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

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

For specific guidelines and responsibilities, refer to the Circular, and to IRM 1.4.1, Resource Guide for Managers, Management Roles and Responsibilities, and IRM 1.4.2, Resource Guide for Managers, Monitoring and Improving Internal Control.

Among the updates made to this IRM were items necessitated by legislative mandates as listed below:

This IRM takes into consideration information contained in 26 CFR 601.602 and Rev. Proc. 2016-35.

Policy statements for Submission Processing are contained in IRM 1.2.1, Servicewide Policies and Authorities, Servicewide Policy Statements.

At each processing site execution of instructions within this IRM are to be applied by the following personnel as listed below:

Program Reports: Below is a list of reports which show work schedules, receipts, production and inventory for the paper documents to electronic data conversion and posting process. These reports are used to report and monitor daily (IPS0698 throughout each workday) and weekly status of the program to completeness:

Program Effectiveness: Management measure weekly goals using standard documents per hour reports. Each function is expected to meet or exceed schedule prior to the PCD as stated in IRM 3.30.123, Processing Timeliness: Cycles, Criteria and Critical Dates. Quality reviews are conducted and monitored by local management and corrective action taken to ensure quality products are released to the next function. Managerial and product review supplements the quality review process required.

Annual Review: Review the processes included in this manual annually to ensure accuracy and promote consistent tax administration. This is included under responsibilities for a manager. An IRM Document Clearance review is completed annually to ensure accuracy of the contents and to promote consistent tax administration. The reviewers are provided with the opportunity to provide feedback to the IRM author for consideration in completing the IRM.

Unit Production Cards (UPCs) are dropped daily to record activity in each functionality of this program. See Exhibit 3.41.269-43 Unit Production Log Input Batch Block Tracking System (BBTS), for instruction on where to obtain each number for required reporting.

Local reports can be used to establish more information for supporting daily program control. Local reports never replace the established official reports and required production reports.

The following is a list of acronyms and terms used in this IRM:

The following table lists related sources of guidance on the conversion to electronic data records of paper filed documents contained in this instruction.

IRMs are located on Servicewide Electronic Research Program (SERP) at the following site: http://serp.enterprise.irs.gov/homepage.html. Specific instructional links are available on the IMF Data Conversion Research Portal located at http://serp.enterprise.irs.gov/databases/portals/sp/imf/data-conversion/data-conversion.html.

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

The IRS adopted the Taxpayer Bill of Rights in June 2014. Employees are responsible for being familiar with and acting in accordance with taxpayer rights. See IRC 7803(a)(3), and the following site for more information about the Taxpayer Bill of Rights: https://irssource.web.irs.gov/SitePages/TaxpayerBillOfRights.aspx.

Ship SCRIPS document requests per IRM 3.13.62, Campus Document Services, Media Transport and Control, or IRM 10.5.1, Privacy and Information Protection - Privacy Policy, following Personally Identifiable Information (PII) guidelines located at: http://publish.no.irs.gov/mailtran/pii.html, titled Postal and Transport Policy. Prepare Form 3210, Document Transmittal, and include with ship documents.

Keystroke Combinations

QUICK START — Each function (Original Entry Image (OE - Image), Data Validation Image (DV - Image)) begins with QUICK START instructions intended to speed access to a unit-of-work (UW). Detailed data entry and validation instructions are found in the narrative that follows, see IRM 3.41.269.8, General Correction Procedures, and the tables and transcription sheet exhibits at the end of the IRM. Also, general instructions may be found in IRM 3.41.274, Optical Character Recognition Scanning Operations, General Instructions For Processing via Service Center Recognition/Image Processing System.

Tables

Transcription Sheets

Late-FiledForm 1096, Annual Summary and Transmittal of U.S. Information Returns - Late filed submissions received from the IRP Sort function with an IRS Received Date stamp ensure the Delinquent Return Date (IRS received date) and Delinquent Return Indicator information are processed.

