- 7.14.5.1 Overview
- 7.14.5.2 Case History
- 7.14.5.3 Closing Approval
- 7.14.5.4 Letter Generation System
- 7.14.5.5 Screen Operations
- 7.14.5.6 Output of the Inventory Control System
- Exhibit 7.14.5-1 EDS Main Menu — Inventory Control System
- Exhibit 7.14.5-2 Inventory Control System (ICS) Main Menu
- Exhibit 7.14.5-3 Multiple Case Assignment/Reassignment Screen
- Exhibit 7.14.5-4 Query/Update KDO Master Record
- Exhibit 7.14.5-5 Notice of Qualified Separate Line of Business
- Exhibit 7.14.5-6 Update KDO Master Record — Employee Plans Merger/Spin Off/Transfer of Assets or Liabilities
- Exhibit 7.14.5-7 Case History Record Screen
- Exhibit 7.14.5-8 Inventory Control System—Approval Screen
- Exhibit 7.14.5-9 Print Closing Screen
- Exhibit 7.14.5-10 Print Format/Selection Screen
- Exhibit 7.14.5-11 Status 51 and Status 58 Update—Mass Case Status Update
- Exhibit 7.14.5-12 Re-open Cases Closed In Error To Review Screen
- Exhibit 7.14.5-13 EDS — Employee Plan Case Closing Sheet
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EP determination applications are transcribed (entered) through Data Transcription Subsystem (DTS) ( IRM 7.14.2,Data Entry). An inventory record is created in the Inventory Control Subsystem (ICS) and a unique case control number is generated.
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The Case Number is used to update the case status and may be used to generate development and closing letters in the Letter Generation System (LGS) if the application request has not been assigned a DLN. The Case Number is located on Form 8626,EP Transmittal Sheet and written on the EP Determination Input Sheet (attached to the front of the case folder). The application is assembled in a case file and as the case moves through the pipeline the status is updated in ICS to reflect where the case file is at each stage of the process.
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Each employee who uses ICS must have a five digit specialist number to access the system. Each ID is given a function code. The function code describes the duties the ID (employee) will be permitted to perform in EDS, such as, managerial, clerical or specialist who works cases. A specialist ID will also serve as their specialist number.
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Cases can only be assigned to an ID whose function code is a specialist.
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Any person acting for a manager or secretary/clerk must have their ID function code updated to a manager or secretary/clerk to approve case closings. While their function code is set to a manager or secretary/clerk cases may not be assigned to that ID until their function code is set back to a specialist. The Functional Coordinator must update the function code.
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Cases may be assigned in the Query/Update Master Record screen or the Multiple Assignment screen. Cases updated to review can only be updated in the Query/Update Master Record screen.
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When a final disposition is made on a case (favorable or unfavorable determination) closing data is entered. This data is electronically transferred to the Master File Pipeline System (MPS) of EDS in the service center to update the Employee Plans Master File (EPMF) and the Management Information Subsystem (MIS) in the Detroit Computer Center.
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Screens are available to update the status, enter closing data, print the closing sheet and approve the closing.
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Acceptable entries for each screen item are provided in the exhibits to this text. See the following exhibits to use each screen in ICS.
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Inventory Control System Main Menu — Exhibit 7.14.5–2
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Case Assignment/Reassignment Screen — Exhibit 7.14.5–3
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EP Query/Update Master Record Screen — Exhibits 7.14.5–4 and 7.14.5–5
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Case History Screen — Exhibit 7.14.5–6
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Approval of Case Closings — Exhibit 7.14.5–7
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Print Closing Screen — Exhibit 7.14.5–8
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A case history is created for each action taken on a case. The actions may include updating data entered during DTS, entering closing data and updating the status, etc. Each of these actions generates a record containing the type of update and which login performed the update.
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The case history may be viewed by entering the case number in the Query/Update Master screen. Once the record is displayed the F6 function key is used to view the case history information.
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Each case must have a proposed closing code and closing data entered. The proposed closing is subject to management approval and to the mandatory and sample review, Tax Exempt Quality Measurement System (TEQMS), selection criteria.
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If the case is not selected or required to go to Quality Assurance, the case number will be entered in the Case Approval screen by the manager or secretary/clerk. This screen may only be accessed by a login that has a function code of a manager or a secretary/clerk.
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The Letter Generation System (LGS) is accessed through the ICS Main Menu. See IRM 7.14.4,Letter Generation, for the LGS use.
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In a typical session, the following interaction takes place:
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The system displays a screen by entering the Case Number. The data entered from DTS will be displayed in each of the appropriate items. The data should be verified for accuracy and any blank fields that are required should be filled in.
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The arrow and other keys can be used to skip over items.
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The same keys should be used when an input field is not completely filled so that the cursor is positioned in the next input item.
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The F1 and/or F2 key is depressed when all desired items have been verified or entered.
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The system will display "WAIT" message at the bottom right corner of the screen to indicate that it is processing the input and that no other key should be hit until the "WAIT" sign is turned off.
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The system performs validity and consistency checks to ensure that the data entered is correct.
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If an error is detected, the terminal will beep, a reverse video error message will be displayed on the last line of the screen, and the cursor is positioned at the field in error. The data should be re-entered correctly and the appropriate key depressed. This error correction procedure will be repeated until all errors have been corrected.
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EDS Inventory Control generates Form 8671,Employee Plan Case Closing Sheet.
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The case closing sheets are printed and included in the case file, when the specialist submits the case to the manager for closing approval.
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The manager will verify the data on the closing sheet and initial in the space provided their approval of the closing.
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The Case Closing Sheet, Form 8326, should be printed immediately after entering the closing data. The purpose of the case control sheets is to display the information sent to the MPS and provide a document where the manager can initial off on the approved closing.
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An example of the EP Case Closing Sheet is found in Exhibit 7.14.5–9.
| The following main menu is displayed once the users logs on EDS. |
| EDS-CES–30 | EP DETERMINATION SYSTEM (EDS) |
| (1) Reserved (2) Data Transcription System Menu (DTS) (3) Inventory Control System Menu (ICS) (4) Management Information System Menu (MIS) (5) File Maintenance system menu (FMS) |
|
| (0) EXIT | |
| ***Select one of the above: ___ | |
| Hit F1: Execute F10: Exit | |
| (1). Select option three on the EDS Main Menu and F1 to activate the Inventory Control System Menu. | |
| (1). Enter the selection for the ICS Main Menu on your EDS Main Menu. The following screen is displayed. | |
| EDS-ICS–40 EP/EO DETERMINATION SYSTEM (EDS) | |
| INVENTORY CONTROL SYSTEM MENU (ICS) | |
| (01) Query/Update Master Record and Status (02) Reserved (03) Multiple Case Assignment (04) Letter Generation System (05) Reprint Transmittal Sheets (06) Print Labels (07) Print Closing Forms (08) Approval of Closed Cases (09) Query/Generate File Folder Numbers (10) Multiple Status 51/58 Updates (11) Re-Open To Review (12) Multiple Merit Closure Assignment |
|
| (00) EXIT | |
| ***Select one of the above: ___ | |
| Hit F1: Execute F10: Exit | |
| (2) Depress the F1 key. |
| Validity Checks | ||
|---|---|---|
| ITEM | PROMPT | DESCRIPTION |
| 1 | Select one of the above | Must be one of the valid option numbers (00, 01 – 11). |
| (1) The screen below is displayed when option 3 is selected from the Inventory Control System (ICS) Main Menu. This option allows any EDS user to transfer, assign or reassign a case to another specialist or Area using status 52. The Action History Record on the case will display the login of the person who updated the case. | |
| EDS-ICS–663a Case Assignment | |
| Org Code: ___ Employee Number: ____ Case Grade: __ | |
| Case Number Employer/Organization Name Status Message | |
| _____ ____________________ _ _______ | |
| _____ ____________________ _ _______ | |
| _____ ____________________ _ _______ | |
| _____ ____________________ _ _______ | |
| _____ ____________________ _ _______ | |
| _____ ____________________ _ _______ | |
| _____ ____________________ _ _______ | |
| _____ ____________________ _ _______ | |
| _____ ____________________ _ _______ | |
| _____ ____________________ _ _______ | |
| _____ ____________________ _ _______ | |
| _____ ____________________ _ _______ | |
| _____ ____________________ _ _______ | |
| _____ ____________________ _ _______ | |
| Hit F1:Execute F10: Exit | |
| (2) The screen requires case number(s) and an employee number. A group number and/or case grade may be entered. All cases entered on one screen must have the same case grade. If the group number does not match the group number assigned to the employee in the employee master file, a message will be displayed on the screen. If this message appears see your EDS Functional Coordinator. | |
| (3) Enter these fields according to the validity checks below. | |
| (4) Depress the F1 key. | |
