TN 9 (04-20)

RM 03258.003 Initial Examining and Coding

A. Receive ERISA correspondence

Receive ERISA related correspondence which will result from the following:

  • Correspondence which requests Form SSA-L99-C1, Potential Private Retirement Benefit Information Notice , AND asks questions or requests information about ERISA.

    NOTE: Forms SSA-L99-C1 will be provided by the transmitting component.

  • General correspondence related to ERISA which DOES NOT request Form SSA-L99-C1.

B. Review key words to determine ERISA involvement

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

  1. 1. 

    Correspondence contains one of the following or a similar key phrase.

    • Employee Retirement Income Security Act of 1974 (ERISA)

    • Pension Reform Act

    • Deferred vested rights/benefits

    • Vested benefits

  2. 2. 

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

  3. 3. 

    Individual questions or mentions form SSA-L99-C1 (by number or name; or the ERISA/pension information furnished by SSA; or the deferred vested rights information he or she received, etc.).

  4. 4. 

    Individual requests general information about ERISA, Pension Reform Act, etc.

  5. 5. 

    Correspondence is from the administrator of a private pension plan (Plan Administrator) and mentions any of the following:

    • ERISA or anything related to ERISA.

    • Form 5500 (Annual Report/Return of Employee Benefit Plan).

    • Form8955- SSA (Annual Registration Statement Identifying Separated Participants With Deferred Vested Benefits).

    • Pension report submitted.

    • Plan participant covered by specific private pension plan.

  6. 6. 

    Correspondence is from an employee covered by a private pension plan and refers to any to the items listed in RM 03258.003B.5 in this section.

C. Classify Correspondence

Classify the correspondence that meets the criteria in RM 03258.003B.5. in this section as “ERISA Correspondence.”

D. Types of ERISA Correspondence to Handle

Handle ERISA correspondence that consists of the following:

  • Employer/Plan Administrator correspondence in which a plan participant is being “reported” under ERISA as having deferred vested benefits.

  • Employer/Plan Administrator correspondence stating that pension information previously reported is incorrect or requests a change in SSA records.

  • Form 5500, 8955 or Schedule SSA received.

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RM 03258.003 - Initial Examining and Coding - 04/16/2020
Batch run: 04/16/2020