7.14.5  Inventory Control System (ICS)

Manual Transmittal

August 02, 2012

Purpose

(1) This transmits revised text for IRM 7.14.5, Employee Plans EDS User Manual, Inventory Control Subsystem (ICS).

Material Changes

(1) Minor editorial changes have been made throughout the text to improve grammar and clarity.

(2) IRM 7.14.5.1, Overview was updated to show that Tax Exempt Determination System (TEDS) has replaced Employee Plans - Exempt Organizations Determination System (EDS) as the primary system for processing determination letter (DL) applications.

(3) IRM 7.14.5.4, Letter Generation System was removed and the information moved to a note in IRM 7.14.5.1 to improve IRM clarity.

(4) IRM 7.14.5.5, Screen Operation was removed because it was repetitive of IRM 7.14.1.4, Screen Operation.

(5) IRM 7.14.5.6.1, Case Closing was removed because the information is no longer applicable.

(6) Exhibit 7.14.5-2, Inventory Control System (ICS) Main Menu was updated to show how the print screen from EDS currently looks. Option 6, print labels and option 9, Query/Generate File Folder number(s) are now reserved, and option 10, Multiple Status 51/58 now reads Multiple Status 51/58/60/75.

(7) Exhibit 7.14.5-3, Multiple Case Assignment/Reassignment Screen was moved to Exhibit 7.14.5-7 and updated to provide a warning not to assign TEDS case(s) in EDS because this will create an EDS block.

(8) Exhibit 7.14.5-4, Query/Update KDO Master Record was renamed Query/Update Master Record and Status, moved to Exhibit 7.14.5-3, and updated to show the TEDS case number is an available option to query. Also updated to provide warning not to create EDS block.

(9) Exhibit 7.14.5-5, Notice of Qualified Separate Line of Business was moved to Exhibit 7.14.5-4

(10) Exhibit 7.14.5-6, Update KDO Master Record - Employee Plans Merger/Spin Off/Transfer of Assets or Liabilities was moved to Exhibit 7.14.5-5 and renamed Update Master Record - Employee Plans Merger/Spin Off/Transfer of Assets or Liabilities.

(11) Exhibit 7.14.5-8 is now Reprint Transmittal Sheet Screen. The exhibit moved from obsolete IRM 7.14.3.

(12) Exhibit 7.14.5-8, Inventory Control System—Approval Screen was renamed Approval of Case Closing Screen and moved to Exhibit 7.14.5-9.

(13) Exhibit 7.14.5-9, Print Closing Screen and Exhibit 7.14.5-10, Print Format/Selection Screen were moved down one number.

(14) Exhibit 7.14.5-11, Status 51 and Status 58 Update-Mass Case Status Update was renamed and moved to Exhibit 7.14.5-12, Multiple Status 51/58/60/75 Updates Screen. It was updated to provide a warning about EDS blocks and the screen shot was updated to reflect the addition of the TEDS number.

(15) Exhibit 7.14.5-12, Re-open Cases Closed In Error To Review Screen was renamed and moved to Exhibit 7.14.5-13, Re-open To Review Screen.

(16) Exhibit 7.14.5-13, EDS — Employee Plan Case Closing Sheet, was moved to Exhibit 7.14.5-14.

(17) Exhibit 7.14.5-15, Multiple Merit Closure Assignment Screen was added to display the new feature available of EDS.

Effect on Other Documents

IRM 7.14.5 dated January 31, 2006 is superseded.

Audience

Tax Exempt and Government Entities (TE/GE) Employee Plans Personnel

Effective Date

(08-02-2012)

Robert Choi
Director, Employee Plans
Tax Exempt and Government Entities

7.14.5.1  (08-02-2012)
Overview

  1. TEDS is now the primary system for processing DL applications. Certain sections of this IRM may not apply to case(s) worked in TEDS, but the entire IRM continues to apply to case(s) worked as paper case(s). See IRM 7.15.1, Employee Plans TEDS User Manual, Tax Exempt Determinations System (TEDS) Employee Plans User Manual Introduction for more information on TEDS.

    Note:

    Do not update a status or change entity information in EDS on any case worked in TEDS or it will create an EDS block.

  2. This IRM provides instructions to Employee Plans (EP) specialists, reviewers and managers on the Inventory Control System (ICS) segment of EDS. ICS includes many features which allow users to manage, track, and otherwise control applications in EDS.

  3. Each employee who uses the ICS segment of EDS must have a five digit EDS specialist identification number (ID) to access the system. Each specialist ID is given a function code. The function code describes the duties the employee is permitted to perform in EDS (managerial, clerical or specialist who works cases).

    1. Cases can only be assigned to an ID whose function code is a specialist.

    2. 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.