| (5) If there are no input errors (i.e., UPD Failed, etc.), the screen will display the employee’s current group, the Plan Sponsor Name or Organization Name, the current status, and any error messages, if appropriate. | |
| (6) If an input error occurs, the message will be displayed and the cursor is positioned on the field in error. | |
| a. Correct the input error. | |
| b. Continue at (4), above. | |
| (7) Verify that the cases displayed are the correct cases to assign. An incorrect cases number can be corrected. Re-enter the case number that is incorrect. Depress the F1 key to process the corrected case number with the others. Once the case(s) are verified depress the F5 key. | |
| (8) The screen will re-display again with the message(s) "ASSIGNED" or "UPD FAILED" . The case(s) with the message "ASSIGNED" will be updated with status 52 to the specialist number entered on the screen. For the list of other messages see Messages on the next page. | |
| (9) If there are more cases to assign, depress the F1 key to display a blank screen and continue. | |
| (10) If there are no more cases to assign, depress the F10 to exit. | |
| (11) If the error message "Cannot Assign Case to This Employee" is displayed, have your EDS Functional Coordinator verify the "Function Code" in the File Maintenance System. The employee’s function code cannot be 61, 62, 77, 79, 98 or 99. | |
| (12) If the error message "UPD FAILED" was displayed see your EDS Functional Coordinator. There is a file mismatch. | |
| Validity Checks | ||
|---|---|---|
| ITEM | PROMPT | DESCRIPTION |
| 1 | Org Code | Display Only. Displays the group the specialist is assigned to. |
| 2 | Employee Number | Specialist number. The five digit number assigned to each specialist. Must be entered and must be numeric. |
| 3 | Case Grade | If entered, must be numeric. Must be one of the following valid case grades: |
| EP–09, 11, 12 or 13 | ||
| 4 | Case Number | Must be numeric. Enter the nine digit number assigned by DTS. |
| 5 | Plan Sponsor/Organization Name | Display only. The first name line of the Plan Sponsor or Organization. |
| 6 | Status | Display only. The current status of the case if it is not 50 or 51. |
| 7 | Message | Display only. The following messages will be displayed when appropriate: |
| ASSIGNED CASE CLOSED CASE NOT FOUND — Case number may have been entered incorrectly. CLOSE PENDING — Case is currently in 55 status. |
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| DUPLICATE — Case number was duplicated on the screen. INCON UPDATE — Inconsistent update. Case is currently in a Review status. UPD FAILED — see Functional Coordinator. There is a mismatch file. |
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| (1) The screen below is displayed when option 1 is selected from the Inventory Control System Main Menu (Exhibit 7.14.2–2). The screen may be used by any login that has been added to the Employee Master file of EDS. (See your Functional Coordinator to add employees to the Employee Master file (EM Table)). | |
| EDS-ICS–644a | UPDATE KDO MASTER RECORD — EMPLOYEE PLAN |
| ***Select one of the following: _ | |
| (1) Research Only (2) Update Status (Open Codes Only) (3) Update KDO Master Record Only (4) Update Status, KDO Master Record or Closing Data (5) Update MIR Data After Closing (6) Print Case History (7) Print Closing Forms |
|
| Enter Search Criteria DLN: | ______ | |
| Case No: | _____ | |
| EIN: | _–____ ___ | |
| FFN: | _____ | |
| Name Cntl: | ___ ___ | |
| Zip: | ||
| Hit F1: Enter – F10: Exit | ||
| (2) The initial query screen is used to select one of the menu options shown above and display the KDO Master Record screen or the Print Format/Selection Screen. The same KDO Master File Screen is displayed for each menu option except Notices of Qualified Separate Line of Business (QSLOB) filed on Form 5310-A. QSLOB notices will display a unique screen (see Exhibit 7.14.5–5). Each field may have limited access depending on the menu option selected. The field access will be explained further in item (13) below. | |
| (3) This screen requires an entry in one of the seven fields to retrieve application or notice information. The application or notice can always be uniquely identified by the DLN or Case Number. Query by DLN or case number is the fastest search and should be used when it is readily available. Alternately, you can query by other items but these are not always unique and therefore may require you to further identify the application. | |
| The alternate search methods may be by: | |
| — EIN | |
| — EIN and Plan Number | |
| — File Folder Number | |
| — Name Control | |
| — Name Control and Zip Code | |
| (4) Enter the item(s) according to the validity checks below. | |
| (5) Depress the F1 key. | |
| (6) When there are no input errors, the screen is displayed with the KDO Master Record(s) found. | |
| a. If only one record is found the Update KDO Master — Case Control Screen below is displayed. If the record is a QSLOB notice the screen in Exhibit 7.14.5–5 is displayed. | |
| b. If more than one record is found continue at (9), below. | |
| (7) If an input error occurs, the error message is displayed with the cursor positioned on the field in error. | |
| a. Correct the input error. | |
| b. Continue at (5), above. | |
| (8) If the first record displayed is not the correct one, press the F2 key to display the NEXT record. Continue pressing the F2 key until the correct record is found or the message "There are no more records in this direction" is displayed. The F3 key may be used to go back to previously displayed records. | |
| (9) When the correct record is found, press the F1 key and the KDO Master Record is displayed. | |
| (10) If you wish to search on a different item(s) for another KDO Master Record, press the F5 key. Enter the new search item(s) and continue at (5), above. | |
| (11) Each menu option (1 – 5) determines which fields on the screen below may be updated. | |
| a. Option 1 — This screen is used for research. It does not allow update of any field. | |
| b. Option 2 — This screen is used to change open inventory status type fields. Updates to Status Date, Status (Open Codes only), Specialist Number, Case Grade, Hours, Reviewer Number and Reviewer Hours fields may be entered. Closing codes may not be entered or updated in this option (See Option 4, below). Hours may be updated prior to the closing being approved. This option does not require ALL fields be present on the screen to validate the status update. May not be used to display a QSLOB notice. | |
| c. Option 3 — This screen is used to update master file type fields. It allows all fields to be updated except the Status Date, Status, Specialist Number, Hours, Case Grade, Reviewer Number, and Reviewer Hours. This option will not require validation of inventory status fields while updating the master file type fields. | |
| d. Option 4 — This screen is used to enter or update the inventory status type fields, master file type fields, MF Indicator, and proposed closing data. All validity and consistency checks apply to all fields. To close a case, the specialists will use this option. May not be used to display a QSLOB notice. | |
| e. Option 5 — This screen is used to update management information report (MIR) fields after closing (after the Case Approval Screen). It allows update of Status (Closing Codes only, except 30), Specialist Number, Hours, Case Grade, Reviewer Number, Reviewer Hours, Total Participants and Benefit Type. This option is available to the CS-SP Coordinator Login ID and the MF Status is 3 or 30. May not be used to display a QSLOB notice. | |
| Validity Checks | ||
|---|---|---|
| ITEM | PROMPT | DESCRIPTION |
| 1 | Select one of the following | Must be 1 – 7. Option 5 may only be accessed by a CS-SP Coordinator Login ID. |
| 2 | Case No | Case Number. Must be numeric. |
| 3 | EIN | Employer Identification Number Must be numeric. |
| 4 | Plan No | Three digit plan number. Must be numeric. |
| 5 | FFN | File Folder Number. Must be numeric. |
| 6 | Name Cntl | Name Control. See below to determine the Name Control of the Plan Sponsor. |
| 7 | Zip Code | Five digit Zip Code. Must be numeric. |
| 8 | Plan Sponsor Name | Display only. Name of the plan sponsor. |
| 9 | Form | Display only. Application form number and Version. |
| (12) The following screen is displayed when Options 1 – 5 are selected, the record is an application or notice of merger and F1 is pressed from the initial query screen. The Update KDO Master File screen for QSLOB is displayed when Options 1 or 3 are selected (see Exhibit 7.14.5–5). Fields on these screens may be updated as described in the validity checks below. All fields will be evaluated for validity and consistency depending on the menu option selected. Option 6 or 7 displays the Print Format/Selection Screen (see Exhibit 7.14.5–10 for the use of the Print Format/Selection screen). | ||
| EDS–ICS–644b4 UPDATE KDO MASTER RECORD — EMPLOYEE PLAN Case No: _____ EIN: __–____ Plan No: ___ FFN: _____ Req Type: __ Form: ___ Ver: _ Rev: ___ Assoc District: _ Control Date: _/_/_ |
| Plan Sponsor Name: | __________________ | Name Control: ___ |
| __________________ | Form 5309: _ | |
| __________________ | Entity Type: ___ | |
| __________________ | Model Plan Type: _ |
| DBA: ____________________ 401(K): _ |
| Address: ____________________ |
| City: ___________ State: __ Zip: ___–__ |
| Name of Plan: ____________________ |
| ____________________ Plan Year Ends: __ |
| Benefit Type: _ Total Part: ____ Termination/Merger Effec Dt: _/_/_ Ltr Serial No: (DO) ____(NO)____ Vesting:_ Reversion Amt: ______ Reason for Termination: _ Plan Effec Dt: _/_/_ Law Indicator: _ |
| MF: ____ Dt: _/_/_ |
| ***Date: _/_/_ Status: _ Specialist No: ___ Hours: __._ Case Grade: _ Last Letter Created: __ Reviewer No: ___ Hours: __._ TC013: _ Hit F1: Execute Changes F5: New Search (Bypass Edit) F6: Case History F10: Exit |
| (13) To update a record, type the data in the field(s) according to the validity checks below. (If you are not updating, press the F5 key to bypass the validity and consistency checks. No changes will be made to the data.) | |
| (14) Press one of the function keys described at the bottom of the screen (F1, F5, F6 or F10). If the Form and Version is 5310A and the type request is NM, NS or NT, function keys F2 and F4 are available to bring up the Update KDO Master Record screen for Merger, Spin Off or Transfer of Assets (Exhibit 7.14.5–5). The function keys purpose is displayed at the bottom of the screen. | |
| (15) If there are no input errors the function keys listed below will perform the following tasks: | |
| a. the F1 key, updates the record and the initial query screen is displayed for the next query. | |
| b. the F2 key, updates the record and the Update KDO Master File screen for Mergers. Spin Off or Transfer of Assets (Exhibit 7.14.5–5) will be displayed if the Form is 5310, the Version is A and the Type Request is NM, NS or NT. | |
| c. the F4 key, no changes will be made to the record and the Update KDO Master File screen for Mergers, Spin Off or Transfer of Assets (Exhibit 7.14.5–5) will be displayed if the Form is 5310, the Version is A and the Type Request is NM, NS or NT. | |
| d. the F5 key, no changes will be made to the record and the initial query screen is displayed for the next query. | |
| e. the F6 key, the Case History screen (Exhibit 7.14.5–8) is displayed. | |
