Part 2. Information Technology

Chapter 3. IDRS Terminal Responses

Section 82. Command Code ESTABH

2.3.82 Command Code ESTABH

Manual Transmittal

November 13, 2023

Purpose

(1) This transmits revised IRM 2.3.82, IDRS Terminal Responses, Command Code ESTABH.

Material Changes

(1) IRM 2.3.82.1, Program Scope and Objectives: This IRM has been revised to include internal control information.

Effect on Other Documents

IRM 2.3.82 dated February 19, 2020, is superseded.

Audience

Large Business Small Business (LMSB), Small Business/Self-Employed (SB/SE), Tax Exempt/Government Entities(TE/GE), Wage & Investment (W&I).

Effective Date

(01-01-2024)


Kaschit Pandya
Acting, Chief Information Officer (CIO)

2.3.82.1 (11-13-2023)

Program Scope and Objectives

  1. The IDRS Document Request System (DOC), CC ESTABH provides a mechanism for displaying the CC ESTAB document request records created within the last 60 days. CC ESTABH also allows users to delete or edit ESTABD document request made within the current business day.

  2. Purpose: This transmits revised IRM 2.3.82, IDRS Terminal Responses, Command Code ESTABH.

  3. Audience: All IRS business units.

  4. Policy Owner: The Chief Information Officer (CIO) is responsible for overseeing all aspects of our systems that operate the nation’s tax infrastructure.

  5. Program Owner: Customer Service.

  6. Primary Stakeholders: Wage & Investment (W&I), Large Business and International (LB&I), Small Business Self-Employed (SB/SE), Tax Exempt and Government Entities (TE/GE).

  7. Program Goals: This system manages data that was extracted from Corporate Account Data Stores (BMF, IMF, and EPMF) allowing IRS employees to take specific actions on taxpayer account issues and track status of an account.

2.3.82.1.1 (01-01-2024)

Background

  1. Document Request System (DOC) allows users to requests documents from Service Center and Federal Records Center return files. Requests are printed out on Form 4251 Return Charge Outs. These requests are initiated by terminal inputs of command code ESTAB. Upon reaching the print site these requests are sorted into manageable order and the Forms 4251 are printed and forwarded for service. DOC is the principal means for obtaining original documents, copies and information from return files. The DOC project also has the following functions:

    • Allows single approved user to update an AIMS contact listing for employees (separate from other ESTAB functionality.

    • Allows users to view, update, and delete district office addresses stored RDMS database. These addresses are used to mail requested documents to users.

    • Allows users to view all of their document requests for up to 60 days. Also allows users to edit or delete same day requests before batch printing.

    • Allows users to request microfilm request to the Microfilm Unit for research.

    • Allows the Service Center Files area to enter the current retirements of documents to the Federal Records Center. Also allows users to also delete obsolete records.

    • Allows users to request SCRIPS images of documents.

2.3.82.1.2 (01-01-2024)

Authority

  1. Command Code ESTAB was developed as the principal means for obtaining original documents, copies and information from return files.

2.3.82.1.3 (01-01-2024)

Roles and Responsibilities

  1. ESTAB Project Lead is responsible for:

    • Review and implementation of WRs that affect ESTAB.

    • Updating the contents of this IRM.

2.3.82.1.4 (01-01-2024)

Program Management and Review

  1. The document request system was the first application to launch a relational database system on the UNISYS mainframe. The database is accessed through embedded SQL statements within the code.