      Note:

      TE/GE Operational Program Support (TOPS) is in charge of adding and changing employee functions in EDS. Contact TOPS by submitting a Help Desk ticket through the OS GetServices Intranet website available here: http://erc.web.irs.gov/default.asp?SEID=tabs

  4. The ICS Main Menu (See Exhibit 7.14.5-2) allows users to access the following screens:

    1. Query/Update Master Record and Status Screen - Exhibit 7.14.5-3

    2. Case History Record Screen - Exhibit 7.14.5-6

    3. Multiple Case Assignment/Reassignment Screen - Exhibit 7.14.5-7

    4. Reprint Transmittal Sheet Screen - Exhibit 7.14.5-8

    5. Approval of Case Closings - Exhibit 7.14.5-9

    6. Print Closing Screen - Exhibit 7.14.5-10

    7. Multiple Status 51/58/60/75 Updates Screen - Exhibit 7.14.5-12

    8. Re-open To Review Screen - Exhibit 7.14.5-13

    9. Multiple Merit Closure Assignment Screen - Exhibit 7.14.5-15

      Note:

      The Letter Generation System (LGS) is also a segment of EDS. LGS is accessed through the ICS Main Menu. See IRM 7.14.4, Employee Plans EDS User Manual, Letter Generation.

7.14.5.2  (08-02-2012)
Case History

  1. When a DL application is established into EDS through the Data Transcription Subsystem (DTS) (See IRM 7.14.2, Employee Plans EDS User Manual, Data Entry), an inventory record is created in ICS and a unique control number (EDS case number) is generated.

  2. The inventory record allows a case history to be created for each action taken on a case. The actions may include:

    1. Updating data entered during DTS.

    2. Entering closing data.

    3. Updating the status.

    Each of these actions generates a record containing the type of update and the login associated with the update action.

  3. The case history may be viewed by entering the case number in the Update Master Record screen. Once the record is displayed the F6 function key is used to view the case history information.

7.14.5.3  (08-02-2012)
Closing Approval

  1. Each case must have a proposed closing code and closing data entered. The proposed closing is subject to management approval and to the Tax Exempt Quality Measurement System (TEQMS) selection criteria. See IRM 7.11.3, Employee Plans Determination Letter Program, Tax Exempt Quality Measurement System (TEQMS).

  2. Closing data is entered when a final disposition is made on a case (favorable or unfavorable determination). 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.

  3. If the case is not sample or mandatory selected for Quality Assurance review, 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.

7.14.5.4  (08-02-2012)
Output of the Inventory Control System

  1. ICS generates the Form 8671, Employee Plan Case Closing Sheet. See Exhibit 7.14.5-14, EDS - Employee Plan Case Closing Sheet.

  2. The form is printed from the Print Closing Screen (Exhibit 7.14.5-10) by the secretary. It is included in the case file when the case is submitted to the manager for closing approval.

  3. The manager verifies the data on the closing sheet and initials the form when approving the case for closure.

Exhibit 7.14.5-1 
EDS Main Menu - Inventory Control System

(1) The following menu will be displayed once users log into 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
   
(2) Options 2 through 5 are currently available to users. Select option 3 on the EDS Main Menu and F1 to activate the ICS Menu.

Exhibit 7.14.5-2 
Inventory Control System (ICS) Main Menu

(1) The ICS Main Menu screen will be displayed after option 3 is selected from the EDS Main Menu. (See Exhibit 7.14.5-1.)
EDS-ICS-40ep EP 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) Reserved
(07) Print Closing Forms
(08) Approval of Closed cases
(09) Reserved
(10) Multiple Status 51/58/60/75 Updates
(11) Re-Open To Review
(12) Multiple Merit Closure Assignment
  (00) EXIT
  ***Select one of the above: ___
Hit F1: Execute   F10: Exit
  (2) Press the F1 key.
  Validity Checks
ITEM PROMPT DESCRIPTION
1 Select one of the above Must be one of the valid option number(s) (00, 01 - 12).

Exhibit 7.14.5-3 
Query/Update Master Record and Status

(1) The screen below will be displayed when option 1 is selected from the ICS Main Menu (Exhibit 7.14.5-2). The screen may be used by any login that has been added to the Employee Master file of EDS by TOPS.
EDS-ICS-644a UPDATE MASTER RECORD -EMPLOYEE PLAN
 ***Select one of the following: _
(1) Research Only
(2) Update Status (Open Codes Only)
(3) Update Master Record Only
(4) Update Status, Master Record or Closing Data
(5) Update MIR Data After Closing
(6) Print Case History
(7) Print Closing Form
   
Enter Search Criteria      DLN: ______
  Case No: _____
  EIN: _-____  Plan No: ___
  FFN: _____
  Name Cntl: ___  Zip: ___
  TEDS case No: ______
     