| f. the F10 key, no changes will be made to the record and the Inventory Control System Menu will be displayed. | |
| (16) If there is an input error, the error message will be displayed and the cursor positioned on the field in error. | |
| a. Correct the input error. | |
| b. Continue at (13), above. | |
| (17) When researching in the Query/Update KDO Master Record Screen, use the F5 key to bypass updating the record or use Option 1. The initial query screen is displayed for the next query. | |
| (18) When a proposed closing code is entered, the system will display a current status of 55, Waiting for Case Approval. All cases will be entered on the Case Approval Screen. Cases will be considered for TEQMS Sample and/or Mandatory review and updated to status 31 if selected. See Exhibit 7.14.5–9. All cases must be updated to status 31 in the Approval Screen. Cases being returned to review from status 32 must be entered in the Case Approval Screen. If a case is not selected for review, the current status displayed is the proposed closing code entered. The proposed closing code represents the final closing code status upon approval. | |
| (19) If a case is inadvertently closed, a manager or secretary can reopen the case and the status will be updated to status 31. Once the batch has been run the record may not be reopened. See Exhibit 7.14.5–10. | |
| (20) To assign multiple cases to one specialist, see Exhibit 7.14.5–3, Multiple Assignment Screen. | |
| (21) The system will display a message to verify any hours entered greater than 10 (010.0) for all proposed closing codes except 06. If the proposed closing code is 06, the system will display a message to verify any hours entered greater than one (001.0) hour. | |
| (22) Reviewer Number and Hours must be entered when updating the status to 32, 54 or 56 or prior to entering the case number on the Case Approval Screen (Exhibit 7.14.5–9). When entering reviewer’s hours, the system will display a message to verify any hours entered greater than one (001.0) hour. | |
| (23) The system will display a message to verify the name control when a proposed closing code is entered and the service center reported a mismatch when the opening record was established on EACS. The CS-Coordinator must either place the bracket (]) in the correct position of the name or enter a Y to signal the batch program to send a name update to master file. THIS MESSAGE IS DISPLAYED WHEN THE SERVICE CENTER REPORTS A DIFFERENT NAME CONTROL ON MASTER FILE FROM THE NAME CONTROL ON THE EDS CASE BEING ESTABLISHED. | |
| Validity Checks | ||
|---|---|---|
| ITEM | PROMPT | DESCRIPTION |
| 1 | DLN | Display only. Document Locator Number |
| 2 | Case No | Display only. Case number |
| 3 | EIN | Employer Identification Number Must be numeric. The third digit must not contain a "9" . The first two digits must be in the following ranges: 01–06, 11, 13–16, 21–25, 31, 34–39, 41–48, 51–59, 61–67, 71–76, 81–88, 91–99. |
| 4 | Plan No | Three digit plan number. Must be numeric. |
| 5 | FFN | File folder number. Must be numeric. The first two digits must match the first two digits of the case number. |
| 6 | Req Type | Request Type. The first character is a display only. Must be one of the following: |
| I — Initial Application | ||
| A — Amended Application | ||
| T — Termination Request | ||
| M — Termination of a Multi-employer | ||
| IL — Leased Employee Status, Initial | ||
| AL — Leased Employee Status, Amended | ||
| IN — Standardized Plans, Initial | ||
| AN — Standardized Plans, Amended | ||
| IP — Partial Termination, Initial | ||
| AP — Partial Termination, Amended | ||
| IS — Affiliated Service Grp Status, Initial | ||
| AS — Affiliated Service Grp Status, Amended | ||
| IT — Initial Termination | ||
| AT — Amended Termination | ||
| NM — Notice of Merger/Consolidation | ||
| NS — Notice of Spin Off | ||
| NT — Notice of Transfer of Assets/Liability | ||
| Pre-05/89 Form Revision | ||
| Form Request Type | ||
| 4461s I, A | ||
| 5300 I, IS, IP, A, AS, AP | ||
| 5303 I, IT, A, AT | ||
| 5307 I, A | ||
| 5310 T | ||
| 6406 A | ||
| Form Revision 05/89 and Later | ||
| Form Request Type | ||
| 4461 & | ||
| 4461A I, A | ||
| 4461B Blank | ||
| 5300 I, IL, IS, IP, A, AL, AS, AP | ||
| 5303 I, IP, IT, A, AP, AT, M | ||
| 5307 I, IN, A, AN | ||
| 5310 T | ||
| 5310A NC, NM, NS, NT | ||
| 6406 A | ||
| 9999 I, A | ||
| 7 | Form | Display Only. Form Number of Application. Should be one of the following: |
| 4461, 5300, 5301, 5303, 5307, 5310, 6406 or 9999 | ||
| 8 | Ver | Display only. Version Code. Should be A, B or blank. |
| 9 | Rev | Display only. Revision date of the application form. |
| 10 | Post of Duty | Post of Duty Code. Must be valid two-digit office code. Must equal the first two digits of the case number and FFN. |
| Area Office | Post of Duty Codes | |
| 11 | 04, 06, 11, 13, 16, 22, 23, 38 | |
| 52 | 35, 52, 54, 56, 58, 59, 62, 65, 66, 72, 98 | |
| 31 | ||
| 75 | 36, 39, 41, 43, 73, 74, 75, 76 | |
| 95 | 33, 77, 84, 86, 91, 94, 95 |
| Validity Checks | ||
|---|---|---|
| ITEM | PROMPT | DESCRIPTION |
| 11 | Control Date | Control date entered during transcription. May be updated if the MF Status is "0" or "5" , otherwise a display only field. See item 33 below for the description of MF status. |
| 12 | Plan Sponsor Name (Line 1) | Must be entered. If the Plan Sponsor Name is more than 35 characters long, continue on line 2. Do not break a word after exactly 35 characters, carry the full word or grouping to line 2. All 35 positions of line 1 do not have to be filled to continue on line 2. The first position must be alphabetic or numeric. No characters may follow two consecutive blanks, except blanks. All characters on the keyboard may be entered. The characters that are sent to master file are alphabetic, numeric, hyphen, ampersand, right bracket "(A–Z, 0–9, -, &, ]," and blank ). All other characters entered will be stripped from the line before sending to master file. |
| NAME CONTROL — The name control must be designated by a right-hand bracket(s) (]) if other than the first four characters of the name are used to generate the name control. To prevent an unpostable when the case is sent to the EPMF, make certain that the name control is correct. The word "THE" should not be used as a name control unless only one word follows "THE" . |
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| Note: Do not place blanks on either side of the right-hand bracket(s). You may have no more than 2 right-hand brackets. Before entering, validate that the name on the application matches the legal name shown on the plan documents. | ||
| Examples: 1. PERRY CONSTRUCTION CO No brackets necessary because the first four positions are the name control. |
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| 2. THE]CHARITABLE CONTRIBUTION Right-hand bracket precedes the four characters that are the correct name control. |
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| 3. SAM LJPERRY]NANCY REED & JIM FERRIS If a name follows the name containing the name control, the name containing the name control should be encased in two right-hand brackets. |
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| 13 | Name Control | Display only. To correct the name control, see item above, Plan Sponsor Name (Line 1). |
| 14 | Plan Sponsor Name (Line 2) | May be entered. If any data is entered, the first position must be alphabetic or numeric. No characters may follow two consecutive blanks except blanks. All characters may be entered. The characters that are sent to master file are alphabetic, numeric, hyphen, slash, ampersand, percent and ( "A–Z, 0–9, -, /, &, %," ) blank. All other characters will be stripped before sending to master file. |
| 15 | Form 5309 | Must be blank or Y. If Form 5309 is attached enter a Y. May be entered for the following forms: |
| Form Benefit Type | ||
| 5300 P, S, M, T, O, V | ||
| 16 | Plan Sponsor Name (Line 3) | If entered, Plan Sponsor Name (Line 2) must be entered. See Plan Sponsor Name (Line 2) description. |
| 17 | Entity Type | Must be blank or at least one of the following alpha codes: |
| Pre-05/89 Form Revisions | ||
| B — Bank | ||
| C — Corporation | ||
| D — Church | ||
| E — Exempt Organization | ||
| G — Government or Church not subject to ERISA | ||
| H — Subchapter S Corporation | ||
| I — Insurance Company | ||
| K — Single Employer | ||
| L — Savings and Loan | ||
| M — Multi-Employer | ||
| N — Plan of Control Group | ||
| O — Other | ||
| P — Partnership | ||
| S — Sole Proprietor | ||
| T — Trade or Professional Organization | ||
| U — Federally Insured Credit Union | ||
| V — Regulated Investment Company | ||
| W — Other Multiple Employer Plan | ||
| Form Type of Entity | ||
| 4461 B, I, O, T, V | ||
| 4461A B, I, O, T, V | ||
| 4461B Blank | ||
| 5300 C, D, E, G, H, M, O, P, S | ||
| 5307 D, G, K, M, N, O, W | ||
| 5310 K, M, N, O, S, W | ||
| 6406 C, E, G, H, M, O, P, S | ||
| Form Revision 05/89 and Later | ||
| A — Plan of Affiliated Service Group | ||
| D — Church not subject to ERISA | ||
| F — 412(i) | ||
| G — Government (Prior to 11/92 Form Revisions — Government or Church not subject to ERISA) | ||
| J — Collectively Bargained | ||
| M — Other Multiple Employer | ||
| N — Plan of Control Group | ||
| O — Other | ||
| W — Multi-Employer | ||
| Form Type of Entity | ||
| 4461s Blank 5300 A, G, D, F, M, N, O 5307 A, G, D, F, J, N, O 6406 A, G, D, M, N, O 5310 A, G, D, F, M, N, O 5310A A, G, M, N, O |
||
| 18 | Plan Sponsor Name (Line 4) | If entered, Plan Sponsor Name lines 2 & 3 must be entered. See Plan Sponsor Name (Line 2) description. Note: If State is (. ), this line should contain the foreign street address. Lines 2 & 3 may be left blank. The characters sent to master file if a foreign address are alpha, numeric, hyphen, slash, ampersand and ( "A–Z, 0–9 -, /, &," ) blank |
| 19 | Model Plan Type | Must be present if Form is 4461 or 5307. N — Not Applicable M — Master or Prototype Plan R — Regional Prototype Plan U — Uniform Plan V — Volume Submitter Plan |
| Pre-05/89 Form Revision | ||
| Form Model Plan Type | ||
| 4461 U 4461A U 5307 M, U 6406 M, N |
||
| Form Revision 05/89 and Later | ||
| Form Model Plan Type | ||
| 4461 R | ||
| 4461A R | ||
| 4461B Blank | ||
| 5307 M, R, V | ||
| 20 | DBA | Doing Business As, Also Know As, or any other name associated with the company. May or may not be entered. If entered, the first position must be alphabetic or numeric. No characters may follow two consecutive blanks except blanks. All characters may be entered. The characters that are sent to master file are alphabetic, numeric, hyphen, slash, ampersand ( "A–Z, 0–9, -, /, &," )and blank |
| 21 | 401(K) | Section 401(K) indicator (contains Cash/Deferred Arrangement). Must be blank, Y or N. Y or N valid for the following forms: |
| Form Benefit Type | ||
| 5300 P, S, M, T, O, V 5307 P, S, M, T, O 5310 P, S, M, T, O, V 5310A P, S, M, T, O 6406 P, S, M, T, O 4461 P, M, T, O |
||
| 22 | Address | May or may not be entered. If entered, the first position must be alphabetic or numeric. All characters may be entered. The characters that are sent to master file are alphabetic, numeric, hyphen slash, ampersand, percent, "(A–Z, 0–9, /, &, %," ) and blank . All other characters will be stripped before sending to master file. Note: If this is a foreign address, enter the street address on the Plan Sponsor Name (Line 4). Enter the foreign City on this line. |