Figure 3.41.269-1

The pictured above is of a blank Form 1096, Annual Summary and Transmittal of U.S. Information Returns, with call outs boxes containing the following: Box 1: Delinquent Return Indicator; Box 2 through 7: Delinquent Return Date: Box 8 and 9 Correspondence Indicator; and Submission Type Indicator on page 1.

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The scanner prints a one-character reject code to the left of the Document Locator Number (DLN) area on any form that rejects. The reject codes and descriptions are shown below. If the scanner printed more than one code, decide whether the submission can be corrected and re-scanned, or returned to the IRP Sort function.

Reject Code "X" is any Form 1096, Annual Summary and Transmittal of U.S. Information Returns, with no detail documents and needs to be routed to the IRP Sort function for processing on ISRP. Line through the DLN if the scanner printed one on the form.

Reject Code "M" (Mixed Document Type).

Correspondence concerning information returns requiring extra effort to process (i.e., cannot scan documents without extra handling) is automated for scanned returns. Until further notice, due to the Correspondence Unit being disbanded, only use Correspondence Indicator 99.

Enter indicator "99" on every "dummy" Form 1096, Annual Summary and Transmittal of U.S. Information Returns, which IRS prepared. If a filer submitted a Form 1096, but preparing another Form 1096 is necessary enter "99" on the "dummy."

All unprocessable documents are returned to the IRP Sort function. The IRP Sort function corresponds with the filer concerning their submission and asks the filer to re-file the documents (see below).

The following conditions make a return unprocessable:

Pull and return to the IRP Sort function daily unprocessable documents and UWs listed on the IRP Pull Document/Submission Report (see IRM 3.41.269.11.12) that can’t be resolved in SCRIPS.

Integrated Data Retrieval System (IDRS) Image requests are sent daily by secure e-mail to the Unit manager of the requesting unit. The IDRS Unit & USR Database located at the following link is used to retrieve the e-mail addresses: https://iors.web.irs.gov/HomeIUUD.aspx. Use "ESTAB Request" as the subject of the secure e-mail.

At the discretion of site management "dummy" Form 1096 are prepared in the Post Doc Prep function if necessary, to make a submission processable. Write correspondence indicator "99" on the "dummy."

From the Workstation Main Menu, select the numeric code for Original Entry (OE).

From the Original Entry (OE) Selection Menu, select the numeric code for Form Identification (FI) Selection Menu.

From the Form Identification (FI) Selection Menu, select the numeric code for the type of FI needed.

The first group of images, from a Unit-of-Work (UW) requiring identification, opens.

If an incorrect option is selected from the Form Identification (FI) Selection Menu, press the <Ctrl>-P key combination to set (post-to-close) and press <F9> to suspend, before entering any data, to return to the Form Identification (FI) Selection Menu.

Press the <Ctrl>-P key combination to end OE after completing the current UW.

The system returns you to the Form Identification (FI) Selection Menu when the last image identification in the UW is completed.

The system assigns a six-digit sequence number instead of a DLN to IRP documents it can’t identify. This number helps in locating the UW when researching documents. Once the form type has been identified, the system assigns a DLN to the submission.

If you can identify the image, make the correct letter or number selection from the template (e.g., press "M" for Form 1099-MISC, Miscellaneous Information, "R" for Form 1099-R, Distributions From Pensions, Annuities, Retirement or Profit Sharing Plans, IRAs, Insurance Contracts,). The <Enter> key must be pressed to complete a selection.

If you can’t identify the image, press <F9> to suspend the document for research. Some documents are scanned backwards. These require research to determine exactly which document type they are. If the image is unprocessable, press "X" to remove the document from further processing.

If there are multiple form types in a submission, research further to determine if the submission should be deleted. Deleting the entire submission is sometimes more efficient than removing many single documents (e.g., if the first document is recognized and the remainder is of another type and they are not recognized). Delete submissions by pressing the <Delete> key.

To end a session, press the <Ctrl>-P key combination. The system returns you to the Original Entry (OE) Selection Menu when you complete the last image in the UW.

