Program Operations Manual System (POMS)
RM 03252.004 Receive Discrepant Forms SSA-L99-C1 “EXCEPTIONS”
Discrepant Forms SSA-L99-C1 will contain one or both of the following conditions:
Employer/Plan Information missing — No plan identifying information will be shown.
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.
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.
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.
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”—
- 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.
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.
Keep a separate count of all Code E, F, and G Exceptions, and furnish to the Records Utilization and Services Branch upon request.
Forward all Code E Exceptions to the Employer Branch (ERB) under cover of a route slup annotated “ERISA Exceptions — Code E.”
Issue Codes F and G Exceptions for examining.
Code G Exceptions will be forwarded to ERB after the Name/SSN discrepancy has been resolved.