Part 7. Rulings and Agreements

Chapter 13. Employee Plans Automated Processing Procedures

Section 8. EDS Unpostables

7.13.8  EDS Unpostables

7.13.8.1  (04-15-2003)
Overview

  1. Instructions are provided for correcting unpostables under the Employee Plans/Exempt Organizations Determination System (EDS).

  2. EDS unpostables occur when applications established or closed could not post to the Master File Pipeline Subsystem (MPS) of EDS.

    1. MPS is the "old" EP/EO Applications Control System (EACS) system and serves as a conduit to the master files.

    2. Once the records successfully post to MPS, they are sent to master file on the weekly posting cycle (usually Fridays) and Detroit Computer Center on the monthly 4/4/5 Management Information Reports (MIR) cycle.

  3. These procedures are for the EP Determination Centralized Site in Cincinnati (EP-DCSC) Office's Unpostable Clerks.

7.13.8.2  (04-15-2003)
Daily Batch Run

  1. EDS openings (establishments) and closings get to MPS (EACS) by the daily batch run. As cases are entered and the closings approved, the MF status is automatically updated to mark the records for the batch run. The changing of the MF status is explained in more detail below.

  2. When the marked records are processed through the daily batch run, application opening and closing data are checked using specific validity and consistency checks. If all checks are passed, the transaction records or case records are generated and written to a file.

  3. The validity and consistency checks used in the batch are the same as those described for each screen item in IRM 7.14.1, EP/EO Determination (EDS) Employee Plans User Manual.

  4. A case can be opened and closed in the same day. The MF status will instruct the batch to create both an opening transaction and a closing transaction in the same file. (See MF status 4, below.)

    Note:

    An update after closing would not need to be done the same day. The data can be updated before the batch is run.

  5. The file described in (2) above is uploaded to the Siemens RM600E at the Cincinnati Service Processing Center (CSPC) where a transaction file is created and FTP to the CSPC's mainframe computer. Additional validity and consistency checks are made on the application's opening and closing data for name control and zip code, when the transaction records are added to MPS.

  6. Unpostables can occur in either the EDS daily batch run (EDS unpostables) or in the MPS run (EACS unpostables). The EDS daily batch run should find all the errors in the records before the file is transmitted to MPS.

  7. There are two checks the EDS daily batch run may not detect:

    1. They are consistency checks on the zip code and state, and

    2. EIN and Name Controls (OLE).

    Note:

    These unpostables will occur only in MPS. If MPS unposts a case for any other reason, contact the EDS Functional Coordinator. He or she should inform the Washington, D.C. Office so the daily batch program can be corrected.

7.13.8.2.1  (04-15-2003)
Reports

  1. Reports are generated both from the EDS daily batch run and MPS (EACS).

    1. When EDS errors are found, the daily batch report lists the cases and the error(s) found.

    2. The MF status field is updated with the unpostable code and the record is NOT sent to MPS.

    3. These errors (unpostables) require an EDS correction.

  2. MPS programs are run on a daily basis and a report is generated with run controls and any errors found. The availability of this report daily is dependant on the time Information Systems Division (ISD) runs the daily batch runs and transmits the EP files. The Detroit tables will be more accurate if (a) below can be achieved.

    1. If the daily batch is run in the evenings and the files are transmitted in time for the EACS run, the report will be available the next day.

    2. If the daily batch is run in the evenings and the files are transmitted after the time for the MPS run, the report will be available in two days.

    3. If the daily batch is run in the mornings and the files are transmitted in time for the MPS run, the report will be available two days later.

  3. When the MPS reports are received on the EP-DCSC's reporting system, a program is run against the report to update the MF status with unpostable codes and closings. History records are created for these updates and for opening and update of MIR data postings. The MPS unpostables also require an EDS correction.

7.13.8.3  (04-15-2003)
Specific Instructions

  1. Unpostables should be resolved by the CS-SP Coordinator who will research for the correct data, update the corresponding fields on EDS. (The CS-SP Coordinator must be in the Employee Master file to access ICS).

  2. Each unpostable from the daily batch run will be listed on the batch run report with the unpostable code(s) or reason the case did not post (see Exhibit 7.13.8–1 for the list of unpostable codes).

    1. When a case unposts on EDS, the MF status field in the Query/Update Master File screen is updated to reflect the unpostable code or if there was more than one unpostable the last unpostable code found.