| 23 | City | Must be entered. The first position must be alphabetic or numeric. No characters may follow two consecutive blanks except blanks. All characters on the keyboard may be entered. The characters that are sent to master file are alphabetic, numeric, hyphen "(A–Z, 0–9, -," ) and blank. All other characters will be stripped before sending to master file. Note: If this is a FOREIGN address, enter the city on the Address line. Enter the foreign Country on this line. If this is a MILITARY address, FPO or APO must be entered on this line if State is "AA" , "AE" or "AP" . |
| 24 | State | Must be entered. Must be a valid state abbreviation or, for foreign addresses, a period followed by a blank (.). If this is a MILITARY address, enter the following: |
| State Code Geographic Region | ||
| AA No & So America AE Europe AP Pacific |
||
| 25 | Zip | Must be entered and numeric. The number making up the first 5 positions must be greater than 600. If this is a MILITARY address, the zip code must be in the following ranges: |
| State Code Zip Code Range | ||
| AA 34001–34099 AE 09001–09899 AP 96201–96699 |
||
| A validity check is executed on EDS to verify the state and zip code. If an invalid zip code is entered, the system message will ask you to verify the current zip code or correct. | ||
| 26 | Name of Plan | If Name of Plan is more than 35 characters long, go to Line 2 for a continuation; do not break a word exactly 35 characters but carry the full word or grouping to Line 2. |
| All 35 positions do not have to be filled to continue Line 2. All characters may be entered. The first position must be alphabetic or numeric. No characters may follow two consecutive blanks, except blanks. May be blank if Form is 4461–B or 9999. The characters that are sent to master file are alphabetic, numeric, hyphen, ampersand, "(A–Z, 0–9, -, &" ) and blank . | ||
| 27 | Plan Year Ends | Must be 1–12 if Form is 5300, 5307, 5310, 5310–A, or 6406. Otherwise, must be 0 (zero). |
| 28 | Benefit Type | Must be present for all Forms except 9999 and one of the following codes: |
| Defined Benefit Types: U — Unit F — Fixed G — Flat N — Other |
||
| Defined Contribution Types: P — Profit Sharing S — Stock Bonus M — Money Purchase T — Target Benefit O — Other |
||
| Other Types: C — Group or Pooled Trust V — ESOP or TRASOP |
||
| Pre-05/89 Form Revisions | ||
| Form Benefit Type | ||
| 5300 U, F, G, N 5307 U, F, G, N, P, S, M 6406 U, F, G, N, P, S, M, T 5310 U, F, G, N, P, S, M, T, O, V 4461 P, M, T, O 4461A U, F, G, N 4461B P, M, N, O, T |
||
| Form Revision 05/89 and Later | ||
| Form Benefit Type | ||
| 5300 U, F, G, N, P, S, M, T, O, V 5307 U, F, G, N, P, S, M, T, O 6406 U, F, G, N, P, S, M, T, O 4461 P, M, T, O 4461A U, F, G, N 5310 U, F, G, N, P, S, M, T, O, V 5310A U, F, G, N, P, S, M, T, O 9999 C |
||
| 29 | Total Part | Total Participants. If entered must be Form 5300, 6406, 5307 or 5310. Must not be entered if Form is 4461 or 9999. If present, must be 000000–999999. |
| 30 | Termination/Merger Effective Dt |
Effective date of Merger/Consolidation/Transfer of Assets or Liabilities or the proposed date of Termination. Must be entered if Form is 5310 or 5310A. Must be entered if Form is 5303 and Type Request is M, IP, IT, AP or AT. Must be in a valid date format (mmddyyyy). |
| 31 | Ltr Serial No: (DO) | Letter Serial Number assigned by the District for a Regional Prototype or a Mass Submitter of a Master or Prototype Plan. The first position may be alpha or numeric. Positions 2–8 must be numeric. Valid only for Forms 4461, 4461A and 4461B. |
| 32 | Ltr Serial No: (NO) | Letter Serial Number assigned by the Headquarters for an approved Master or Prototype Plan. The first and last positions may be alpha or numeric. Positions 2–7 must be numeric. Valid for Form 4461B. |
| 33 | Vesting | Plan Vesting provision code. May or may not be entered for Forms 5300, 5307, 5310 or 6406. Must not be entered for Forms 5310A or 9999. Must be alpha A–H. Must be entered when a proposed closing code 00, 01, 02, 06, or 09 or status 40 is entered and the form is NOT 5310 or 4461. |
| Pre-TRA | ||
| A — Full and Immediate B — Full after 10 Years C — 5/15 years (graduated) D — Rule of 45 E — 4/40 schedule F — 100% after 5 years (class year plans) G — Other H — 10% for each year of Service |
||
| Post-TRA | ||
| A — Full and Immediate B — Full after 2 Years of Service C — Full after 3 Years of Service D — Full after 5 Years of Service E — 6 Year Graded F — 3 to 7 Year Graded G — Other |
||
| 34 | Reversion Amt | Possible reversion amount or if closed the amount that reverted to the plan sponsor. Must be entered if Form is 5310. Valid entry is 0– 9999999999. |
| 35 | Reason for Termination | Must be entered if Form is 5310. Must be one of the following alpha codes: |
| A — Change in Ownership by Merger B — Liquidation or Dissolution of Employer C — Change in Ownership by Sale or Transfer D — Adverse Business Conditions E — Adoption of a New Plan F — Other |
||
| 36 | Plan Effec Dt | Date Plan is effective. Must be in valid date format (mmddyyyy). Must not be entered for 4461. Must be entered when a proposed closing code 00, 01, 02, 06 or 09 or status 40 is entered and the form is NOT 5310 or 4461. |
| 37 | Law Indicator | Indicates which law the application was submitted. Must be D, N, Y, G, H, I or K. Must be entered when a proposed closing code 00, 01, 02, 04, 06, or 09 or status 40 is entered. |
| D — Tax Reform Act of 1986 N — Rev. Proc. 86–13 Y — Rev. Proc. 88–42 G — Reliance for GATT, SBJPA & TRA97 H — No Reliance except as in Opinion/Notification Letters I — No Reliance for GATT, SBJPA, & TRA97 K— Reliance for GUST |
||
| 38 | MF | Must be B or Y. May only be entered by an EP/EO-SP Coordinator Login ID. |
| B — Will send BOTH the application and closing record to master file. Y — Will send the application or closing record to master file if the record was an unpostable. |
||
| A "Y" may be entered if the status is 5, 6, 7, 2000–2999, 3000–3999, 4000–4999, 5000–5999, 6000–6999, 7000–7999, 8000–8999 or 9000–9999. A "Y" may also be entered if the status is 1, 3 or 13, BUT the system will display a message for the CS-SP Coordinator to verify that the entry is correct. A "B" may only be entered if the status is 3. | ||
| MF (Status) | Display only. The code in MF describes the status of the EDS record and whether the application and/or closing data is waiting or has been sent to master file (EPMF). | |
| 0 — Application record waiting to be sent to MF. | ||
| 1 — Application record was sent to MF. | ||
| 2 — Closing record waiting to be sent to MF. | ||
| 3 — Closing record was sent to MF. | ||
| 4 — Both application and closing record waiting to be sent MF. | ||
| 10 — Not sent to MF (Forms 4461B, 5310A 9999). | ||
| 11 — Not sent to MF, entity entered from LGS. | ||
| 12 — Update MIR data, waiting to be sent to Detroit. | ||
| 13 — Update MIR data, sent to Detroit. | ||
| 30 — Closing record posted to MF. | ||
| 2000–2999 — Both application and closing record unposted while attempting to post to MF. Waiting for correction. (See IRM 7.13.8 for instructions). | ||
| 3000–3999 — Updated MIR data unposted while attempting to post to Detroit. Waiting for correction. (See IRM 7.13.8 for instructions). | ||
| 4000–4999 — Closing record unposted while attempting to post to MF. Waiting for correction. (See IRM 7.13.8 for instructions). | ||
| 5000–5999 — Application record unposted while attempting to post to MF. Waiting for correction. (See IRM 7.13.8 for instructions). | ||
| 6000–6999 — Updated MIR data unposted while attempting to post to Detroit. Waiting for correction. (See IRM 7.13.8 for instructions). | ||
| 7000–7999 — Both application and closing record unposted while attempting to post to Master File. Waiting for correction. (See IRM 7.13.8 for instructions). | ||
| 8000–8999 — Closing record unposted while attempting to post to Master File. Waiting for correction. (See IRM 7.13.8 for instructions). | ||
| 9000–9999 — Application record unposed while attempting to post to Master File. Waiting for correction. (See IRM 7.13.8 for instructions). | ||
| MF (Dt) | Display only. The date each MF status above, occurred. | |
| 39 | Date | Date of the current case status described below. If updating, overlay the date displayed. Must be a valid date format (mmddyyyy), no later than the current date and no earlier than the case control date. |
| 40 | Status | Case status. If updating, overlays the status displayed. Must be one of the following codes and consistent with other fields: |
| Open | ||
| 31 — In Review 32 — Returned on Review Memo 33 — Returned from Review 34 — District Council Approval 35 — 30 Day Letter Mailed 37 — Group Suspense 38 — Review Suspense 39 — Tech Screening Suspense 40 — Proposed Adverse Determination 41 — Proposed Technical Advice 50 — District Office Receipt 51 — Waiting Assignment — Technically Screened 52 — Case Assignment 53 — Manager Returned to Specialist 54 — Transferred to Appeals 55 — Waiting for Closing Approval 56 — Technical Advice Transfer (Suspense) 58 — Workload Transfer 60 — Open & Technical Screening 62 — Assigned & Technical Screening 75 — Unassigned Inventory |
||
| 40 | Status (Cont.) | Closed Status Codes |
| 00 — Approved — Issue Only 01 — Approved — Fully Worked 02 — Final Adverse 03 — Returned Incomplete 04 — Withdrawn by Taxpayer 05 — Substantially Deficient 06 — Approved — Closed on Merit without Contact 07 — Form 5310A — Referral Generated 08 — Form 5310A and 4461B Accepted as Filed 09 — Approved — Closed on Merit with Contact 30 — Correction Disposal |
||
| If the Closing Code needs to be updated after Case Approval Screen, use Option 5. (This Option may only be accessed by a CS-SP Coordinator Login ID.) | ||
| — Must enter a proposed closing code before updating the status to 31. | ||
| — Must enter status 31 before entering status 32, 33, 38, 54 or 56. | ||
| — May not enter status 37 unless the current status is 32, 33, 52, 53, 55 or 50. | ||
| — May not enter status 39 unless the current status is 50, 51, 60 or 62. | ||
| — May only enter status 31, 39 or 50 if current status is 55 and the closing code entered previously was 06. | ||
| — May not enter status 52 if current status is 31 or 38. Must enter status 32 or 33 to update to 52. | ||
| — May only enter status 31, 37, 50, 52, or 53 if current status is 55 and the closing code entered previously was any closing code except 06 or 09. | ||
| — Closing codes 06 or 09 may only be entered if the current status is 39 or 50. | ||
| — May NOT enter proposed closing code 02 unless status 40 has been previously entered. | ||
| — May enter status 35 only after status 40 has been entered. | ||
| 41 | Specialist No | Five digit EDS specialist number. If the status code entered is 58, a valid District Office Code (See item 9). Must be numeric. Must be present if the status entered is 52, 58 or a proposed closing code. If updating, type over the specialist number displayed. To correct the Specialist Number after case has been approved, use option 5. |