From the Workstation Main Menu, select the numeric code for Original Entry (OE).

From the Original Entry (OE) Selection Menu, select the numeric code for OE Image Selection Menu.

From the OE Image Selection Menu, select the numeric code for the type of OE needed.

The first UW, or first individual document requiring OE opens (because an entire UW may not require OE Image). Use Exhibit 3.41.269-8 through Exhibit 3.41.269-41, and the other exhibits in this IRM, as needed, when entering data.

If an incorrect option is selected from the OE Image Selection Menu, press <Ctrl>-P, then press <F9> to suspend the UW and to return to the OE Image Selection Menu.

After entering the last field on the document press the <F6> key to release the document and display the next template. The system automatically goes to the next template.

Press the <Ctrl>-P key combination to end OE Image when the current UW is finished.

The system returns you to the Original Entry (OE) Selection Menu when you complete the last document in the current UW.

The Status Line at the bottom of the screen displays the following information:

In OE Image, you manually enter:

For OE Image when you release the last document the UW is released.

A specific IRP UW is selected for OE by following these steps:

From the Workstation Main Menu, select the numeric code for Data Validation (DV).

From the Data Validation (DV) Selection Menu, select the numeric code for DV Selection Menu.

From the DV Selection Menu, select the numeric code for the type of DV needed.

The first UW opens, and the cursor stops at the first highlighted field when the AUTO is on. Use the exhibits in this IRM and the general correction procedures to make necessary corrections.

If an incorrect option is selected from the DV Selection Menu before entering any data, press <Ctrl>-P, then press <F9> to suspend and return to the DV Selection Menu.

After entering the last field of the document, if AUTO is off, press the <F6> key to release the document and display the next template.

Press the <Ctrl>-P key combination to not receive extra blocks before the current UW is completed.

The system returns you to the Data Validation (DV) Selection Menu when you release the last document.

A specific UW of IRP documents, may be selected for DV by following these steps:

Enter the information as shown on the document, except as instructed below. See Exhibit 3.41.269-6, Street Abbreviations (Optional), and Exhibit 3.41.269-7, Standard Abbreviations (Optional), for standard abbreviations and Exhibit 3.41.269-42, Valid Characters, to determine valid characters.

Space before and after an ampersand (&). In Name 1, enter "and" or "&" as shown.

Omit all punctuation, except for hyphens (-). The hyphen is keyed using the MINUS (-).

Space within a true last name if shown.

If Name 2 contains three characters or less, override the field error by pressing the <Ctrl>-<4> key.

In the second name line change "and" to "&" .

If there are two or more names in Name 2, separate them with the word "OR" , unless "and (&)" or "C/O (%)" are present. Enter "&C" when edited as the last two characters of Name 2 data (no space between the two characters) when the taxpayer entry is too long for the field.

Second Name Line data, such as DBA, C/O or %, should be entered on the second line if placed on the address line and clerk intervention is required.

IMF Only - Don’t enter titles such as Mr., Mrs., Capt., Dr., Rev., in any individual's name (except for Form 1096, Annual Summary and Transmittal of U.S. Information Returns).

BMF Only

Enter the information exactly as shown on the document except as instructed below or when the NABR has perfected the address. See IRM 3.41.269.7 (2).

Foreign addresses on Form 1096, Annual Summary and Transmittal of U.S. Information Returns, are never entered. Enter "Z" for the street address, "ZZZ" for the city. Don’t enter a period in the State field. Don’t enter the street address on the second name line.

Foreign addresses on payee documents are entered as follows:

Figure 3.41.269-2

Example of Form 1096 with a DLN on it. Example of Form 1099-MISC with a DLN containing two serial numbers one for the form on the top left portion of the page and one for the form on the bottom portion of the page. All forms have the date year located on the top right of the form.

Please click here for the text description of the image.

If both EIN (box 1) and SSN (box 2) are present, enter the EIN only.

If there are 2 TINS in the same box and the primary TIN cannot be determined, use the top or first TIN.

