Identification Number:
RM 03256 TN 2
Intended Audience:See Transmittal Sheet
Originating Office:DCO
Title:Resolve ERISA Exceptions
Type:POMS Transmittals
Program:All Programs
Link To Reference:
 

PROGRAM OPERATIONS MANUAL SYSTEM
Part RM – Records Maintenance
Chapter 032 – Pension Information Processing System
Subchapter 56 – Resolve ERISA Exceptions
Transmittal No. 2, 01/30/2020

Audience

Originating Component

OCO

Effective Date

Upon Receipt

Background

This is a Quick Action Transmittal. These revisions do not change or introduce new policy or procedure.

Summary of Changes

RM 03256.004 Transcribe Plan Information Onto SSA-L99-C1 (4404)

 

Subsection A. 1.b. Item not located - Annotate SSA-L99-C1 "UTL" (Unable to Locate) in the upper right corner. Refer case to OITEBS, DEED.

Subsection B. Transcribe the missing information.

Access the SSA-L99-C1 on the local Share Point. Transcribe the missing information onto the the SSA-L99-C1 as follows:

RM 03256.004 Transcribe Plan Information Onto SSA-L99-C1 (4404)

A. Screen pension plan forms to resolve exceptions

Upon locating the correct Schedule SSA on microfilm, proceed as follows:

NOTE: A sample Schedule SSA is located in RM 03299.003 as Exhibit 1.

1. Screen items 5(a) and 5(b) on the Schedule SSA for the SSN and name which corresponds with that shown for the participant on the SSA-L99-C1.

a. Item located — Proceed according to RM 03256.004A. 2. in this section.

b. Item not located — Annotate SSA-L99-C1 “UTL” (Unable to Locate) in the upper right corner. Refer case to OITEBS, DEED.

NOTE: Use BLACK PENCIL

2. Obtain the missing information from the Schedule SSA by using the numbered items on the Schedule SSA as indicated in RM 03256.004B in this section.

B. Transcribe the missing information.

Access the SSA-L99-C1 on the local Share Point. Transcribe the missing information onto the SSA-L99-C1 as follows:

1. Plan name

Transcribe directly below “Plan Name.”

2. Plan number

NOTE: Numbers will be combined to form a twelve digit Plan Number, consisting of the nine digit EIN, Employer Identification Number and the three digit Plan Number, e.g., 12-3456789-001.

Transcribe directly to the right of “Plan Number.”

3. Plan administrator

Transcribe complete name and address directly below “Plan Administrator.”

4. Identification number

Transcribe the nine digit identification number directly to the right of “Identification Number.”

C. Completed work

Review completed work and mail to number holder.

 


RM 03256 TN 2 - Resolve ERISA Exceptions - 1/30/2020