  2. There are 2 databases; one located at each computing center. (TCC & MCC).

2.3.82.1.5 (01-01-2024)

Program Controls

  1. Access to this program is governed by SACS.

2.3.82.1.6 (01-01-2024)

Terms/Acronyms

  1. Table of commonly used Terms and Acronyms is below:

    Term or Acronym: Meaning:
    BMF Business Master File
    cc/CC Command Code
    DOC Document Request System
    EIN Employee Identification Number
    EPMF Employee Plan Master File
    ESTABH ESTAB CC provides a mechanism for displaying the CC ESTAB document request records created within the last 60 days
    EUP Employee User Portal
    FLC File Location Code
    FRC Federal Records Center Code
    IMF Individual Master File
    MCC/TCC Computing Centers, Martinsburg and Memphis
    RDMS Relational Database on Unisys Mainframe
    SACS Security and Communications System in charge of maintaining security protocols across CCs.
    SIR Security Information Record
    TIN Taxpayer Identification Number
    WRs Work Requests
2.3.82.1.7 (01-01-2024)

Related Resources

  1. No related resources available for Command Code ESTAB with Modifier “H”.

2.3.82.2 (01-01-2011)

General Information for CC ESTABH

  1. The IDRS Document Request System (DOC), CC ESTABH provides a mechanism for displaying the CC ESTAB document request records created within the last 60 days. CC ESTABH also allows users to delete or edit ESTABD document request made within the current business day.

  2. CC ESTABH uses the Employee Identification Number (EIN) from the logged-in user Security Information Record (SIR) to display document requests stored under the account of the logged-in user.

  3. Action Code "D" will initiate the CC ESTABH Request code D screen. This screen allows the requester to delete an ESTAB modifier D request.

  4. Action Code "E" will initiate the CC ESTABH Request Code E screen. This screen allows the requester to make updates to an ESTAB modifier E request.

  5. Action Code " R" will initiate the CC ESTABH Request Code R screen. This screen shows the data on the ESTABD request. It will also show the information that will print on the upper portion of the form 4251.

2.3.82.3 (01-01-2011)

Command Code ESTABH

  1. ESTABH users are required to input the Command Code (CC) in columns 1-5, CC Modifier in column 6, and Request Code in column 7 on line 1 of their IDRS terminal screen, then depress Enter/XMIT. The IDRS terminal screen will display the appropriate screen based on requester inputted Action Code.

  2. Action Code D will result in CC ESTABH Request Code D input screen.

  3. Action Code E will result in CC ESTABH Request Code E input screen.

  4. Action Code R will result in CC ESTABH Request Code R input screen.

2.3.82.4 (01-01-2011)

Error Response for CC ESTABH

  1. If any element(s) of data are invalid, a message will display on line 24. Error literals will display corresponding to the invalid element(s). Error messages are defined in IRM 2.3.82.7., Command Code ESTABH—Error Messages.

2.3.82.5 (01-01-2011)

Valid Response for CC ESTABH

  1. "REQUEST COMPLETED" message in the first 17 positions on line 24 indicates all data fields contain valid data, and request has been accepted by the IDRS system.

2.3.82.6 (01-01-2011)

Request Codes for CC ESTABH

  1. These are one character alphabetic codes inputted on line 1, column 7 of CC ESTABH. They are used to identify the type of request being made. The request codes are:

    Request Code Purpose
    D Initiated through the ESTABH Request Code "L" screen, this request code is used to delete ESTABD request made during the same business day as the document request.
    E Initiated through the ESTABH Request Code "L" screen, this request code is used to make updates to ESTABD requests made during the same business day as the document request.
    L Used to obtain a list of all ESTABD requests made by the IDRS logged-on employee within the last 60 days.
    R Initiated through the ESTABH Request Code "L" screen, this request code is used to display ESTABD request made within the past 60 days.

2.3.82.7 (01-01-2011)

Command Code ESTABH — Error Messages

  1. When an element of data is invalid a error message will be displayed on line 24. The element that is invalid will display an asterisk to the right of the invalid element.