| 42 | Hours | Number of hours spent on the case. Must be numeric. Fractions can only have one decimal position. Must be present if a proposed closing code 00, 01, 02, or 06 or status 40 is entered. Must be present for proposed closing codes 03, 04, 08 or 09 if the previous status was 52. If updating, type over the hours displayed. To correct the Hours after the case has been approved, use option 5. |
| 43 | Case Grade | First two digits must be 09, 11, 12 or 13. Must be present if a proposed closing code 00, 01, 02, 06 or 09 or status 40 is entered. If updating, type over the case grade displayed. To correct the Case Grade after the case has been approved, use option 5. |
| 44 | Last Letter Created | Display only. The letter number of the last letter created. |
| 45 | Reviewer No | Five digit EDS reviewer number. Must be numeric. Must be present if status entered is 32, 54 or 56 or prior to entering the case number on the Case Approval Screen. If the Reviewer Number needs to be corrected after the case has been approved, see your CS-SP Coordinator. |
| 46 | Hours | Number of review hours spent on the case. Must be numeric. Fractions can only have one decimal position. Must be present if status entered is 32, 54 or 56 or prior to entering the case number on the Case Approval Screen. To correct the Reviewer Hours after the case has been approved, see your CS-SP Coordinator. |
| 47 | TC013 | When a case is established on EDS if the name control differs from the name control on Master File an indicator will be set to identify the mismatch. When closing a case, you may enter Y or N. If "Y" is entered a transaction code 013 will be generated to update the name on master file. If "N" is entered the name on EDS must be updated to match the name on master file. |
| (1) The following screen is displayed for Form 5310A with a type request of "NQ" (Notice of Qualified Separate Line of Business) or NC (Cancellation of QSLOB). The status is automatically updated to a closed status 08 when the notice is entered into DTS. |
| EDS–ICS–644d1 UPDATE KDO MASTER RECORD — EMPLOYEE PLAN Document Locator No:_________ Case No: ______ User Fee: ____ EIN: __–____ Plan No: __ FFN: _____ Req Type: __ Form: ___ Ver: _ Rev: ___ Assoc District: _ Control Date: _/_/_ |
| Plan Sponsor Name: | __________________ | Name Control: ___ |
| __________________ | Under: | |
| __________________ | 410(b): _ | |
| __________________ | 401(a)(26): _ |
| DBA: ____________________ 129(d)(8): _ |
| Address: ____________________ |
| City: ___________ State: __ Zip: ___–__ |
| Test Yr of This Notice _/_/_ |
| MF: ____ Dt: _/_/_ |
| **Date: _/_/_ Status: _ Specialist No: ___ Hours: __-_ Case Grade: _ Last Letter Created: __ Reviewer No: ___ Hours: __-_ Hit F1: Execute F5: New Search F6: Case History F10: Exit |
| (2) To update a record, type over the data in the field(s) according to the validity checks below. (If you are not updating, depress the F5 key to bypass the validity and consistency checks. No changes will be made to the data.) | |
| (3) Depress one of the function keys described at the bottom of the screen (F1, F5, F6, or F10). | |
| (4) When there are no input errors and; | |
| a. the F1 key is depressed, the record will be updated and the initial query screen displayed for the next query. | |
| b. the F5 key is depressed, no changes will be made to the record and the initial query screen displayed for the next query. | |
| c. the F6 key is depressed, the Case History screen (Exhibit 7.14.5–8) will be displayed. | |
| d. the F10 key is depressed, no changes will be made to the record and the Inventory Control System Menu displayed. | |
| (5) When there is an input error, the error message will be displayed and the cursor positioned on the field in error. | |
| a. Correct the input error. | |
| b. Continue at (4), above. | |
| (6) When researching in the Query/Update KDO Master Record Screen, use the F5 key to bypass updating the record. The initial query screen will be displayed for the next query. | |
| Validity Checks | ||
|---|---|---|
| ITEM | PROMPT | DESCRIPTION |
| 1 | Case No | Display only. Case number. |
| 2 | EIN | Employer Identification Number. Must be numeric. The third digit must not contain a "9" . The first two digits must be in the valid range as follows: |
| 01–06, 11, 13–16, 21–25, 31, 34–39, 41–48, 51–59, 61–67, 71–76, 81–88, 91–99. | ||
| 3 | FFN | File folder number. Must be numeric. The first two digits must match the first two digits of the case number. |
| 4 | Req Type | Display only. Type of request or filing. |
| NQ — Notice of Qualified Separate Line of Business NC — Cancellation of QSLOB |
||
| 5 | Form | Display Only. Form Number of Application. |
| 6 | Ver | Display only. Version Code. Should be B. |
| 7 | Rev | Display only. Revision date of the notice. |
| 8 | Assoc District | Associate District Code. Display only. |
| KDO Associate District Code | ||
| 11 04, 06, 11, 13, 16, 22, 23, 38 52 35, 52, 54, 56, 58, 59, 52, 65, 66, 72, 98 31 31 75 36, 39, 41, 43, 73, 74, 75, 76 95 33, 77, 84, 86, 91, 94, 95 |
||
| 9 | Control Date | Control date entered during transcription. May be updated if the MF Status is "0" or "5" otherwise a display only field. See item 32 below for the description of MF status. |
| 10 | Plan Sponsor Name (Line 1) | Must be entered. If the Plan Sponsor Name is more than 35 characters long, continue on to line 2. Do not break a word after 35 characters, carry the full word or grouping to line 2. All 35 positions of line 1 do not have to be filled to continue on line 2. The position must be alphabetic or numeric. No characters may follow two consecutive blanks, except blanks. All characters on the keyboard may be entered. The characters that are sent to master file are alphabetic, numeric, hyphen, ampersand, right bracket and blank (A–Z, 0–9, -, &, ], b). All other characters entered will be stripped from the line before sending to master file. |
| NAME CONTROL — The name control must be designated by a right-hand bracket(s) (]) if other than the first four characters of the name are to be used in generating the name control. To prevent an unpostable when the case is sent to the EPMF, make certain that the name control is correct. The word "THE" should not be used as a name control unless only one word follows "THE" . |
||
| Note: Do not place blanks on either side of the right-hand bracket(s). You may have no more than 2 right-hand brackets. Before entering, validate that the name on the application matches the legal name shown on the plan documents. | ||
| Examples: | ||
| 1. PERRY CONSTRUCTION CO No brackets necessary because the first four positions are the name control. |
||
| 2. THE]PENSION PLAN Right-hand bracket precedes the four characters that are the correct name control. |
||
| 3. SAM L]PENSION]N. SMITH & JAY BIRD If a name follows the name containing the name control, the name containing the name control should be encased in two right-hand brackets. |
||
| 11 | Name Control | Display only. To correct the name control, see item above, Plan Sponsor Name (Line 1). |
| 12 | Plan Sponsor Name (Line 2) | If any data is entered, the first position alphabetic or numeric. No characters may follow two consecutive blanks except blanks. All characters may be entered. The characters that are sent to master file are alphabetic, numeric, hyphen, slash, ampersand, percent "(A–Z, 0–9, -, /, &, %," ) and blank. All other characters will be stripped before sending to master file. |
| 13 | Section(s) Testing Under | Must be blank or X. At least one "X" must be entered in any of the three code sections listed (410(b), 401(a)(26) or 129(d)(8)). |
| 14 | Plan Sponsor Name (Line 3) | If entered, Plan Sponsor Name (Line 2) must be entered. See Plan Sponsor Name (Line 2) description. |
| 15 | Plan Sponsor Name (Line 4) | If entered, Plan Sponsor Name lines 2 & 3 must be entered. See Plan Sponsor Name (Line 2) description. Note: If State is (. ), this line should contain the foreign street address. Lines 2 & 3 may then be left blank. The characters that will be sent to master file if it is a foreign address are alpha, numeric, hyphen, slash, ampersand "(A–Z, 0–9, -, /, &," ) and blank . |
| 16 | DBA | Doing Business As, Also Know As, or any other name the organization is known as. May be entered. If entered, the first position must be alphabetic or numeric. No characters may follow two consecutive blanks except blanks. All characters may be entered. The characters that are sent to master file are alphabetic, numeric, hyphen, slash, ampersand ("A–Z, 0–9, -, /, &," ) and blank . |
| 17 | Address | May or may not be entered. If entered, the first position must be alphabetic or numeric. All characters may be entered. The characters that are sent to master file are alphabetic, numeric, hyphen, slash, ampersand, percent, and blank ( "A–Z, 0–9, -, /, &, %," ). All other characters will be stripped before sending to master file. Note: If this is a foreign address, enter the street address on the Plan Sponsor Name (Line 4). Enter the foreign City on this line. |
| 18 | City | Must be entered. The first position must be alphabetic or numeric. No characters may follow two consecutive blanks except blanks. All characters on the keyboard may be entered. The characters that are sent to master file are alphabetic, numeric, hyphen and blank ("A–Z, 0–9, -," ). All other characters will be stripped before sending to master file. |
| Note: If this is a FOREIGN address, enter the city on the Address line. Enter the foreign Country on this line. If this is a MILITARY address, FPO or APO must be entered on this line if State is "AA" "AE" or "AP" . | ||
| 19 | State | Must be entered. Must be a valid state abbreviation or, for foreign addresses, a period followed by a blank (.). If this is a MILITARY address, enter the following: |
| State Code Geographic Region | ||
| AA No & So America AE Europe AP Pacific |
||
| 20 | Zip | Must be entered and all numeric. The number making up the first 5 positions must be greater than 600. If this is a MILITARY address, the zip code must be in the following ranges: |
| 26 | Specialist No | Display only. Will always be zero for this notice. |
| 27 | Hours | Display only. Will always be zero for this notice. |
| 28 | Case Grade | Display only. Will always be zero for this notice. |
| 29 | Last Letter Created | Display only. The acknowledgment letter number sent to the plan sponsor. |
| 30 | Reviewer No | Display only. Will always be zero for this notice. |
| 31 | Hours | Display only. Will always be zero for this notice. |
(1) The screen below is displayed when F2 or F4 is depressed from the Update KDO Master Record (query) screen. Most fields may be updated as described in the validity checks below. All fields will be evaluated for validity and consistency between other fields on the screen.
| EDS-ICS–644c UPDATE KDO MASTER RECORD — EMPLOYEE PLAN |
| Case No: _____Plan Sponsor Name: ________________ |
| EIN: _—____ Plan No: _ FFN: _____ Type Request: _ Benefit Type: _ |
| MERGER/SPIN OFF/TRANSFER OF ASSETS Effective Date: _/_/_ |
| OTHER PLANS: |
| Name of Plan: ___________________ ___________________ |
| Employer: ___________________ ___________________ |
| EIN: _—____ Plan No: _ Benefit Type: _ |
| Hit F1–Execute Changes, F2–Next Plan, F3–Previous Plan |
| F4–Previous Screen, F5–New Search, F10–Exit |
(2) To update a record, type the data in the field(s) according to the validity checks below.
