Program Operations Manual System (POMS)
Basic (04-20)
RM 03250.003 Screen and Determine ERISA Requests/Correspondence
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A.
Receive correspondence to be screened.
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B.
Decide whether the correspondence is an “ERISA Request” or “ERISA Correspondence” according to C. and D. below.
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C.
Determine that the correspondence is an “ERISA Request” for deferred vested rights pension information using the following criteria:
NOTE: Do not confuse ERISA requests with social security earnings requests for
private pension puposes.
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1.
Correspondence specifies that ERISA information is requested.
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2.
Correspondence specifies that pension information is being requested under the Employee
Retirement Income Act of 1974.
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3.
Correspondence contains one of the following or a similar key phrase in the form of
a request:
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a.
Deferred vested rights information
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b.
Private pension (rights) information
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c.
Pension Reform Act Information.
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D.
Determine the correspondence is “ERISA Correspondence” according to the following:
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1.
Message is written on or accompanied by a Form SSA-L99-C1 previously furnished by
SSA.
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2.
Individual questions or mentions Form SSA-L99-C1 (by number or name; or the ERISA/pension
information we sent; or the deferred vested rights information he/she received; etc.)
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3.
Correspondence is from the administrator of a private pension plan (Plan Administrator)
and mentions ERISA or anything related to ERISA; Form 5500; Form 8955-SSA; Schedule
SSA; or pension report submitted.
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4.
Correspondence is from an employer covered by a private pension plan and refers to
any of the items listed in 3. above.
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5.
Individual wants information about ERISA, etc.