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.

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.

The Operations manager secures, assigns and provides training for the staff.

The Planning and Analysis Staff provides feedback and support to local management and headquarters.

The team manager/lead assign, monitor, and control the workflow to accomplish timely completion of the tasks required throughout this IRM.

The team employees apply the instructions present to the assigned task on the Ephesoft system to accurately convert paper data to electronic data.

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.

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.

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.

Management uses unit production cards (UPCs) to measure and record activity in each functionality of this program.

The following table defines terms that appear throughout this IRM section.

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.

IRM 21.5.1.4.2.4 Received Date – Determination

IRM 21.5.1.5 Correspondence Imaging System (CII) Procedures.

IRM 21.5.2.4.23.4 Statute Imminent Documents

IRM 25.23.2.2.2 Priority Handling of Identity Theft Cases

IRM 4.19.13.24 Form 3949-A Routing Instructions

IRM 3.10.72-1 Routing Guide/Local Maildex

IRM 3.10.72-2Correspondex C Letters – Routing Guide

IRM 3.10.72-3 Computer Paragraph (CP) Notices – Routing Guide

IRM 3.10.72-4 Miscellaneous Documents/Forms/Correspondence – Routing Guide

IRM 3.10.72.5.5.2 Routing to Statutes

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

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.

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.

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.

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.

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

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

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.

Ogden only - 3949 A sorting and routing instructions refer to: IRM 3.28.2 Information Referral Process for Form 3949-A

All ICT sites must use the following references for processing their work: IRM RM 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.

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.

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.

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.

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

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.

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.

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.

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.

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.

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

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

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.

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

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.

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.

Refer to the List of Exhibits

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:

Major fields that need to be highlighted: Statute, Case Priority, Expedite, CSR Number, Designate Service Center (DSC).

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 to15 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.

When there is 10 or more of the same IRS received date, we need to batch them separately.

Tax Period - If all of the cases in the batch have the same Tax Period, enter the appropriate Tax Period, otherwise leave blank. Tax Period is required when there is one document present within a gusset.

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

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.

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.

Case Priorities are as follows:

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

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" .

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.

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

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.

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.

Batch Volume - Enter the number of cases in the batch. Recommendation is 25 cases but can batch 30 cases max, gussets with 50 cases, gussets will bulge and the Kodak scanners or Ephesoft may time out when scanning the 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.

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."

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.

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.

Doc Prep Volume - Enter the number of cases in the batch. Recommendation is 25 cases but can batch 30 cases max, gussets with 50 cases, gussets will bulge and the Kodak scanners or Ephesoft may time out when scanning the 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.

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

Scanner ID - Completed by the Scanner Operator.

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

Volume Scanned - Completed by the Scanner Operator.

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.

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.

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

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

Documents will be doc prepped according to IRM 3.13.6.2.7,Preparing Documents for Scanning - General Instructions.

Envelopes will be prepared according to IRM 3.13.6.2.8, Envelopes.

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.

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.

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 Exhibit 3.13.6-9, – 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.

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

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.

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

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, recommendation is 15 or less, 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.

MFT- Enter the appropriate MFT for the batch. Will default to MFT 30 if left blank, refer to IRM 3.13.6.2.3, Batch Cover Sheet.

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. Recommendation is 25 cases but can batch 30 cases max, gussets with 50 cases, gussets will bulge and the Kodak scanners or Ephesoft may time out when scanning the cases.

Document Type - Write-in the appropriate doc type.

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

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.

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.

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."

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

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.

Doc Prep Volume - Enter the number of cases that have been Doc Prepped. Recommendation is 25 cases but can batch 30 cases max, gussets with 50 cases, gussets will bulge and the Kodak scanners or Ephesoft may time out when scanning the 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.

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

Scanner ID - Completed by the Scanner Operator.

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

Volume Scanned - Completed by the Scanner Operator.

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.

Colored envelopes must be photocopied at a lighter density, so they are legible when scanned.

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.

Another general procedure is writing "Copy" on a copied remittance so the employees who are validating do not have to pull gusset/batch to verify it is a copy.

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.

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.

Follow the steps below to prepare documents for scanning:

Returning original documents to the taxpayer:

These procedures provide instructions for addressing envelope issues.