    2. The EDS daily batch run report is the only report that lists all the reasons a case did not post.

  3. A report may be generated in the Management Information System (MIS) to print outstanding EDS unpostable cases. See IRM 7.13.9, Management Information System, for instructions in running this report.

  4. Find the correct entry for each error/unpostable by looking in the case file. If the correct entry cannot be found, ask the specialist who closed the case to determine the correct entry.

  5. Make correction(s) in the Query/Update Master File Screens. These screens may be found in Option 1 of the ICS Main Menu. All corrections will be made by the EP-DCSC.

    1. When all updates are made, a "Y" should be entered in the MF item to re-send the record to MPS.

    2. All items can be corrected by any login if the case is open.

    3. Once a case is closed, all unpostables can be updated except the status and hours fields. The status and hours fields can be updated in Option 5 of the Update Master File screen and only by the CS-SP Coordinator. The purpose of updating these unpostables after closing is to correct data on the Detroit Data Center tables. The MF code to send the case to MPS can only be updated by the CS-SP Coordinator.

7.13.8.4  (03-01-2006)
Definitions

  1. Opening Record — The opening or establishment record is sent to MPS after an application is entered in Data Transcription Subsystem (DTS). An opening record is sent to allow service center personnel research capability with the command codes PLINQ and PLINF. Opening data is also sent to Detroit Computing Center to be counted in the MIR tables as a receipt. These records are sometimes referred to as PAP records.

  2. Closing Record — The closing record is sent to MPS after the case is closed and approved through the Case Approval Screen. This record closes off the opening record at the service center The closing data is also sent to Detroit Computing Center to be counted in the MIR tables as a closing. These records are sometimes referred to as PCP records.

  3. Update Record — Option 5 in the Query/Update Master File screen allows MIR items to be updated. An update record can be sent to MPS after the record has been closed and MIR items have been updated. MPS sends the update record to the Detroit Computing Center. These records are sometimes referred to as PUP records.

  4. KD, EC and IC Records — A " case" is stored in a number of tables in the database of EDS. For a case to be viewed in the Update Master File screen it must have a record (with the same case number) in each of the KD, EC and IC tables. The KD record contains entity information, such as name, address, form number, etc. The EC records contains case information, such as benefit type, subsection, status, etc. The IC record contains the MF indicator and the date.

  5. PCCF — The Plan Case Control File (PCCF) is the name of the database used for MPS system. The PCCF is the holding area until transactions can be sent to master file.

7.13.8.5  (04-15-2003)
Master File Codes

  1. Master File (MF) Codes describe where the EDS record is in relation to MPS. Below is a list of MF Codes and their meanings:

    0 (zero)—Opening record waiting to be sent
    1—Opening record sent
    2—Closing record waiting to be sent
    3—Closing record sent
    4—Both opening and closing records waiting to be sent
    10—Not sent (Forms 4461–B, 5310–A and 9999)
    11—Letter Generation record—not sent
    12—Update MIR data after closing waiting to be sent
    13—Update MIR data after closing sent
    30—Closing Record Posted to MPS
    2000–2999—MPS Opening Unpostable (When Both Opening and Closing Records were Sent)
    3000–3999—MPS Update MIR Closing Data Unpostable
    4000–4999—MPS Closing Unpostable
    5000–5999—MPS Opening Unpostable
    MIR data after closing
    6001–6999—Unpostables codes for Update
    7001–7999—Unpostables codes for Opening records when both opening and closing records were sent
    8001–8999—Unpostable codes for Closing records
    9001–9999—Unpostable codes for Opening records

  2. MF Unpostables Codes are 4 digits. The first digit is the following:

    9—Opening Record Unpostable
    8—Closing Record Unpostable
    7—Opening Record Unpostable when Opening and Closing records were sent simultaneously (or together in the same file).
    6—Update after Closing Record Unpostable
    5—MPS Opening Record Unpostable
    4—MPS Closing Record Unpostable
    3—MPS Update after Closing Record Unpostable
    2—MPS Opening Record Unpostable when Opening and Closing records were sent simultaneously (or together in the same file).

  3. The last three digits are the unpostable code.

    For example:

    1. If an unpostable code is displayed as 9092, the State Code is invalid on an opening record.

    2. If the code is displayed as 8092, the State Code is invalid on a closing record.


    The unpostable codes are listed in Exhibit 7.13.8–1.