Hit F1: Execute - F10: Exit
(2) The initial query screen is used to select one of the menu options shown above and display the Update Master Record screen or the Print Format/Selection Screen. The same Master File Screen will be 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 7.14.5-4). Each field may have limited access depending on the menu option selected. (See item 13 below.)
(3) An entry is required in one of the eight fields to retrieve application or notice information. The application or notice can always be uniquely identified by the DLN, Case Number, or TEDS case number. Query by DLN, case number, or TEDS case number is the fastest search and should be used when it is readily available. Alternately, a query may be made by other items but these are not always unique and therefore may require further identification of the application.
 The alternate search methods may be by:
  1. EIN

  2. EIN and Plan Number

  3. File Folder Number

  4. Name Control

  5. Name Control and Zip Code

(4) Enter the item(s) according to the validity checks below.
(5) Press the F1 key.
(6) When there are no input errors, the screen will be displayed with the Master Record(s) found.
  a. If searching using EDS case number, DLN, or TEDS case number, the Update Master-Case Control Screen below will be displayed when only one record is found. If the record is a QSLOB notice the screen in Exhibit 7.14.5-4 will be displayed.
  b. If more than one record is found continue at (9), below.
(7) If an input error occurs, the error message will be 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 "No more records in this direction" will be displayed. The F4 key may be used to go back to previously displayed records.
(9) When the correct record is found, press the F1 key and the Master Record will be displayed.
(10) To search on a different item(s) for another 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.

Note:

Do not update a case in EDS if it is currently being worked in TEDS. This will create an EDS block.

  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. This option is used to close a case,. 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 only available to the users who have a MF Status of 3 or 30 (Create a help desk ticket to change your MF Status). May not be used to display a QSLOB notice.
Validity Checks
ITEM PROMPT DESCRIPTION
1 Select one of the following Must be 1 - 7.
2 DLN Document Locator Number. Must be numeric.
3 Case No Case Number. Must be numeric.
4 EIN Employer Identification Number.
Must be numeric.
5 Plan No Three digit plan number. Must be numeric.
6 FFN File Folder Number. Must be numeric.
7 Name Cntl Name Control. See below to determine the Name Control of the Plan Sponsor.
8 Zip Code Five digit Zip Code. Must be numeric.
9 TEDS case No Seventeen digit number assigned by TEDS.
10 Plan Sponsor Name Display only. Name of the plan sponsor.
11 Form Display only. Application form number and Version.
12 Cntl Dt Display only. Control Date.
(12) The following screen will be 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 Master File screen for QSLOB will be displayed when Options 1 or 3 are selected (see Exhibit 7.14.5-4). 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 7.14.5-11 for the use of the Print Format/Selection screen).
EDS-ICS-644b1  UPDATE MASTER RECORD -EMPLOYEE PLAN
DLN: _____ TEDS Case No: _____Case No: __User Fee: ____EIN: __-____ Plan No: ___FFN: _____Req Type: __
Form: ___Ver: _Rev: ___Area Office: _Control Date: _/_/_
Plan Sponsor Name: __________________ Name Control: ___
  __________________ Form 5309: _
  __________________ Entity Type: ___
  __________________ Model Plan Type: _
   DBA: ____________________401(K):  _
   In Care Of: ____________________
  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: _

Dishonored Check: _ userfee Payment Status: _ MF: _ Dt: _/_/_
***Date: _/_/_ Status: _Specialist No: ___Hours: __._ Case Grade: _
Last Letter Created: __Reviewer No: ___Hours: __._ TC013: _
Hit _F5: New Search_F6: Case History F10: Exit
(13) To update a record, type the data in the field(s) according to the validity checks below. (If not updating, press the F5 key to bypass the validity and consistency checks. No changes will be made to the data.)

Note:

Do not update a case in EDS if it is currently being worked in TEDS. This will create an EDS block.

