Identification Number:
RM 03258 TN 2
Intended Audience:See Transmittal Sheet
Originating Office:DCO OCO OEIO DTPS
Title:Processing Correspondence Related to ERISA (4230, 4231, 4235, 4237, 4356, 4406)
Type:POMS Transmittals
Program:Records Maintenance (Earnings & Enumeration)
Link To Reference:
 

PROGRAM OPERATIONS MANUAL SYSTEM
Part RM – Records Maintenance
Chapter 032 – Pension Information Processing System
Subchapter 58 – Processing Correspondence Related to ERISA (4230, 4231, 4235, 4237, 4356, 4406)
Transmittal No. 2, 01/09/2020

Audience

Originating Component

OCO

Effective Date

Upon Receipt

Background

The POMS section should be updated to improve the content for readability and tone.

 

Summary of Changes

RM 03258.005 General Response Guidelines for ERISA Correspondence (4406)

Changed Potential Private Pension Benefit Information to Potential Private Retirement Benefit Information.

RM 03258.005 General Response Guidelines for ERISA Correspondence (4406)

Apply the steps below for responses to general ERISA inquiries that involve the Form SSA-L99-C1 (Potential Private Retirement Benefit Information).

  1. 1. 

    Return original form SSA-L99-C1 to the correspondent.

  2. 2. 

    Inform the individual that SSA has no additional pension information.

  3. 3. 

    Explain the intended purpose of the SSA-L99-C1, i.e., notification of possible deferred vested rights benefits.

  4. 4. 

    Direct the individual to the Plan Administrator and include the name and address of that party (obtain from SSA-L99-C1) in the body of the letter.

    EXCEPTION: When the individual making the inquiry has not returned the SSA-L99-C1 with the correspondence, direct him or her to the Plan Administrator listed on the form SSA-L99-C1 (Notice of Potential Private Retirement Benefit Information).

  5. 5. 

    Ensure that the reply answers ALL questions or concerns relating to Social Security Administration matters.


RM 03258 TN 2 - Processing Correspondence Related to ERISA (4230, 4231, 4235, 4237, 4356, 4406) - 1/09/2020