    ERROR MESSAGES
    Error 1 Invalid Command Code Modifier, must be A, D, H, M, R, or S.
    Solution 1 Self Explanatory
    Error 2 Request has printed. You cannot delete or edit this request.
    Solution 2 The requested document has been processed and printed. You may only review this request using the "R" option.
    Error 3 Invalid choice. Type "D" to delete, "E" to edit, or "R" to review.
    Solution 3 Self Explanatory
    Error 4 Request has been deleted.
    Solution 4 Document request has been deleted from database and will not be processed.
    Error 5 Request has not been deleted.
    Solution 5 Document request was not deleted from the database and will be processed.
    Error 6 Invalid choice. Enter "Y" to delete or "N" to keep the request.
    Solution 6 Self Explanatory
    Error 7 Request has been changed.
    Solution 7 Changes made to the document request have been accepted and will be processed.
    Error 8 No changes made to request.
    Solution 8 No changes were made to the document request.
    Error 9 Invalid choice. Enter "Y" to edit or "N" to keep the request as is.
    Solution 9 Self Explanatory
    Error 10 Invalid request code, please enter a valid code.
    Solution 10 Correct/Reenter. The request code must be B, C, E, F, G, I , K, M, O, P, R, S, T, U, V, W, or X.
    Error 11 Invalid TIN, The TIN is a required field.
    Solution 11 Input TIN, Reenter
    Error 12 Invalid TIN, please correct TIN.
    Solution 12 Self Explanatory
    Error 13 Invalid DLN, must be entered.
    Solution 13 Self Explanatory
    Error 14 Invalid partial DLN, please correct partial DLN
    Solution 14 A partial DLN is the first three digits of a DLN
    Error 15 Invalid partial DLN, partial DLN must be numeric and three digits
    Solution 15 Self Explanatory
    Error 16 DLN failed validation, please correct DLN.
    Solution 16 Correct/Reenter
    Error 17 Correct DLN, must be numeric with 3 hyphens: 00000-000-00000-3
    Solution 17 Self Explanatory
    Error 18 Invalid ESTAB request, use CC TRPRT to secure this electronic 1040 doc
    Solution 18 Self Explanatory
    Error 19 Form-Num needed, please enter the form-num your requesting
    Solution 19 Self Explanatory
    Error 20 Invalid ESTAB request, cannot use ESTAB to secure this electronic 1040 doc
    Solution 20 Self Explanatory
    Error 21 Invalid ESTAB request, use the EUP system to obtain this electronic document
    Solution 21 Self Explanatory
    Error 22 Invalid, no document exist for DLN with Doc-Code 77 use Control-D to view F5147
    Solution 22 Self Explanatory
    Error 23 Invalid request, document requested within the last 14 days
    Solution 23 Self Explanatory
    Error 24 Invalid employee number, FLC not found
    Solution 24 The first two digits of the employee number are an invalid file location code
    Error 25 Invalid employee number, if entered must be numeric (All 10 digits)
    Solution 25 Self Explanatory
    Error 26 Invalid MFT, Please enter a valid MFT
    Solution 26 Self Explanatory
    Error 27 Sorry ESTAB does not process MFT code 88. (Transmittals)
    Solution 27 You cannot use ESTAB to request documents with MFT codes of 88.
    Error 28 Invalid Tax-Period, if MFT is "52" then tax-period must be "000000"