  4. To change the unpostable code to a code to send the record to MPS, a "Y" must be entered in the MF field. A "Y" will change the unpostable to the following:

    1. 9XXX will be updated to 0 (zero)

    2. 8XXX will be updated to 2

    3. 7XXX will be updated to 4

    4. 6XXX will be updated to 12

    5. 5XXX will be updated to 0 (zero)

    6. 4XXX will be updated to 2

    7. 3XXX will be updated to 12

    8. 2XXX will be updated to 4

  5. The batch run will update a

    1. "0" (zero) when sent to MPS as an opening record

    2. "2" when sent as a closing record,

    3. "4" when sent as both opening and closing records

    4. "12" when sent as a MIR update after closing

    Note:

    After the batch run is complete the MF Code will reflect the record has been sent.

    1. 0 (zero) will be updated to 1 after the batch run

    2. 2 will be updated to 3 after the batch run

    3. 4 will be updated to 3 after the batch run

    4. 12 will be updated to 13 after the batch run

7.13.8.6  (04-15-2003)
Exceptions

  1. All errors may be corrected through the Query/Update Master File Screen except the errors listed below. These cases must be corrected by your EDS Functional Coordinator.

    1. Case Number is invalid (000)

    2. Control Date is invalid (010)

    3. Area Office or Post of Duty Code is invalid (005)

    4. Type Request is invalid (013)

    5. No matching KD record (999)

    6. No matching EC record (998)

    7. Inconsistent Closing Cd and Proposed Closing Cd (055)

    Note:

    The errors listed in 1(a)–(g) should not occur if the record has been entered through the DTS and the data has not been altered outside of EDS. If these errors should occur see your EDS Functional Coordinator.

  2. If the error listed is "File Folder Number is invalid " (001), the File Folder Number (FFN) may be updated unless the error is in the first two digits (D.O. Code portion of the FFN). If the error is the first two digits, the case must be corrected by your EDS Functional Coordinator.

7.13.8.7  (04-15-2003)
MPS (Service Center) Run Unpostables

  1. EDS transaction records are processed through programs at the service center. The programs that produce MPS unpostables are labeled EDS01 and EDS03.

    1. The program EDS01 screens the records to see if the tape was sent to the wrong service center and to determine of there are duplicate case numbers.

    2. The program EDS03 performs the validity and consistency checks for EP records.

  2. If the records pass through the two programs, they will be marked to update the EPMF based on the weekly posting cycles (usually Fridays).

  3. The data used for the MIRs will be transmitted to the Detroit Computing Center to be included in the MIR tables based on the monthly 4/4/5 posting cycles.

7.13.8.7.1  (04-15-2003)
MPS Run Reports

  1. The run report is generated daily and is available for ISD to download to the EDS system.

    1. ISD should print this run report daily and give it to TE/GE.

    2. Follow-up should be made. The report lists each EDS01 and EDS03 run.

  2. Run controls are totals of records

    1. Input to MPS,

    2. Added (established), closed and updated (MIR data updated), and

    3. Unpostables

    Note:

    Other data listed is pertinent to the records being marked for master file and Detroit Computing Center.

  3. The run report also prints out each case number that was accepted by MPS. The case numbers accepted plus those that were unpostable should equal the total records sent.

7.13.8.7.2  (04-15-2003)
Message Lines

  1. Message lines will be printed on the report with the item that is not valid or consistent with another field. These message lines are read by the nightly batch run to update the MF status with the unpostable code. These reports only need to be read to compare the run controls and work any unpostables that are not in the UNP format.

  2. Below is an example of UNP and OLE format. All UNP and OLE lines will print in the nightly batch run report in a format that can be read without a template.

    • UNP|315432000EP|PCP|100|315123456|001

    • UNP|315001000EO|PAO|100|311234567|000

    • OLE|311500101EO|319500100|THEF| FELLOWSHIP OF NICE PEOPLE

  3. If the nightly batch can not update an EDS record, a message line will be printed in the batch report. See your EDS Functional Coordinator to resolve the record problem. Once the record is fixed, the unpostable can be resolved.

  4. There are two unpostable codes that will not update the MF Code. The number of these unpostables will be printed on the nightly batch report.

    1. 993 — Opening record sent a second time.

    2. 990 — Closing record sent a second time.

7.13.8.8  (04-15-2003)
Run Controls Comparisons

  1. After the nightly batch run has processed the records from the Service Center Run Report, a report is generated listing the unpostables in a more readable format and run controls of the updates to the EDS database. See Exhibit 7.13.8–2 for a sample of this report.

