received Date | True | None |
TIN | False | This field will highlight to Force Review |
MFT | True | None |
Tax Period | True | None |
Name Control | False | Required for certain document types |
CSR Number | False | Required for certain document types |
Case Control Sequence Number | False | Required for certain document types |
DLN | False | None |
Issue Type | False | None |
ICT Received Date | True | None |
Statute Search | Yes or No | Required for certain document types |
Validating TEGE Cases in ECM
(1) Cincinnati-AM Campus Support (Only)
Action Required |
---|
1) Verify that the IRS and ICT received dates are correct. Make any corrections needed. |
2) Input Organization EIN |
3) Optional Information |
a) Input Organizational name. Only first 4 characters are required (Name Control) |
Procedure for Marking Batches in the Work
(1) It may become necessary to exit a batch while working on it.
(2) Leave an "In Work" indicator in the notes section.
(3) Click on "More Function Key > F7" to mark the batch with the indicator.
(4) The system removes the indicator when the batch proceeds to the next stage or you may press the "Function Key > F2."
Merging Pages in Validation
(1) Highlight the first document that needs to be merged by clicking on the Document "Thumbnail" in the Left Panel.
(2) Click the "Merge Button" on the Middle Panel.
(3) Select the document to merge to.
(4) System verifies Merge Selection and if you are sure you want to merge the selected documents, click the "OK" Button.
(5) Documents that were merged will display in the Center Panel.
Rejecting Batches, Documents or Pages at Validation
(1) When it has been determined that images (documents or pages) need to be rescanned due to poor image quality and/or illegible text, the validation clerk will correct the illegible documents or pages prior to closing the batch. Document Types can be changed in Validation and does not need to be rejected (Workflow cannot be changed and would need to go to Quality). The ICT clerks cannot reject an entire batch; each document must be put into QC status one by one. The pages cannot be rejected only documents.
Note: If there is an EO in an IMF gusset, this cannot be fixed in validation and must be sent to QC.
Rejection Procedures
(1) Press "F9" Function key on keyboard OR select More button > Function Key > F9 | Mark Batch/Document as needing QC Review.
(2) Type in the reason the document is being rejected into the QC Reason field on Middle Panel (above Workflow field).
(3) Press the "F9" Function Key again.
(4) The document is sent to QC.
(5) To reject the Document you have opened:
(6) Click on any document in Left Panel.
(7) Press "F9" Function key on keyboard OR select More button > Function Key > F9 | Mark Batch/Document as needing QC Review.
(8) Enter the reason the Batch is being rejected into the QC Reason field.
(9) Press "F9" function key again.
(10) Continue to validate until all cases are complete then press button ALT and E before returning to batch list
(11) The Batch is sent to QC.
(12) Reject Document/Batch Result
(13) The result of rejecting a document or batch will show up in the Validation queue.
(14) If a document was rejected a new note will appear, QC will be visible in the notes column.
(15) If an entire batch was rejected, then a new Note will appear. QC will show in the notes column.
(16) Reject – Cancellation Result
(17) After pressing "F9" function key to reject a document or a batch and the QC Reason field has appeared, the clerk may decide the rejection was in error.
(18) Press "F4" function key on keyboard to cancel the rejection. or Select "More" button > Function Key> F4 cancel request to send by hiding QC reason field.
(19) The QC Reason field will be hidden and the clerk may continue working the document as normal.
(20) To reject a whole batch, you must place each Document in the batch into QC individually.
Logging into the Integrated Data Retrieval System (IDRS) and Correspondence Imaging Subsystem (CII) and Affordable Care Act Fee Claims Inventories (AFCI)
(1) In order to perform the Error Inventory and Reimage Requests tasks through CII Workflow, clerks must be logged into IDRS. The following instructions provide the necessary steps to log into IDRS and CII.
(2) To access CII, it is necessary to log into IDRS first. Enter the required information on the IDRS SINON screen.
(3) Once the IDRS session has been established click on the AMS Desktop Icon. Read and acknowledge the Warning Banner. The first-time you login to your workstation the a security warning will pop up. Click the check box to "Always trust content from this publisher" and click the “Run” button. If you answer "Always/Run" you should not receive the prompt again on that workstation.
(4) The AMS screen will appear. Click the "Inventory" link in the “Case Management” section of the AMS home page.
(5) Authorized CII users will see a CII tab on the Inventory Summary page. Click the "CII tab" in the Inventory Summary section, then click the "Work CII Inventory" link.
(6) The CII Main page is displayed.
(7) It is especially important that users exit CII by first clicking "Logoff" prior to closing the CII window. Closing the CII window without first properly logging off will cause a case to remain locked even though the user no longer has the case open. Clicking "Logoff" releases all of a user’s locked cases so other users can take appropriate action on the cases.
(8) To access the AFCI, follow the above steps and then click the "AFCI" tab in the inventory summary section. Then click "Work BPD Inventory."
Note: IDRS will place a Security lock on a clerk's IDRS profile if they do not log into IDRS at least once every 2 weeks. CII will delete inactive users in ICT after 40 days
Error Inventory
(1) These procedures provide instructions for clerks to work cases that fall into Error Inventory after being released from the CII Imaging Subsystem. The procedures include researching IDRS to correct and input missing case data; establishing IDRS controls on cases that could not establish a control base; and inputting a STAUP when one is required.
Note: If a document "is" scanned directly to a site, and it’s not validated correctly then it posts to the receiving site’s Error Inventory. For example: The document has instructions to scan to a specific IDRS number, if not validated correctly it will post to the receiving site’s Error Inventory.
If a document "is not " scanned directly to a site, and it’s not validated correctly will post to the originating sites’s Error Inventory. For example: The document didn’t have specific scanning instructions, if not validated correctly it will posts to the originating sites Error Inventory.
Error Inventory and Correcting Missing Data Fields
(1) In order to access Error Inventory, it is necessary to login to IDRS first, and then the CII Workflow subsystem.
(2) Once an IDRS session is opened, click on the AMS Desktop Icon. Read and acknowledge the Warning Banner.
The first-time you login to your workstation a security warning will pop up. Click the check box to Always trust content from this publisher and click the "Run button." If you answer "Always/Run" you should not receive the prompt again on that workstation.
The AMS screen will appear, click the "Inventory" link in the "Case Management" section of the AMS home page.
Authorized CII users will see a CII tab on the Inventory Summary page. Click the "CII tab" in the Inventory Summary section, then click the "Work CII Inventory" link.
The CII Main page will display.
(3) Click on "Error". The Error Inventory page will be divided by the work types available at the campus. Links for each work type will be displayed at the top of the page to allow users to navigate between the different work types. Sites may also have links to work types that are not worked at their campus. Users need to click the work type to review the inventory and take the necessary steps to resolve the error. If a work type does not have any inventory an empty results list is displayed.
(4) Users may click on the "Data Page - 1 2" on the top or bottom of the page to change the columns displayed.
(5) The Error Inventory page will display the list of cases in error. The information is divided into nine columns: Case ID, Category, Age, Priority Code (PC), TIN, MFT, Tax Period (abbreviated as TXPD), Status (abbreviated as Stat), and a description of the error conditions. Clicking the links at the top of each column will change the way that the cases are sorted. The default for sorting cases is by Priority (PC). Cases with the highest priority will be displayed at the top of the list. It is important to work these cases first. If there are no cases with a priority, the cases will display with the oldest age at the top and must be worked by oldest age of case. At times, management may set priorities by Category Code or Description. In these instances, click the appropriate heading to sort these fields alphabetically.
(6) The following list identifies the different types of error conditions:
BOD Not Found
Case Control Error
Control Base Not Found
Distribution Error
Error establishing Control Base
Error issuing STAUP
Error writing IDRS history
Incorrect Case Data
Incorrect Name Control
Issue REQ77 Error
Missing Data
Reporting not updated
(7) There are two error conditions that do not require establishing a control base on IDRS. They are Missing Data and Issue REQ77 Error. All others require the clerk to establish a control base on IDRS if an open control base does not already exist that matches the CII case. If there is not an open control base on IDRS that matches the CII case, the Update case data tab will now allow ICT to systemically open a control on IDRS.
(8) If a case in the Error Inventory queue was assigned the incorrect work type, ICT can now change it and reassign the case to the appropriate campus. Refer to Appendices A-H for further instructions on reassigning cases in Error Inventory that are outside of campus work type.
(9) When the 2-D bar code notices fall to Error Inventory, and the TIN or EIN is not available on the notice, ICT will have to use command code (CC) TPIIP, NAMES (IMF) or NAMEE (BMF) to locate the TIN or EIN.
Missing Data
(1) If the case was missing data at validation and not entered by the validation clerk, the case will appear in the Error Inventory with "Missing Data" in the Description column. It can also be a case that is the result of a "Split Image Request." To obtain the missing data and control the case on IDRS, it is necessary to view the document images and perform IDRS research. Click on the first case under "Case ID" listed for "Missing Data" on the Error Inventory page.
(2) It is necessary to view the images of the document and research IDRS using normal research command codes to find the missing data. To open the image viewer, click on the image icon under the "Document Images."
(3) The Image Viewer opens and displays the first page of the document in the Viewer. If there are several images for the document, they will be displayed on the right hand side of the Image Viewer as thumbnail images. Scroll through the images and click on the thumbnail images, or using the paging icons at the bottom of the viewer.
(4) If the missing data cannot be located by viewing the images, initiate IDRS research (e.g., CC INOLE, CC NAMES, CC TPIIP). Once research is complete, enter the missing data found from either the IDRS research results and/or from the document images in the appropriate fields in the Update Case Data section.
(5) Click "Save" and the case moves out of the Error Inventory and CII returns the user to the Error Inventory page.
(6) If the missing data is not entered or "Save" is pressed before entering the missing data, an error message will be displayed. Make the necessary correction(s) and click "Save" again to close and return to the Error Inventory page.
(7) If the TIN cannot be determined through normal IDRS research or by viewing the images of the documents. In these instances, enter nine zeros (000000000) in the TIN field and click "Save." The zeros in the TIN will remove the case from the Error Inventory and send the case to the workflow subsystem to be resolved by a CSR.
(8) If the Tax Period cannot be determined, enter the most recent tax year (for example, 201412 would be the appropriate tax year for the 2015 calendar year). If multiple tax periods are referenced in a document, use the earliest tax period (for example, if 1999 and 2000 are both present, use 199912).
(9) Once all corrections have been made, click "Save" and the case will move from the Error Inventory into workflow to be distributed.
Issue REQ77 Error
(1) When a taxpayer provides the wrong TIN/EIN, or a finger error was made during validation in either the TIN/EIN or Name Control Fields on Form 1040-X, Form 8379 or Form 1120X, an Issue REQ77 error message will display in the Error Inventory Description.
(2) Click on the "Case ID Number" on the Error Inventory page to access the case in error.
(3) Compare the data in the fields to the data on the image to determine what field(s) is in error. Click on the "Document Images icon" to view the image(s). It is necessary to perform all normal IDRS research to ensure the data is valid.
(4) If the TIN is entered incorrectly at validation. Correct the TIN and click "Save." CII will systemically control the case on IDRS, issue the TC 971 to MasterFile and return the user to the Error Inventory to continue resolving errors.
(5) If the return has been scanned and processed to the correct account and all case data fields are correct when compared to the image, set up a dummy account and enter nine (000000000) in the "TIN" field and click "Save" if the following issues apply:
The taxpayer is a first-time filer.
The account has been closed due to the taxpayer being deceased.
The account has never received a return.
The year you are attempting to input is earlier, than the tax year the account became established.
Updating Case Data
(1) Data displayed in the Case Data section can be updated by clicking the "Update Data" button, if through research, it is discovered that the data was captured incorrectly. The only exception is the Case Control Sequence Number which will display what was captured during the Validation process and cannot be updated.
Note: It is important to review all the data carefully in the “Case Data” Section for accuracy in order to establish accurate IDRS Control Bases. To ensure correct data was captured it is necessary to view the images of the case and conduct IDRS research.
(2) If the CII case is controlled under the incorrect TIN, close the control base in IDRS using the following:
ACTON C##,ERRORCASE,C,MISC.
(3) Click "Update Case" and make necessary corrections to the TIN, MFT, tax period, and name control. The system will automatically bring up the correct account in IDRS. Establish a control in IDRS under the correct account.
(4) Data is entered in the following ways: In the edit boxes for:
TIN
TXPD
NC
IRS Received Date
DLN
ICT Received Date
IDRS C#
(5) In drop down menus for:
Work Type
MFT
Doc Type
Category
Function
Program
BOD ID
Issue Type
Priority
Radio buttons for Statute Searched (Yes or No)
(6) When the Update Data button is depressed the fields will be displayed in the edit boxes. The fields marked with a red “*” (asterisk) must be populated with data to continue.
(7) If the case is correctly controlled under a different account and only CII case data needs to be corrected, update all required fields including the "IDRS Control number" and click "Update Data Only", the Error Case page appears. Scroll down to "Error in Case Control Checklist" and enter required fields. Make sure the TIN, MFT, tax period, name control and IDRS control number shown in CII matches with what is on IDRS. Click "Save." The case moves out of Error Inventory and CII returns the user to Error Inventory.
Error Establishing Control Base
(1) If CII did not establish a control on IDRS when exiting the Imaging Subsystem, the case will fall into the Error Inventory queue. These procedures provide instructions for establishing an IDRS Control Base when CII did not have correct or sufficient information to systemically establish the control base. Clerks will perform research to find the incorrect/missing information and establish an IDRS Control Base. Click on the first Case ID listed for “Error establishing Control Base” on the Error Inventory page and the Case Data will display.
(2) It is important to review the data carefully in the Case Data Section for accuracy in order to establish accurate IDRS Control Bases. Click on the Document Images icon to view the images and compare the data entered in the Case Data Section with what is on the images. If there are discrepancies, click the “Update Data” button and correct the data.
(3) Activate IDRS and click on the "TXMOD IDRS Quick Clicks button" on the CII Case Data Page. Search IDRS using the TIN, MFT and Tax Period shown in the Case Data section of the Error Page to obtain the required data in order to correct the error condition(s).
(4) It is important to compare the data fields in the CII Case Data Section with the appropriate IDRS data fields to ensure all information is the same and accurate. If the data is not the same, research for the appropriate information and make corrections to the CII Case Data so it matches the data in IDRS.
(5) Click "Update CII Data & Open New IDRS Control" CII will systemically control the case on IDRS.
(6) After establishing the IDRS Control Base, go back into the CII session, scroll down to the "Error in Case Control Checklist" section to view the error conditions that need to be corrected. Required entries are indicated with a red "*" (asterisk). Enter the information in the appropriate box on the “Error in Case Control Checklist” portion of CII.
(7) For BOD/ULC and Control Number fields, enter the missing data from IDRS into the appropriate fields in CII.
The BOD is located in the BOD-CD> field on IDRS. On the CII screen, select the appropriate BOD from the drop-down menu.
The CLC is located in the COLLECT-LOC> field on IDRS.
The PLC is located in the PRIMARY-LOC> field on IDRS.
Control Base Number is located on the left hand side of the IDRS screen.
Once all missing data has been entered, check the boxes next to each error condition.
(8) If the CII case is for a future tax period (estimated tax payments being made), the account may not be established on MasterFile. In this instance, a Dummy Module will be established by CII. In order to resolve the Error Case, the BOD, CLC or PLC, and IDRS Control Number (C#) must be entered in the “Error in Case Control Checklist” section. Use the following instructions to resolve the error conditions:
To find the BOD and CLC or PLC for a future tax period, research IDRS using CC INOLES, enter the information on the CII screen, and click the box marked "BOD/LOCATION CODE."
If a BOD cannot be found, use the table below to select a generic BOD and PLC valid for the site, and click the box labeled "BOD/LOCATION CODE."
Use the IDRS Control Number that was established for the CII case from the Dummy Module and click the box labeled "C#."
Campus | Work Type | BOD | PLC |
---|---|---|---|
ANSC | All | WI | 0411 |
ATSC | All | WI | 5913 |
AUSC | All | WI | 7412 |
CSC | All | SB | 2222 |
FSC | All | WI | 9916 |
KCSC | All | WI | 3914 |
MSC | All | WI | 5623 |
OSC | BMF | SB | 3327 |
OSC | EO | TE | 1141 |
OSC | EP | TE | 2241 |
PSC | BMF Int’l | SB | 9835 |
PSC | IMF | WI | 2322 |
PSC | IMF Int’l | WI | 2322 |
(9) If CII has established a control base on a Dummy Module or wrong account, but the ICT clerk has located the correct account, then close the incorrect action control using "CC ACTON" and changing the Category Code to "MISC."
(10) Next check the IDRS History section on IDRS to see if a STAUP (if required) was issued. Refer to IRM 3.13.6.14.6, Inputting Missing STAUP, for inputting missing STAUP if needed.
(11) If a STAUP was required and issued, enter the date the STAUP was issued in the dialog box and click "Save."
(12) Once all error conditions have been resolved, click "Save." The case moves out of the Error Inventory into workflow and the user is returned to the Error Inventory page.
(13) If the "Save" button is pressed before all errors are corrected and the boxes are checked, the user will receive an error message(s) at the top of the Error Case page listing corrective actions that must be taken to resolve the error(s).
Inputting Missing STAUP
(1) When performing IDRS research, if a case is in a status that requires a "CC STAUP" and the "STAUP" was not systemically input by CII, it will be necessary for the clerks to input the "CC STAUP." Check the SC-STS> field to determine if it is necessary to input a STAUP. If there is a balance due on the account, and the next Collection status for IMF is 20, 56, 58, or 22, or the next collection status for BMF is 21, 58, or 22, a STAUP is necessary to prevent further notices. If a STAUP is required, enter CC DOALLF and “Page Up” to get the necessary screen to input the STAUP.
(2) After entering "CC DOALLF" and “Page Up,” the DOALL screen displays.
Tab down to the eighth line or through the fields until you come to STAUP.
Tab over to STS-REQ-CD> enter an "*" (asterisk).
Tab to the next field NUM-CYC-DLAY enter another "*" (asterisk).
Press Page Up key to transmit action to IDRS.
(3) Once the command code has been submitted, the “Completed: STAUP+” screen with the number of cycles shown after NUM-CYC-DLAY will display.
(4) If an error message is received when inputting the STAUP, follow established procedures for resolving the error condition(s).
(5) Return to CII, enter the date the STAUP was input in the “Error in Case Control Checklist” section and click "Save."