(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 key F4 is available to bring up the Update Master Record screen for Merger, Spin Off or Transfer of Assets (Exhibit 7.14.5-5). The function keys purpose will be 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 will be displayed for the next query.
  b. The F2 key, displays the next record, or case history screen. 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, displays previous record, previous screen or the Update Master Filescreen 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 will be displayed for the next query.
  e. The F6 key, the Case History screen (Exhibit 7.14.5-6) will be displayed.
  f. The F10 key, no changes will be made to the record and the ICS 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 Master Record and Status and Status Screen, use the F5 key to bypass updating the record or use Option 1. The initial query screen will be 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 case(s) will be entered on the Case Approval Screen. case(s) will be considered for TEQMS Sample and/or Mandatory review and updated to status 31 if selected. See Exhibit 7.14.5-10. All case(s) must be updated to status 31 in the Approval Screen. case(s) 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 7.14.5-11
(20) To assign multiple case(s) to one specialist, see Exhibit 7.14.5-7, Multiple Case Assignment/Reassignment 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 7.14.5-10). 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. A bracket (]) should be placed in the correct position of the name or a Y entered to signal the batch program to send a name update to Master File. THIS MESSAGE will be 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 Document Locator Number. Display only.
2 TEDS case number TEDS case number. Display only.
3 Case No Case number. Display only.
4 User Fee User Fee. Display only.
5 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.
6 Plan No Three digit plan number. Must be numeric.
7 FFN File folder number. Must be numeric. The first two digits must match the first two digits of the case number.
8 Req Type Request Type. The first character is a display only. Must be one of the following:
    I -Initial Application
    A -Amendment Application
    T -Termination Application
    NM - Notice of Merger
    NQ - Notice of Qualified Separate Line of Business
    Form Revision 05/89 and Later
    Form  Request Type
    5300  I, A
    5307  I, A
    5310  T
    5310A  NM, NQ
    5316  I, A
9 Form Display Only. Form Number of Application. Should be one of the following:
    5300, 5307, 5310, 5310A or 5316
10 Ver Display only. Version Code. Should be A, B or blank.
11 Rev Display only. Revision date of the application form.
12 Area Office Area Office. 01 - Northeast Area, 02 - Mid-Atlantic Area, 03 - Great Lakes Area, 04 - Gulf Coast Area, 06 - Pacific Coast Area, 07 - Foreign (including Guam/Puerto Rico/Virgin Islands, 08 - Military and 09 - Unused.
Validity Checks
ITEM PROMPT DESCRIPTION
13 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.
14 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 " .
    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]CHARITABLE CONTRIBUTION
Right-hand bracket precedes the four characters that are the correct name control.
    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.
15 Name Control Display only. To correct the name control, see item 14 above, Plan Sponsor Name (Line 1).
16 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.
17 Form 5309 Must be blank or Y. If Form 5309 is attached enter a Y. May be entered for any Form 5300.
18 Plan Sponsor Name (Line 3) If entered, Plan Sponsor Name (Line 2) must be entered. See Plan Sponsor Name (Line 2) description.
19 Entity Type Must be blank or at least one of the following alpha codes:.
G - Government/Church not subject to ERISA.
M - Multiple Employer
W - Multi-Employer
O - Other
20 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
21 Model Plan Type Must be present if Form 5307.
N -Not Applicable
M -Master/Prototype Plan
V -Volume Submitter Plan
22 DBA Doing Business As, Also Know As (AKA), or any other name associated with the company. May or may not be entered. 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.
23 In Care of May or may not be entered. 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.
24 401(K) Section 401(K) indicator (contains Cash/Deferred Arrangement). Must be blank, Y or N.
25 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.
26 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" .
27 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
28 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 is correct.
29 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. The characters that are sent to Master File are alphabetic, numeric, hyphen, ampersand, "(A-Z, 0-9, -, &" ) and blank.
30 Plan Year Ends Must be 1-12 if Form is 5300, 5307, 5310, or 5310-A. Otherwise, must be 0 (zero).
31 Benefit Type Must be present for all Forms except 5316 and one of the following codes:
C - Cash Balance
P - Profit Sharing/Safe Harbor
S - Stock Bonus
L - Leveraged ESOP
M - Money Purchase
N - Non-Leveraged ESOP
T - Target benefit
O - Defined Benefit
32 Total Part Total Participants. If entered must be Form 5300, 5307 or 5310. Must not be entered for Form 5316. If present, must be 000000-999999.
33 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.
34 Ltr Serial No: (DO) Letter Serial Number assigned for a Prototype or Mass Submitter of a Master or Prototype Plan. Positions 2-8 must be numeric. Valid only for Forms 4461, 4461A and 4461B.
35 Ltr Serial No: (NO) Letter Serial Number assigned for a Master or Prototype Plan. Positions 2-7 must be numeric. Valid for Form 4461B.
36 Vesting Plan Vesting provision code. May or may not be entered for Forms 5300, 5307, or 5310. Must not be entered for Forms 5310A or 5316. Must be alpha A-H. Must be entered when a proposed closing code 00, 01, 02, 06, or 09 or status 40 is entered.
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
37 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.
38 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
39 Plan Effec Dt Date Plan is effective. Must be in valid date format (mmddyyyy). 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.
40 Law Indicator Indicates which law the application was submitted. Must be K, M, or J. Must be entered when a proposed closing code 00, 01, 02, 04, 06, or 09 or status 40 is entered.
   
K-Reliance for GUST
M- Reliance for the first 5-year and 6-year cycles. Also used for terminations between February 1, 2006 and January 30, 2011.
J- Reliance for the second 5-year and 6-year cycles. Also used for terminating plans with control date on or after February 1, 2011.