  2. The heading of the report lists the following:

    1. The date ISD processed the Service Center Run Report.

    2. The file name of the Service Center Run Report.

    3. The date the service center processed the Area transaction files.

    4. The date the service center processed the Area transactions files were created.

  3. Compare dates to ensure the service center has processed every transaction file the EP-DCSC has sent. EDS batches are run daily. There should be report listing dates of the transaction files for every day of the week. If this does not happen, contact your Functional Coordinator. The Functional Coordinator will coordinate with ISD to determine why there are dates missing. The sooner problems are identified, the easier it will be for ISD to remedy the situation.

  4. The Unpostable section and OLE section of the run reports prints on separate pages to facilitate the ease in assigning these errors to correct.

  5. The Totals section of this report is used to monitor the updates to the EDS database. This section of the report can help determine:

    1. Total Openings or Closings sent twice — If this number is high, it could signify records are being resent to the service center. More training may be needed.

    2. Records Not Updated Due to IC Status 30 — If this number is greater than 0, ISD has probably run the service center run report through the program more than once. Testing has not been able to determine the complete ramifications of this action. Cases where unpostables were resolved could be put back into an unpostable condition. If this happens, contact your Functional Coordinator. They may need to coordinate with ISD.

  6. To compare whether all records were processed from each transaction file, use the following lines from the reports:

    1. EP and EO Nightly Batch Run: Total Transactions Generated.

    2. Service Center Run Report: Individual File Number Totals — Number EP Records Read.

    3. EP and EO MPS Run Report: Total Records Input.

    Note:

    These items should equal the Total on the report. If they do not equal, look at the service center run report for any unpostables that are not in the UNP format. Add the number of these unpostables that are not in the UNP format to the Total Records Input. If they still do not equal, see your Functional Coordinator. The Functional Coordinator will contact the Washington D.C. Office.

  7. The rest of the items in the TOTALS section are informational items. The total of these four lines in each of the IC and AH columns should equal the Total Records Input.

    1. Records Unmatched — Total records where the program could not find the case number in the database. These cases are listed in the MPS-EDS Errors Section.

    2. Records Not Updated — Total number of records that were on the report where no update was done to the database. These are generally records openings and update after closings. These records do not update the MF status (IC table). If the same file was run more than once through the programming this number would also include the total records found where the MF status was already a 30.

    3. Records Updated/Added — Total records where the MF status (IC table) is updated because of a closing or an unpostable or when an action history (AH table) record is added. Action history records are added when the MF status is changed and for all openings and update after closings.

    4. Database Failures — Total number of records where the database could not be updated because a record is being used by another login. This would not generally happen since the batches are run when no one else is on the system.

7.13.8.9  (04-15-2003)
Instructions

  1. MPS Unpostables will also be resolved by the CS-SP Coordinator who will —

    1. Research INOLE for the correct data,

    2. Update the corresponding items on EDS (the CS-SP Coordinator must have a password to login the ICS), and

    3. send the case to MPS.

  2. The correct entry for each unpostable should be found by looking in the case file. If the correct entry cannot be found, the case should be taken to the specialist who closed the case to determine the correct entry.

  3. The correction(s) will be made in the Query/Update KDO Master File Screen. These screens (Exhibits 5–4 and 5–5 of the IRM 7.14.5,Inventory Control Subsystem may be found in Option 1 of the ICS Main Menu on EDS system.

    1. When all corrections/updates are made, a "Y" or "B" should be entered in the MF item to re-send the record to MPS.

    2. A "B" is entered when both the opening and closing record should be sent to MPS.

  4. If the nightly batch run could not update the MF field with the unpostable code, the MF Code will still be a 1, 3, or 13.

  5. When entering a "Y" or "B" a message will be displayed to verify if the record should be sent to MPS. Depress the function key that says "yes, send" . The MF code will be updated to re-send the record.

    1. 1 will be updated to 0 (zero)

    2. 3 will be updated to 2

    3. 3 will be updated to 4 if a "B" is entered in the MF status

    4. 13 will be updated to 12

  6. After the nightly batch run, the MF code will be updated to a code showing the record was sent.

7.13.8.10  (04-15-2003)
MPS Most Common Errors

  1. There may be times when an opening and/or closing record is sent a second time for which there is no corrective action needed. The error messages from MPS will be the following:

    1. Error 993 — This Case is Already on the PCCF — Opening record sent a second time.

    2. Error 990 — Closing Code equals the Closing Code on PCCF — Closing record sent a second time. Use Option 5 of the Update KD Master File screen if you are attempting to correct MIR data items.