Distribution Errors
(1) Many “Distribution Errors” are valid and can be easily resolved. Occasionally, distribution errors are caused by systemic/workflow issues. Such errors may be more complex and will require a system administrator to identify the problem. The system administrator may be able to initiate a systemic fix to move the cases from Error Inventory to the Unassigned Inventory. Systemic errors usually consist of a large number of cases going to Error Inventory, and will usually affect more than one campus.
(2) The most common "distribution error" is when the IDRS control base of a CII case is closed. The description found on Case Notes and Message reads: "Distribution Error: Error trying to run ACTON: Matching sequence number not found." If this message is not displayed, a similar message will be shown. This error is caused when Distribution failed due to someone closing the IDRS control base of the CII case.
(3) Click "Update data" change the IDRS Control Number to reflect the case control number now found on IDRS. Then click "Save and Return."
(4) Other distribution errors will display: Distribution Error: Error trying to run ACTON: Account or module not on TIF. If CII data reflects correct TIN/SSN and MFT and not controlled in IDRS, Click “Update data”. Scroll down and click Update CII Data & Open New IDRS Control. CII will systemically control the case on IDRS. However, if SSN/TIN/MFT/tax period on the CII Data Section is incorrect, research to see if case has been controlled on IDRS under the correct tax module, if control base is found, update the CII Data section to match account information on IDRS and click Save.
(5) Most of the other distribution errors are not as common. If the message displayed in the Case Notes states "Distribution Error: No work item returned by MQWorkflow", this is a CII workflow problem. The ICT manager/lead may need to submit a ticket in order to resolve the issue and send the case to the Unassigned Inventory.
Error Inventory - Outside The Scope of Campus Work Type
(1) When a document is scanned incorrectly and it’s identified in Error Inventory, the ICT operator can correct the work type and reassign the case to the appropriate campus.
(2) After viewing the document image, the ICT operator will click "TXMOD" under Quick Clicks.
(3) If the case is controlled on IDRS, close the control using CC ACTON and change the category to "MISC", it’s important to review the IDRS control base to ensure you are closing the correct control base.
(4) Return to the CII case, click "Update Data."
(5) Click the drop down arrow by "Work Type" and select the correct work type. Click the drop down arrow by "Campus" and select the appropriate campus, click "Reassign." The selection of the new work type will repopulate all of e drop downs including the MFT, Tax Period, Document Type, Category Code, Function and Program Code. The drop downs are set to predefined values that correspond to the work type. (You can change any of these fields if you know the correct entry).
Note: CII has been rolled out to all sites; you may start using the update data to change the work type to any of the applicable (IMF, IMF International, BMF, BMF International, EO and EP) work types.
(6) The case will now be directed to the Error Inventory queue of the selected campus.
Resolving Errors from the Affordable Care Act (ACA) Branded Prescription Drug (BPD) Inventory Error Queue
(1) The Error Image list displays a list of BPD images which require the correction/updating of image information data fields.
(2) The next section explains the Error Case listing which displays BPD cases which have IDRS case controls/data issues.
Fields that need to be corrected/updated |
---|
a) EIN |
b) MFT |
c) Tax Period |
d) Name Control |
e) Document Type |
f) IRS Received Date |
g) Category Code |
h) Program Code |
j) ICT Received Date |
The instructions below are how to resolve Error Case Listings: |
---|
a) Click the View Image button to view the scanned image. |
b) Check any error message associated with the image. The message appears between the title bar and image information section. |
c) If an IDRS control is not established, the case will go to the Case Error listing for resolution. |
d) Click the Save button to correct the error. |
e) View the Case Details page and IDRS for any missing/incorrect information. |
f) All cases must have an IDRS control associated with it. |
g) The following fields must be checked on the BPD Inventory Case Details page: |
h) EIN |
i) MFT |
j) Tax Period |
k) Name Control |
l) IDRS Number |
m) Claim Amount |
n) IDRS Receive Date |
o) Control Base |
(3) Once the information is updated/corrected on the Case Details page and/or IDRS, click the Manual Transmission button.
(4) The case flows to the LB&I Unassigned Inventory.
Business Operating Division (BOD) Errors not Resolved in Validation
(1) These cases are usually due to a nonexistent TIN being input in Validation. Research IDRS to determine the correct TIN and BOD. Follow the steps below using the information from IDRS.
Open Error case and click on Update Data.
Update BOD- ID field and click on Save and Return.
Copy Case ID (You will need it to search for the case).
Check the boxes in the Error in Case Control Checklist and Click Save.
The case from error and goes to distribution (The case and its IDRS control are now synced).
Search CII for the case.
Access case and click on Update Data.
Update the TIN to the correct one and click on Save and Return.
Erroneous control base closed and a control is open on the correct TIN in IDRS and CII.
Temporary Storage and Disposition of Scanned documents
(1) After all documents have completed scanning and quality control, documents need to be maintained in temporary storage. The cases need to be maintained in date and time order. Each file folder will include a Batch Cover Sheet that will provide information indicating on which scanner the documents were scanned, the Batch Name, and if the documents were numbered or unnumbered.
Retention of Documents
(1) Each site has one to three production scanners. Identify the scanners will be identified as scanner "A", scanner "B" and scanner "C." The Batch Name on the Batch Cover Sheet is the date and time the documents were scanned. Within the batch, each case has a unique string of numbers imprinted on the surface of the documents to identify the document.
(2) Store scanned documents separately by scanner name (A, B or C), and DLN numbered documents will be stored separately from DLN unnumbered documents. This facilitates efficient retrieval of documents that need to be reimaged, and ensures that DLN numbered documents are returned to the Files function.
Disposal of Documents
(1) Unnumbered documents will be retained in the temporary storage area for a minimum of 7 business days after scanning in case any retrieval of documents for reimaging is warranted. Numbered documents may be reassembled and returned to Files as soon as scanning, validation, Quality Control has been completed. Documents are retained in temporary storage for a maximum of 14 business days during non-peak.
(2) Reassemble and return IRS DLN numbered documents to Files. Any document that has an IRS DLN imprinted on the surface will be sent back to the Files function. Prior to sending these documents to the Files function, it will be necessary to reassemble the documents. Ensure that all Form W-2, returns, envelopes, etc. are associated. Discard the ADS charge out document when you are reassembling the case. Do Not Destroy Any DLN Numbered Documents.
(3) If there is no DLN located on the document, the document will be destroyed by placing the paper in the appropriate receptacle identified for classified waste. Do Not Destroy Any DLN Numbered Documents.
Case Prints for Form 4251 Document Requests
(1) Filling of document requests (Form 4251) initiated from other areas outside of Adjustment Function will usually be conducted in the Files function. However, if Files needs assistance, ICT personnel may be required to fill these requests. This process requires ICT personnel to access CII and do a search for the CII Case ID. After locating the case on CII, ICT personnel will print the case to route to the requestor.
Providing Prints of Images for Form 4251
(1) Access AMS/CII and navigate to the Search Page.
(2) Select Case ID from the drop-drown menu for Search Type, and enter the Case ID from the Form 4251, Return Charge-Out, into the Search Value box. (The Case ID will either be typed or handwritten in the "number seven Requester and Remarks" portion of Form 4251).
(3) Select the appropriate work type, if unknown click on "Select."
(4) Once the information is entered in the appropriate boxes, press the "Enter" key or scroll down the page and click "Search."
(5) The Search Results List page will display.
Note: Verify Search Type/Search Value fields if no Search Results Lists are displayed. Also, change the work type field to "Select", if a specific work type was originally selected.
(6) Click on the underlined "Case ID number" in the Search Results List under the Case ID heading and the Case page for the case will display. Click on the "print icon" to print a copy of the CII case.
(7) Once the case is printed, scroll down to the Case Notes section and, if present, click on "Request Completed Screen."
(8) Right click on the Request Completed screen and select "Print", when the printing is finished, close the Request completed screen and return to the case page.
(9) Click on the "icon below the Document Images" to access the images for the document.
(10) The Image viewer will open and the first page of the document will be displayed.
(11) Verify that the document in the Image Viewer is the document being requested by comparing the information on the Form 4251 to the image of the document.
(12) Click the "Print Document icon" and then Print from the drop down list.
(13) Once "Print" is selected, the Print window is activated. Make sure you check the printer name to ensure the correct printer is selected, the Print Range is set to All Pages and the Optimize for PDF/Postscript Printing box is checked. If changes are made to any of these areas, ensure you click the "Defaults" button to save your changes for subsequent print requests.
(14) Click "Print" on the Print Document box to start printing.
(15) On the Active Case page, scroll to the Attached Files and, if any are present click on the link(s).
(16) Once the attachment is open, click the "Print" icon to print all pages of the “pdf” file. If there are multiple Attached Files, open and print each one.
(17) If there are numerous Case Notes, click on the "Printable View link" to print out the Case Notes on a separate sheet.
(18) Click on "File" and select Print or click on the "Print" icon to print out the Case Notes.
(19) If the case has been linked to another case, it will be necessary to print the linked case. Click on the "Case ID" under the "Linked Cases" section and print the associated case page, document images, case notes, attached files and any request completed screens as shown above.
(20) Associate all the printed documents with the Case information print sheet on top, stamp the image with Copy Do Not Return to Files and route according to local procedures.
Distribution of Reroutes
(1) During the course of closing cases, CSRs will discover cases that need to be printed and rerouted to non-CII users. These cases will print out on a minimum of two network printers located in the ICT area. Clerks in ICT will assemble the cases and route them to the designated functions/areas.
(2) The first page of each case will print with either Form 1725, Routing Slip, or Form 12960, Case Referral. At the top of every page of each case, CII will print "CII Image" in the left corner, the CII case ID in the middle, and the Employee Number (of the CSR who routed the case) in the right corner. Example:
Page | Case ID: | Employee Number |
---|---|---|
CII Image | CIIWADGK7H | 000010101008 |
(3) Clerks will pull the documents from the printer, associate (staple) all related pages of the case by Case Number, and route to the function/area designated in the "To:" section of Form 1725 or Form 12960.
For cases over 25 pages, a cover sheet will print every 25 pages indicating how many packets are within the case.
Ensure that all pages belonging to the case are together and that they are in the proper order.
Example: A ninety page document will have four cover sheets, in front of pages 1, 25, 50, and 75
Using the Mail Stop List, sort each case according to the mail stop printed on the front of the cover sheet.
The packages will consist of 25 pages with the exception of the last one, which will contain the remainder of the pages
The cover page will identify the CII case ID and the total document page count
The document page count does not include the cover pages
Verify the CII number, combine all pages ensuring all pages belong to the case and are in the correct order, and staple all pages together, at the top right hand corner of each cover sheet, then stamp the document using the ICT Stamp.
(4) During the peak season, the printers will be generating numerous reroutes. It is very important to monitor the printers during the day to ensure:
The paper trays are stocked, especially on the night shift.
The print cartridges have not run out of ink.
The printers are not turned off.
(5) Reroutes returned to ICT must be sent to Accounts Management to resolve, failure to do so affects resolving the taxpayer’s issue under the timeliness processing instructions. The ICT clerks do not make determinations on cases.
Functions and Programs for ICT
(1) The charts below are the Functions and Programs for ICT for reporting hours and volume on the Form 3081 and Unit Production Count (UPC)Function 720 Programs for Sorting and Clerical
Programs | Measured - Quality and Efficiency report each complete document or correspondence case handled on the Form 3081 | |
---|---|---|
34310 | IMF Correspondence | |
34314 | IDTVA | |
34316 | IMF Carrybacks and Carryforwards | |
34317 | IMF Cycle and 4251 | |
34318 | IMF Amended Returns - fifth digit -9 | |
34319 | TRNS | |
34320 | BMF Correspondence | |
34326 | BMF Carrybacks and Carryforwards | |
34327 | BMF Cycle and 4251 | |
34328 | BMF Amended Returns - fifth digit -9 |
Note: Currently Ogden-ICT is only ICT site that batches the SP-1040X documents, the batching teams in Austin and Kansas City batch the SP-1040X documents.
Programs | Measured - Quality and Efficiency report each complete document or correspondence case handled on the Form 3081 |
---|---|
40000 | Paper filed CP 27 notices for processing via paper or CII |
40002 | Paper filed CP 09 notices for processing via paper or CII |
40003 | Paper filed CP 08 notices for processing via paper or CII |
44450 | Paper filed Form 1040-X returns for processing via paper or CII |
44452 | Paper filed Form 1040-X returns received through ITIN for processing via paper or CII |
Programs | Measured - Quality and Efficiency for each complete document or correspondence case handled on the Form 3081 |
---|---|
34310 | IMF Correspondence |
34320 | BMF Correspondence |
34313 | (CII Fax) Fresno Only |
34314 | IMF IDTVA |
34316 | IMF Carrybacks and Carryforwards |
34317 | IMF Cycle and 4251 |
34318 | IMF Amended Returns - fifth digit -9 |
34319 | TRNS |
34326 | BMF Carrybacks and Carryforwards |
34327 | BMF Cycle and 4251 |
34328 | BMF Amended Returns - fifth digit -9 |
40000 | Paper filed CP 27 notices for processing via paper or CII |
40002 | Paper filed CP 09 notices for processing via paper or CII |
40003 | Paper filed CP 08 notices for processing via paper or CII |
44450 | Paper filed Form 1040-X returns for processing via paper or CII. |
44452 | Paper filed Form 1040-X returns received through ITIN for processing via paper or CII. |
Programs | Measured - Quality and Efficiency for each numbered return on the Form 3081 |
---|---|
34312 | IMF Sites |
34318 | IMF Amended Returns - fifth digit-9 |
34319 | TRNS |
34322 | BMF Sites |
34328 | BMF Amended Returns - fifth digit-9 |
Programs | Measured - Quality (only) for each scanned document on the Form 3081 |
---|---|
34310 | IMF Sites |
34318 | IMF Amended Returns - fifth digit -9 |
34319 | TRNS |
34320 | BMF Sites |
34328 | BMF Amended Returns - fifth digit -9 |
40000 | Paper filed CP 27 notices for processing via paper or CII |
40002 | Paper filed CP 09 notices for processing via paper or CII |
40003 | Paper filed CP 08 notices for processing via paper or CII |
44450 | Paper filed Form 1040-X returns for processing via paper or CII |
44452 | Paper filed Form 1040-X returns received through ITIN for processing via paper or CII |
Programs | Measured - Efficiency (only) for each document resolved on the Form 3081 |
---|---|
34312 | IMF Sites |
34322 | BMF Sites |
40000 | Paper filed CP 27 notices for processing via paper or CII |
40002 | Paper filed CP 09 notices for processing via paper or CII |
40003 | Paper filed CP 08 notices for processing via paper or CII |
44450 | Paper filed Form 1040-X returns for processing via paper or CII |
44452 | Paper filed Form 1040-X returns received through ITIN for processing via paper or CII. |
Programs | Measured - Quality and Efficiency for each complete document resolved. Include validation of docs scanned by Files on the Form 3081 |
---|---|
34314 | IMF IDTVA |
34317 | IMF Cycle and 4251 |
34319 | TRNS |
34321 | BMF Sites |
34327 | BMF Cycle and 4251 |
40000 | Paper filed CP 27 notices for processing via paper or CII |
40002 | Paper filed CP 09 notices for processing via paper or CII |
40003 | Paper filed CP 08 notices for processing via paper or CII |
44450 | Paper filed Form 1040-X returns for processing via paper or CII |
44452 | Paper filed Form 1040-X returns received through ITIN for processing via paper or CII. |
Programs | Measured - Efficiency (only) for each document resolved on the Form 3081 |
---|---|
34312 | IMF Sites |
34319 | TRNS |
34322 | BMF Sites |
40000 | Paper filed CP 27 notices for processing via paper or CII |
40002 | Paper filed CP 09 notices for processing via paper or CII |
40003 | Paper filed CP 08 notices for processing via paper or CII |
44450 | Paper filed Form 1040-X returns for processing via paper or CII |
44452 | Paper filed Form 1040-X returns received through ITIN for processing via paper or CII. |
Programs | Measured - Efficiency (only) for each error resolved in CII on the Form 3081 |
---|---|
34310 | IMF Sites |
34320 | BMF Sites |
40000 | Paper filed CP 27 notices for processing via paper or CII |
40002 | Paper filed CP 09 notices for processing via paper or CII |
40003 | Paper filed CP 08 notices for processing via paper or CII |
44450 | Paper filed Form 1040-X returns for processing via paper or CII |
44452 | Paper filed Form 1040-X returns received through ITIN for processing via paper or CII. |
Programs | Report hours only not volume on the Form 3081 |
---|---|
34310 | IMF Site- Miscellaneous/Shelving/Purging Documents |
34319 | TRNS |
34320 | BMF Sites - Miscellaneous/Shelving/Purging Documents |
ICT-Reports
(1) ICT- BBTS Reports
(2) The following ICT-BBTS Reports are listed on the CDD Home Page (irsnet.gov)
(3) When reviewing the reports determine if corrective action is needed and make the changes.
The ICT Batch Query Report is used to view a batch submitted in BBTS.
The ICT Multi Query Report is used to view various batches in their current and previous workflow status.
The OFP Aged Inventory Report must be reviewed weekly by the managers to monitor overage inventory and to ensure timeliness standards are met and ICT batches are being released in BBTS.
The ICT Weekly Inventory Report must be reviewed weekly by the manager to monitor inventory volumes and to ensure ICT batches are being released in BBTS.
The ICT Uncontrolled Inventory Report is used to track the weekly uncontrolled inventory.
The Uncontrolled Inventory volumes totals must be input daily thru the BBTS Production Site if no uncontrolled inventory is received enter “zero” in the BMF and IMF fields.
(4) Ephesoft Reports (SAP Business Objects)
(5) The BEARS is needed to access the Ephesoft Report.
(6) The BEARS application to select is - PROD USER BOE REPORT ACCESS AMS APP (BOE ACCOUNT MANAGEMENT SERVICES (BOE AMS)
Note: After the BEARS is approved follow the instructions below
Click on link Business Objects link below in notes section.
Click on OK for security warning.
Click on Document list under Navigate (left side of screen).
Click on Folders
Click on Public Folders
Click on AMS
For productivity or review, validation and export inventories.
Click on Ephesoft Clerical Productivity Reports or Ephesoft Reports.
For the Standard Weekly Error Inventory Report
Click on Campus Reports.
After you decide what report you want to review
Right click and select "History".
Click on the Report date you want.