    Solution 28 Self Explanatory
    Error 29 Invalid, if MFT is "52" then Form-Num must be "706" or "706NA"
    Solution 29 Self Explanatory
    Error 30 Invalid Form-Num, Form number must start in left most position
    Solution 30 Self Explanatory
    Error 31 Invalid, if Form-Num is 706 or 706NA then MFT must be 52
    Solution 31 Self Explanatory
    Error 32 Invalid Tax-Period, Tax-Period must be entered.
    Solution 32 Self Explanatory
    Error 33 Invalid Tax-Period, Tax-Period must be numeric.
    Solution 33 Self Explanatory
    Error 34 Invalid, when Tax-Period equal "0000000" , MFT must be "52"
    Solution 34 Self Explanatory
    Error 35 Invalid Tax-Period, please correct
    Solution 35 Tax-Period did not pass validation, change or reenter Tax-Period
    Error 36 Invalid Plan-Number, must be three numbers.
    Solution 36 Self Explanatory
    Error 37 Invalid, Name-Control must start in left most position
    Solution 37 Self Explanatory
    Error 38 Invalid, Name-Control, first character must be a letter or number
    Solution 38 Self Explanatory
    Error 39 Invalid Name-Control, fourth character must be letter, number, &, or -
    Solution 39 Self Explanatory
    Error 40 Invalid Name-Control, third character must be letter, number, & , or -
    Solution 40 Self Explanatory
    Error 41 Invalid Name-Control, second character must be letter, number, &, or -
    Solution 41 Self Explanatory
    Error 42 Invalid Bod/Area-Num, user must enter a numeric value from 1 to 15
    Solution 42 Self Explanatory
    Error 43 Invalid Bod/Area-Num, must be a value 1 thru 15
    Solution 43 Self Explanatory
    Error 44 Bod/Area-Num option 1 is reserved for SC Employees using the above SC-Stop field
    Solution 44 Self Explanatory
    Error 45 Bod/Area-must be "01" for SC employee.
    Solution 45 Self Explanatory
    Error 46 Field cannot be empty. Please enter "Y" (Yes) or "N" (No)
    Solution 46 Enter "Y" or "N" into this field.
    Error 47 Invalid K-1 Request. Please enter "Y" or "N" .
    Solution 47 The only valid choices for this field are "Y" for Yes and "N" for No.
    Error 48 Please enter request code L after definer "H" to get desired screen.
    Solution 48 ESTABH screens with request codes "E" , "D" , and "R" can only be accessed through the ESTABH request code "L" screen.
    Error 49 Invalid request-code, code must be "D" , "E" , "L" , or "R" .
    Solution 49 ESTABH request codes can only be "D" , "E" , "L" , or "R" .
    Error 50 Invalid, use screen ESTABHL to edit request
    Solution 50 Self Explanatory
    Error 51 Invalid use screen ESTABHL to delete request
    Solution 51 Self Explanatory
    Error 52 Invalid use screen ESTABHL to review request
    Solution 52 Self Explanatory
    Error 53 There are no more request available to view. Max number of history pages is 420.
    Solution 53 You can only view up to 420 pages of your ESTAB request. Request older than 60 days old are automatically deleted.
    Error 54 DB Error: ............................... CM:.....................................
    Solution 54 Contact DOC programmer when this error occurs. Save all of the information from the screen and pass it along to the programmer.