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.

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

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.

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.

An envelope with a metallic address label must be photocopied so the envelope can be scanned.

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.

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:

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.

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

Turn on the scanner.

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.

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

Open the Ephesoft Capture Scan module by either:

The Ephesoft Capture - Click on New Documents

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).

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

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.

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

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

Select the start tab from the AMS Scanning screen.

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.

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

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

If there is a case priority entered on the Batch Cover Sheet, enter it in the Case Priority field of the Create Batch window.

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

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

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

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:

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

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

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.

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 was scanned properly.

Cincinnati-AM Campus Support (only)

Follow normal ICT Review procedures.

Refer to IRM 3.13.6.10.5.1, Validating TEGE Cases in ECM.

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

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.

Complete the Batch Cover Sheet by:

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

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

Click "OK" and the batch closes.

Remove scanned documents from the Scanner Output Tray.

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

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

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

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

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

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.

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

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.

Deleting Document(s) or Page(s):

Inserting Page(s):

Inserting Document(s):

Merging Document Page(s):

Dragging and Dropping Page(s):

Correcting Page Alignment/Orientation.

Changing Form Types Within a Document Type:

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

Close the batch.

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

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.

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

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.

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

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

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

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

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).

Below are instructions for replacing pages within the batch.

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.

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

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.

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

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.

Close the batch.

Log in to the Validation module and validate the batch.

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.

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.

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

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.

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

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.

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

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

Verify the Kodak i1440/i260 is set as the scanning source in the Scan Controls Panel.

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

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.

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.

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.

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

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.

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

Close the Batch by clicking Finish.

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

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

Remove scanned documents from the Scanner Output Tray.

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

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

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

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.

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

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.

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

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.

Once the 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 must 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 be displayed.

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

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.

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

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

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

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.

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

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.

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.

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

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

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

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

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

Select View My Batches on the Operator Menu.

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

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

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.

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.

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.

Review the first red highlighted “thumbnail” document.

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

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

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

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

Click the "Merge Button" on the Middle Panel.

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

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

Documents that were merged will display in the Center Panel.

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

There are 2 ways to split a document:

To insert a page, follow the steps below.

Log on to the workstation using your Network Login.

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

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.

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:

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

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.

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.

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

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.

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.

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.

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

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

The batch opens and validation can continue.

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.

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.

A message dialog box will display when:

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.

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:

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.

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.

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

Click the "Merge Button" on the Middle Panel.

Select the document to merge to.

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

Documents that were merged will display in the Center Panel.

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.

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

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

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.

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

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.

The following list identifies the different types of error conditions:

There are two error conditions that do not require establishing a control base on IDRS. They are Missing Data and Issue REQ77Error. 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.

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.

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.

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.

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."

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.

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.

Click "Save" and the case moves out of the Error Inventory and CII returns the user to the Error Inventory page.

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.

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.

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).

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

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.

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

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.

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.

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:

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.

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

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.

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

In drop-down menus for:

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.

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.

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.

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.

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).

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.

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

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.

For BOD/ULC and Control Number fields, enter the missing data from IDRS into the appropriate fields in CII.

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:

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."

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.

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

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.

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).

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.

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

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

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

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

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.

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.

Click "Update data" change the IDRS Control Number to reflect the case control number now found on IDRS. Then click "Save and Return."

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.

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.

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.

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

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.

Return to the CII case, click "Update Data."

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

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

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

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

Once the information is updated/corrected on the Case Details page and/or IDRS, click the Manual Transmission button.

The case flows to the LB&I Unassigned Inventory.

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.

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.

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.

Refer to Document 12990, IRS Records Control Schedules (RCS) 29, Item 91 for the National Archives and Records Administration (NARA) approved Form 3210, Document Transmittal retention and disposition requirement.

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.

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.

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.

Refer to Document 12990, IRS Records Control Schedules (RCS) 29, Item 91 for the National Archives and Records Administration (NARA) approved Form 3210, Document Transmittal retention and disposition requirement.

Access AMS/CII and navigate to the Search Page.

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).

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

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

The Search Results List page will display.

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.

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

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.

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

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

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.

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

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.

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

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

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.

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

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

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.

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.