Basic (10-80)

RM 03252.004 Receive Discrepant Forms SSA-L99-C1 EXCEPTIONS

1. A. 

   Discrepant Forms SSA-L99-C1 will contain one or both of the following conditions:

   1. 1. 

      Employer/Plan Information missing — No plan identifying information will be shown.

   2. 2. 

      Name/SSN discrepancy.

2. B. 

   The following code system will be furnished by EDP, on the SSA-L99-C1 and used to identify the above discrepancies and aid in their resolution.

   1. 1. 

      Document control Number “DCN” — This is a 10 digit reference number for locating the Schedule SSA (document on which the deferred vested rights pension information was originally reported) on the Deferred Benefits Microfilm

      Positions 1-2 are the year that the information was reported; 3-5 are the block number; 6-7 are the unit; and 8-10 are the page sequence. The DCN is located in the lower left corner of the SSA-L99-C1.

   2. 2. 

      Control — This a three or four position code consisting of one or two alpha characters (see below for definitions) provided by EDP and the two-digit block number under which the ERISA request was processed. It is located in the lower right corner of the SSA-L99-C1.

      1. a. 

         EDP code definitions are as follows:

         Code “A”—

         First party request — no special handling required.

         Code “B”—

         First party request which require a dictated letter response in addition to the Notice of Potential Private Pension Benefits.

         Code “C”—

         Third party request — No special Handling required.

         Code “D”—

         Third party request — Dictated letter necessary as described for Code “B” above.

         Code “E”—

         Employer/Plan Information missing.

         Code “F”—

         Name/SSN discrepancy.

         Code “G”—

         Employer/Plan Information Missing AND Name/SSN discrepancy.

         NOTE: Definitions for codes A, B, C, and D are provided for informational purposes only. Exceptions will be concerned only with codes E, F, and G.

      2. b. 

         Exceptions codes E, F, or G will modify the three postition control number by adding an additional alpha character. For example, A99 (First party request — no special handling, Block 99) will change to FA99 if a Name/SSN discrepancy is involved.

   3. 3. 

      Keep a separate count of all Code E, F, and G Exceptions, and furnish to the Records Utilization and Services Branch upon request.

   4. 4. 

      Forward all Code E Exceptions to the Employer Branch (ERB) under cover of a route slup annotated “ERISA Exceptions — Code E.”

   5. 5. 

      Issue Codes F and G Exceptions for examining.

   6. 6. 

      Code G Exceptions will be forwarded to ERB after the Name/SSN discrepancy has been resolved.