(3) Depress the appropriate function key displayed at the bottom of the screen.
(4) When there are no input errors and;
-
the F1 key is depressed, the record will be UPDATED and the message "Update Completed" displayed.
-
the F2 key is depressed, this screen displays the NEXT plan involved with the merger/consolidation/transfer of assets or liabilities. When the last record is displayed, the message "No More Plans in This Direction" will appear at the bottom of the screen. The F3 key may be used to display records previously shown on the screen.
-
the F3 key is depressed, this screen displays the PREVIOUS plan involved with the merger/consolidation/transfer of assets or liabilities. The F2 key should have been hit prior to using the F3 key. When the first record is displayed, the message "No More Plans in This Direction" will appear at the bottom of the screen. The F2 key may be used to display records previously shown on the screen.
-
the F4 key is depressed, no changes will be made to the record and the previous Update KDO Master File screen displayed.
-
the F5 key is depressed, no changes will be made to the record and the initial query screen displayed for the next query.
-
the F10 key is depressed, no changes will be made to the record and the ICS Main Menu displayed.
(5) When there is an input error, the error message will be displayed and the cursor positioned on the field in error.
-
Correct the input error.
-
Continue at (3), above.
| Validity Checks | ||
|---|---|---|
| ITEM | PROMPT | DESCRIPTION |
| 1 | Case No | Display only. Case Number. |
| 2 | Plan Sponsor Name | Display only. |
| 3 | EIN | Display only. Employer Identification Number. |
| 4 | Plan No | Display only. Plan Number. |
| 5 | FFN | Display only. File Folder Number. |
| 6 | Type Request | Display only. See Exhibit 7.14.5–4 for a listing of the type requests. |
| 7 | Benefit Type | Display only. See Exhibit 7.14.5–4 for a listing of the benefit types. |
| 8 | Effective Date | Display only. Effective date of the merger, consolidation or transfer of assets. May be updated in the previous screen. |
| 9 | Name of Plan | Name of the plan merged, consolidated or transferred assets with. If Name of Plan is more than 35 characters long, continue on Line 2. Do not break a word exactly 35 characters, carry the full word or grouping to Line 2. All 35 positions of Line do not have to be filled to continue Line 2. The first position must be alphabetic or numeric. No characters may follow two consecutive blanks, except blanks. |
| 10 | Name of Employer | Name of the employer the plan was merged, consolidated or transferred assets with. If Name of the employer is more than 35 characters long, continue on Line 2. Do not break a word exactly 35 characters, carry the full word or grouping to Line 2. All 35 positions of Line do not have to be filled to continue Line 2. The first position must be alphabetic or numeric. No characters may follow two consecutive blanks, except blanks. |
| 11 | EIN | Employer Identification Number of the plan merged, consolidated or transferred assets with. Must be numeric. The 3rd digit must not contain a "9" . The first two digits must be in the valid range as follows: |
| 01–06, 11, 13–16, 21–25, 31, 34–39, 41–48, 51–59, 61–64, 66, 67, 71–76, 81–88, 91–99 |
||
| 12 | Plan No | Plan number of the plan merged, consolidated or transferred assets with. Must be numeric. Must be greater than 0. |
| 13 | Benefit Type | Type of plan merged, consolidated or transferred with. If entered, must be one of the following: |
| D — Defined Benefit | ||
| E — ESOP | ||
| K— 401 (k) | ||
| M —Money Purchase | ||
| O — Other Defined Contribution | ||
| (1) The screen below will be displayed when the F6 key is depressed in any of the Query/Update KDO Master Record screens (Exhibits 7.14.5–4, 7.14.2–6, and 7.14.5–7). This option allows any user to view all actions taken on a case. The displayed actions could be status, entity, application, closing, letter or MF (master file) data updates. |
| EDS-ICS-643 CASE HISTORY RECORD |
| Case No:____ EIN: _–___ Plan/Form No:__ |
| Spec/ Date of Update Description Proposed Status Revw Status Entered of Update Closing Hours Letter EMP |
| ____/_/__/_/___________ __–_ __ __ |
| ____/_/__/_/___________ __–_ __ __ |
| ____/_/__/_/___________ __–_ __ __ |
| ____/_/__/_/___________ __–_ __ __ |
| ____/_/__/_/___________ __–_ __ __ |
| ____/_/__/_/___________ __–_ __ __ |
| ____/_/__/_/___________ __–_ __ __ |
| ____/_/__/_/___________ __–_ __ __ |
| ____/_/__/_/___________ __–_ __ __ |
| ____/_/__/_/___________ __–_ __ __ |
| ____/_/__/_/___________ __–_ __ __ |
| Hit F1:Restart F2:Next F3:Previous F4:Last F6:Emp List F10:Exit |
| (2) The listing is in chronological sequence by the Date Update Entered. |
| (3) After the current screen is filled you may press the following keys to display the next line or exit: |
| a. F1 key to display the first screen (start over); | |||
| b. F2 key to display the next record if there are more actions; | |||
| c. F3 key to display the previous record if there were actions previously displayed; | |||
| d. F4 key to display a screen of the last record to the top of the screen; | |||
| e. F6 key to display the Specialist/Employee Listing for the employees listing on the screen (see page 5 of this exhibit); or, | |||
| f. F10 key to return to the Query/Update KDO Master Record screen. | |||
| (4) Each item is described below. | |||
| (5) The "Description of Update" item describes the section of the Update/Query KDO Master File screen updated or program that created the history record. The description and the items or the program that created the history item are listed below: | |||
| a. Case Approval — the case number was entered in the Case Approval Screen. | |||
| b. Case Status — one of the following items was updated: | |||
| • | Date (status) | ||
| • | Status | ||
| • | Specialist No | ||
| • | Hours | ||
| • | Case Grade | ||
| c. Closing Data — one of the following items was updated: | |||
| • | Vesting | ||
| • | Plan Effective Date | ||
| • | Law Indicator | ||
| d. EACS Tape Load — the record was updated by the tape load from EACS. | |||
| e. Entity Data — one of the following items was updated: | |||
| • | EIN | ||
| • | Plan Number | ||
| • | File Folder Number | ||
| • | Plan Sponsor or Organization Name | ||
| • | Address, City, State and Zip Code | ||
| f. Establish Data — one of the following items entered in DTS to control the application was updated: | |||
| • | Type Request | ||
| • | Control Date | ||
| • | Participants | ||
| • | Entity Type | ||
| • | Benefit Type | ||
| • | Model Plan Type | ||
| • | Reason for Termination | ||
| • | Reversion Amount | ||
| • | Termination Effective Date | ||
| • | 5309 Indicator | ||
| • | 401(k) Indicator | ||
| • | Merger Effective Date | ||
| • | Associate District Code | ||
| g. TEQMS — the approval program selected this case for the TEQMS review. | |||
| h. ICS Conversion — Initialized the record for the implementation of Inventory Control. | |||
| i. Incomplete App — the history record was created from DTS when the application entered on the system had missing item(s). | |||
| j. LGS Entity — the Entity was added or one of the following items updated in LGS: | |||
| • | EIN | ||
| • | Plan Number (EP only) | ||
| • | File Folder Number | ||
| • | Plan Sponsor or Organization Name | ||
| • | Address, City, State and Zip Code | ||
| k. Letter Created — a letter was created from DTS (acknowledgment letters) or LGS | |||
| l. Letter Deleted — a letter was deleted from LGS. | |||
| m. Manager — manager has entered an "X" in the Case Approval screen to send the case to review. | |||
| n. Manager/TEQMS — manager has entered an "X" in the Case Approval screen and the system has also selected the case for TEQMS. | |||
| o. Mandatory — the system identified the case for mandatory review based on criteria outlined in IRM 7.11, Employee Plans Determination Letter Program. | |||
| p. Mandatory/TEQMS — the system has identified the case for mandatory review and TEQMS Review. | |||
| q. MF CIs Posted — the closing record has posted in the service center. The MF Code will also display the code 30 to indicate the closing record has posted unless there has been an update after closing to any MIR data. | |||
| r. MF Open Posted — the opening record has posted in the service center. | |||
| s. MF Status — the MF status changed either from the Query/Update KDO Master File screen, the Approval Screen or the nightly batch run. | |||
| t. MF Upd Posted — the update after closing record has posted in the service center. | |||
| u. Merger Data — one of the following items was updated: | |||
| • | Effective Date | ||
| • | Name of Plan | ||
| • | Employer Name | ||
| • | EIN | ||
| • | Plan No | ||
| • | Benefit Type | ||
| v. Mgr/Mand/TEQMS — the system has sent this case to review because the manager has entered an "X" in the Case Approval screen or the case has met the mandatory review requirement and has been selected for TEQMS. | |||
| w. OLE Mismatch — a difference between the name control on master file and the name control on EDS was found. | |||
| x. Related Review — the case number has been entered from the Re-open to Review screen. | |||
| y. TC013 Requested — the specialist or unpostable clerk has corrected the name control by sending a name update to master file. | |||
| z. UNP — (####) — the opening, closing or update after closing record unposted in the service center. The unpostable code will be displayed in place of the ####, above. The current MF Code will also display this unpostable code until the unpostable is corrected. | |||
| Validity Checks | ||
|---|---|---|
| ITEM | PROMPT | DESCRIPTION |
| 1 | Case No | Display only. Case Number. |
| 2 | EIN | Display only. Employer Identification Number. |
| 3 | Plan/Form No | Display only. Plan number for an EP case. |
| 4 | Sponsor/Organization Name | Display only. Sponsor Name for an Employee Plan. |
| 5 | Status | Display only. The Status as of the date in item 7, below. |
| 6 | Spec/Revw | Display only. Employee number of the Specialist assigned to work the case or the Reviewer who reviewed the case. |
| 7 | Date of Status | Display only. Date of the status. |
| 8 | Date Update Entered | Display only. Date the status was entered on the system. |
| 9 | Description of Update | Display only. Description of the items or group of items updated on EDS screens or the program that the update occurred. See (5), above. |
| 10 | Proposed Closing | Display only. The proposed closing code entered by the specialist. |
| 11 | Hours | Display only. The hours spent on the case by the Specialist or Reviewer. |
| 12 | Letter | Display only. The letter created and perhaps sent to the Plan Sponsor. |
| 13 | EMP | Display only. Employee number of the Specialist, Reviewer, Manager or Secretary who performed the update. |
| (6) The screen below is displayed when the F6 key is pressed in the Case History screen. | |||
| EDS-ICS–667 | SPECIALIST/EMPLOYEE LISTING | ||
| for Case: _____ | |||
| EMP/SPEC NO | GROUP | NAME | PHONE NO |
| ___ | ____ | ______________ | __–__–__ |
| ___ | ____ | ______________ | __–__–__ |
| ___ | ____ | ______________ | __–__–__ |
| ___ | ____ | ______________ | __–__–__ |
| ___ | ____ | ______________ | __–__–__ |
| ___ | ____ | ______________ | __–__–__ |
| ___ | ____ | ______________ | __–__–__ |
| ___ | ____ | ______________ | __–__–__ |
| ___ | ____ | ______________ | __–__–__ |
| ___ | ____ | ______________ | __–__–__ |
| ___ | ____ | ______________ | __–__–__ |
| ___ | ____ | ______________ | __–__–__ |
| Hit Retn to Continue | |||
| (7) All items are display items only. | |||
| (8) Use the Return or Enter key to display another page of the list or to return to the Case History screen. At any time in this screen, the Delete key can be used to terminate the listing if it is more than one screen. | |||
| Validity Checks | ||
|---|---|---|
| ITEM | PROMPT | DESCRIPTION |
| 1 | EMP/SPEC NO | Display only. The employee number or specialist assigned to use EDS. |
| 2 | GROUP | Display only. Group number of the employee or specialist. |
| 3 | NAME | Display only. Name of the employee or specialist. |
| 4 | PHONE NO | Display only. Phone number of the employee or specialist. |
(1) The screen below is displayed when option 8 is selected from the Inventory Control System (ICS) Main Menu. This option allows only the manager or secretary/clerk to approve cases for closing from the specialist or from review.