Note:

GUST consists of Uruguay Round Amendments Act (GATT), Uniformed Services Employment and Reemployment Rights Act of 1994 (USERRA), Small Business Job Protection Act (SBJPA), Taxpayer Relief Act of 1997 (TRA '97), Internal Revenue Service Restructuring and Reform Act of 1998, and Community Renewal Relief Act of 2000

41 MF Must be B or Y. May only be changed by opening a Help Desk ticket.
    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 verification that the entry is correct. A "B" may only be entered if the status is 3.
  MF (Status) Display only. The code in the Master File 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.
42 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.
43 Status Case status. Consists Open Status Codes and Closed States Codes. If updating, overlays the status displayed. See Part II of Form 6476, Employee Plans System Codes.
    If the Closing Code needs to be updated after Case Approval Screen, use Option 5. (This Option may only be accessed by submitting a Help Desk ticket.)
    -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.
44 Specialist No Five digit EDS specialist number. First two digits are valid Associate District Code. (See item 8 under validity checks for Exhibit 7.14.5-8). 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.
45 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.
46 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.
47 Last Letter Created Display only. The letter number of the last letter created.
48 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, submit a Help Desk ticket.
49 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, submit a Help Desk ticket.
50 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, 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.

Exhibit 7.14.5-4 
Notice of Qualified Separate Line of Business

(1) The following screen will be displayed for Form 5310A with a type request of "NQ" (Notice of QSLOB) 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 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 not updating, press the F5 key to bypass the validity and consistency checks. No changes will be made to the data.)
(3) Press 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 pressed, the record will be updated and the initial query screen displayed for the next query.
  b. The F5 key is pressed, no changes will be made to the record and the initial query screen displayed for the next query.
  c. The F6 key is pressed, the Case History screen (Exhibit 7.14.5-9) will be displayed.
  d. The F10 key is pressed, no changes will be made to the record and the ICS Menu will be 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 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.
       Associate District Code
    11  01-06, 11, 13, 14, 16
31  31, 34-35, 38, 55, 61
36  36-37, 39, 41-43, 45-47, 81
52  22-23, 51-52, 54, 98
58  56-60, 62-65, 71, 72
75  48, 73-76, 83-87
95  33, 68, 77, 82, 88, 91-95, 99
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 (AKA), 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.

Exhibit 7.14.5-5 
Update Master Record - Employee Plans Merger/Spin Off/Transfer of Assets or Liabilities

(1) The screen below will be displayed when F2 or F4 is pressed from the Update 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.

Note:

Do not update a case in EDS if it is currently being worked in TEDS. This will create an EDS block.

 EDS-ICS-644b2   UPDATE 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) Press the appropriate function key displayed at the bottom of the screen.

(4) When there are no input errors and:

  1. The F1 key is pressed, the record will be UPDATED and the message "Update Completed" displayed.

  2. The F2 key is pressed, this screen displays the NEXT plan involved with the merger/consolidation/transfer of assets or liabilities. When the last record will be 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.

  3. The F3 key is pressed, 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 will be 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.

  4. The F4 key is pressed, no changes will be made to the record and the previous Update Master File screen displayed.

  5. The F5 key is pressed, no changes will be made to the record and the initial query screen displayed for the next query.

  6. The F10 key is pressed, 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.

  1. Correct the input error.

  2. 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 7.14.5-3 for a listing of the type requests.
7 Benefit Type Display only. See Exhibit 7.14.5-3 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

Exhibit 7.14.5-6 
Case History Record Screen

(1) The screen below will be displayed when the F6 key is pressed in any of the Query/Update Master Record and Status screens (Exhibit 7.14.5-3). This option allows any user to view all actions taken on a case. The displayed actions could be status, entity, application, closing, letter, TEDS or Master File data updates.
 
EDS-ICS-643 CASE HISTORY RECORD
Case No:____ EIN: _-___ Plan/Form No:__ Plan/Organization Name: ______

Spec/ Date of Update Description Proposed
Status Revw Status  Entered  of Update  Closing Hours Letter  EMP
 
____/_/__/_/___________ __-_ __ __
____/_/__/_/___________ __-_ __ __
____/_/__/_/___________ __-_ __ __
____/_/__/_/___________ __-_ __ __
____/_/__/_/___________ __-_ __ __
____/_/__/_/___________ __-_ __ __
____/_/__/_/___________ __-_ __ __
____/_/__/_/___________ __-_ __ __
____/_/__/_/___________ __-_ __ __
Hit F1:Restart F2:Next F5: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)
  f. F10 key to return to the Query/Update Master Record and Status screen
(4) The "Description of Update" item describes the section of the Update/Query 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
    Dishonored Check
    Userfee Payment Status.
    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 7.11.1, Employee Plans Determination Letter Program, 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 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.
  aa. EDS OWNS CASE-EDS Manual Processing - a EDS block has been created and case can no longer be updated using TEDS.
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 Plan/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 status update.
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 Created 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.
(5) The screen below will be displayed when the F6 key is pressed in the Case History screen.
EDS-ICS-667  EMPLOYEE RECORDS  
    for Case: _____  
EMP/SPEC NO GROUP  NAME PHONE NO LOGIN
___ ____ ______________ __-__-__ __-__-__
___ ____ ______________ __-__-__ __-__-__
___ ____ ______________ __-__-__ __-__-__
___ ____ ______________ __-__-__ __-__-__
___ ____ ______________ __-__-__ __-__-__
___ ____ ______________ __-__-__ __-__-__
___ ____ ______________ __-__-__ __-__-__
___ ____ ______________ __-__-__ __-__-__
___ ____ ______________ __-__-__ __-__-__
___ ____ ______________ __-__-__ __-__-__
Hit Retn to Continue    
(6) All items are display items only.
(7) 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.
5 LOGIN Display only. Date of login.