APPENDIX A - DOCUMENT TYPES, CATEGORY CODES, IMF DOMESTIC
(1)
The Document Types, sorting requirements, Category Codes, and Priority Codes (if any) for IMF documents are provided in the tables below.
For Domestic IMF, Austin works their own Spanish cases, and all other sites must scan Spanish work to Fresno UA. To meet the Spanish criteria, the forms or correspondence must be written in Spanish. This process will apply across all categories, except Carrybacks, Carryforwards and Injured Spouse.
If hurricane Harvey, Irma or Maria or a Presidentially declared disaster in 2016, or a 2017 California wildfire is claimed on any document type use category code KATX and Function-Program Code 710-82365. For any other disaster claim, use category code DSTR and function-program code 710-82360. Both category codes are Priority Code 1 and are valid for all document types except: Faxes, ITIN and Special Processing. These Category Codes are not valid with any of the ID Theft doc types. Scan these documents to: Domestic English - 0630103922 or Domestic Spanish - 0630176475. Select AUSC as the DSC for Domestic and Spanish and PSC (Philadelphia) International.
NYCX category code are valid in both the Imaging Subsystem and CII. The last page of this Appendix provides the valid program/category code combinations. Category code ERRF has been added as a valid option for most of the document types with the exception of the ID Theft and ID Theft Spanish document types. Sites will provide guidance about when to use these codes.
If any type of work is specialized to a site and/or team, sort this work by Doc Type/category code/ program code, write the appropriate CSR number on the Batch Cover Sheet, and enter it at batch creation.
In general, ICT does not need to enter the CSR number when scanning CSR initiated letter replies. If a document needs to be assigned to a specific CSR, write the CSR number on the first page of the document and enter it at batch creation or validation
The valid MFTs for all IMF doc types except ID Theft document types are: 00, 29, 30, 31, 55, and 65. Identity Theft Victim Assistance document types are also valid with all these MFTs.
The valid MFTs for ID theft and ID Theft Spanish document types: 00, 29, 30, and 31.
There are a couple of MFTs related to Affordable Care Act (ACA) and are valid with specific document types. The MFTs are listed with the appropriate ACA document types.
When cases have multiple forms attached with various category codes the Tax Reform Category Codes are always the first priority. For example; a case attached with the following Form(s) 5405, FTHB, Form 8994, and Tax Reform. The case will be scanned using the Tax Reform Category codes .
Category Codes | Exception |
---|---|
SPC1 - SPC4 | Faxes, ITIN, Special Processing, Identity (ID) Theft doc types, CP36D DMFE |
SSA2/SCRM (710-40052) | ITIN, Special Processing, Quick Closures, ID Theft doc types |
PROGRAM CODE: 710-40000
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Correspondence | TPRQ | All cases identified by the CSR screeners. Includes:
Note: If the taxpayer includes one of the following letters: 216C, 449C, 662C, 2364C, or 4734C, with a Carryback form or loose, process as a carryback. Write the CSR number from the letter on the top of each carryback form and place the letter in the back of the case. Enter the CSR number when validating. |
Correspondence | F843 | Form 843 requesting abatement of interest - identified by the CSR screening process. |
PROGRAM CODE: 710-40005
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
IMF Generic | TPRQ | Only use when the ICT clerks are unable to determine the doc type on IMF correspondence. |
PROGRAM CODE: 710-40005
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Correspondence related to First Time Homebuyer Credit | FTHC | Correspondence with Form 5405 attached or correspondence that mentions the First Time Homebuyer Credit. |
PROGRAM CODE: 710-40051
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Correspondence | VRET | All Form 1040-X claims with Letters 6060-A or
Scan to IDRS 1185402670 |
PROGRAM CODE: 710-40070
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Correspondence related to HCTC | HCTC | 1) The 2014 Form 1040-X with "HCTC" written across the top margin will always be scanned as HCTC. |
PROGRAM CODE: 710-82385
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Correspondence related to KITA | KITA | All cases identified as KITA |
PROGRAM CODE: 710-85440
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Return Preparer Misconduct | RPMC | Form 14157-A with correspondence along with other forms (for example, Form 14157, Form 1040 series, or Form 1040-X is received in ICT) Caution: Do not detach Form 14157-A from any forms or correspondence included.
|
Letter 5955C and Letter 5956C | RPMC | Responses to Letter 5955C and Letter 5956C– IDRS group numbers beginning with -11788. Note: If the IDRS number begins anything other than 11788 refer to Exhibit 3.13.6-13, for information regarding DOC TYPE: COMP RPM-IDII |
PROGRAM CODE: 710-40008
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 2439 | LSFM | If Form 2439 is not marked as nominee:
|
Loose Forms | LSFM |
|
(2)
Note: Scan Form 5329 to MFT 30 and the tax period stated on Form.
PROGRAM CODE: 710-40051
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
(KCSP-ICT only) | VRET | Letter 6060A and 6060D sent by Department of Defense – Combat Injured Veteran Fairness Act of 2016. |
PROGRAM CODE: 710-91010
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 8082 | TPRQ | Form 8082, Notice of Inconsistent Treatment and Administrative Adjustment Request (AAR) |
Form 8978 | TPRQ | Form 8978, Partner’s Additional Reporting Year Tax |
Schedule A - Form 8978 | TPRQ | Partner’s Additional Reporting Year Tax (Schedule of Adjustments) |
PROGRAM CODE: 710-40006
Sorting Requirements/Case Priority | Category Code/ MFT | Description |
---|---|---|
Advance Child Tax Credit | SPC9 | Letter 6416 |
PROGRAM CODE: Various
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 4442 | TWRO | Program Code: 700-60200 |
Case Priority 2 | HCTC | Program Code: 710-40070
|
PROGRAM CODE: 710-40000
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Operations Assistance Request | ATAO | Form 12412Operational Assistance Request (OAR). Most OARs will be faxed to ICT; a few original hard copies will be routed.
|
Operations Assistance Request | ATAO | Same as above |
PROGRAM CODE: 710-40001
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Quick Closures | PHZ1 | Includes:
|
PROGRAM CODE: Various
Sorting Requirements/Case Priority | Program Code | Category Code | Description |
---|---|---|---|
Unnumbered Form 1040-X | 710-44490 | MEFP | Scan to IDRS 0938000000 |
Form 1040-X (including Form 8606) | 710-44450 | MEFS | Scan to IDRS 0938000000 |
Form 1040X-W7 | 710-44452 | MEFS | Scan to IDRS 0938000000 |
CP 08 | 710-40003 | MEFS | Scan to IDRS 0938000000 |
CP 09 | 710-40002 | MEFS | Scan to IDRS 0938000000 |
CP 27 | 710-40000 | MEFS | Scan to IDRS 0938000000 |
(3)
Note: Batch volume (25 cases max)
PROGRAM CODE: 710-40051
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 1040-X | XIVO | All cases identified as “ICT- IVO” Scan to IDRS 0634086689 |
PROGRAM CODE: 710-40051
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 1040-X | SPCO | The Form 1040-X’s will be marked “Microcaptive.” |
Form 1040-X | SPC1 | Adoption Claims filed on Form 1040-X Pre-identified by Submission Processing or by ICT.
|
Form 1040-X | SPC2 | The Form 1040-Xs will be marked Letter 6173, Letter 6174, or Letter 6174A |
1040-X Erroneous Zero Returns-Transcription Error | SPC5 | 1040-X Erroneous Zero Returns-Transcription Error will be sent to ICT from the 1040-X teams, using their own batch sheet. |
PROGRAM CODE: Various
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 843 | F843 | Program Code: 710-40007
|
Form 1040-X | SPC2 | Program Code: 710-40051 |
Form 1040-X (One Sort) | VRET | Program Code: 710-40051
Scan to IDRS 1185402670 |
Form 1040-X (One Sort) | XRET | Program Code: 710-40051
|
Exonerated Prisoner Claims | XRET | Program Code: 710-40051
|
First Time Homebuyer Credit Claims on Form 1040-X - Case Priority 2 | FTHB | Program Code: 710-40051
|
1040-X Erroneous Zero Returns-Transcription Error | SPC5 | Program Code: 710-40051 |
Related to HCTC CATA issues | HCTX | Program Code: 710- 40071
|
Amended returns related to Separate to Joint issues | SPJT | Program Code: 710-40056
|
KITA | KITA | Program Code: 710-82385 |
PROGRAM CODE: 710-40051
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 1040-X (One Sort) | XRET |
|
Form 1040-X (One Sort) | XRET |
|
Form 1040-X (One Sort) | VRET | All cases identified as Veteran Disability Claims or
Scan to IDRS 1185402670 |
Form 1040-X (One Sort) | XRET | All cases identified as Sinai Peninsula Claims |
Note: Special handling of 1040 returns received from Code & Edit as Amended Returns: |
PROGRAM CODE: 710- 40051
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
First Time Homebuyer Credit Claims on Form 1040-X - Alert: Statute Year Returns | FTHB |
|
PROGRAM CODE: 710-40056
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Amended returns related to Separate to Joint issue | SPJT | Amended returns related to Separate to Joint issue |
PROGRAM CODE: 710-40051
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Correspondence | VRET | All Form 1040-X claims with Letters 6060-A or 6060-D attached or claims notated with the following:
. |
PROGRAM CODE: 710-40071
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
HCTC | HCTX |
Note: If you receive returns related to HCTC prior to 2013. |
PROGRAM CODE: 710-82385
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 1040-X (One Sort) | KITA/KIA |
|
To accept a 1040 family return from Code and Edit as a 1040-X it must contain BOTH a Code & Edit stamp AND one of the following written notations: COPY, CORRECTED, DUPLICATE, AMENDED, REVISED, SUBSTITUTE, SUPERSEDES, TENTATIVE or TC150 or TC150 posted.
Returns coming from Rejects with the DLN or Void notated must be scanned in as 1040-X.
It is not necessary to write "TC150" or "TC 150 "Posted on the return if it has BOTH a Code & Edit stamp and written notation.
Areas other than Code & Edit may also write "TC 150" or" TC 150" posted. There may or may not be a stamp. These must also be accepted as Amended Returns.
If a return is stamped with a red "W-7", this only indicates it was received with a "W-7" application. It is not an indicator for an Amended return.
The following 1040 returns must be given to the ICT manager or work leader to provide feedback to the originator (keep the routing slip or tag with the return):
No written notations or someone has written type.
The written notation is circled out or
No Code & Edit Stamp or 1040-X stamp.
(4)
Note: If the taxpayer includes one of the following letters: 216C, 449C, 662C, 2364C, or 4734C, with a Carryback form or loose, process as a carryback. Write the CSR number from the letter on the top of each carryback form and place the letter in the back of the case. Enter the CSR number when validating.
PROGRAM CODE: 710–97140
Sorting Requirements/ | Category Code | Description |
---|---|---|
CP36D charge out with DLN numbered documents | DMFC | Requires a separate sort due to DLN numbered documents attached. Place CP36D charge out on top of the numbered documents. |
CP36D charge out without DLN Numbered documents | DMFC | Requires a separate sort when CP36D charge out comes from Files without DLN numbered documents attached. If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy. |
Form 8379 | DMFC |
|
PROGRAM CODE: 710–97144
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
CP36D Return filed electronically | DMFE | CP36D return filed electronically will not generate a charge out. |
PROGRAM CODE: 710–40050
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
CP29 charge out with DLN numbered documents | CP29 | Requires a separate sort due to DLN numbered documents attached and different Category Code. Place CP29 charge out on top of the numbered document. |
CP29 charge out without DLN numbered documents | CP29 | Requires a separate sort when CP29 charge out comes from Files without DLN numbered documents attached. If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy. |
CP35 charge out, No charge out for - CP36 and CP36 S/B | DUPF | Requires a separate sort due to DLN numbered documents attached, different Category Code, and document attached to CP charge out. Place CP charge out on top of the numbered document. |
CP35 charge out | DUPF | Requires a separate sort when the CP charge out comes from Files without DLN numbered documents attached. If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy. |
CP93 charge out with DLN numbered documents | DAUD | Requires a separate sort due to DLN numbered documents attached and different Category Code. Place CP93 charge out on top of the numbered document. |
CP93 charge out without DLN numbered documents | DAUD | Requires a separate sort when CP93 charge out comes from Files without DLN numbered documents attached. If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy. |
As identified by the CSR ICT screener; primarily for CSR use. | MXSP MXEN | Program Code 40054 – as identified by the CSR ICT screener; primarily for CSR use. |
PROGRAM CODE: 710–40058
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
CP36F/CP36G with DLN numbered documents | C36F | Requires a separate sort due to DLN numbered documents attached and different Category Code/Program Code. Place CP charge out on top of the numbered document. |
CP36F /CP36G without DLN numbered documents | C36F | Requires a separate sort when these charge outs come from Files without DLN numbered documents attached. |
(5) This IMF International doc type is included in Appendix A since IMF SP sites are responsible for scanning documents.
DOC TYPE: IMF International Special Processing ★PROGRAM CODE: 710–85374
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
CP36P IMF International with DLN numbered documents | I36P | Requires a separate sort due to different work type – IMF International, DLN numbered documents attached and different Category Code/Program Code. Place CP notice charge out on top of the numbered document. Scan documents directly to Philadelphia. Select "PSC "from the drop down menu when scanning. Follow the steps below when scanning:
|
CP36P (IMF International) without DLN numbered documents | I36P | Requires a separate sort when these charge outs come from Files without DLN numbered documents attached.
|
(6) ★This IMF International doc type is included since IMF sites may receive electronic notice charge outs identified as International. If received, sites will be responsible for scanning them.
DOC TYPE: Internal Transcripts (Includes: Certain CP Notices and Internal IRS Requests)PROGRAM CODE: Various
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Economic Impact Payment (EIP) or Stimulus Payment | IRRQ | Program Code: 710- 40000 |
Scrambled SSN Cases | IRRQ | Scrambled SSN Cases |
Internal Adjustment Requests. | IRRQ | Documents to be associated with open CII case, miscellaneous documents |
IRAFASSESS (CP320), Credit (CP346) | IRRQ | IRAFASSESS (CP320), Credit (CP346) |
CP41 | OTHE | CP41 charge out with DLN numbered documents |
CP08, | TPRQ | Includes:
The CSR screener may identify other types of cases. |
DIAGQ | IRRQ | Requires a separate sort based on portrait orientation of document. |
CSR screeners | MXEN | Program Code: 710- 40054 |
Internal Transcript | REFA | Program Code 710-40310 |
PROGRAM CODE: Various
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Spanish Correspondence | SPAC | Program Code: 710-40007 |
Spanish Correspondence | HCTC | Program Code: 710-40077 |
PROGRAM CODE: 710-40080
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
IMF Faxes | PPRQ | Unsolicited faxes from Tax Practitioners |
PROGRAM CODE: 710-40000
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
CP98 | IRRQ |
|
CP98 | IRRQ |
|
DIAGQ, Multiple Listings | IRRQ |
|
Any incoming case designated with a specific CSR number with DLN numbered documents | TPRQ | Requires a separate sort due to DLN numbered documents attached. Includes cases from ERS, Code & Edit, or any other case with a DLN numbered document attached designated with a specific CSR number. |
Any incoming case designated with a specific CSR number without DLN numbered documents | TPRQ |
|
PROGRAM CODE: 710-40320
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 1040-X | ACAX | All other ACA provisions Scan to Fresno |
PROGRAM CODE: 710-40313
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
ACA5-Loose Forms | ACA5 | All ACA loose forms |
PROGRAM CODE: 710-40310
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Correspondence | ACA7 | All ACA provisions |
PROGRAM CODE: 710-40317
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Correspondence | ACAC | Correspondence written in Spanish related to ACA. For example, letter with Form 8962 and/or Form 8965 attached. |
(7) The document request code used when ordering documents (CC ESTAB) will determine whether the documents need to be doc prepped and scanned, or routed to the appropriate area as paper. Document Requests (Form 4251) initiated by the CII. The CSR must use request code "S"(CC ESTAB). This code must only be used by CSRs working in the Correspondence Imaging System (CII).
This code indicates to Files and ICT that the request must be filled by scanning the document and sending an image through CII instead of sending a hardcopy to the requestor. When document request code "S" is used, "CII Scan Request" it will print below the DLN on Form 4251.
Additionally, document request code "X" (CC ESTAB) has been established for Non-CII users who need a hardcopy or actual print of a TC 29X adjustment document relating to a CII case. This request code must only be used when an actual print or hardcopy of the image is needed. When document request code "X" is used, CII Print Request will print below the DLN on Form 4251.
Files and ICT will use the Form 4251 to determine whether the document is to be scanned or routed as paper. Scan the document if the form shows “CII Scan Request” (under the DLN). If the form does not state “CII Scan Request,” route the document as paper.
IMF Valid Document Type | Program Code Combinations | Category Code |
---|---|---|
Correspondence | 40000 | TETR |
NOMERGE | 40053 | NYCX or TETR |
Internal Transcripts | 40000 | TETR |
CSR Specific | 40000 | TETR |
OARS | 40000 | TETR |
CP86 | 40000 | TETR |
Quick Closure | 40001 | TETR |
Duplicate Filing | 40050 | NYCX or TETR |
Form 1040-X | 40050 | NYCX or TETR |
Carryback | 40063 | NYCX or TETR |
Carryback | 40064 | NYCX or TETR |
Injured Spouse Claim | 97140 | NYCX or TETR |
Spanish | 40007 | TETR |
APPENDIX B - DOCUMENT TYPES, CATEGORY CODES, PRIORITY CODES IMF INTERNATIONAL(II) - PHILADELPHIA
(1)
The Document Types, sorting requirements, Category Codes, and Priority Codes (if any) for IMF International are provided in the tables below.
If hurricane Harvey, Irma or Maria is claimed on any document type use category code KATX and Function-Program Code 710-82365. For any other disaster claim, use category code DSTR and function-program code 710-82360. Both category codes are Priority Code 1 and are valid for all document types except: Faxes, ITIN and Special Processing. These Category Codes are not valid with any of the ID Theft doc types. Scan these documents to IDRS Number 0531500000.
Category code SPC 1 – 4 is a valid option for all document types except Special Processing. Program Codes, 85370, 85371, and 85372, are used to support the Economic Stimulus Rebate. Category code ERRF has been added as a valid code for all document types. Sites will provide guidance about when to use these codes.
If any type of work is specialized to a site and/or team, sort this work by Document Type, category code, and program code. Write the appropriate CSR number on the Batch Cover Sheet and enter it at batch creation.