The Approval screen also selects cases for the EQMS sample, certain mandatory cases. The manager may select cases that cannot
be identified as mandatory case or select any case for review. The case history screen will display the approval and how a
case was selected for review.
| EDS-ICS–668a APPROVAL OF CASE CLOSING |
Case No Employer/Organization Name Hours Grade Message ______ _________________ ___ _ _______ ______ _________________ ___ _ _______ ______ _________________ ___ _ _______ ______ _________________ ___ _ _______ ______ _________________ ___ _ _______ ______ _________________ ___ _ _______ ______ _________________ ___ _ _______ ______ _________________ ___ _ _______ ______ _________________ ___ _ _______ ______ _________________ ___ _ _______ ______ _________________ ___ _ _______ ______ _________________ ___ _ _______ ______ _________________ ___ _ _______ ______ _________________ ___ _ _______ Hit F1:Execute F10:Exit
(2) The screen requires the entry of case number(s) and an "X" next to the case number if the manager wishes to send a case to review. If an "X" is entered the status will automatically be updated to status 31.
(3) Each case number must be 9 digits.
(4) Depress the F1 key.
(5) When there are no input errors, the screen will re-display with the Plan Sponsor Name or Organization Name, the hours and case grade and any error messages, if appropriate. The "F5: Approve" message will be displayed.
(6) When there is an input error, the message will be displayed and the cursor will be positioned on the field in error.
-
Correct the input error.
-
Continue at (4), above.
(7) Verify that the cases displayed are the correct cases for approval. If a case displayed is incorrect, correct the case number and depress the F1 key for the screen to process the corrected case number with the other case numbers.
(8) Verify the hours and case grade are correct. If incorrect delete the case number from the screen and depress the F1 key to process the screen again without that case number. The hours and case grade must be corrected in the Query/Update KDO Master Record screen before approving the closing.
(9) A message "F5: Approve" will display at the bottom of the screen. If all items have been verified, depress the F5 key.
(10) The screen will re-display again with the message(s) "Approved" , "Sent to Review" or "Update Failed" . The case(s) with the message "Approved" will be updated to closed. The proposed closing code will be moved to the current status. The cases selected for review will be updated to status 31. For the list of other messages see Messages on the next page.
(11) If there are additional cases to approve, press the F1 key to display a blank screen and continue.
(12) If there are no additional cases to approve, press the F10 to exit.
(13) If the error messages "Update Failed" or "KD, EC or IC Rec Missing" was displayed see your EDS Functional Coordinator. There is a file mismatch when any of these messages are displayed.
| Validity Checks | ||
|---|---|---|
| ITEM | PROMPT | DESCRIPTION |
| 1 | Case Number | Must be numeric |
| 2 | Manager review selection. If entered, must be "X" . See (2), above. | |
| 3 | Plan Sponsor/Organization Name | Display only. The first name line of the Plan Sponsor or Organization. |
| 4 | Hours | Display only. The hours the specialist entered. |
| 5 | Grade | Display only. The grade of the case. |
| 6 | Message | Display only. The following messages may be displayed when appropriate. |
| Approved | ||
| Been Reviewed | ||
| Cannot Approve, Not 60 Days Old (EP Only) | ||
| Case Has Already Been Approved | ||
| Case Not Found—Case number may have been entered incorrectly | ||
| Case Not Ready for Closing | ||
| Duplicate—Case number was duplicated on the screen. | ||
| EM Rec Missing—Employee record is missing from the employer master file. | ||
| LGS Record, Cannot Approve | ||
| Must Update EIN Prior to Approval | ||
| Must Update Specialist No—Specialist number is a dummy specialist number, update it to who worked the case. | ||
| N/A for Review—Correction disposals should not go to review. | ||
| Not Ready to Close, Case Unpostable | ||
| Not Ready to Close, Take to Review | ||
| Reviewer Hours not Present | ||
| Review No not Present | ||
| Sent for EQMS | ||
| Sent to Review | ||
(1) The screen below will be displayed when option (7) is selected from the ICS Main Menu (Exhibit 7.14.5–2 or the Query/Update
KDO Master query screen (Exhibit 7.14.5–4). Up to 20 closing sheets may be requested at one time. Print Closing Sheet verifies
each Case Number at a time to see if it exists on EDS. Messages will be displayed when an Case Number cannot be found.
EDS-ICS–653 PRINT CLOSING SHEET
Enter Case Number(s):
_____ _____ _____ _____
_____ _____ _____ _____
_____ _____ _____ _____
_____ _____ _____ _____
_____ _____ _____ _________________________________
Hit F1:Execute F10:Exit
(2) Enter the fields according to the validity checks below.
(3) Depress the F1 key.
(4) When there are no input errors:
-
Case numbers found on EDS, a blank Print Closing screen is displayed to enter additional case numbers. Enter up to 20 more case numbers and continue at (3), above. If all case numbers have been entered continue at (6), below.
-
Case numbers not found, a message is displayed "record not found" .
-
Verify the case number was entered correctly. If it was not, correct it and hit F1 to execute the change.
-
If the case number is correct, disregard the message. The case number found is skipped and all other closing sheets processed.
-
For case numbers not found, the applications must be re-entered in DTS.
-
(5) When there is an input error, the error message is displayed and the cursor positioned on the field in error.
-
Correct the input error.
-
Continue at (3), above.
(6) After depressing the F1 key a blank screen is displayed with a message to depress the F5 key to process and print the closing sheets. If there are more case numbers to process, enter them and continue at (3), above. If there are no more case numbers to process depress the F5 key. The Printer Format/Selection screen (Exhibit 7.14.5–10) is displayed.
| Validity Checks | ||
|---|---|---|
| ITEM | PROMPT | DESCRIPTION |
| 1 | Enter Case Numbers | Must be numeric. Must be a case number in the EDS database. |
(1) The following screen is automatically displayed after selecting Option 5 — Reprint Transmittal Sheets, Option 6 — Print
Labels or Option 7 — Print Closing Forms on the ICS Main Menu or after selecting Option 6 — Print Case History or Option 7
— Print Closing Forms on the Initial Query Screen of the Update KDO Master Record screen.
EDS-FMS–20 Print Format/Selection
* Print Mode —
* Device Number —
* Number of Copies —
(2) Enter the fields according to the validity checks below.
(3) Depress the F1 key.
(4) When there are no input errors, the ICS Main Menu (Exhibit 7.14.5–2) is displayed.
(5) When there is an input error, the error message is displayed and the cursor positioned on the field in error.
-
Correct the input error.
-
Continue at (3), above.
(6) Once in this screen, F10 may not be used.
| Validity Checks | ||
|---|---|---|
| ITEM | PROMPT | DESCRIPTION |
| 1 | Print Mode | Must be entered. Valid entries are T, S, and 1–9. T—Text printer S—Slave printer 1–9—Local print routines (District will provide instructions for the use of options 1–9) |
| 2 | Device Number | Must be entered if Print Mode is T. Must be numeric. |
| 3 | Number of Copies | May or may not be entered. If not entered, one copy will be printed. Must be numeric. |
(1) The screen below is displayed when option 10 is selected from the Inventory Control System (ICS) Main Menu. This option
allows any user of EDS to update a case to status 51 or 58. The Action History of the case will display the login of who updated
each case.
____________________________
EDS-ICS–668a Mass Case Status 51/58 Update
Case Status: __ Specialist No/DOL:____ Case Grade:__
Case Number Employer/Organization Name Status Message _____ ____________________ __ ________ _____ ____________________ __ ________ _____ ____________________ __ ________ _____ ____________________ __ ________ _____ ____________________ __ ________ _____ ____________________ __ ________ _____ ____________________ __ ________ _____ ____________________ __ ________ _____ ____________________ __ ________ _____ ____________________ __ ________ _____ ____________________ __ ________ _____ ____________________ __ ________ _____ ____________________ __ ________ _____ ____________________ __ ________ Hit F1:Execute F10:Exit
(2) The previous status must be 50, 58, 39, or 55 and the proposed closing is 06. Forms 5310A and 4461B may not be updated to status 51.
(3) The screen requires the entry of case number(s). The case grade may be entered if all the cases have the same case grade.
(4) Enter these fields according to the validity checks below.