If both an EIN and SSN are present on Form 1096, Annual Summary and Transmittal of U.S. Information Returns, enter the EIN on the form. If detail documents are submitted with an SSN, and all payer information is the same, enter the EIN from the Form 1096, on the detail documents.

If the TIN is missing, has more or less than nine-digits and can be determined or found on the first detail document, suspend. The TIN is physically edited (entered) on the Form 1096 for processing.

If a valid TIN isn't present in any of these locations, enter "999999999" in the EIN field of the Form 1096. On detail documents the payer’s federal identification number is left blank.

All TINs are entered in the proper field. The format for an EIN is XX-XXXXXXX and the format for a SSN is XXX-XX-XXXX. If the TIN is placed in the wrong box, then enter the TIN in the correct data field.

Enter the alphanumeric characters from the account number box.

Enter all money amounts as Dollars Only. Do Not enter money amounts from any form or document that is "X'd out." Consider a form that is "X'd out" voided.

If any document has more than one money amount in the same box, suspend so the amounts can be added together and enter the total. If an amount is labeled "net," enter only that amount.

If a negative money amount appears in a positive only field, enter a zero. Negative amounts can be identified by a minus sign or being enclosed in parentheses. Void the document if the corrected box isn't marked and there are no other money amounts present.

Enter negative amounts, where allowed, by leading the amount with a hyphen (-). Below are the only forms where negative amounts are permitted. Enter these amounts with a leading hyphen (-).

If a money amount is in a field SCRIPS doesn't enter, input the entity information, leave the money fields blank and release the document. Don’t void the document.

If the money amount isn't entered on the template or verified during DV, and there is a money amount present on the document, turn the AUTO mode off and enter the amount in the correct field on the template.

If the clerk is unable to read the money amount, suspend the block of work, pull the paper documents and input the data. If the money amount cannot be determined, void the document.

If the only money amount is less than $1.00, void the document unless the document is:

If a money field that didn’t require correcting is incorrectly entered, turn the AUTO mode off and enter the correct money amount.

To delete a payer's entire submission (or unit-of-work, or transmittal), enter nine zeroes in both the EIN (box 1) and SSN (box 2) of the Form 1096, Annual Summary and Transmittal of U.S. Information Returns. Pull and send the deleted Form 1096, and all the associated detail documents back to the IRP Sort function. Usually, deleting a submission is a procedure used by a manager or work leader. Always delete a submission if:

Deleted submissions being perfected in SCRIPS for re-scanning needs to have UPC counts entered in BBTS to ensure capture of the activity. This is inclusive of deletes initiated either due to clerk action or automatic system deletion (i.e., mixed blocks of work). Receipts and production need to be entered under function code 550. See IRM 3.41.269.2.5.

Always void a payee document (never a Form 1096, Annual Summary and Transmittal of U.S. Information Returns) if:

VOID Form 1099-R, Distributions From Pensions, Annuities, Retirement or Profit Sharing Plans, IRAs, Insurance Contracts, etc., if its only entry is in box 7.

DON’T void Form 1099-MISC, if the Direct sales, box 7, is marked.

DON’T void supporting forms if the corrected box is marked.

DON’T void Form 1098-T, Tuition Statement, with no money amount. Void the document only if the void box is checked.

DON’T void a form the system misread and placed an "X" in either the void or corrected boxes when one isn't present on the document.

From the Workstation Main Menu, select Data Validation (DV).

From the Data Validation (DV) Selection Menu, select "IRP 1096 Image Only" .

A 1096 Image Only block opens a UW containing up to 100 documents.

If a document isn't recognized by the scanner, a window opens that allows you to identify the image as an envelope or Form 1096, Annual Summary and Transmittal of U.S. Information Returns. Additionally, a single image or entire block may be removed from further processing.

Enter the 14-digit DLN for each Form 1096. The previously entered DLN is displayed at the upper half of the DLN entry window.