In general, ICT does not need to enter the CSR number when scanning CSR initiated letter replies. If a document needs to be assigned to a specific CSR, write the CSR number on the first page of the document and enter it at batch creation or validation.
Follow appropriate IRM guidelines when scanning envelopes.
The following MFTs are valid with all document types: 00, 29, 30, 31, and 55:
PROGRAM CODE: 710-33040
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
IMF International Generic | TPRQ | Only use when the ICT clerks are unable to determine the Doc Type on IMF International correspondence |
PROGRAM CODE: 710- 33010
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
ACA-Corr | IPTC | Includes Non-Spanish correspondence regarding ACA. For example, letter with Form 8962 and/or Form 8965 attached. |
PROGRAM CODE: 710- 33020
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
ACA 1040-X | IPTX | Form 1040-X with ACA criteria. For example, Form 1040-X with Form 8962 and/or Form 8965 attached. |
PROGRAM CODE: 710-33040
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
IMF - INT Correspondence Form 1040 | ITRQ | Includes all non-Spanish written communications from a taxpayer or representative. Includes written communications in response to IRS requests for information, taxpayer responses to letters initiated by CSRs, annotated notice responses that provide additional data or dispute a notice, and anything that is not included in any one of the Document Types listed below Types listed below (e.g., Form 5329, Form 1310, Form 2210)
Do not include:
Does not include responses to letters for additional information if the Doc Type is 1040-X, Carrybacks or loose Form 8379. Note: If the taxpayer includes one of the following letters: 216C, 449C, 662C, 2364C, or 4734C, with a Carryback form or loose, process as a carryback. Write the CSR number from the letter on the top of each carryback form and place the letter in the back of the case. Enter the CSR number when validating. |
International Payment Tracer | IPYT | International Payment Tracer. Requires a separate sort due to different category code. |
Form 843 | F843 | Form 843 requesting abatement of interest - identified by the CSR screening process |
Form 843 | IIRQ | Form 843. Requires a separate sort due to different category code. |
Letter 5532C and Letter 5533C | IMFINTL | Letter 5532C and Letter 5533C scan to International Philadelphia. |
PROGRAM CODE: 710-33040
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
IMF-INT OAR (One sort) | ATAO |
|
IMF-INT OAR (One sort) | ATAO | Same as above |
PROGRAM CODE: 710-33041
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
IMF-INT | IOTH | Includes all written Spanish communications from a taxpayer or representative.
|
Form 843 | F843 | Form 843 requesting abatement of interest - identified by the CSR screening process |
PROGRAM CODE: 710-33080
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
CP29 charge out with DLN numbered documents | IN29 | Requires a separate sort due to DLN numbered documents attached and different Category Code. Place CP 29 charge out on top of the numbered document. |
CP29 charge out without DLN numbered documents | IN29 |
|
CP 36 charge out with DLN numbered documents | IDPF | CP notice does not generate a charge out for scanning. |
CP 36 charge out without DLN numbered documents | IDPF | CP notice does not generate a charge out for scanning. |
CP 93 charge out with DLN numbered documents | IDPA | Requires a separate sort due to DLN numbered documents attached and different Category Code. Place CP 93 charge out on top of the numbered document. |
CP 93 charge out without DLN numbered documents | IDPA |
|
PROGRAM CODE: 710-33083
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
CP 29 | ITLR | Requires a separate sort due to DLN numbered documents attached. Place CP notice charge out on top of the numbered document. |
CP 29 | ITLR |
|
PROGRAM CODE: 710-33088
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
CP36 F | I36F |
|
CP36 F/CP36 G (IMF International) without DLN numbered documents | I36F |
|
PROGRAM CODE: 710-85374
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
CP 36P IMF International with DLN numbered documents | I36P |
|
CP 36P (IMF International) without DLN numbered documents | I36P |
|
PROGRAM CODE: 710-33080
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 1040-X | SPCO | The Form 1040-X will be marked “Microcaptive.” |
Form 1040-X | SPC2 | The Form 1040-X will be marked Letter 6173, Letter 6174, or Letter 6174A |
1040-X Erroneous Zero Returns-Transcription Error | SPC5 | 1040-X Erroneous Zero Returns-Transcription Error will be sent to ICT attached to an International Routing Slip |
PROGRAM CODE: 710-33080
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
1040-X French Social Taxes | IXRT | French Social Taxes” or “French CSG/CRDS Taxes” Should be written across the top of the 1040-X |
IMF- INT 1040-X | IXRT |
|
PROGRAM CODE: 710-33083
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 1040-X | SPC2 | The Form 1040-X will be marked Letter 6173, Letter 6174, or Letter 6174A |
1040-X Erroneous Zero Returns-Transcription Error | SPC5 | 1040-X Erroneous Zero Returns-Transcription Error will be sent to ICT attached to a International Routing Slip |
IMF-INT | ITLR |
|
PROGRAM CODE: 710-33030
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
International 94X-X cases (Amended Returns) | IIRQ | These cases can be identified by "CCP Philadelphia" listed on the EEFAX Cover Sheet, with the specific doc type in the subject line and body of the email/EEFAX. Upload the documents to Ephesoft per the IRM 3.13.6.9. |
PROGRAM CODE: 710-33040
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
CP 98 | IRRQ |
|
CP98/CP98A/ Form 4251/Misc Transcripts or documents without DLN numbered documents (Form 4251 see the note below at the end of this exhibit) | IRRQ |
|
Form 4227 | IRRQ | Reverse TC 971 AC 150 and issue letter 86c to taxpayer. |
Form 4227 | IRRQ | No statement attached, Scan to Philadelphia |
CP 41 charge out with DLN numbered documents | OTHE | Requires a separate sort due to DLN numbered documents attached and different category code. |
CP 41 charge out without DLN numbered documents. | OTHE | Required when CP 41 comes from files without DLN numbered documents attached. |
Unpostables cases with DLN numbered documents. | NLUN | Unpostable cases where the transactions did not post to Master File (MF) Requires a separate sort due to DLN numbered documents attached. Example: Form 4251, Forms 3465, GUF 55-47, and GUF Transcripts. |
Unpostables cases without DLN numbered documents. | NLUN | Unpostable cases where the transactions did not post to Master File (MF) Requires a separate sort when documents are received without DLN numbered document. Example: Form 4251, Forms 3465, GUF 55-47, GUF Transcripts |
Unpostable cases | INUP | Requires a separate sort due to different category code. |
Form 8833 and Form 8843 | IIRQ | Requires a separate sort due to different category code. |
ACA related use 710-33010, MFT 00, 30, 31, and, 35 | IRRQ | ACA related use 710-33010, MFT 00, 30, 31, and, 35 |
PROGRAM CODE: 710-33041
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
| IRRQ |
|
CP98 | IRRQ |
|
CP41 - charge out with DLN numbered documents | OTHE | Requires a separate sort due to DLN numbered documents attached and different category code. |
CP41 charge out without DLN numbered documents. | OTHE | Requires when CP41 comes from files without DLN numbered documents attached. |
Unpostable cases with DLN numbered documents. | NLUN | Unpostable cases where the transactions did not post to Master File (MF) Requires a separate sort due to DLN numbered documents attached. Example: Form 4251, Form 3465, GUF 55-47, and GUF Transcripts. |
Unpostable cases without DLN numbered documents | NLUN | Unpostable cases where the transactions did not post to Master File (MF) Requires a separate sort when documents are received without DLN numbered document. Example: Form 4251, Form 3465, GUF 55-47, and GUF Transcripts. |
Unpostable cases | INUP | Requires a separate sort due to different category code. |
PROGRAM CODE: 710-33043
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Quick Closures Correspondence (One sort) Case Priority 2 | SPC1 | Includes Non-Spanish correspondence presorted by a CSR. (e.g., address changes) |
(2) The following documents are now part of the electronic notices/transcripts and ICT no longer receives them as paper:
Doc Type | Program Code |
---|---|
NoMerge | 710-33040 |
CP86 | 710-33080 |
(3) Other transcripts received electronically include: AMRH, STAT, DECD ES CR, CR EL DECD, DUPASMT, REBATEREV and REFMFT31.
(4)
Note: The document request code used when ordering documents (CC ESTAB) will determine whether the documents need to be doc prepped and scanned, or routed to the appropriate area as paper. Document Requests (Form 4251) initiated by CII. The CSRs must use request code S (CC ESTAB). This code must only be used by CSRs working in the Correspondence Imaging System (CII). This code indicates to Files and ICT that the request must be filled by scanning the document and sending an image through CII instead of sending a hardcopy to the requestor. When document request code S is used, CII Scan Request will print below the DLN on Form 4251.
(5)
Additionally, document request code "X"(CC ESTAB) has been established for Non-CII users who need a hardcopy or actual print of a TC 29X adjustment document relating to a CII case. This request code must only be used when an actual print or hardcopy of the image is needed. When document request code "X" is used, CII Print Request will print below the DLN on Form 4251.
Files and ICT will use the Form 4251 to determine whether the document is to be scanned or routed as paper. Scan the document if the form shows CII Scan Request (under the DLN). If the form does not state CII Scan Request, route the document as paper.
APPENDIX C - DOCUMENT TYPES, CATEGORY CODES, PRIORITY CODES BMF INTERNATIONAL (BI)
(1)
The Document Types, sorting requirements, Category Codes, and Priority Codes (if any) for BMF International are provided in the tables below.
If hurricane Harvey, Irma or Maria is claimed on any document type use category code KATX and Function-Program Code 710-82365. For any other disaster claim, use category code DSTR and function-program code 710-82360. Both category codes are Priority Code 1 and are valid for all document types except: Faxes, ITIN and Special Processing. These Category Codes are not valid with any of the ID Theft doc types.
Scan all CHRGOUT223 (CP223) using the default category code IDPA and Program Code 33080, regardless of any notation on the return.
Category code ERRF has been added as a valid code for all document types. Sites will provide guidance about when to use these codes.
If any type of work is specialized to a site and/or team, sort this work by Document Type, category code, and program code. Write the appropriate CSR number on the Batch Cover Sheet, and enter it at batch creation.
If a document type consists of multiple MFTs, and are not sorted or batched by MFT, the ICT Validation Clerk must enter the appropriate MFT during validation. MFT 00 is valid with any doc type.
In general, ICT does not need to enter the CSR number when scanning CSR initiated letter replies. If a document needs to be assigned to a specific CSR, write the CSR number on the first page of the document and enter it at batch creation or validation.
There are several document types that are valid with MFT 51 and 52. However, ICT must not scan taxpayer correspondence pertaining to Form 706 (MFT 52) or Form 709 (MFT 51). This is now Compliance work, route documents to Cincinnati Compliance. Refer to your local routing guide to obtain the appropriate stop number.
PROGRAM CODE: 710-40005
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
BMF Generic | TPRQ | Only use when the ICT clerks are unable to determine the doc type on BMF International correspondence |
PROGRAM CODE: 700-60200
Sorting Requirements/ | Category Code/MFT | Description |
---|---|---|
Form 4442 | TWRO | Form 4442, Inquiry Referral, requires a separate sort due to the case priority. Write the CSR number on top of the form if present in Box 27 of Form 4442. |
PROGRAM CODE: 700-60200
Sorting Requirements/ | Category Code/MFT | Description |
---|---|---|
Form 4442 | TWRO | Form 4442, Inquiry Referral, requires a separate sort due to the case priority. Write the CSR number on top of the form if present in Box 27 of Form 4442. Reminder: Do not mix MFTs unless it’s the 94X series. |
PROGRAM CODE: 710-33030, 710-33081
Form 941, Form 94X, Form 1041, Form 1065, Form 8804, Form 8805, Form 940, Form 943, Form 1042, Form 8278, Form 944, Form 8752, Form 945, Form 8288, Form 3520-A
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
94X - Correspondence | IXRT | Program Code - 710-33081
Reminder: Do not mix MFTs unless it’s the 94X series. |
Correspondence | ITRQ and IPYT / |
Reminder: Do not mix MFTs unless it’s the 94X series. |
Civil Penalty | ITRQ | Any correspondence requesting a response to a Civil Penalty |
Form 843 requesting abatement of interest - identified by the CSR screening process | F843 | Form 843 requesting abatement of interest - identified by the CSR screening process |
PROGRAM CODE: 710 - 33030
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Correspondence | ITRQ and IPYT |
|
Letters 5532C and 5533C | BMFINTL | Letters 5532C and 5533C scan to the International Ogden Team |
Form 843 | F843 | Form 843 requesting abatement of interest - identified by the CSR screening process |
PROGRAM CODE: 710-33031
Form 941, Form 1041, Form 1065, Form 8804, Form 8805, Form 940, Form 943, Form 1042, Form 8278, Form 944, Form 8752, Form 945, Form 8288
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Correspondence | IOTH and IPYT |
Reminder: Do not mix MFT’s unless it’s the 94X series. |
Civil Penalty | ITRQ | Any correspondence requesting a response to a Civil Penalty |
Form 843 | F843 | Form 843 with request for interest abatement |
PROGRAM CODE: 710–33031
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Correspondence | IOTH and IPYT |
|
Correspondence | F843 | Form 843 requesting abatement of interest - identified by the CSR screening process |
PROGRAM CODE: 710–33081
Form 941, Form 1041, Form 1065, Form 8804, Form 8805, Form 940, Form 943, Form 1042, Form 8278, Form 944, Form 8752, Form 945, Form 8288
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Form 94X | IXRT |
Reminder: Do not mix MFTs unless it’s the 94X series. |
CP 190with DLN numbered documents | I190 | Requires a separate sort due to DLN numbered documents attached and different Category Code. Place CP 190 charge out on top of the numbered document. Reminder: Do not mix MFTs unless it’s the 94X series. |
CP190 without DLN numbered documents | I190 | Requires a separate sort when CP 190 charge out comes from Files without DLN numbered documents attached. If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy. |
CP 93 | IDPF | Requires a separate sort due to DLN numbered documents attached and different Category Code. Place CP notice charge out on top of the numbered document. |
CP 193 | IDPF | Requires a separate sort when CP notice charge out comes from Files without DLN numbered documents attached. If a duplicate copy is attached, only doc prep the one with the Files annotation on it. Destroy the second copy. |
PROGRAM CODE: 710–33084
Form 941, Form 1041, Form 1065, Form 8804, Form 8805, Form 940, Form 943, Form 1042, Form 8278, Form 944, Form 8752, Form 945, Form 8288
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP 190, | ITLR | Requires a separate sort due to DLN numbered documents attached and different Category Code. Place CP notice charge out on top of the numbered document. Reminder: Do not mix MFTs unless it’s the 94X series. |
CP 190 | ITLR |
|
PROGRAM CODE: 710–33081
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP190 | I190 |
|
CP190 | I190 |
|
CP193 | IDPF |
|
CP193 | IDPF |
|
PROGRAM CODE: 710–33084
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP190 | ITLR |
|
CP190 | ITLR |
|
PROGRAM CODE: 710–33030
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP223 | IDPA |
Place CP223 charge out on top of the numbered document |
CP223 | MFT: 13, 42, 55, 68 |
|
PROGRAM CODE: 710–33030
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP234with DLN numbered documents | I234 |
|
CP234 without DLN numbered document | I234 |
|
PROGRAM CODE: 710–33030
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP 234with DLN numbered documents | I234 |
|
CP 234 without DLN numbered document | I234 |
|
PROGRAM CODE: 710–33030
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP234 with DLN numbered documents | I234 |
|
CP 234 without DLN numbered document | I234 |
|
PROGRAM CODE: 710–33030
Form 941, Form 940, Form 943, Form 1042, Form 944, Form 945
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP194 | IDPA | CP194 – Potential Federal Tax Deposit Penalty. These documents will come to ICT with DLN numbered returns attached. If a duplicate copy is attached, only doc prep one. Destroy the second copy. Reminder: Do not mix MFTs unless it’s the 94X series. |
CP194 | IDPA |
|
PROGRAM CODEe: 710-33081
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Form 1120X | IXRT |
|
PROGRAM CODE: 710–33033
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
OECD | OECD, P810 | OECD – Exchange of information Form -1042S sharing |
PROGRAM CODE: 710–33039
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Civil Penalty 660/Form 3520A | ISPJ | Taxpayer response to assessment of civil penalty on Form 3520A. Reminder: Do not mix MFTs unless it’s the 94X series. |
Electronic CP notices | I190 |
|
PROGRAM CODE: 710–33032
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Visa | IETP |
|
PROGRAM CODE: 710–33030
Form 941, Form 1041, Form 1065, Form 8804, Form 8805, Form 940, Form 943, Form 1042, Form 8278, Form 944, Form 8752, Form 945, Form 8288
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Operations Assistance Request | ATAO |
Reminder: Do not mix MFTs unless it’s the 94X series. |
Operations Assistance Request |
| Same as above |
PROGRAM CODE: 710–33030
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Operations Assistance Request | ATAO |
|
Operations Assistance Request | ATAO | Same as above |
PROGRAM CODE:: 710–33030
Form 941, Form 1041, Form 1065, Form 8804, Form 8805, Form 940, Form 943, Form 1042, Form 8278, Form 944, Form 8752, Form 945, Form 8288, Form 3520-A
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP198 | IIRQ |
Reminder: Do not mix MFTs unless it’s the 94X series. |
CP198 | IIRQ |
|
Unpostable cases with DLN numbered documents | NLUN | Unpostable cases where the transactions did not post to Master File (MF) Requires a separate sort due to DLN numbered documents attached. |
Unpostable cases without DLN numbered documents | NLUN | Unpostable cases where the transactions did not post to Master File (MF) Requires a separate sort when documents are received without DLN numbered document. |
PROGRAM CODE: 710–33031
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
CP198 | IIRQ |
|
CP198 | IIRQ |
|
Unpostables cases with DLN numbered documents | NLUN | Unpostable cases where the transactions did not post to Master File (MF) Requires a separate sort due to DLN numbered documents attached. |
Unpostables cases without DLN numbered documents | NLUN | Unpostable cases where the transactions did not post to Master File (MF) Requires a separate sort when documents are received without DLN numbered document. |
(2)
Note: The document request code used when ordering documents (CC ESTAB) will determine whether the documents need to be doc prepped and scanned, or routed to the appropriate area as paper. Document Requests (Form 4251) initiated by CII. The CSRs must use request code S (CC ESTAB). This code must only be used by CSRs working in the Correspondence Imaging System (CII). This code indicates to Files and ICT that the request must be filled by scanning the document and sending an image through CII instead of sending a hardcopy to the requestor. When document request code S is used, “CII Scan Request” will print below the DLN on Form 4251.
