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[ Status Procedures Manual - TOC ] [ Ch 1 - New Accounts ] [ Ch 2 - Changes to Accounts ] [ Ch 3 - Special Accounts ] [ Ch 4 - Other Units, Sections & Departments ] [ Ch 5 - Letters ] [ Ch 6 - Investigations & Assistance ] [ Ch 7 - Partial Transfer Applications ] [ Ch 8 - Traces ] [ Ch 9 - Special Reporting Situations ] [ Ch 10 - Account Numbers ] [ Ch 11 - Appeals Decisions and Hearings ] [ Ch 12 - Document Processing ] [ Ch 13 - Error Reports & Query List Instructions ] [ Ch 14 - Tax Performance System ] [ Ch 15 - Experience Rating Unit ] [ Ch 16 - SUTA Dumping Detection ]
[ 12.1 - Assemble Check & Mail Output ] [ 12.2 - C-198 Letter Duplicate Requests ] [ 12.3 - Check and Process C-10s ] [ 12.4 - Check Mail Batches to Ensure Posting ] [ 12.5 - Processing DLN Sheets ] [ 12.6 - Document Log & Destroy ] [ 12.7 - Document Log to be Worked ] [ 12.8 - Documents Processed Under the Wrong EID ] [ 12.9 - Document without Document Locator Number ] [ 12.10 - Key Document Locator Numbers ] [ 12.11 - Sorting & Batching Mail ]

Chapter 12:  Document Processing

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12.9     Document without Document Locator Number

[ 12.9.1 - Action Required Documents w/o DLNs ][ 12.9.2 - Accounts Examiner Letters ][ 12.9.3 - System Generated Letters ] [ 12.9.4 - Appeals Decision ]

Incoming correspondence is imaged and assigned a document locator number (DLN). Each account then has a listing, in order received, of all documents sent in under its account number. This list is accessible via the Transaction Log (TDO).

Most documents are processed in batches that create assignments to Status staff using batching procedures (see Chapter 12 – “Sorting and Batching Mail”). This will be documented on TDO.

Sometimes, documents are received that have not been imaged and subsequently, do not have a DLN. Examples of correspondence that do not have DLN's include faxes, e-mails, hand delivered forms and documents sent by other departments or sections. Upon receipt of a document without a DLN, corrective measures must be taken to insure that the document receives a DLN and is listed on the TDO screen.

12.9.1     Action Required Documents - Without DLNs

Upon receipt of documents without DLN's, the following steps should be taken:

  1. Review the document and make any changes or adjustments required.

  2. Document the FTC indicating the type of document received and the action taken.

  3. Make sure the account number is written on the document and place it in the "Doc Log and Destroy" basket for processing by SOU.

  4. Check the TFL to determine if a pending trace can be deleted based on the action you have taken. Delete the trace if appropriate.

    If a document without a DLN is received for an entity that does not have an account number, you must assign a pending account number. For further information on assigning account numbers, see Chapter 10 - "Assigning Pending Account Numbers".

12.9.2    Accounts Examiner Letters

A copy of  the PC letter produced by an accounts examiner should be placed in the "Doc Log & Destroy" basket for processing by SOU. If the PC letter is being traced, wait until completion of the trace to place it in the Doc Log & Destroy basket.

12.9.3     System Generated Letters

System generated letters are automatically assigned a DLN and listed on the TDO screen. Therefore, they do not need to be manually assigned a DLN.

12.9.4     Appeals Decisions

Upon completion of an Appeals Decision, a copy should be placed in the "Appeals Decisions - Doc Log" basket for processing by SOU.

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Last Revision: October 19, 2011