BASIC (10-80)

RM 03252.004 Receive Discrepant Forms SSA-L99-C1 “EXCEPTIONS”

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

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

    2. Name/SSN discrepancy.

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

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

    5. Issue Codes F and G Exceptions for examining.

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


To Link to this section - Use this URL:
http://policy.ssa.gov/poms.nsf/lnx/0103252004
RM 03252.004 - Receive Discrepant Forms SSA-L99-C1 "EXCEPTIONS" - 03/01/1999
Batch run: 01/27/2009
Rev:03/01/1999