(3)
Additionally, document request code “X” (CC ESTAB) has been established for Non-CII users who need a hardcopy or actual print of a TC 29X adjustment document relating to a CII case. This request code must only be used when an actual print or hardcopy of the image is needed.
When document request code X is used, “CII Print Request” will print below the DLN on Form 4251. Files and ICT will use the Form 4251 to determine whether the document is to be scanned or routed as paper. Scan the document if the form shows “CII Scan Request” (under the DLN). If the form does not state “CII Scan Request,” route the document as paper.
Doc Type | Program Code | Category Codes |
---|---|---|
Correspondence | 33030 | TETR |
Correspondence - 1120/706/709 | 33030 | TETR |
Correspondence Spanish | 33031 | TETR |
Correspondence Spanish 1120/706/709 | 33031 | TETR |
Duplicate Filing | 33081 | TETR |
Duplicate Filing - 1120/706/709 | 33081 | TETR |
Duplicate Filing Spanish | 33084 | TETR |
Duplicate Filing 1120/706/709 Spanish | 33084 | TETR |
1120X | 33081 | TETR |
OAR | 33030 | TETR |
OAR 1120/706/709 | 33030 | TETR |
APPENDIX D - DOCUMENT TYPES, CATEGORY CODES, BMF
(1)
The Document Types, sorting requirements, Category Codes, and Priority Codes (if any) for BMF are provided in the tables below.
If hurricane Harvey, Irma or Maria is claimed on any document type use category code KATX and Function-Program Code 710-82365. For any other disaster claim, use category code DSTR and function-program code 710-82360. Both category codes are Priority Code 1 and are valid for all document types except: Faxes, ITIN and Special Processing. These Category Codes are not valid with any of the ID Theft doc types.
Category Codes PHZ1 (710-10006) and PHZ2 (710-10004) must be used with the first 7 Document types – Correspondence-Form xxx as well as Civil Penalty. Category codes: SPC1, SPC2, SPC3, SPC4, and ERRF are valid options for all of the document types. Category code TETR is valid with certain doc types. The last page of this Appendix provides the valid doc type/program code combination. Sites will provide guidance about when to use any of these codes.
If any type of work is specialized to a site and/or team, sort this work by Document Type, category code, and program code. Write the appropriate CSR number on the Batch Cover Sheet and enter it at batch creation.
There are several document types that are valid with MFT 51 and 52. However, ICT must not scan taxpayer correspondence pertaining to Form 706 (MFT 52) or Form 709 (MFT 51). This is now Compliance work, route documents to Cincinnati Compliance. Refer to your local routing guide to obtain the appropriate stop number.
PROGRAM CODE: 710-10000
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
BMF Generic Correspondence | TPRQ | Only use when the ICT clerks are unable to determine the Doc Type on BMF correspondence |
PROGRAM CODE: Various
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Correspondence - 940 | TPRQ | Program Code: 710-10000
|
Form 8960 | TPRQ | Program Code: 710-10000 |
Correspondence - 940 | F843 | Program Code: 710-10000 |
Correspondence - 940 | SPAC | Program Code: 710-10007
|
PROGRAM CODE: Various
Form 941, Form 941C, Form 943, Form 944, Form 945
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Correspondence – 94X | TPRQ | Program Code: 710-10000
Reminder: Do not mix MFTs unless it’s the 94X series. |
Correspondence – 94X | F843 | Program Code: 710-10000 |
Correspondence – 94X | F8974 | Program Code: 710-10000 |
Correspondence – 94X | SPAC | Program Code: 710-10007 |
PROGRAM CODE: Various
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Correspondence – 1041 | TPRQ | Program Code: 710-10000
|
Form 8960 | TPRQ | Program Code: 710-10000 |
F843 | F843 | Program Code: 710-10000 |
SPAC | SPAC | Program Code: 710-10007
|
PROGRAM CODE: Various
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Correspondence – 1065 | TPRQ | Program Code: 710-10000
|
Correspondence – 1065 | SPAC | Program Code - 710-10007
|
PROGRAM CODE: Various
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Correspondence – 1120 | TPRQ | Program Code: 710-10000
|
Correspondence – 1120 | F843 | Program Code: 710-10000 |
Correspondence – 1120 | SPAC | Program Code: 710-10007
|
PROGRAM CODE: Various
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Correspondence – 8752 | TPRQ | Program Code: 710-10000
|
Correspondence – 8752 | SPAC | Program Code: 710-10007
|
PROGRAM CODE: Various
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Correspondence – 1066 | TPRQ | Program Code: 710-10000
|
Correspondence – 1066 | SPAC | Program Code: 710-10007
|
PROGRAM CODE: 710-10000
Form 941, Form 940, Form 943, Form 944, Form 945
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP207 Form – 94X | TPRQ | CP207, FTD Information Notice-Proposal FTD Penalty, generated for forms listed in this doc type. Reminder: Do not mix MFTs unless it’s the 94X series. |
PROGRAM CODE: 710-10000
Form 941, Form 940, Form 943, Form 944, Form 945
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP267 | TPRQ | CP267, Notice of Excess Credit generated for the forms listed in this doc type. Reminder: Do not mix MFTs unless it’s the 94X series. |
PROGRAM CODE: 710-10006
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP575A thru CP575L | PHZ1 | Employer Identification Number (EIN) Assignment Notices |
PROGRAM CODE: 710-10000
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP267 | TPRQ | CP267 generated for Form 1041 |
PROGRAM CODE: 710-10000
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP267 | TPRQ | CP267 generated for Form 1120. |
PROGRAM CODE: 710-10000
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP267 | TPRQ | CP267 generated for Form 1066 |
PROGRAM CODE: 710-10050
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP190with DLN numbered documents | CP190 | Requires a separate sort due to DLN numbered documents attached and different Category Code. Place CP charge out on top of the numbered document. |
CP190 without DLN numbered documents | CP190 | Requires a separate sort when CP190 charge out comes from Files without DLN numbered documents attached. |
CP193 | DUPF | Requires a separate sort due to DLN numbered documents attached and different Category Code. Place CP charge out on top of the numbered document. |
CP193 | DUPF | Requires a separate sort when CP193 charge out comes from Files without DLN numbered documents attached. |
CP293with DLN numbered documents | DAUD | Requires a separate sort due to DLN numbered documents attached and different Category Code. Place CP charge out on top of the numbered document. |
CP293 without DLN numbered documents | DAUD | Requires a separate sort when CP293 charge out comes from Files without DLN numbered documents attached. |
DUPF/Amended | BDUP | Requires a separate sort due to different category code |
PROGRAM CODE: 710-10050
Form 941, Form 943 , Form 944, Form 945
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP190with DLN numbered documents | CP190 |
Reminder: Do not mix MFTs unless it’s the 94X series. |
CP190 without DLN numbered documents | CP190 | Requires a separate sort when CP190 charge out comes from Files without DLN numbered documents attached. |
CP193 | DUPF |
|
CP193 | DUPF | Requires a separate sort when CP193 charge out comes from Files without DLN numbered documents attached. |
CP293with DLN numbered documents | DAUD |
|
CP293 without DLN numbered documents | DAUD | Requires a separate sort when CP293 charge out comes from Files without DLN numbered documents attached. |
DUPF/Amended | BDUP | Requires a separate sort due to different category code |
(2) If a second copy of a charge out is received, only the copy with the Files annotation must be doc prepped. Destroy the second copy of the charge out.
DOC TYPE: BMF Duplicate Filing - Form 1041PROGRAM CODE: 710-10050
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP190with DLN numbered documents | CP190 |
|
CP 190 without DLN numbered documents | CP190 | Requires a separate sort when CP190 charge out comes from Files without DLN numbered documents attached. |
CP193/CP170 with DLN numbered documents | DUPF |
|
CP193 | DUPF | Requires a separate sort when CP193 charge out comes from Files without DLN numbered documents attached. |
CP293with DLN numbered documents | DAUD |
|
CP293 without DLN numbered documents | DAUD | Requires a separate sort when CP293 charge out comes from Files without DLN numbered documents attached. |
DUPF/ Amended | BMFO | Requires a separate sort due to different category code. |
PROGRAM CODE: 710-10050
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP190 with DLN numbered documents | CP190 |
|
CP190 without DLN numbered documents | CP190 | Requires a separate sort when CP190 charge out comes from Files without DLN numbered documents attached. |
CP193/CP 170 with DLN numbered documents | DUPF |
|
CP193/CP 170 without DLN numbered documents | DUPF | Requires a separate sort when CP193 charge out comes from Files without DLN numbered documents attached. |
CP293 withDLN numbered documents | DAUD |
|
CP293 without DLN numbered documents | DAUD | Requires a separate sort when CP293 charge out comes from Files without DLN numbered documents attached. |
DUPF/ Amended | BMFO | Requires a separate sort due to different category code |
(3) If a second copy of a charge out is received, only the copy with the Files annotation must be doc prepped. Destroy the second copy of the charge out.
DOC TYPE: BMF Duplicate Filing- Form 1120PROGRAM CODE: 710-10050
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP190with DLN numbered documents | CP190 |
|
CP190 without DLN numbered documents | CP190 | Requires a separate sort when CP190 charge out comes from Files without DLN numbered documents attached. |
CP193 and | DUPF |
|
CP193 and | DUPF | Requires a separate sort when CP193 charge out comes from Files without DLN numbered documents attached. |
CP293with DLN numbered documents | DAUD |
|
CP293 without DLN numbered documents | DAUD | Requires a separate sort when CP293 charge out comes from Files without DLN numbered documents attached. |
DUPF/ Amended | BMFO | Requires a separate sort due to different category code |
PROGRAM CODE: 710-10050
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP190with DLN numbered documents | CP190 |
|
CP190 without DLN numbered documents | C190 | Requires a separate sort when CP190 charge out comes from Files without DLN numbered documents attached. |
CP193 and | DUPF |
|
CP193 and | DUPF | Requires a separate sort when CP193 charge out comes from Files without DLN numbered documents attached. |
CP293with DLN numbered documents | DAUD |
|
CP293 without DLN numbered documents | DAUD | Requires a separate sort when CP293 charge out comes from Files without DLN numbered documents attached. |
DUPF/ Amended | BMFO | Requires a separate sort due to different category code. |
(4) If a second copy of a charge out is received, only the copy with the Files annotation must be doc prepped. Destroy the second copy of the charge out.
DOC TYPE: BMF Duplicate Filing-Form 1066PROGRAM CODE: 710-10050
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP190with DLN numbered documents | CP190 |
|
CP190 without DLN numbered documents | CP190 | Requires a separate sort when CP190 charge out comes from Files without DLN numbered documents attached. |
CP193 and | DUPF |
|
CP193 and | DUPF | Requires a separate sort when CP193 charge out comes from Files without DLN numbered documents attached. |
CP293 with DLN numbered documents | DAUD |
|
CP293 without DLN numbered documents | DAUD | Requires a separate sort when CP293 charge out comes from Files without DLN numbered documents attached. |
DUPF/ Amended | BMFO | Requires a separate sort due to different category code. |
(5) If a second copy of a charge out is received, only the copy with the Files annotation must be doc prepped. Destroy the second copy of the charge out.
DOC TYPE: BMF Form 941CPROGRAM CODE: 710-10050
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Form 941C Alert: | 941-X |
Reminder: Do not mix MFTs unless it’s the 94X series. |
PROGRAM CODE: 710-10050
Sorting Requirements/Case Priority | Category Code/MFT | Description |
Form 941-X Alert: | 941X | If the employer claims both ERC and QSFL. |
Case Priority 1 | 941X | 941-X lines 18a and/or 26a (ERC) |
Case Priority 3 | 941X | 941-X lines 18b and/or 26b (QSFL). |
Case Priority 1 or 3 based on prior versions. | 941X |
|
PROGRAM CODE: 710-10050
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Form 941-X Alert: | 941-X |
|
Form 5884-C | SPC3 | Forms 5884-C |
Form 5884-D | SPC3 | Forms 5884-D |
PROGRAM CODE: 710-10050
Sorting Requirements/Case Priority | Category Code/MFT | Description |
Form 943-X Alert: Statute Year Returns | 943X | If the employer claims both ERC and QSFL. |
Case Priority 1 | 943X | 943-X lines 15a and/or 24a (ERC) |
Case Priority 3 | 943X | 943-X lines 15b and/or24b(QSFL). |
Case Priority 1 or 3 based on prior versions. | 943X | For prior versions of the form 943-X, if the taxpayer notates ERC or QSFL, scan as described above. |
PROGRAM CODE: 710-10050
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Form 943-X Alert: | 943-X |
|
Form 5884-C | SPC3 | Forms 5884-C |
Form 5884-D | SPC3 | Forms 5884-D |
PROGRAM CODE: 710-10050
Sorting Requirements/Case Priority | Category Code/MFT | Description |
Form 944-X Alert: Statute Year Returns | 944X | If the employer claims both ERC and QSFL. |
Case Priority 1 | 944X | 944-X lines 17a and/or 26a (ERC) |
Case Priority 3 | 944X | 944-X lines 17b and/or 26b (QSFL). |
Case Priority1 or 3 based on prior versions. | 944X |
|
PROGRAM CODE: 710-10050
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Form 944-X | 944-X |
|
Form 5884-C | SPC3 | Forms 5884-C |
Form 5884-D | SPC3 | Forms 5884-D |
PROGRAM CODE: 710-10050
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Form 945-X | 945-X |
|
PROGRAM CODE: 710-10050
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Form 1065-X | SPCO | The Form 1065-X will be marked “Microcaptive”. |
Form 1065-X | XRET | Form 1065-X, Amended Return or Administrative Adjustment Request (AAR)
|
PROGRAM CODE: 710-10050
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Form 1066-X | XRET | Form 1066-X, Amended Return or Administrative Adjustment Request (AAR), and Box H - Real Estate Mortgage Investment Conduit (REMIC) is checked.