Whenever a 14-digit DLN is entered, the DLN is validated by requiring you to enter it twice. Each component of the DLN (i.e., the File Location Code, Tax Class, Doc Code, Julian Date, Blocking Series, Sequence Number and Year Digit) undergoes validation. Any invalid component generates an error message explaining the error.

Title of Report: IRP Cumulative DLN Report (IPS06191)

Description: This report provides a cumulative year-to-date summary of document volumes by IRP form type. It is updated each time the IRP Assigned DLN Report is generated. The report is purged only once, at the end of the processing year. This report is generated on demand, but no search criteria is required. When the report is selected, it is immediately run.

Using the Report: Although this report is still available, it became obsolete with the introduction of the IRP Production Report. There is no longer a reason to print this report.

Title of Report: IRP Assigned DLN Report (IPS03339)

Description: This report lists the beginning and ending IRP DLNs assigned by the scanner and lists any unused DLNs within that range. It is automatically generated and printed out upon completion of a scanner job and cannot be repeated. The report number is different than other report numbers in that it consists of the module number and the scanner Job ID.

Using the Report: This report should remain with the tub/box of documents after they are scanned. Scanner operators should generate a report for each tub/box. If documents are not released from the SCRIPS area after they are output, printing this report isn't necessary. In this case, the scanner operator should write the range of DLNs assigned on the tub/box.

Title of Report: IRP DLN Output Report (IPS01118)

Description: This report lists the Block Numbers assigned to output blocks as well as the number of documents within each block. It is generated automatically upon completion of IRP Block Output Processing (i.e., when the output tape is finished). The report is sorted by the DLN of the Form 1096, Annual Summary and Transmittal of U.S. Information Returns, and is grouped by UW. The Form 1096 documents are marked with an asterisk (*).

Using the Report: This report should be printed and accompany documents as they are output. If documents are not released from the SCRIPS area after output, it isn't necessary to print the report.

Title of Report: IRP Override Report (IPS03338)

Description: This report details the year-to-date cumulative number of validation overrides recorded for IRP documents. It provides a "snapshot" of the <Ctrl>-<F4> Key Usage Audit Table at the time the report is generated. It is generated on demand but no search criteria are required. When the report is selected, it is immediately run. The report is sorted by Operator Login ID, Function Code, Program Number, and Form Field Number. The Operator Login ID isn't displayed in the output.

Using the Report: This report may be used to identify conditions that force workstation operators to override an IRP validation. The only way an operator can proceed is to override the validation. This may signal a need to revise the IRP programs.

Title of Report: Inventory Report (IRP) (IPS03350)

Description: This report provides information on the amount of IRP work currently on the system. It provides a "snapshot" of the Document Summary Audit table at the time the report is generated. This report is sorted by date.

Using the Report: This report can be used to track the IRP inventory on the system at the time that the report is run. Be careful when using this report because if IRP is still being worked, the statistics changes.

Title of Report: IRP Production Report (IPS03331)

Description: This report provides a detailed status of all IRP documents. For each form type, the report shows how many documents were scanned, entered in OE paper, and the output for the current day, and includes year-to-date figures as well. Supervisors can’t purge this report. It is cleared at the beginning of each year as part of the production startup procedures.

Using the Report: This report is used locally as a record of IRP processing through the processing year and, to the degree possible, as a record of daily activity and as an aid in validating production volume reporting. This report should be used when analyzing managerial production reports for accuracy and total year-to-date deleted items on both page one and two should be considered.

Submitting the Report: Weekly the sites run the IRP Production Report and e-mail’s a copy of this report - by close of business Monday - to National Office. Send to *IT SCRIPS PO.

Title of Report: IRP Run Balancing Report (IPS01119)

Description: This report lists the tape designation and file number of the output tape. It also lists the volumes output and dropped during output, as well as the total, for a particular output run. It is generated automatically upon completion of IRP Block Output Processing (i.e., when the output tape is finished). It doesn't include a breakdown by form type.