Exhibit 7.14.5-7 
Multiple Case Assignment/Reassignment Screen

(1) The screen below will be displayed when option 3 is selected from the 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.

Note:

Do not assign any TEDS case(s) using this feature. TEDS case(s) should only be assigned using TEDS, failure to do so will create an EDS block.

   
 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. Case grade may also be entered. All case(s) 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, contact TOPS by submitting a Help Desk ticket.
(3) Enter these fields according to the validity checks below.
(4) Press 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 case(s) displayed are the correct case(s) to assign. An incorrect case number can be corrected. Re-enter the case number that is incorrect. Press the F1 key to process the corrected case number with the others. Once the case(s) are verified press 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 item 7 in the validity checks.
(9) If there are more case(s) to assign, press the F1 key to display a blank screen and continue.
(10) If there are no more case(s) to assign, press the F10 to exit.
(11) If the error message "Cannot Assign Case to This Employee" will be displayed, have TOPS 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, contact TOPS by submitting a Help Desk ticket. 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: (09, 11, 12 or 13).
4 Case Number Must be numeric. Enter the nine digit number assigned by DTS.
5 Employer/Organization Name Display only. The first name line of the Employer 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.
    DUPLICATE -Case number was duplicated
on the screen.
INCON UPDATE -Inconsistent update.
Case is currently in a Review status.
UPD FAILED - contact TOPS by submitting a Help Desk ticket. There is a mismatch file.

Exhibit 7.14.5-8 
Reprint Transmittal Sheet Screen

(1) The screen below will be displayed when option 5 is selected on the ICS Main Menu (Exhibit 7.14.5-2) (can also be accessed using option 2 on the DTS Main Menu (IRM 7.14.2 ). A transmittal sheet (Form 8326, EDS EP/EO Case Transmittal) may be printed after the case has been transcribed and is usually attached to the front of the case. Up to 20 transmittal sheets may be requested at one time. Reprint Transmittal Sheet verifies each Case Number at a time to see if it exists on EDS. Messages will be displayed when a Case Number cannot be found.

EDS-CSS-652 REPRINT TRANSMITTAL SHEET
Enter Case Number(s):  
 _____ _____ _____ _____
 _____ _____ _____ _____
 _____ _____ _____ _____
 _____ _____ _____ _____
 _____ _____ _____ _____
Hit F1:Execute F10:Exit

(2) Enter the fields according to the validity checks below.

(3) Press the F1 key. The case number(s) will be saved in a buffer.

(4) When there are no input errors and:

  1. All case number(s) are found on EDS, a blank Reprint Transmittal screen will be displayed to enter up to 20 case number(s). When printing of transmittals have been completed continue at (6), below.

  2. A case number is not found, a record not found message will be displayed.

(5) Verify the case number was entered correctly. If it was not, correct the case number and press the F1 key for the change to be considered.

(6) If the case number was correct, disregard message. The case number that was not found will be skipped and all other transmittal sheets will be processed.

(7) For case number(s) not found, the applications must be re-entered in DTS.

(8) When there is an input error, the error message will be displayed and the cursor positioned on the field in error.

  1. Correct the input error.

  2. Continue at (3), above.

(9) After pressing the F1 key a blank screen will be displayed with a message to press the F5 key to process and print the transmittal(s) requested. Continue at (3) above if there are additional case number(s) to enter. If there are no more case number(s) to enter press the F5 key. The Printer Format/Selection screen (Exhibit 7.14.5-11) will be displayed.

Validity Checks
ITEM PROMPT DESCRIPTION
1 Enter Case number(s) Must be numeric. Must be a case number in the EDS system.

Exhibit 7.14.5-9 
Approval of Case Closing Screen

(1) The screen below will be displayed when option 8 is selected from the ICS Main Menu. This option allows only the manager or secretary/clerk to approve case(s) for closing.

At the Approval screen, cases are selected at TEQMS mandatory review. 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 the 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) Press 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.

  1. Correct the input error.

  2. Continue at (4), above.

(7) Verify that the case(s) displayed are the correct case(s) for approval. 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 number(s).

(8) Verify the hours and case grade are correct. If incorrect delete the case number from the screen and press the F1 key to process the screen again without that case number. The hours and case grade must be corrected in the Query/Update Master Record and Status screen before approving the closing.

