TN 3 (06-07)
RM 03202.005 Narrative - Processing ERISA Requests and Correspondence Relating to ERISA
A. ERISA Exceptions (SSA-L99-C1)
The following is the procedure for processing ERISA requests and correspondence relating to ERISA.
Pick up blocks of 25 cases from control area.
Pull Deferred Vested Benefits film for each case using the Document Control Number (DCN) located on the bottom of the SSA-L99-C1 (Notice of Potential Private Pension Benefits Letter).
On the film, find the participants’ name and Social Security Number (SSN) as shown on the right side of the SSA-L99-C1.
The participants’ name and SSN will be on the Schedule SSA (5500) or one of the pages directly under the 5500 on the film.
On the Division of Business Services’ (DBS), formerly the Division of Employer Services’ (DES) Shared drive, transcribe on a blank SSA-L99-C1, all the information recorded on the original SSA-L99-C1 and then transcribe from the Schedule SSA any missing information. This could include the plan name, Plan Administrator and address, the 3 digit plan number and/or the employer identification number.
Scan each prepared form SSA-L99-C1 for errors and correct if necessary. Print a copy of each typed SSA-L99-C1 for mailing.
Fold each letter so that the name and address of the participant shows through the envelope window.
Seal envelope and place in out-going mail bin at control area.
B. ERISA Correspondence
All correspondence from the public is checked to the Deferred Vested Benefits film to make certain that the previous information sent to the participant is correct.
If the SSA-L99-C1 has not been provided, but the letter has the SSN, check the PLDCNSSN film for the participants’ SSN. This will provide the DCN for the Deferred Vested Benefits film.
On the DBS’ Shared drive, transcribe the information from the Deferred Vested Benefits film on a blank SSA-L99-C1, the same as with Exceptions.
Review for errors and correct if necessary. Print a copy and mail to participant, the same as with Exceptions.
If the participant did not send the SSA-L99-C1 or include their SSN on the correspondence, return their letter with a form SSA-4482, Social Security Request for Information-ERISA. Check box 4 on the bottom of the SSA-4482, requesting that their letter be returned with the SSN.
On the DBS’ Shared drive, select the appropriate Model letter (ML) that addresses the participants concerns and the SSA-L99-C1.
Review the letter and SSA-L99-C1 for errors and correct if necessary. Print two copies of each, one set for the participant, and one set for DBS ERISA files.
Mail out the same as with the Exceptions. Include with the letter any personal information the participant sent in with their request.
C. ERISA Online Query
Since ERISA was enacted, the Office of Central Operations (OCO) has been the component responsible to comply with the requirements assigned to SSA. Beginning in Fiscal 2007, access to the new ERISA query screens is shared with the Field Offices (FO) employees and 800 number agents to provide information about potential pension entitlement. This accessibility will allow FO and 800 number agents to provide information about potential entitlement immediately to the numberholder (NH). OCO will continue to provide assistance if the information cannot be obtained accessing the query.
To access the ERISA Query, (MSOM QUERIES 010.001) follow these steps:
Select number 9 from the Main Menu to enter the Master File Query Menu.
Select number 7 from the Master File Query Menu to access the Data Exchange Query Menu, and type the SSN for the NH who is inquiring about potential entitlement to a pension.
Select number 9 to access the ERISA Private Pension System Main Menu and type the name of the NH corresponding to the SSN previously typed on the ERISA Query SSN Search screen and press enter.
The ERISA Pension SSN Summary will appear showing one or more records Select the record desired and press enter.
The ERISA Pension Query Details screen will show the name and address for the plan administrator of the pension in question.
Print the pension information by selecting the print screen option and hand or mail it to the NH, always complying with the disclosure procedures.
If the ERISA Pension SSN Summary screen appears blank and does not provide any information, forward a written request to OCO.