Exhibit 2.3.82-1

Input Format, CC ESTABH — List Document Request

Input Screen ESTABH, Request-Code L

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Record Element Description
Item Line Description and Validity
1 1 Command Code - Must be ESTAB.
2 1 CC MODIFIER - Must be an "H" .
3 1 REQUEST CODE - Must be an "L" .
4-15 9 - 20 ACTION CODE- Must enter a D, E, or R next to the DLN you wish to work with. Enter "D" to cancel an ESTABD request you made earlier in the day. Enter "E" to make changes to an ESTABD request before the form 4251 is printed. Enter "R" to display an ESTABD request made within the last 60 days.
16 22 PAGE CONTROL - Used to control page movement. Enter "+" to increment page one page. Enter "-" to decrement page one page.
Exhibit 2.3.82-2

Input Format, CC ESTABH — Delete Document Request

Screen ESTABH, Request-Code D

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Exhibit 2.3.82-3

Input Format, CC ESTABH — Edit Document Request

Input Screen ESTABH, Request-Code E

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Please click here for the text description of the image.

Record Element Description
Item Line Description and Validity
1 2 REQUESTOR REQUEST CODE - Must be entered and must be B, C, E, F, G, I, K, M, O, P, R, S, T, U, V, W, or X.
2 2 REQUESTOR TIN INFORMATION - If TIN is entered, it must meet standard validity criteria.
    NOTE: See IRM 2.3.17.7, Command Code ESTAB—Error Messages, for validity checks of the TIN INFORMATION FIELD. Also see IRM 2.3.17.8, Command Code ESTAB—Consistency Messages.
3 3 DOCUMENT REQUEST NUMBER FIELD - Must be entered. Must be in the format " nnnnn-nnn-nnnnn-n" for standard 14 digit edited DLN. If the DLN is unknown enter first three digits of DLN. (The first two positions are the D.O. or S.C. Code, the third position is the Tax Class) If the request code is B, positions 14 and 15 of this field must be zeroes. Also see IRM 2.3.17.8, Command Code ESTAB—Error Messages, and see IRM 2.3.17.9, Command Code ESTAB—Consistency Messages.
4 3 EMPLOYEE NUMBER - Optional. If omitted, the completed request will be routed to the terminal operator. Enter if the requester is other than the terminal operator. Also see IRM 2.3.17.8, Command Code ESTAB—Error Messages.
5 3 MFT - must be entered and must be in "nn" format. Whenever the MFT is "52" , then the Form Number must be entered either as "706" or "706NA" , and the Tax Period must be "000000" . See IRM 2.3.17.8 , Command Code ESTAB—Error Messages and see IRM 2.3.17.9, Command Code ESTAB—Consistency Messages.
6 3 FORM NUMBER - If entered, use the Form Number of the document being requested. For requests that require Master File research, it must be a tax return that is processed to the Master File. When the Form Number is either " 706" or "706NA" , then the MFT must be " 52" , and the Tax Period must be "000000" .
7 4 TAX PERIOD - Must be in the format "nnnnnn" , and the fifth and sixth digits must be "01" –"12 " . The only exception to this guideline is when the Tax Period equals "000000" . Also see IRM 2.3.17.8 , Command Code ESTAB—Error Messages, and see IRM 2.3.17.9, Command Code ESTAB—Consistency Messages.
8 4 EMPLOYEE PLAN NUMBER -. Must be 001–999 when entered for EMPF. TIN must be present in EIN format if DLN research is required.
9 4 NAME CONTROL - If entered, must meet standard validity criteria. See IRM 2.3.17.8, Command Code ESTAB—Error Messages.
10-11 9-10 REMARK LINES - These lines should be used to provide additional information to the individual searching for your requested information. Whatever is put into these fields will print on the Form 4251 in the same format as it was inputted. Exceptions: Special Characters such as, "?" , "!" , " ;" , and "=" will print as a blank space.
    For documents not in DLN order and kept on the Alpha File, use the full Taxpayer's name and TIN in the Remarks line.
12 10 K1-REQUEST - Must contain Y or N. Y (Yes) would result in the following statement printing on the form 4251 "Pull Sch K-1 for this document" .
13 11 BOD/AREA NUMBER - Must be entered. Must be numeric. Valid codes are 1 through 15.
14 14 VERIFICATION MESSAGE - After entering the needed data in the above fields press Enter/Xmit. If all data fields are valid, this message will be displayed for Request Code D: " ARE YOU SURE YOU WISH TO DELETE THIS REQUEST>_ (Y/N)." and this message will appear for Request Code E: "SAVE MODIFICATION>_ (Y/N). "
    If your sure you wish to delete/edit enter " Y" and press Enter/Xmit from the TRANSMIT REQUEST field.
    If you do not want to delete/edit this record enter "N" and press Enter/Xmit from the TRANSMIT REQUEST field.
15 16 TRANSMIT REQUEST - After completing screen press Enter/Xmit while cursor is positioned in this field.
Exhibit 2.3.82-4

Screen Layout, CC ESTABH — Research Document Request

Input Screen ESTABH, Request-Code R

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CC ESTABHL, lines 2 through 10 display the information the user inputted when making the document request.
Lines 12 through 24 is a representation of the upper portion of an form 4251 that will print as a result of the user document request.