(9) A message "F5: Approve" will display at the bottom of the screen. After verifying that all items are correct, press 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 case(s) 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 case(s) to approve, press the F1 key to display a blank screen and continue.

(12) If there are no additional case(s) to approve, press the F10 to exit.

(13) If the error messages "Update Failed" or "KD, EC or IC Rec Missing" was displayed, contact TOPS by submitting a Help Desk ticket. 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

Exhibit 7.14.5-10 
Print Closing Screen

(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 Master query screen (Exhibit 7.14.5-3). Up to 20 closing sheets may be requested at one time. Print Closing Sheet verifies each Case Number one 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) Press the F1 key.

(4) When there are no input errors:

  1. Case number(s) found on EDS, a blank Print Closing screen will be displayed to enter additional case number(s). Enter up to 20 more case number(s) and continue at (3), above. If all case number(s) have been entered continue at (6), below.

  2. Case number(s) not found, a message will be displayed "record not found" .

    • Verify the case number was entered correctly. If it was not, correct it and press 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 number(s) not found, the applications must be re-entered in DTS.

(5) When there is an input error, the error message will be displayed and the cursor positioned on the field in error.

  1. Correct the input error.

  2. Continue at (3), above.

(6) After pressing the F1 key a blank screen will be displayed with a message to press the F5 key to process and print the closing sheets. If there are more case number(s) to process, enter them and continue at (3), above. If there are no more case number(s) to process press the F5 key. The Printer Format/Selection screen (Exhibit 7.14.5-11) will be displayed and then the Form 8671, Employee Plan Case Closing Sheet is printed. See Exhibit 7.14.5-14, EDS - Employee Plan Case Closing Sheet.

Validity Checks
ITEM PROMPT DESCRIPTION
1 Enter Case number(s) Must be numeric. Must be a case number in the EDS database.

Exhibit 7.14.5-11 
Print Format/Selection Screen

(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 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) Press the F1 key.

(4) When there are no input errors, the ICS Main Menu (Exhibit 7.14.5-2) will be displayed.

(5) When there is an input error, the error message will be displayed and the cursor positioned on the field in error.

  1. Correct the input error.

  2. 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.

Exhibit 7.14.5-12 
Multiple Status 51/58/60/75 Updates Screen

(1) The screen below will be displayed when option 10 is selected from the ICS Main Menu. This option allows any user of EDS to update a case to status 51, 58, 60, or 75. The Action History of the case will display the login of who updated each case.

Note:

Do not update a case in EDS if it is currently being worked in TEDS. This will create an EDS block.



____________________________

EDS-ICS-664a  Mass Case Status Update
 Case Status: __ Specialist No/DOL:____   Case Grade:__ 
(valid status codes are 51 58 60 61 64 71 72 73 74 75 )

Case Number TEDS 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. Form 5310-A 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 case(s) have the same case grade.

(4) Enter these fields according to the validity checks below.

(5) Press 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 will be displayed and the cursor positioned on the field in error.

  1. Correct the input error.

  2. Continue at (4), above.

(8) Verify that the case(s) displayed are the correct case(s) to be updated. If a case is listed that is not the correct case, the case number can be corrected. You must press the F1 key for the corrected case number to be processed with the others. Once the case(s) are verified press the F5 key.

(9) The screen will be 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 case(s) to update, press the F1 key to display a blank screen and continue.

(11) If case assignment is finished, press the F10 to exit.

(12) If any of the messages below are displayed, contact TOPS by submitting a Help Desk ticket to correct the error. The case has a file mismatch.

  1. KD Rec Missing-See Your Coordinator

  2. EC Rec Missing-See Your Coordinator

  3. IC Rec Missing-See Your Coordinator

  4. 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

Exhibit 7.14.5-13 
Re-open To Review Screen

(1) The screen below will be displayed when option 11 is selected from the ICS Main Menu. This option allows the manager or secretary/clerk to re-open case(s) to review that were closed in error. The manager or secretary can only re-open on the same day the case was closed. If it is after that date a help desk ticket must be opened.

Most case(s) closed in error will be:

  • Case(s) the Approval Screen did not identify as mandatory review and the manager did not enter the "X" to send those case(s) to review.

  • Case(s) with related case(s) which were sent to review and all case(s) should be processed together.



____________________________

EDS-ICS-665a Status 31 Update -Re-open case(s) 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 will be displayed and the cursor positioned on the field in error.

  1. Correct the input error.

  2. Continue at (4), above.

(7) Verify that the case(s) displayed are the correct case(s) 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 number(s). case(s) 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" will be displayed at the bottom of the screen. If all case(s) have been verified, press the F5 key.

(9) The screen will display the message "Sent to Review" or "Update Failed" . The case(s) is updated to status 31. For the list of other messages see Messages item 4 of the validity check.