|
PROGRAM CODE: 710-10050
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Form 1120X | SPCO | The Form 1120X will be marked “Microcaptive.” |
Form 1120X: | XRET |
|
PROGRAM CODE: 710-10000
Sorting Requirements/Case Priority | Category Code/MFT/Priority Code | Description |
---|---|---|
Loose Form 1041-T | IRRQ | Loose Form 1041-T |
PROGRAM CODE: 710-10000
| Category Code/MFT/Priority Code | Description |
---|---|---|
Domestic cases other than 94X-X (Amended Returns) | IRRQ | These cases can be identified by "CCP Philadelphia" listed on the EEFAX Cover Sheet, with the specific doc type in the subject line and body of the email/EEFAX. Upload the documents to Ephesoft per the IRM 3.13.6.9 |
Domestic 94X-X cases (Amended Returns) | IRRQ | These cases can be identified by "CCP Philadelphia" listed on the EEFAX Cover Sheet, with the specific doc type in the subject line and body of the email/EEFAX. Upload the documents to Ephesoft per the IRM 3.13.6.9 |
PROGRAM CODE: 710-10000
FORM 941, Form 1041, Form 1065, Form 1066, Form CT-1, Form 940, Form 943, Form 1042, Form 944, Form 8752, Form 945
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP198, | IRRQ |
Reminder: Do not mix MFTs unless it’s the 94X series. |
CP198 | IRRQ |
|
Miscellaneous Transcripts | IRRQ |
|
CP195 charge out with DLN numbered documents | OTHE | Requires a separate sort due to different category code. Requires a separate sort due to DLN numbered document attached and different category code. Reminder: Do not mix MFTs unless it’s the 94X series. |
CP195 charge out without DLN numbered documents. | OTHE | Requires a separate sort due to different category code. Requires a separate sort when CP195 charge out comes from files without DLN numbered documents attached. Reminder: Do not mix MFTs unless it’s the 94X series. |
Unpostables cases with DLN numbered documents. | NLUN | Requires a separate sort due to DLN numbered documents attached and different category code. Examples include: Form 4251; Form 3465, GUF-transcripts. Reminder: Do not mix MFTs unless it’s the 94X series. |
Unpostables cases without DLN numbered documents. | NLUN | Requires a separate sort due to DLN numbered documents attached and different category code. Examples include: Form 4251; Form 3465, GUF-transcripts Reminder: Do not mix MFTs unless it’s the 94X series. |
Any incoming case designated with a specific CSR number with DLN numbered documents | TPRQ | Requires a separate sort due to DLN numbered documents attached. Includes cases from ERS, Code & Edit, or any other case with a DLN numbered document attached designated with a specific CSR number. Reminder: Do not mix MFTs unless it’s the 94X series. |
Any incoming case designated with a specific CSR number without DLN numbered documents | TPRQ |
|
ACA related |
| Program Code 710-10310 - ACA related Reminder: Do not mix MFTs unless it’s the 94X series. |
PROGRAM CODE: 710-10000
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Form 2439 | IRRQ | If Form 2439 (regardless of which copy (A or B)) is marked as nominee:
|
CP98 | IRRQ |
|
CP98 | IRRQ |
|
Miscellaneous Transcripts | IRRQ |
|
CP195 charge out with DLN numbered documents | OTHE |
|
CP195 charge out without DLN numbered documents. | OTHE |
|
Unpostables cases with DLN numbered documents. | NLUN | Requires a separate sort due to DLN numbered documents attached and different category code. Example: Form 4251; Form 3465, GUF-transcripts. |
Unpostables cases without DLN numbered documents. | NLUN | Requires a separate sort due to DLN numbered documents attached and different category code. Example: Form 4251; Form 3465, GUF-transcripts. |
Any incoming case designated with a specific CSR number with DLN numbered documents | TPRQ | Requires a separate sort due to DLN numbered documents attached. Includes cases from ERS, Code & Edit, or any other case with a DLN numbered document attached designated with a specific CSR number. |
Any incoming case designated with a specific CSR number without DLN numbered documents | TPRQ |
|
PROGRAM CODE: 710-10000
FORM: 941, Form 1041, Form 1065, Form 1066, Form 940, Form 943, Form 944, Form 945, Form 8752
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
OARS Operations Assistance Request If marked "expedite" (indication will be near box 4 of the form) | ATAO |
Reminder: Do not mix MFTs unless it’s the 94X series. |
Operations Assistance Request If not marked "expedite" | ATAO | Same as above |
PROGRAM CODE: 710-10000
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
OARS Operations Assistance Request If marked "expedite" (indication will be near box 4 of the form) | ATAO |
|
Operations Assistance Request If not marked "expedite" | ATAO | Same as above |
PROGRAM CODE: 710-01011
FORM: 941, Form 1041, Form 1065, Form 1066, Form 940, Form 943, Form 944, Form 8752, Form 945, Form 1120
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Penalty Appeals | SPC2 | Includes replies to Letter 852C and Letter 854C. Reminder: Do not mix MFTs unless it’s the 94X series. |
Penalty Appeals | SPC2, SPC1 SPC3, SPC4, TETR, ERRF | Program Code - 710 - 01011 |
PROGRAM CODE: 710-01014
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
MISC - CP174 | CP174 |
|
MISC - CP174 | CP174 |
|
PROGRAM CODE: 710-10310
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Correspondence related to 45R | ACA1 | Correspondence related to 45R. Example: Letter with Form 8941 attached. |
PROGRAM CODE: 710-15420
FORM 941, Form 1041, Form 943, Form 944, Form 945
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
MISC - CP175with DLN numbered documents | CP175 |
Reminder: Do not mix MFTs unless it’s the 94X series. |
MISC - CP175 | CP175 |
|
PROGRAM CODE: 710-15420
FORM 941, Form 943, Form 944, Form 945, Form CT-1
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
MISC - CP194 | CP194 |
Reminder: Do not mix MFTs unless it’s the 94X series. |
MISC - CP194 | CP194 |
|
PROGRAM CODE: 710-15420
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
MISC - CP234with DLN numbered document | CP234 |
|
MISC - CP234 without DLN numbered document | CP234 |
|
PROGRAM CODE: 710-15420
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
MISC -CP234with DLN numbered document | CP234 |
|
MISC - CP234 without DLN numbered document | CP234 |
|
PROGRAM CODE: 710-10000
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
BMF Civil Penalty | TPRQ | Correspondence pertaining to civil penalty |
(6) DOC TYPE: BMF ACA Correspondence
PROGRAM CODE: 710-10310
FORM 941, Form 1041, Form 943, Form 944, Form 945, Form 1065
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
BMF ACA Correspondence | ACAC | Correspondence related to Affordable Care Act (ACA) Reminder: Do not mix MFTs unless it’s the 94X series. |
PROGRAM CODE: 710-10310
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
BMF ACA Correspondence 4980H | ACA | Correspondence related to 4980H (AM impact not yet determined). |
PROGRAM CODE: 710-10310
FORM 1041, Form 1065
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
BMF ACA Correspondence 45R | ACA1 | Correspondence related to 45R. Example: Letter with Form 8941 attached. |
PROGRAM CODE: 710-10310
FORM 1041, Form 1065
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
BMF ACA Correspondence 45R | ACA1 | Correspondence related to 45R. Example: Letter with Form 8941 attached. |
PROGRAM CODE: 710-60210
FORM 941, Form 1041, Form 943, Form 944, Form 945, Form 1065
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
BMF ACA 4442 | TWRA | Form 4442 related to ACA Reminder: Do not mix MFTs unless it’s the 94X series. |
PROGRAM CODE: 710-10320
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
BMF ACA F-1120X | ACAX | Form 1120X with ACA criteria. Example: Form 1120X with Form 8941 attached. |
PROGRAM CODE: 710-10320
FORM 941, Form 1041, Form 943, Form 944, Form 945, Form 1065
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
BMF ACA Amended | ACAX | Amended return with ACA criteria. Example: Amended Form 1041 with Form 8941 attached. Reminder: Do not mix MFTs unless it’s the 94X series. |
PROGRAM CODE: 710- 10310
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
BMF ACA-Correspondence -1120 | ACA1 | Correspondence related to 45R. Example: Letter with Form 8941 attached. |
PROGRAM CODE: 700-60200
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Form 4442 | TWRO |
|
Doc Type | Program Code | Category Codes |
---|---|---|
Correspondence - 1041 | 10000 | TETR |
Correspondence - 1120 | 10000 | TETR |
Duplicate Filing - Form 1041 | 10050 | TETR |
Duplicate Filing - Form 1120 | 10050 | TETR |
Form- 1120X | 10050 | TETR |
Internal Requests | 10000 | TETR |
Operations Assistance Request | 10000 | TETR |
OARs-1120 | 10000 | TETR |
Penalty Appeals | 10000 | TETR |
Penalty Appeals - 1120 | 10000 | TETR |
No Merge | 10000 | TETR |
No Merge 1120 | 10000 | TETR |
(7) Files needs to send the physical document request to the originating CSR request, not to ICT, and then forward to the CSR.
Note: The document request code used when ordering documents (CC ESTAB) will determine whether the documents need to be doc prepped and scanned or routed to the appropriate area as paper. Document Requests (Form 4251) initiated by CII. The CSRs must use request code "S" (CC ESTAB). This code must only be used by CSRs working in the Correspondence Imaging System (CII).
This code indicates to Files and ICT that the request must be filled by scanning the document and sending an image through CII instead of sending a hardcopy to the requestor. When document request code "S" is used, CII Scan Request will print below the DLN on Form 4251.
Additionally, document request code "X" (CC ESTAB) has been established for Non-CII users who need a hardcopy or actual print of a TC 29X adjustment document relating to a CII case. This request code must only be used when an actual print or hardcopy of the image is needed
When document request code "X" is used, CII Print Request will print below the DLN on Form 4251. Files and ICT will use the Form 4251 to determine whether the document is to be scanned or routed as paper. Scan the document if the form shows CII Scan Request (under the DLN). If the form does not state CII Scan Request, route the document as paper.
(8)
Note: If TP includes one of the following letters: 216C, 449C, 662C, 2364C, or 4734C, with BMF Carryback form or loose, process as a carryback. Write the CSR number from the letter on the top of each form and place the letter in the back. For Ogden - BMF Carrybacks are assigned CSR 0442104608.
APPENDIX E - DOCUMENT TYPES, CATEGORY CODES, PRIORITY CODES EXEMPT ORGANIZATION (EO) OGDEN
(1)
The Document Types, sorting requirements, Category Codes, and Priority Codes (if any) for EO are provided in the tables below.
If hurricane Harvey, Irma or Maria is claimed on any document type use category code KATX and Function-Program Code 710-82365. For any other disaster claim, use category code DSTR and function-program code 710-82360. Both category codes are Priority Code 1 and are valid for all document types except: Faxes, ITIN and Special Processing. These Category Codes are not valid with any of the ID Theft doc types.
Category codes, SPC1, SPC2, SPC3, SPC1 and ERRF are valid codes with any Document Type. Category code TETR is valid with all document types that include Form 990T, MFT 34 except Internal Transcripts. Category code EDUP (710-13103) is valid with the following document types: EO Duplicate Filing and EO Amended Form(s) 990, 990C, 990PF, 990T, 1041A, 5227 and EO Duplicate Filing and EO Amended 1120POL, 1120C.
Category code ERRF has been added as a valid code for all document types. Sites will provide guidance about when to use these codes.
If any type of work is specialized to a site and/or team, sort this work by Document Type, category code, and program code. Write the appropriate CSR number on the Batch Cover Sheet, and enter it at batch creation.
PROGRAM CODE: 700-60200
Sorting Requirements/ | Category | Description |
---|---|---|
Form 4442 | TWRO |
|
PROGRAM CODE: 700-60200
Sorting Requirements/ | Category Code/MFT | Description |
---|---|---|
Form 4442 | TWRO |
|
PROGRAM CODE: 710-10310
Sorting Requirements/ | Category Code/MFT | Description |
---|---|---|
Correspondence related to 45R | ACA1 | Correspondence related to 45R. Example: Letter with Form 8941 attached. |
PROGRAM CODE: 710-10320
Sorting Requirements/ | Category | Description |
---|---|---|
Amended return with ACA criteria | ACAX | Amended return with ACA criteria. Example: Amended Form 990-T with Form 8941 attached. |
PROGRAM CODE: 710-13100
FORM 990- 67, Form 990C, Form 990PF, Form 990T, Form 1041A, Form 4720, Form 5227
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Correspondence | EXOR |
|
Form 843 | F843 | Form 843 requesting abatement of interest - identified by the CSR screening process |
PROGRAM CODE: 710-13100
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Correspondence | EXOR |
|
Form 843 | F843 | Form 843 requesting abatement of interest - identified by the CSR screening process |
PROGRAM CODE: 710-13105
FORM 990- 67, Form 990C, Form 990PF, Form 990T, Form 1041A, Form 4720, Form 5227
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Correspondence | EXOR |
|
Form 843 | F843 | Form 843 requesting abatement of interest - identified by the CSR screening process |
PROGRAM CODE: 710-13200
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Form 8038 | OTHE | Unnumbered Form 8038, check to ensure amended return box is not checked. |
Tax Exempt Bonds (TEB) First Read | TBFR | Correspondence referencing Form 8038 identified through CSR/TE sort. |
PROGRAM CODE: 710-13100
FORM 990C, Form 990PF, Form 990T, Form 1041A
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP234with DLN numbered document | CP234 |
|
CP234 without DLN numbered document | CP234 |
|
PROGRAM CODE: 710-13100
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP234with DLN numbered document | CP234 |
|
CP234 without DLN numbered document | CP234 |
|
PROGRAM CODE: 710-13103
FORM 990, Form 990C, Form 990PF, Form 990T, Form 1041A, Form 4720, Form 5227
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP190 charge out with DLN numbered documents | CP190 |
|
CP190 charge out without DLN unnumbered documents | CP190 | Requires a separate sort when CP190 charge out comes from Files without DLN numbered documents attached. |
CP193 charge out with DLN numbered documents | EDUP |
|
CP193 charge out without DLN numbered documents | EDUP | Requires a separate sort when CP 193 charge out comes from Files without DLN numbered documents attached. |
CP293 charge out with DLN numbered documents | DAUD |
|
CP293 charge out without DLN numbered documents | DAUD | Requires a separate sort when CP293 charge out comes from Files without DLN numbered documents attached. |
PROGRAM CODE: 710-13103
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP190charge out with DLN numbered documents | CP190 |
|
CP190 charge out without DLN numbered documents | CP190 | Requires a separate sort when CP190 charge out comes from Files without DLN numbered documents attached. |
CP193 charge out with DLN numbered documents | EDUP |
|
CP193 charge out without DLN numbered documents | EDUP | Requires a separate sort when CP193 charge out comes from Files without DLN numbered documents attached. |
CP293 charge out with DLN numbered documents | DAUD |
|
CP293 charge out without DLN numbered documents | DAUD | Requires a separate sort when CP293 charge out comes from Files without DLN numbered documents attached. |
PROGRAM CODE: 710-13203
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP190 | TDUP |
|
CP190 | TDUP | Requires a separate sort when CP190 charge out comes from Files without DLN numbered documents attached. MFT 84 Requires a 3 digit plan number. |
PROGRAM CODE: 710-13103
Form 990, Form 990C, Form 990PF, Form 990T, Form 1041A, Form 4720, Form 5227
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Amended | EDUP /DUPF |
|
PROGRAM CODE: 710-13103
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Amended | EDUP |
|
PROGRAM CODE: 710-13100
Form 990, Form 990C, Form 990PF, Form 990T, Form 1041A, Form 4720, Form 5227
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Operations Assistance Request (One sort) If marked "expedite" (indication will be near box 4 of the form) | ATAO |
|
Operations Assistance Request (One sort) If not marked "expedite" | ATAO | Same as above. |
PROGRAM CODE: 710 - 13100
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Operations Assistance Request (One sort) If marked "expedite" (indication will be near box 4 of the form) | ATAO |
|
Operations Assistance Request (One sort) If not marked "expedite" Priority 2 | ATAO | Same as above. |
PROGRAM CODE: 710-13102 (RINT)
PROGRAM CODE: 710-13106 (TENT)
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Restricted Interest Carrybacks (Amended) | RINT |
|
Restricted Interest Carrybacks (Amended) | RINT | See above. |
Restricted Interest Carrybacks (Amended) | RINT | See above. |
Restricted Interest Carrybacks (Amended Form 990C | RINT | See above. |
Tentative Carrybacks | TENT | See above. |
Tentative Carrybacks | TENT | See above. |
Tentative Carrybacks | TENT | See above. |
Tentative Carrybacks | TENT | See above. |
PROGRAM CODE: 710-13102 (RINT)
PROGRAM CODE: 710-13106 (TENT)
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Restricted Interest Carrybacks (Amended) | RINT |
|
Restricted Interest Carrybacks (Amended) Form 1120POL Form 1120C) | RINT | See above. |
Restricted Interest Carrybacks (Amended) Form 1120POL | RINT | See above. |
Restricted Interest Carrybacks (Amended) Form 1120POL | RINT | See above. |
Tentative Carrybacks | TENT | See above. |
Tentative Carrybacks | TENT | See above. |
Tentative Carrybacks | TENT | See above. |
Tentative Carrybacks | TENT | See above. |
PROGRAM CODE: 710-13101
FormORM 990, Form 990C, Form 990PF, Form 990T, Form 1041A, Form 4720, Form 5227
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Quick Closures | EXOR | Includes correspondence that has been presorted by a CSR. (e.g., address changes). |
PROGRAM CODE: 710-13101
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Quick Closures | EXOR | Includes correspondence that has been presorted by a CSR. (e.g., address changes). |
PROGRAM CODE: 710-13103
Form 990, Form 990C, Form 990PF, Form 990T, Form 1041A, Form 4720, Form 5227
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP190 charge out with DLN numbered documents | CP190 |
|
CP190 charge out without DLN unnumbered documents | CP190 |
|
CP193 charge out with DLN numbered documents | DUPF |
|
CP193 charge out without DLN numbered documents | DUPF |
|
CP293 charge out with DLN numbered documents | DAUD |
|
CP293 charge out without DLN numbered documents | DAUD |
|
PROGRAM CODE: 710-13103
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP190charge out with DLN numbered documents | C190 |
|
CP190 charge out without DLN numbered documents | C190 |
|
CP193 charge out with DLN numbered documents | DUPF |
|
CP193 charge out without DLN numbered documents | DUPF |
|
CP293 charge out with DLN numbered documents | DAUD |
|
CP293 charge out without DLN numbered documents | DAUD |
|
PROGRAM CODE: 710-13105
FORM 990, Form 990C, Form 990PF, Form 990T, Form 1041A , Form 4720, Form 5227
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP161 and CP141 Penalty Appeals | EOCP | CP161 – EO Penalty Appeals. |
PROGRAM CODE: 710-13105
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP161 and | EOCP | CP161 – EO Penalty Appeals. Will require CSR/TE presort to identify cases. |
PROGRAM CODE: 710-13108
Form 990, Form 990C, Form 990PF, Form 990T, Form 1041A, Form 4720, Form 5227
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
EO Penalty Appeals | SPC2 | EO Penalty Appeals Correspondence. Will require CSR/TE presort to identify cases. |
PROGRAM CODE: 710-13108
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
EO Penalty Appeals | SPC2 | EO Penalty Appeals Correspondence. Will require CSR/TE presort to identify cases. |
PROGRAM CODE: 710-13201
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Credit Debit Listing | AM31 |
|
PROGRAM CODE: 710-13202
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
AM Transcripts | AM03 |
|
PROGRAM CODE: 710-13203
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Amended Bonds – numbered returns | TDUP | EO Amended BONDS – Duplicate Filed Returns CP 190/193. The sort for this document type includes the following forms: 8038, 8038-G, 8038-GC, and 8328. |
PROGRAM CODE: 710-13203
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
EO Amended Bonds – unnumbered returns | TDUP | EO unnumbered Amended BONDS. The sort for this document type includes the following forms: 8038, 8038-G, 8038-GC, and 8328. |
PROGRAM CODE: 710-13204
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
TEB Claims – Tax Exempt Bond Form 8038 -T refund claims | TBCL | Refund on Form 8038-T with one sort identified by CSR/TE sort. |
PROGRAM CODE: 710-13109
Form 990, Form 990C, Form 990PF, Form 990T, Form 1041A, Form 4720, Form 5227
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
EO Amended Bonds – numbered returns | EOCU | Work generated from Exam EO Compliance Unit. |
PROGRAM CODE: 710-13100
Form 990, Form 990C, Form 990PF, Form 990T, Form 1041A, Form 4720, Form 5227, Form 8703, Form 8038
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Form 4251with DLN numbered documents | EOIR |
|
Form 4251without DLN numbered document | EOIR |
|
Miscellaneous Forms with a numbered document | EOIR | Requires a separate sort due to DLN numbered documents attached. Form 3465, miscellaneous documents, cases from ERS, Code & Edit or any other non-categorized, non-taxpayer initiated documents or any other case with a DLN numbered document attached. |
Miscellaneous forms without a numbered document | EOIR |
|
CP195 charge out with DLN numbered documents | OTHE |
|
CP195charge out without DLN numbered documents. | OTHE |
|
PROGRAM CODE: 710-13100
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Form 4251 with DLN numbered documents | EOIR |
|
Form 4251without DLN numbered document | EOIR |
|
Miscellaneous forms with a numbered document | EOIR |
|
Miscellaneous forms without a numbered document | EOIR |
|
CP195 charge out with DLN numbered documents | OTHE |
|
CP195 charge out without DLN numbered documents. | OTHE |
|
(2)
Note: The document request code used when ordering documents (CC ESTAB) will determine whether the documents need to be doc prepped and scanned or routed to the appropriate area as paper. Document Requests (Form 4251) initiated by CII CSRs must use request code "S" (CC ESTAB). This code must only be used by CSRs working in the Correspondence Imaging System (CII). This code indicates to Files and ICT that the request must be filled by scanning the document and sending an image through CII instead of sending a hardcopy to the requestor. When document request code "S" is used, CII Scan Request will print below the DLN on Form 4251
(3)
Additionally, document request code "X" (CC ESTAB) has been established for Non-CII users who need a hardcopy or actual print of a TC 29X adjustment document relating to a CII case. This request code must only be used when an actual print or hardcopy of the image is needed.
Exception: If Form 4251 and associated documents are received from the Files function for AM Dept(s) identified as not working CII (i.e., TPR), forward to the correct AM Dept. as a paper document versus returning to the Files.
APPENDIX F - DOCUMENT TYPES, CATEGORY CODES, PRIORITY CODES EMPLOYEE PLAN (EP) OGDEN
(1)
The Document Types, sorting requirements, Category Codes, and Priority Codes (if any) for EP are provided in the tables below.