  2. If a closing record is being sent before an opening unpostable is corrected, the error code 994 is generated. These records should be corrected by entering a "B" in the MF code in order to send both the opening and closing record.

    • Error 994 — Opening Record Missing on PCCF

  3. If a closing unpostable has not been corrected and sent before the Update record is sent the following message will be displayed. These records should be corrected by entering a "Y" in the MF code.

    • Error 986 — Closing Record Missing on PCCF for this Update — Update record sent and the closing record has not posted to MPS.

  4. Zip code and OLE errors will display the following error messages. These errors should be corrected by updating the zip code and putting a bracket in the correct position to generate the correct name control. A " Y" should be entered in the MF code to re-send the record.

    1. Error 100 — Zip Code not Valid for this State Code

    2. OLE ERRORS — Error 996 — Mismatch on Name Control and OLE Name Control

Exhibit 7.13.8-1  (04-15-2003)
EDS Batch Run Error Codes

(See text 7.13.8.5(2) for an explanation of the first digit of the error codes. This exhibit lists only the last 3 digits.)

Unpostable
Error Codes 		Error Messages
000 Invalid Case Number
001 Invalid File Folder Number
002 Invalid EIN
003 Invalid Plan Number
004 Invalid Name Control
005 Invalid District Code
006 Invalid Case Number (Julian Date)
007 Invalid Case Number
008 Too many AH Event 10 Records
010 Invalid Control Date
011 Invalid Form Number
012 Invalid Form Version Code
013 Invalid Type of Determination Request
014 Invalid Benefit Type
015 Invalid Total Participants
016 Invalid Plan Year Ends
019 Invalid District of Location Code
021 This Form not sent to Master File
022 Invalid KDO
023 Inappropriate Update to Control Date Attempted
040 Correction Disposal Record, See Functional Coordinator
050 Invalid Employee Grade
051 Missing Employee Grade
052 Invalid Closing Code
053 Case Not Approved
054 Missing Specialist Hours
055 Inconsistent Closing Cd and Proposed Closing Cd
056 Missing Specialist Number
057 Invalid Case Grade
058 Missing Case Grade
059 Missing Plan Number
060 Invalid Law Indicator
061 Missing Law Indicator
062 Invalid Plan Effective Date
063 Invalid Plan Vesting
064 Missing Plan Vesting
065 Inconsistent Plan Vesting and Form Number
066 Missing Plan Participants
067 Inconsistent Form Number and Plan Participants
068 Missing Plan Effective Date
069 Inconsistent Form Number and Plan Effective Date
070 Missing Plan Year Ends
071 Inconsistent Form Number and Plan Year Ends
072 Invalid Case Grade Source
080 Invalid 1st line of Name of Plan Sponsor
081 Invalid 2nd line of Name of Plan Sponsor
085 Invalid In Care of Name
087 Invalid 1st line of Plan Name
088 Invalid 2nd line of Plan Name
089 Inconsistent Zip Code and State Code
090 Invalid Address
091 Invalid City
092 Invalid State Code
093 Invalid Zip Code
094 Invalid Foreign Address
095 Invalid Foreign City
096 Invalid Foreign Country
100 Zip Code not Valid for this State Code
128 Invalid Affiliation Code
161 Inconsistent District of Location and State Code
162 Dummy EIN Must be Updated
163 Missing Reviewer Number
164 Missing Reviewer Hours
166 Inconsistent Closing Code and Type Request
179 Determination Code must be Blank
190 Missing Reviewer Number and Reviewer Total Hours
984 Record Error with Foreign Address, See Function Coordinator
985 EIN Not in Service Center’s Valid Range — Verify (If Correct, enter D in the MF Code.)
986 Closing Record Missing on PCCF for this Update
987 Update After Closing Error, See Functional Coordinator (Program Error)
988 Inconsistent Form No and Form 5309 Ind or 40K Ind
990 Closing Record sent a second time (no action necessary if closing code matches the service center, check PLINF)
991 Tape Error, See Functional Coordinator for ISD to Re-send Tape
992 Inconsistent Key District Office Code in FFN, Case Number and District Office Code
993 Opening Record sent a Second Time (no action necessary)
994 Opening Record missing (Enter a "B" to send both an opening and a closing record)
995 Record Error with MF Code, See Functional Coordinator
996 Mismatch on Name Control and EIN (OLE)
997 No matching EM record
998 No matching EC record
999 No matching KD record

Exhibit 7.13.8-2  (04-15-2003)
Sample of a MPS (EACS) Run Report

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