(5) Depress the F1 key.
(6) When there are no input errors, the screen displays the Plan Sponsor Name or Organization Name, the current status if it is any status other than 50 and any error messages, if appropriate.
(7) When there is an input error, the message is displayed and the cursor positioned on the field in error.
-
Correct the input error.
-
Continue at (4), above.
(8) Verify that the case(s) displayed are the correct cases to be updated. If a case is listed that is not the correct case, the case number can be corrected. You must depress the F1 key for the corrected case number to be processed with the others. Once the case(s) are verified depress the F5 key.
(9) The screen is displayed again with the message(s) "UPDATED" or "UPD FAILED" . The case(s) with the message "UPDATED" will be updated to status 51 or status 58. For the list of other messages see Messages on the next page.
(10) If there are more cases to update, depress the F1 key to display a blank screen and continue.
(11) If case assignment is finished, depress the F10 to exit.
(12) If any of the messages below are displayed see you functional coordinator to correct the error. The case has a file mismatch.
-
KD Rec Missing—See Your Coordinator
-
EC Rec Missing—See Your Coordinator
-
IC Rec Missing—See Your Coordinator
-
ERROR: Could Not Create AH Record
| Validity Checks | ||
|---|---|---|
| ITEM | PROMPT | DESCRIPTION |
| 1 | Case Grade | If entered, must be numeric. Must be a valid case grade: |
| EP—09, 11, 12 or 13 | ||
| 2 | Case Number | Must be numeric. Enter the nine digit number assigned by DTS. |
| 3 | Plan Sponsor/Organization Name | Display only. The first name line of the Plan Sponsor or Organization. |
| 4 | Status | Display only. The current status of the case if it is not 50. |
| 5 | Message | Display only. The following messages are displayed when appropriate. |
| CASE CLOSED CASE NOT FOUND—Case number may have been entered incorrectly. DUPLICATE INCON UPDATE—status is not 50, 39, 58 or 55 and proposed closing 06 INVALID UPDATE UPD FAILED |
||
(1) The screen below is displayed when option 11 is selected from the Inventory Control System (ICS) Main Menu. This option allows the manager, secretary/clerk or CS-SP Coordinator to re-open cases to review that were closed in error.
Most cases closed in error will be cases the Approval Screen could not identify as mandatory and the manager did not enter
the "X"
to send those cases to review or the a related cases sent to review and all case should be processed together.
____________________________
EDS-ICS–665a Status 31 Update — Re-open Cases Closed In Error To Review
Case Number Employer/Organization Name Status Message
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
_____ ____________________ _ ________
Hit F1:Execute F10:Exit
(2) The screen requires the entry of case number(s).
(3) Each case number must be 9 digits.
(4) Press the F1 key.
(5) When there are no input errors, the screen displays the Plan Sponsor Name or Organization Name and current status.
(6) When there is an input error, the message is displayed and the cursor positioned on the field in error.
-
Correct the input error.
-
Continue at (4), above.
(7) Verify that the cases displayed are the correct cases to be re-opened. If a case displayed is incorrect, correct the case number and press the F1 key for the screen to process the corrected case number with the other case numbers. CASES CAN ONLY BE RE-OPENED THE SAME DAY THEY WERE CLOSED. If the case has been closed prior to the current date, re-establish it and update accordingly.
(8) A message "F5: Approve" is displayed at the bottom of the screen. If all cases have been verified, depress the F5 key.
(9) The screen will display the message "Sent to Review" or "Update Failed" . The cases is updated to status 31. For the list of other messages see Messages item 4 of the validity check.
(10) If there are additional cases to re-open, press the F1 key to display a blank screen and continue.
(11) If there are no additional cases to approve, press the F10 to exit.
(12) If the error messages "Update Failed" or "KD, EC or IC Rec Missing" is displayed see your EDS Functional Coordinator. There is a file mismatch when any of these messages are displayed.
| Validity Checks | ||
|---|---|---|
| ITEM | PROMPT | DESCRIPTION |
| 1 | Case Number | Must be numeric. |
| 2 | Plan Sponsor/Organization Name | Display only. The first name line of the Plan Sponsor. |
| 3 | Status | Display only. The current status. |
| 4 | Message | Display only. The following messages are displayed when appropriate: Case Closed — Closed date is not equal to today. Re-establish if necessary. Case Open Duplicate — Case number listed more than once on the screen. Sent to Review |
(1) The EP Case Closing Sheet is printed from Option 7 of the ICS Main Menu and the Query/Update KDO Master File screen. This form is printed for every case closed. The manager will approve the closing by initialing in the space provided at the bottom of the form.
| EDS — EMPLOYEE PLAN CASE CLOSING SHEET | |
| Case Number: 520000000EP | EDS Screener’s ID: 31000 |
| EIN: 52–1000000 FFN: 520000010 Control Date: 10071998 Case Grade: 12 | |
| Name Control: ANYP | Entity Type: O |
| Sponsor Name: ANY PENSION PLAN CORPORATION Form No/Ind: 5300 | |
| Type Request: AL | |
| Address: 1111 ANY STREET | Plan Type: F |
| ANY CITY, PA 19104 | Participants: 000025 |
| Plan Name: ANY PENSION PLAN CORPORATION Plan No: 001 | |
| DEFINED BENEFIT PLAN | Plan Year Ends: 10 |
| DBA: | |
| Effective Date of Plan: 08011998 Vesting: G | Law Indicator: D |
| Items (paragraph codes) that were considered before closing: 404 |
|
| DATE: 12121998 CLOSING CODE: 01 SPECIALIST: 001 HOURS: 001.0 CLOSING LTR: 835 REVIEWER: 005 HOURS 000.1 CLOSING CAVEATS: __________________ COMMENTS: |
|
| Manager Initials: _____ | Form 8671 |
(2) Additional lines will print on Form 8671 for the following forms:
-
Form 5307 — Model Plan Type: _
-
Forms 4461 and 4461A — Letter Serial No.: ____
-
Form 4461 B — Letter Serial No. (DO) ____(NO): ____
-
Form 5310 — Possible Reversion Amt: ______
Reason for Termination: _
Termination Effective Dt: ____ -
Form 5310A — Merger Effective Dt: _____
Consolidation Effective Dt: _____
Spin Off Effective Dt: _____
Transfer of Asset Effective Dt: _____
(3) The 5310A will print one of the above based on the Type of Request.) These additional lines will print above the line "Items (paragraph codes) section that identify incomplete application items to consider before closing" .
(4) Paragraph numbers will print in "Items section for missing items that should be considered before closing" . These paragraph numbers are items that were blank on the application, and should be obtained from plan sponsor. Definitions for each paragraph number can be found in IRM Exhibit 7.13.5–8.
(5) This form also lists each item entered on DTS. Each item should be verified prior to closing the case in the Query/Update KDO Master File screen. Instructions for the use of the Query/Update KDO Master File Screen can be found in Exhibit 7 4.5.6–4. After printing this form, if there are any items that are incorrect, correct them and reprint the closing form.
| EP CLOSING SHEET | |
|---|---|
| LABEL | DESCRIPTION |
| Case Number | Inventory Control Number generated by EDS. This number may be used in LGS to generate development and closing letters. It may also be used to update status and close the case to EPMF. |
| EDS Screener’s ID | Login ID of Individual who screened and entered the application. |
| EIN | Employer Identification Number. |
| FFN | File Folder Number assigned by EDS. |
| Control Date | Postmark on envelope. The date cycle time starts in computing the average days to process. |
| Case Grade | Grade assigned to the case. Entered by the screener. |
| Name Control | Generated in DTS. Used to match with OLE records to reduce unpostables at EPMF. |
| Entity Type | See Exhibit 7.14.5–4 for list of Entity Types. |
| Sponsor Name | Four name lines submitted on the application. |
| Form No/Ind | Form number of application submitted and the Form Version or if a Form 5309 was submitted or if the plan has 401(k) provisions. See Exhibit 7.14.5–4, items Ver., Form 5309 or 401(k). |
| Type Request | Type of request, such as a initial submission or amendment. See Exhibit 7.14.5–4 for list of requests. |
| Plan Type | Benefit Type, such as, profit sharing, etc. See Exhibit 7.14.5–4 for list of plan types. |
| Participants | Number of participants in the plan submitted on the applications. |
| Address | Street Address, City, State and Zip Code of the applicant. |
| Plan Name | Name of the Plan submitted. |
| Plan No | Number assigned to the plan. |
| Plan Year Ends | The accounting month when the plan ends. |
| DBA | Doing Business As, alias or Also Known As. |
| Effective Date of Plan | Date Plan was effective. Entered at closing. |
| Vesting | Vesting Code. Entered at closing. See Exhibit 7.14.5–4 for a list of the vesting codes. |
| Law Indicator | The Law under which the plan was submitted. Entered at closing. See Exhibit 7.14.5–4 for a list of the law indicators. |
| Model Plan Type | Type of Plan, such as, Regional Prototype. See Exhibit 7.14.5–4 for a list of Model Plan Types. |
| Letter Serial No | Number assigned by the D.O. when a Lead Plan for the Volume Submitter or Regional Prototype is submitted. |
| Letter Serial No (DO): | Number assigned by the D.O. to a request by a mass submitter for a pre-approved plan by Headquarters. |
| (NO): | Number assigned by N.O. when a Master or Prototype plan is submitted. |
| Possible Reversion Amt | Reversion amount reported on the Form 5310 application submitted. |
| Reason for Termination | Reason plan has terminated. See Exhibit 7.14.5–4 for a list of reasons. |
| Termination Effective Dt | Date the plan will terminate. |
| Merger Effective Dt | Date the merger will take place. |
| Consolidation Effective Dt | Date the Consolidation will take place. |
| Spin Off Effective Dt | Date the Spin Off will take place. |
| Transfer of Asset Effective Dt | Date Transfer of Asset will take place. |
| DATE | Date of Closing Code |
| CLOSING CODE | Code case was closed under. See Exhibit 7.14.5–4. |
| SPECIALIST | Specialist number of person that worked the case. |
| HOURS | Time spent on the case. |
| REVIEWER | Reviewer number of person reviewed the case for closing. |
| HOURS | Reviewer time spent on the case. |
| CLOSING LTR | Number of the letter sent to the plan sponsor when case closed. |
| CLOSING CAVEATS | The paragraph number(s) of the caveat(s) added to the closing letter. The paragraph number(s) only print for Letters 835 (DO/CG) and 1132 (DO/CG). |
| COMMENTS | Space to write comments. |
| Manager Initials | Space for the manager to initial their approval of the closing. |