(10) If there are additional case(s) to re-open, press the F1 key to display a blank screen and continue.

(11) If there are no additional case(s) to approve, press the F10 to exit.

(12) If the error messages "Update Failed" or "KD, EC or IC Rec Missing" will be displayed, contact TOPS by submitting a Help Desk ticket. 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

Exhibit 7.14.5-14 
EDS - Employee Plan Case Closing Sheet

(1) The EP Case Closing Sheet is printed from Option 7 of the ICS Main Menu, see Exhibit 7.14.5-10, Print Closing Screen. This form is printed for every case closed off EDS. The manager will approve the closing by initialing in the space provided at the bottom of the form.

EDS -EMPLOYEE PLAN CASE CLOSING SHEET
TEDS Case: EP-2012000-000000  
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
 In Care Of:  
 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: 00001 HOURS: 001.0 CLOSING LTR: 835
    REVIEWER: 00005 HOURS 000.1
  CLOSING CAVEATS: __________________

COMMENTS:
Manager Initials: _____ Form 8671

(2) Additional lines will print on Form 8671 for the following application types:

  1. Form 5307:
      Model Plan Type: _

  2. Form 5310:
      Possible Reversion Amt: ______
      Reason for Termination: _
      Termination Effective Dt: ____

  3. The Form 5310A will print one of the following depending on Type of Request:
      Merger Effective Dt: _____
      Consolidation Effective Dt: _____
      Spin Off Effective Dt: _____
      Transfer of Asset Effective Dt: _____

(3) After printing this form, if there are any items that are incorrect, correct them and reprint the closing form.

EP CLOSING SHEET
LABEL DESCRIPTION
TEDS Number Inventory Control Number generated by TEDS.
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.
Name Control Generated in DTS. Used to match with OLE records to reduce unpostables at EPMF.
Entity Type See Exhibit 7.14.5-3 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 7.14.5-3, items Ver., Form 5309 or 401(k).
Type Request Type of request, such as a initial submission or amendment. See Exhibit 7.14.5-3 for list of requests.
Plan Type Benefit Type, such as, profit sharing, etc. See Exhibit 7.14.5-3 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 7.14.5-3 for a list of the vesting codes.
Law Indicator The Law under which the plan was submitted. Entered at closing. See Exhibit 7.14.5-3 for a list of the law indicators.
Model Plan Type Type of Plan, such as, Regional Prototype. See Exhibit 7.14.5-3 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 7.14.5-3or 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 7.14.5-3.
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), Letter 1132 (DO/CG), and Letter 2002 (DO/CG).
COMMENTS Space to write comments.
Manager Initials Space for the manager to initial their approval of the closing.

Exhibit 7.14.5-15 
Multiple Merit Closure Assignment Screen

(1) The screen below will be displayed when option 12 is selected from the ICS Main Menu. This option allows users to assign multiple merit case(s) at once on EDS and is used when assigning multiple case(s) with the same grade.

Note:

Do not update a case in EDS if it is currently being worked in TEDS. This will create an EDS block.



____________________________

EDS-ICS-663m  Merit Case Assignment/Reassignment
 Org.Code: __ Employee Number:____   Case Grade:__ 

Case Number Employer/Organization Name Status Message
____ _______________  __  ________
____ _______________  __  ________
____ _______________  __  ________
____ _______________  __  ________
____ _______________  __  ________
____ _______________  __  ________
____ _______________  __  ________
____ _______________  __  ________
_____ _______________  __  ________
____ _______________  __  ________
_____ _______________  __  ________
____ _______________  __  ________
____ _______________  __  ________
____ _______________  __  ________
Hit F1:Execute F10:Exit

(2) The screen requires the entry of case number(s). The case grade may be entered if all the case(s) have the same case grade.

(3) Enter these fields according to the validity checks below.

(4) Press 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 will be displayed and the cursor positioned on the field in error.

  1. Correct the input error.

  2. Continue at (3), above.

(8) Verify that the case(s) displayed are the correct case(s) to be updated. If a case is listed that is not the correct case, the case number can be corrected. You must press the F1 key for the corrected case number to be processed with the others. Once the case(s) are verified press the F5 key.

(9) The screen will be displayed again with the message(s) "UPDATED" or "UPD FAILED" . The case(s) with the message "UPDATED" will be updated. For the list of other messages see Messages on the next page.

(10) If there are more case(s) to update, press the F1 key to display a blank screen and continue.

(11) If case assignment is finished, press the F10 to exit.

(12) If any of the messages below are displayed, contact TOPS by submitting a Help Desk ticket to correct the error. The case has a file mismatch.

  1. KD Rec Missing-See Your Coordinator

  2. EC Rec Missing-See Your Coordinator

  3. IC Rec Missing-See Your Coordinator

  4. 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
INVALID UPDATE
UPD FAILED

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