Category codes, SPC1, SPC2, SPC3, SPC4, and ERRF will be valid for all document types. Sites will provide guidance about when to use codes.
If any type of work is specialized to a site and/or team, sort this work by Document Type, category code, and program code. Write the appropriate CSR number on the Batch Cover Sheet and enter it at batch creation.
If hurricane Harvey, Irma or Maria is claimed on any document type use category code KATX and Function-Program Code 710-82365. For any other disaster claim, use category code DSTR and function-program code 710-82360. Both category codes are Priority Code 1 and are valid for all document types except: Faxes, ITIN and Special Processing. These Category Codes are not valid with any of the ID Theft doc types.
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Form 4442 | TWRO |
|
PROGRAM CODE: 710–72801
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Correspondence | SPC1 |
|
Form 843 requesting abatement of interest - identified by the CSR screening process | F843 | Form 843 requesting abatement of interest - identified by the CSR screening process. |
PROGRAM CODE: 710-72860
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Correspondence | EPTP |
|
PROGRAM CODE: 710-72800
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Quick Closures Correspondence | EPIR | Presort correspondence identified as quick closures. |
PROGRAM CODE: 710-72865
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
CP190with DLN numbered documents | C190/EPDP |
|
CP190 without DLN numbered documents | C190/EPDP |
|
CP193 DLN with numbered documents | DUPF/EPDP |
|
CP193,without DLN numbered documents | DUPF/EPDP |
|
PROGRAM CODE: 710-72865
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Amended - Form 5330 (One sort) | EPDP DUPF |
|
PROGRAM CODE: 710-72800/72801
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Operations Assistance Request If marked "expedite" (indication will be near box 4 of the form) | ATAO |
|
Operations Assistance Request If not marked "expedite" | ATAO | Same as above. |
PROGRAM CODE: 710-72864
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
5330 Transcripts | AM04 | Form 5330 AMRHTranscripts. |
PROGRAM CODE: 710-72802
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Penalty Appeals | SPC1 | Form 5500 Penalty Appeals correspondence. |
PROGRAM CODE: 710-72862
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Credit Debit Listing | EPCD | AM31, AM32 |
PROGRAM CODE: 710-72867/710-72860
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Internal Requests | EPBS | Program Code: 710-72867
|
Form 4251with DLN numbered documents (See note below) | EPTP | Program Code: 710-72860
|
Form 4251 without DLN numbered document (See note below) | EPTP |
|
Miscellaneous Forms with a numbered document | EPTP |
|
CP213 Miscellaneous forms without a numbered document | EPTP |
|
Form 14704 | SPC1 | Program Code: 710-72801 |
(2) The following doc type is now part of the electronic notices/transcripts and not be received in ICT as paper. Document Type: EP 186, Program Code: 710-72801.
(3)
Note: The document request code used when ordering documents (CC ESTAB) will determine whether the documents need to be doc prepped and scanned or routed to the appropriate area as paper. Document Requests (Form 4251) initiated by CII. The CSRs must use request code "S" (CC ESTAB). This code must only be used by CSRs working in the Correspondence Imaging System (CII). This code indicates to Files and ICT that the request must be filled by scanning the document and sending an image through CII instead of sending a hardcopy to the requestor. When document request code "S" is used, “CII Scan Request” will print below the DLN on Form 4251.
(4)
Additionally, document request code "X" (CC ESTAB) has been established for Non-CII users who need a hardcopy or actual print of a TC 29X adjustment document relating to a CII case. This request code must only be used when an actual print or hardcopy of the image is needed. When document request code "X" is used, “CII Print Request” will print below the DLN on Form 4251.
Files and ICT will use the Form 4251 to determine whether the document is to be scanned or routed as paper. Scan the document if the form shows "CII Scan Request" (under the DLN). If the form does not state "CII Scan Request", route the document as paper.
Exception: If Form 4251 and associated documents are received from the Files function for AM Dept(s) identified as not working CII (i.e., TPR), forward to the correct AM Dept. as a paper document vs returning to the Files.
APPENDIX G - DOCUMENT TYPES, CATEGORY CODES, PRIORITY CODES LB&I ACA OGDEN
(1) The Document Types, sorting requirements, Category Codes, and Priority Codes (if any) for LB&I ACA are provided in the tables below.
(2) Category code TPRQ will be valid for all document types. LB&I HQ will provide guidance about when to use codes.
DOC TYPE: Form 843 BPDPROGRAM CODE: 710-10004
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Form 843 | TPRQ |
|
PROGRAM CODE: 710-10004
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Form 4251with DLN numbered documents | TPRQ |
|
PROGRAM CODE: 710-10004
Sorting Requirements/Case Priority | Category Code/MFT | Description |
---|---|---|
Correspondence | TPRQ |
|
APPENDIX H - SCANNING OF CARRYBACK AND CARRYFORWARD APPLICATIONS/CLAIMS - IMF/IMF INTERNATIONAL
(1)
Scanning of carryback and carryforward applications/claims IMF/IMF International requires expedited handling. The information below outlines the procedures for handling carryback claims.
If a case is received with indications it is either a carryback or carryforward and includes other issues with special handling/assignment, then the carryback or carryforward takes precedence.
Note: Do not route carryback applications/ claims to Statute control unit. The information below outlines the procedures for handling carryback applications/claims.
Form 1040-X, Amended U.S. Individual Income Tax Return, foreign tax credit carryback claims.
Form 1116, Foreign Tax Credit requesting a carryback.
Form 8689, Allocation of Individual Income Tax to the U.S. Virgin Islands.
Form 8833, Treaty-Based Return Position Disclosure Under Section 6114 or 7701(b).
Form 8840, Closer Connection Exception Statement for Aliens.
Dual Status.
Correspondence or amended returns for carryback changes due to “tax treaties”.
Spanish language correspondence relating to Form 1040-PR or Form 1040-SS and/or other international issues involving a carryback request.
Note: The U.S. Territories consist of the U.S. Virgin Islands, Puerto Rico, American Samoa, Guam and the Commonwealth of the Northern Mariana Islands.
DOC TYPE: CARRYBACK
PROGRAM CODE: 710-40063 (RINT)
PROGRAM CODE: 710-40064 (TENT)
PROGRAM CODE: 710-33082 (IRNT)
PROGRAM CODE: 710-33086 (ITCB)
Sorting Requirements | Category Code and Case Priority | Additional Notes |
---|---|---|
Restricted Interest Carrybacks | Domestic -RINT |
|
Restricted Interest Carrybacks | Domestic -RINT | See above for additional information. |
Restricted Interest Carrybacks, | Domestic -RINT | See above for additional information. |
Restricted Interest Carrybacks, | Domestic -RINT | See above for additional information. |
Tentative Carrybacks | Domestic -TENT |
|
Tentative Carrybacks | Domestic -TENT | See above for additional information. |
Tentative Carrybacks | Domestic -TENT | See above for additional information. |
Tentative Carrybacks | Domestic -TENT | See above for additional information. |
(2)
Note: If the taxpayer includes one of the following letters: 216C, 449C, 662C, 2364C, or 4734C, with a Carryback form or loose, process as a carryback. Write the IDRS number from the letter on the top of each carryback form and place the letter in the back of the case. Enter the IDRS number when validating.
(3)
Note: Priority codes for carryback applications/claims are determined by the total dollar amount of the application/claim. If the taxpayer submits multiple claims on Form 1040-X or includes a Form 1045 (Form 1139 is for corporate entities) for the same loss year, combine the amounts from all the forms to determine the correct priority code. Only combine the amounts on the Forms 1040-X and 1045 for the same loss year.
(4) Reminder: The Form 1040-X may not have the carryback box checked or any other indication of Net Operating Loss (NOL) on the form itself, but may have an “NOL worksheet” within the case.
(5) Carryback applications/claims can be received at any site. The receiving site will scan the claims to the appropriate site as outlined in the following table:IMF/IMF INTERNATIONAL CARRYBACK SCANNING SITE CHART
Case Type | Receiving Site | Scanning Information |
---|---|---|
Form 1040-X | All sites Exception: Million dollar refunds and cases identified after being distributed as another case type will be retained in the receiving campus | Scan to Brookhaven Note: Use category code RINT with document type carryback, along with program code 710-40063, MFT: 30, and any applicable priority code. Note: Million dollar refunds are scanned directly to Scan to IDRS 0933083039 |
Form 1040-X | All sites | Scan to Philadelphia Note: Use category code "IRNT" with document type carryback, along with program code 710-33082, MFT: 30, and any applicable priority code. Note: Million dollar refunds are scanned directly to Scan to IDRS 0532078254 |
Form 1045 | All sites Exception: Million dollar refunds and cases identified after being distributed as another case type will be retained in the receiving campus | Scan to Brookhaven Note: Use category code TENT with document type carryback, along with program code 710-40064, MFT 30, and any applicable priority code. Note: Million dollar refunds are Scan to IDRS |
Form 1045, International | All sites | Scan to Philadelphia Note: Use category code ITCB with document type carryback along with program code 710-33086, MFT 30. Million dollar cases Scan to IDRS 0532078254 |
(6)
Note: If the taxpayer includes one of the following letters: 216C, 449C, 662C, 2364C, or 4734C with a Carryback form process as a carryback. Write the IDRS number from the letter on the top of each carryback form and place the letter in the back of the case. Enter the IDRS number when validating.
Note: Details for scanning to the different IMF sites can be found in the IRM 3.13.6.2.4
Doc Type | Function and Program Code | MFT | Category Code | Description |
---|---|---|---|---|
IMF | 710-40055 | 30 | CFWD | Carryforward claim of net operating losses on Form "1040-X". If multiple periods are received from the same taxpayer, separate the forms by the appropriate tax period. Leave all supporting information with each case. |
IMF Carryforward | 710-33080 | 30 | ICFD | Same as above |
(7)
Note: Carryforward cases will not be assigned priority codes
APPENDIX I - SCANNING OF CARRYBACK AND CARRYFORWARD APPLICATIONS/CLAIMS AND FORM 1138 - BMF/BMF INTERNATIONAL AND EO
Scanning of carryback applications/claims requires expedited handling. The information below outlines the procedures for handling BMF/BMF International carryback/carryforward applications and claims.
If a case is received with indications and includes a carryback or carryforward and includes other issues with special handling/assignment, then the carryback or carryforward takes precedence.
Note: Do not route carryback applications/claims to Statute control unit. The information below outlines the procedures for handling carryback applications/claims. Reminder: BMF International Issues include correspondence and/or amended returns involving the following issues and are worked at KCSPC and OAMC.
(1)
Amended Form 1040-NR, U.S. Nonresident Alien Income Tax Return, filed by a Fiduciary (EIN on return) requesting a carryback.
Form 1042, Annual Withholding Tax Return for U.S. Source Income of Foreign Persons.
Form 1042-S, Foreign Person’s U.S. Source Income Subject to Withholding.
Form 1118, Foreign Tax Credit – Corporations, Foreign Tax Credit adjustments regardless of the form it is attached such as Form 1120-F or Form 1120X requesting a carryback.
Form 1120-F, U.S. Income Tax Return of a Foreign Corporation.
Form 1120X, Amended U.S. Corporation income Tax Return, Foreign Tax Credit Carryback Claims.
Spanish language correspondence related to BMF International.
Note: The U.S. Territories consist of the U.S. Virgin Islands, Puerto Rico, American Samoa, Guam and the Commonwealth of the Northern Mariana Islands.
PROGRAM CODE: 710-10063 (RINT)
PROGRAM CODE: 710-10064 (TENT)
PROGRAM CODE: 710-33087 (IRNT)
PROGRAM CODE: 710-33089 (ITCB)
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Restricted | Domestic -RINT |
|
Restricted Interest Carrybacks | Domestic -RINT | See above for additional information. |
Restricted Interest Carrybacks | Domestic -RINT | See above for additional information. |
Restricted Interest Carrybacks | Domestic -RINT | See above for additional information. |
Restricted Interest Carrybacks | Domestic - RINT Note: Priority Code 6 is included on requests for the refund of corporate minimum tax credit per CARES Act only | Request for the 100 percent refundable corporate minimum tax credit (MTC). Identified by:
|
Tentative Carrybacks Note: Form 1045 used by BMF entities filing a carryback TENT on Form 1041 – | Domestic -TENT |
|
Tentative Carrybacks | Domestic -TENT | See above for additional information. |
Tentative Carrybacks | Domestic -TENT | See above for additional information. |
Tentative Carrybacks | Domestic -TENT | See above for additional information. |
Tentative Carrybacks | Domestic - TENT Note: Priority Code 6 is included on requests for the refund of corporate minimum tax credit per CARES Act only. | Request for the 100 percent refundable corporate minimum tax (MTC). Identified by:
|
(2)
Note: If the taxpayer includes one of the following letters: 216C, 449C, 662C, 2364C, or 4734C, with a carryback form or loose, process as a carryback. Write the IDRS number from the letter on the top of each carryback form and place the letter in the back of the case. Enter the CSR number when validating. For Ogden - BMF Carrybacks are scanned to IDRS 0442189338
(3)
Note: Priority codes for carryback applications/claims are determined by the total dollar amount of the claim. If the taxpayer submits multiple claims on Form 1120X/Amended 1041 or includes a Form 1139/Form 1045 for the same loss year, combine the amounts from all the forms to determine the correct priority code. If the forms are for different loss years, the amount of each separate claim determines the priority code.
(4)
Note: To determine the correct priority code for carryback applications/claims combining a request for a CARES Act net operating loss and a 100 percent corporate minimum tax credit refund for tax years 2018, 2019 and 2020, utilize the carryback refund dollar amounts when determining the correct priority code, 1-4.
(5)
Reminder: The Form 1120X may not have the carryback box checked or any other indication of Net Operating Loss (NOL) on the form itself, but may have an NOL worksheet within the case.
Reminder: The Form 1041 may not have the carryback box checked, but may have an amount in Line 15a/15b or an indication of NOL worksheet within the case.
(6) Carryback applications/claims can be received at any site. The receiving site will scan the applications/claims to the appropriate site as outlined in the following table:BMF/BMF INTERNATIONAL CARRYFORWARDS - Form 1041, Form 1120-S and Form 990T
Doc Type | Function and Program Code | MFT | Category Code | Description |
---|---|---|---|---|
Carryforward | 710-10057 | 05 | CFWD | Carryforward claim of net operating losses on Form "1041". If multiple periods are received from the same taxpayer, separate the forms by the appropriate tax period. Leave all supporting information with each case |
Carryforward 1120 | 710-10057 | 02 | CFWD | Carryforward claim of net operating losses on Form "1120X" Carryforward claims can also be reported on an amended Form "1120-C". If multiple periods are received from the same taxpayer, separate the forms by the appropriate tax period. Leave all supporting information with each case. |
Carryforward 1041 International | 710-33081 | 05 | ICFD | Carryforward claim of net operating losses on Form "1041". If multiple periods are received from the same taxpayer, separate the forms by the appropriate tax period. Leave all supporting information with each case |
Carryforward 1120 International | 710-33081 | 02 | ICFD | Carryforward claim of net operating losses on Form "1120X" Carryforward claims can also be reported on an amended Form "1120-C". If multiple periods are received from the same taxpayer, separate the forms by the appropriate tax period. Leave all supporting information with each case. |
Carryforward - 990T | 710-13104 | 34 | ECFD | Carryforward claim of net operating losses on Form "1040-X" If multiple periods are received from the same taxpayer, separate the forms by the appropriate tax period. Leave all supporting information with each case. |
(7)
Note: Carryforward cases will not be assigned priority codes
(8) Form 1138 can be received at any site. The receiving site will scan the Form 1138 claims to the appropriate site as outlined in the following table:
SCANNING INSTRUCTIONS FOR FORM 1138Doc Type | Function and Program Code | MFT | Category Code | Case Priority Code | Description |
---|---|---|---|---|---|
Tentative Carryback – Domestic | 710-10064 | 02 | TENT | 5 | Form 1138, Extension of Time for Payment of Taxes by a Corporation Expecting a Net Operating Loss Carryback, scan into CII as a TENT with priority code 5. Control on the tax period identified on line 4 of Form 1138. |
Tentative Carryback - International | 710-33089 | 02 | ITCB | 5 | Form 1138, Extension of Time for Payment of Taxes by a Corporation Expecting a Net Operating Loss Carryback, scan into CII as a ITCB with priority code 5. Control on the tax period identified on line 4 of Form 1138. |
Tentative Carryback – Domestic | 710-10064 | 05 | TENT | 5 | Form 1138, Extension of Time for Payment of Taxes by a Corporation Expecting a Net Operating Loss Carryback, scan into CII as a TENT with priority code 5. Control on the tax period identified on line 4 of Form 1138. |
Tentative Carryback - International | 710-33089 | 05 | ITCB | 5 | Form 1138, Extension of Time for Payment of Taxes by a Corporation Expecting a Net Operating Loss Carryback, scan into CII as a ITCB with priority code 5. Control on the tax period identified on line 4 of Form 1138. |
(9)
Note: If correspondence includes a copy of Letter 2643C, write the CSR number from the letter on the top of the Form 1138 and place the letter in the back of the case. Enter the CSR number when validating. For Ogden – BMF Carrybacks are scanned
(10)
Note: Although a Form 1138 must only be filed by a Corporation occasionally Estates or Trusts (Form 1041) will mistakenly file as well. Scan all Forms 1138 into CII as directed in the chart above. Accounts Management will address the incorrect filing of a Form 1138 by Estates or Trusts (Form 1041).
APPENDIX J - SCANNING CATEGORY A CASES (CATA)
(1) Form 1040-Xcases are being screened for Category A (CATA) criteria prior to forwarding to ICT. The cases will include a cover sheet to identify the particular CATA issue and will be reviewed by Accounts Management CSRs for accuracy. CATA cases require a referral to Examination prior to taking any action. It is vital that these cases remain separated from the regular Form 1040-X and scanned into CII accordingly. These cases must be scanned into CII using the applicable category code with document type "1040-X - CATA".
Note: If hurricane Harvey, Irma or Maria or a Presidentially declared disaster in 2016, or a 2017 California wildfire is claimed on any document type use category code KATX and Function-Program Code 710-82365. For any other disaster claim, use category code DSTR and function-program code 710-82360. Both category codes are Priority Code 1 and are valid for all document types except: Faxes, ITIN and Special Processing. These Category Codes are not valid with any of the ID Theft doc types. Scan these documents to: Domestic English - 0630103922 or Domestic Spanish - 0630176475. Select AUSC as the DSC for domestic and Spanish and PSC (Philadelphia) International.
