Basic (04-20)

RM 03250.003 Screen and Determine ERISA Requests/Correspondence

1. A. 

   Receive correspondence to be screened.

2. B. 

   Decide whether the correspondence is an “ERISA Request” or “ERISA Correspondence” according to C. and D. below.

3. 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.

   1. 1. 

      Correspondence specifies that ERISA information is requested.

   2. 2. 

      Correspondence specifies that pension information is being requested under the Employee Retirement Income Act of 1974.

   3. 3. 

      Correspondence contains one of the following or a similar key phrase in the form of a request:

      1. a. 

         Deferred vested rights information

      2. b. 

         Private pension (rights) information

      3. c. 

         Pension Reform Act Information.

4. D. 

   Determine the correspondence is “ERISA Correspondence” according to the following:

   1. 1. 

      Message is written on or accompanied by a Form SSA-L99-C1 previously furnished by SSA.

   2. 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.)

   3. 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.

   4. 4. 

      Correspondence is from an employer covered by a private pension plan and refers to any of the items listed in 3. above.

   5. 5. 

      Individual wants information about ERISA, etc.