Using the Report: This report is the most convenient source of output volumes, per output run. See Exhibit 3.41.269-43, Unit Production Log Input Batch/Block Tracking System (BBTS), for more information on using report information for unit production and receipt input.

Title of Report: Federal Tax Withheld (FTWH) Report (IPS01122)

Description: This report prints during output for transmitted documents having federal tax withheld as the only money amount. Images of the documents are printed with the report. Any document listed on this report is deleted and not output.

Generating the Report: This report generates automatically during output.

Printing the Report: This report prints automatically during output.

Using the Report: Route this report, along with the images, to the IRP Sort function.

Reviewing the Report: Prior to routing the report for disposition review the report and the images for accuracy.

The system prints an image for each document where federal tax withholding is the only money amount present.

Title of Report: Throughput Statistics Report (IPS06440)

Description: This report lists the total number of blocks, documents, processing time, and documents per hour for scanning operations by scandriver. Transport and crossover are also available for the time entered.

Using the Report: This report is used to drop Unit Production Cards (UPCs) to document daily volume of data documents scanned into the system. See Exhibit 3.41.269-43, Unit Production Log Input Batch/Block Tracking System (BBTS).

Title of Report: IDRS Request Report (IPS00470)

Description: This report lists the total number of requests, number of requests not found, and number of images printed for each request type on a given day.

Using the Report: This report is used to trouble shoot missing IDRS print requests.

Title of Report: Workflow Status (IPS0698)

Description: This report lists the task/sub-task number, the sub-task description, blocks at the sub-task, total documents for the block, and documents ready for the sub-task. This report also contains percentages for system capacity used under the following three categories: General, IRP, and IRP/ACA/K1/941/940/Stand-Alone.

Using the Report: This report is used to monitor documents and system capacity. Once blocks/UWs of documents have been processed through SCRIPS and accepted by down-stream processing, the files containing the documents images, ASCII data, and statistical information can be purged from the system.

Title of Report: IRP Pull Document/Submission Report (IPS00812)

Description: This report lists each document and submission removed from the SCRIPS system by clerk or supervisor intervention during system processing in FI, OE or DV functions. This report is generated using backend General Report located in the SCRIPS Utilities menu.

Using the Report: This report is used to identify the deleted documents in addition to the clerk manually notating the documents to pull.

The reason is one of the following pull document report codes:

Title of Report: Work Station Operator Statistics Program and Function Summary Report (IPS0083)

Description: This report lists Operator Statistics as queried for SCRIPS programs and applicable functions both individually and cumulatively.

Using the Report: This report is used to identify the number of documents processed by operators in Forms Identification, Data Validation and Original Entry for specified queried periods of time. Information retrieved can be used for BBTS Unit Production input of receipts and production. See Exhibit 3.41.269-43, Unit Production Log Input Batch/Block Tracking System (BBTS).

Purge from SCRIPS the files including the document images and statistical information once the block/UWs of documents have been processed through SCRIPS and reach "accepted" by down-stream processing, and the transmittals have moved to archive.

It is recommended a system purge occur a minimum of two weeks after the output date.

Purge only those blocks/UWs available for purge. The system keeps track of block/UWs available for purge and only allows you to purge those blocks/UWs. SCRIPS doesn’t allow any block waiting for Quality Review (QR) Block Summarization or flagged for Quality Review to be purge.

Do not purge files for reports before six weeks.

A deleted document and/or block/UW is removed from the system when the form type is purged. The remainder of the form types on SCRIPS operate in the same manner.

A purge for the form type is initiated and activated before removal of deleted documents/block/UWs from the system. If you open a purge window but do not select any blocks for purge, the deleted documents/blocks/UWs do not leave the system. Until the deletion is properly done documents/blocks/UWs remain on the system.

Retain for 30 days after data is verified as converted to tape per Document 12990, Records and Information Management Control Schedules, Record Control Schedule (RCS) 29, item 85, Information Returns, the physical documents (UWs scanned in the SCRIPS area). If systemic issues exist for downstream systems a longer period is enforced by headquarters staff.