Scanning of any pre-identified Category A (CATA) claims requires expedited handling. The following information outlines the procedures for the scanning of these CATA claims.
CAT-A claims will be identified by Submission Processing and forwarded to Accounts Management for review by a CSR(s) prior to scanning.
Once reviewed by the CSR(s), the claims will be forwarded to ICT for scanning.
These Form 1040-X cases will be scanned with the appropriate category code and document type "1040-X - CATA."
CAT-A with Carryback or Carryforward Criteria will be sorted to those categories.
Example: Form 1040-X meeting the CATA criteria for Schedule A will be scanned using category code “CATA”, with document type 1040-X - CATA.
Example: Form 1040-X meeting the CATA criteria for the First-Time Homebuyer Credit will be scanned using category code FTHB, with document type 1040-X- CATA.
Example: Form 1040-X meeting the CATA criteria for a disaster claim will be scanned using category code DSTR, with document type 1040-X- CATA.
Each claim will include a cover sheet identifying the specific CATA criteria identified. Ensure this cover sheet is scanned as the second page of each corresponding case.
Form | Meets CATA criteria | Issue | Document Type | Function and Program | Category Code /Priority Code | Action Needed |
---|---|---|---|---|---|---|
Form 1040-X | Meets CATA criteria | Schedule A | 1040-X - CATA | 710-40059 | CATA | Route to AM Screener before scanning |
Form 1040-X | Meets CATA criteria | First-Time Homebuyer | 1040-X - CATA | 710-40051 | FTHB | Route to AM Screener before scanning |
Form 1040-X | Meets CATA criteria | Disaster Claim | 1040-X - CATA | 710-82360 | DSTR | Route to AM Screener before scanning |
APPENDIX K - STREAMLINED DOCUMENTS - BMF AND IMF
(1) The documents in the charts below can be identified by "Streamlined" notated on the document or return, the volume for this work is minimal. Form 1041- BMF and Form 1040-X- IMF are the only returns, that may have "Streamlined" notated on them. If "Streamlined" is not notated on the documents, process following Exhibit 3.13.6-1 for IMF and Exhibit 3.13.6-4 for BMF instructions.
Work Type | Doc Type | Form | Program Code | Category Code | PRIORITY | Scan to IDRS |
---|---|---|---|---|---|---|
BMF | Internal Request, 1120 | 3465-BMF | 710-10000 | IRRQ | 0 | 0433020103 |
BMF | 4442 | 4442-BMF | 700-60200 | TWRO | 1 | 0433020103 |
BMF | Internal Requests (941, 1041, 1065, etc. ) | 3465-BMF | 710-10000 | IRRQ | 0 | 0433020103 |
BMF International | 1041 | 1041- BMF | 710-33081 | IXRT | 0 | 0433020103 |
BMF International | 4442 | 4442-BMF | 700-60200 | TWRO | 1 | 0433020103 |
BMF International | Internal Request, (941, 1041, 1065, 1120, etc.) | 3465-BMF | 710-33030 | IIRQ | 0 | 0433020103 |
BMF International | Internal Request, 1120/706/709 | 3465-BMF | 710-33030 | IIRQ | 0 | 0433020103 |
Work Type | Doc Type | Form | Program Code | Category Code | PRIORITY | Scan to IDRS |
---|---|---|---|---|---|---|
IMF | 1040-X | 1040-X-IMF | 710-40051 | XRET | 0 | 0538484743 |
IMF | 4442 | 4442-IMF | 700-60200 | TWRO | 1 | 0538484743 |
IMF | Internal Transcripts | 3465-IMF | 710-40000 | IRRQ | 0 | 0538484743 |
IMF International | 1040-X | 1040-X-IMF | 710-33080 | IXRT | 0 | 0538484743 |
IMF International | 4442 | 4442-IMF | 700-60200 | TWRO | 1 | 0538484743 |
IMF International | Internal Request | 3465-IMF | 710-33040 | IRRQ | 0 | 0538484743 |
APPENDIX L - DOCUMENT TYPES, CATEGORY CODES, PRIORITY CODES, IDT AND IDTVA - BMF
PROGRAM CODE: 710-10010 - MFT: 01,10,11,14,16
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Case Priority 2 | BID1 | Employment Tax Correspondence/ Form 14039B |
PROGRAM CODE: 710-10011- MFT: 02
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Case Priority 2 | BID2 | Corporation Income Tax |
PROGRAM CODE: 710-10011
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Case Priority 2 | BID3 | All Other Correspondence/ Form 14039B |
APPENDIX M - DOCUMENT TYPES, CATEGORY CODES, PRIORITY CODES, IDTVA - IMF AND IMF INTERNATIONAL(II) COMPLIANCE
PROGRAM CODE(s): 710-40231
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
ACSS Domestic IDT | IDI3 | As identified by IDTVA. Default Program Code 40231 and Category Code IDI3. |
PROGRAM CODE(s): 710-40231 - MFT - 00, 29, 30, 31, 55, 65
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
ACSS Spanish | IDI3 | As identified by IDTVA. Default Program Code 40231 and Category Code IDI3. |
PROGRAM CODE(S): 710-40222 - MFT:- 00, 29, 30, 31, 55, 65
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
AUR Open IDT | IDI2 | As identified by IDTVA. Default Program Code 40221 and Category Code IDI2. |
PROGRAM CODE(s): 710-40222
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
AUR Recon IDT | IDI2 | As identified by IDTVA. Default Program Code 40222 and Category Code IDI2. |
PROGRAM CODE(s): 710-40222 - MFT - 00, 29, 30, 31, 55, 65
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
AUR Spanish | IDI2 | As identified by IDTVA. Default Program Code 40222 and Category Code IDI2. |
PROGRAM CODE(s): 710-40243
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
ASFR Open IDT | IDI4 | As identified by IDTVA. Default Program Code 40243 and Category Code IDI4. |
PROGRAM CODE: 710-40243
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
ASFR Recon IDT | IDI4 | As identified by IDTVA. Default Program Code 40261 and Category Code IDI14. |
PROGRAM CODE): 710- 40243
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Case Priority 2 | IDI4 | As identified by IDTVA. Default Program Code 40261 and Category Code IDI14. |
PROGRAM CODE: 710- 40251
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Balance Due IDT | IDI9 | As identified by IDTVA. Default Program Code 40251 and Category Code IDI9. |
PROGRAM CODE: 710- 40251
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Balance Due IDT Spanish | IDI9 | As identified by IDTVA. Default Program Code 40251 and Category Code IDI9. |
PROGRAM CODE: 710- 85431- MFT: 00, 29, 30, 31, 55, 65
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
COMP RPM - IDII | IDII | As identified by IDTVA. Default Program Code 85430 and Category Code IDII. |
Responses to Letters 5955C and 5956C | IDII | Responses to Letters 5955C and 5956C – IDRS group numbers other than 11788. NOTE: If the IDRS number begins with 11788, see Exhibit 3.13.6-1 for information regarding DOC Type: RPMC. |
PROGRAM CODE: 710- 85430, 85431, 85432, 85433 - MFT: 00, 29, 30, 31, 55, 65
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
DITA RPM | IDII | As identified by IDTVA. Default Program Code 85430 and Category Code IDII. |
PROGRAM CODE: 710- 40211
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Exam Closed IDT | IDI1 | As identified by IDTVA. Default Program Code 40212 and Category Code IDI1. |
PROGRAM CODE: 710- , 40211
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Exam Open IDT | IDI1 | As identified by IDTVA. Default Program Code 40210 and Category Code IDI1. |
PROGRAM CODE: 710- 40211 - MFT:- 00, 29, 30, 31, 55, 65
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Exam Open IDT Disc | IDI1 | As identified by IDTVA. Default Program Code 40213 and Category Code IDI1. |
PROGRAM CODE: 710- 40211 - MFT:- 00, 29, 30, 31, 55, 65
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Exam Closed IDT Disc | IDI1 | As identified by IDTVA. Default Program Code 40214 and Category Code IDI1. |
PROGRAM CODE: 710-40211 - MFT: 00, 29, 30, 31, 55, 65
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Exam Open IDT EITC | IDI1 | As identified by IDTVA. Default Program Code 40211 and Category Code IDI1. |
PROGRAM CODE: 710-40211 - MFT: 00, 29, 30, 31, 55, 65
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Exam Closed IDT EITC | IDI1 | As identified by IDTVA. Default Program Code 40210 and Category Code IDI1. |
PROGRAM CODE: 710-40211- MFT: 00, 29, 30, 31, 55, 65
Sorting Requirements/Case Priority | Category Code | Category Code |
---|---|---|
Exam SFR IDT Open | IDI1 | As identified by IDTVA. Default Program Code 40215 and Category Code IDI1. |
PROGRAM CODE: 710-40211 -MFT: 00, 29, 30, 31, 55, 65
Sorting Requirements/Case Priority | Category Code | Category Code |
---|---|---|
Exam SFR IDT Closed | IDI1 | As identified by IDTVA. Default Program Code 40212 and Category Code IDI1. |
PROGRAM CODE: 710-40211
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Exam SFR Recon IDT | IDI1 | As identified by IDTVA. Default Program Code 40216 and Category Code IDI1. |
PROGRAM CODE: 710-40211 - MFT: 00, 29, 30, 31, 55, 65
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Exam Spanish | IDI1 | As identified by IDTVA. Default Program Code 40210 and Category Code IDI1. |
PROGRAM CODE: 710-40240, 40241
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
TDI IDT | IDI9 | As identified by IDTVA. Default Program Code 40241 and Category Code IDI9. |
PROGRAM CODE: 710-40243
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Refund Hold IDT | IDI4 | As identified by IDTVA. Default Program Code 40242 and Category Code IDI4. |
PROGRAM CODE: 710-40231
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
II ACSS International IDT | IDI3 | As identified by IDTVA. Default Program Code 40232 and Category Code IDI3. |
PROGRAM CODE: 710-40243
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
ASFR International IDT | IDI4 | As identified by IDTVA. Default Program Code 40243 and Category Code IDI4. |
APPENDIX N - DOCUMENT TYPES, CATEGORY CODES, PRIORITY CODES, IDT - IMF
PROGRAM CODE: 710–40011
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 14039 | IDT1 |
|
Form 14039 | IDT1 |
|
CP36I/TRNS36I | IDT1 |
|
PROGRAM CODE: 710-40013
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
DUPF or Correspondence | IDT3 |
|
PROGRAM CODE: 710-35724
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 14039★ | IDT4 |
|
PROGRAM CODE: 710-35725
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
CP01 | IDT5 | CP notice or letter replies/undeliverables or correspondence attached to a letter reflecting "The Originating Office on the letter – OS: P: PIP: ITIM".
|
PROGRAM CODE: 710-40016
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Case Priority 2 | IDT6 |
|
PROGRAM CODE: 710-35730
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Case Priority 2 | IDT7 |
|
PROGRAM CODE: 710-40017
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Case Priority 2 | IDT8 |
|
PROGRAM CODE: 710-40019
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Case Priority 2 | IDT9 |
|
PROGRAM CODE: 710-35721
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 15227 | IDTX | |
Form 15227 | IDTX-SP | |
PROGRAM CODE: 710-40011
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 14039 (Spanish) | IDS1 |
|
PROGRAM CODE: 710-40013
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
DUPF or Correspondence (Spanish) | IDS3 |
|
PROGRAM CODE: 710-35724
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 14039★ (Spanish)Case Priority 2 | IDT4 |
|
PROGRAM CODE: 710-35725
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
CP01 | IDT5 |
|
(1) DOC TYPE: ID Theft Spanish IDT6
PROGRAM CODE: 710-40016
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Case Priority 2 | IDS6 |
|
PROGRAM CODE: 710-35730
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Case Priority 2 | IDT7 |
|
Note: *Write entire SSN/ITIN when Form 14039 is received with other documentation containing the taxpayer’s complete SSN/ITIN. Refer toIRM 21.5.1.4.2.3, Clerical Function for the Image Control Team (ICT) Correspondence Imaging System (CII), for complete details.
PROGRAM CODE: 710-40017
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Case Priority 2 | IDS8 |
|
PROGRAM CODE: 710-40019
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Case Priority 2 | IDS9 |
|
APPENDIX O - DOCUMENT TYPES, CATEGORY CODES, PRIORITY CODES, IMF TAX REFORM
(1) When cases have multiple forms attached with various category codes the Tax Reform Category Codes are always the first priority. For example; a case attached with the following Form(s) 5405, FTHB, Form 8994, and Tax Reform. The case will be scanned using the Tax Reform Category codes . But if Category Codes for Oars, CCATA, Carryback, Identity Theft, Injured Spouse and any category that requires an IDRS number will take precedence over Tax Reform. International criteria will take precedence over Tax Reform. Otherwise a case will be scanned using the Tax Reform Category Codes .
DOC TYPE: IRC 965 1040-XPROGRAM CODE: 710-85370
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 1040-X | 965X | Section 965 (Transition Tax) Claims filed on Form 1040-X |
PROGRAM CODE: 710-85371
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
IMF Correspondence | 965C | Attachment Correspondence Written communications from a taxpayer or representative – Includes Forms/wording IRC 965 Transition Tax Statement/ Election to Pay Net Liability Under Section 965 in Installments under Section 965 without 1040-X attached and CP247A, CP 247B , CP274C, CP256 and 3064C letter. |
PROGRAM CODE: 710-85374
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Tax Reform Form 1040-X | TRFX | Tax Reform Claims (2018 and subsequent) filed on Form 1040-X with one of the following forms attached: Schedule 8812, Form 8949, Form 8994, Form 8996 |
PROGRAM CODE: 710-85372
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Tax Reform Form 1040-X | TRNX | Tax Reform Claims filed on Form 1040-X With one of the following notices attached: CP10TCP11T, CP12T, CP13T, CP16T, CP23T, CP24T, CP25T |
PROGRAM CODE: 710-85373
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Tax Reform Correspondence | TRNC | Tax Reform correspondence with one of the following notices attached: CP10TCP11T, CP12T, CP13T, CP16T, CP23T, CP24T, CP25T |
PROGRAM CODE: 710-85378
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Tax Reform Correspondence | TRFC | Tax Reform Correspondence (2018 and subsequent) with one of the following forms attached: Schedule 8812, Form 8949, Form 8994,Form 8996 |
PROGRAM CODE: 710-85371
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
IRC 965 Loose Form | 965C | Loose IRC 965 Transition Tax Statement/ Election to Pay Net Liability Under Section 965 in Installments under Section 965. |
APPENDIX P - DOCUMENT TYPES, CATEGORY CODES, PRIORITY CODES, BMF-TAX REFORM
(1) When cases have multiple forms attached with various category codes the Tax Reform Category Codes are always the first priority. For example; a case attached with the following Form(s) 5405, FTHB, Form 8994, and Tax Reform. The case will be scanned using the Tax Reform Category codes .
DOC TYPE: BMF Duplicate Filing 1041PROGRAM CODE: 710-85375
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
| 965X | Section 965 (Transition Tax) Claims filed on amended 1041 Form with a |
PROGRAM CODE: 710-85375
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
| 965X | Section 965 (Transition Tax) Claims filed on Form 1065-X |
PROGRAM CODE: 710-85375
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 1120X | 965X | Section 965 (Transition Tax) Claims filed on Form 1120X |
PROGRAM CODE: 710-85377
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 1041 amended BMF | TRFX | Tax Reform (2018 and subsequent) amended 1041 with one of the following forms attached: Form 8996,Form 8949, Form 8994, Form 8927 |
PROGRAM CODE: 710-85377
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 1065-X BMF | TRFX | Claims filed on Form 1065-X (2018 and subsequent) Attachment Form 8996 , Form 8949 , Form 8994 , Form 8927 |
PROGRAM CODE: 710-85377
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
Form 1120X | TRFX | Claims filed on Form 1120X (2018 and subsequent) Attachment Form 8996, Form 8949, Form 8994, Form 8927 |
PROGRAM CODE: 710-85376
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
BMF IRC 965 Correspondence -1041 | 965C | Correspondence regarding Form 1041 regarding Section 965 (Transition Tax) with or without IRC 965 Transition Tax Statement/Election to Pay Net Liability Under Section 965 in Installments under Section 965 and CP247A, CP247B , CP274C, CP 256 and 3064C Letterattached. |
PROGRAM CODE: 710-85376
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
BMF IRC 965 Correspondence -1065 | 965C | Correspondence regarding Form 1065 regarding Section 965 (Transition Tax) with or without IRC 965 Transition Tax Statement/Election to Pay Net Liability Under Section 965 in Installments under Section 965 and CP247A, CP247B, CP274C, CP 256 and 3064C Letterattached. |
PROGRAM CODE: 710-85376
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
BMF IRC 965 Correspondence -1120 | 965C | Correspondence regarding Form 1120 regarding Section 965 (Transition Tax) with or without IRC 965 Transition Tax Statement/Election to Pay Net Liability Under Section 965 in Installments under Section 965 and CP247A, CP247B, CP274C, CP 256 and 3064C Letterattached. |
PROGRAM CODE: 710-85379
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
BMF Correspondence -1041 | TRFC | Tax Reform correspondence (2018 and subsequent) regarding 1041 with the one of the following forms attached: Form 8996, Form 8949, Form 8994, Form 8927 |
PROGRAM CODE: 710-85379
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
BMF IRC 965 Correspondence -1065 | TRFC | Tax Reform correspondence (2018 and subsequent) regarding 1065 with the one of the following forms attached:Form 8996, Form 8949, Form 8994, Form 8927 |
PROGRAM CODE: 710-85379
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
BMF IRC 965 Correspondence -1120 | TRFC | Tax Reform correspondence (2018 and subsequent) regarding 1120 with the one of the following forms attached: Form 8996, Form 8949, Form 8994, Form 8927 |
PROGRAM CODE: 710-85376
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
BMF IRC 965 | 965C | Loose IRC 965 Transition Tax Statement/ Election to Pay Net Liability Under Section 965 in Installments under Section 965 stating Form 1065. |
PROGRAM CODE: 710-85376
Sorting Requirements/Case Priority | Category Code | Description |
---|---|---|
BMF IRC 965 | 965C | Loose IRC 965 Transition Tax Statement/ Election to Pay Net Liability Under Section 965 in Installments under Section 965 stating Form 1120. |