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Employee Plans Compliance Unit (EPCU) - Current Projects – EFAST2 Error Codes

Why did I Receive a Compliance Check Letter?

You sponsor a plan that attempted to file a Form 5500 series return using EFAST2 and that return contained errors requiring correction and re-submission; and we have no record of your filing the amended return.

What is EPCU attempting to accomplish?

The EPCU seeks to inform plan sponsors of the requirement to resubmit a Form 5500 series return in its entirety as an amended filing when they receive critical error messages indicating missing, incorrect, or contradictory information. Our goal is to ensure plan sponsors file required complete and accurate returns.

What actions do I need to take?

Prepare and file an amended Form 5500 series return, using the Department of Labor (DOL) EFAST2 website within 30 days of our request. Ensure your return is complete and accurate. If you need additional time, contact the person listed on the letter to request an extension. Failure to file this return could result in additional contacts, penalties, or examination of your plan.

If You Have Questions

Please feel free to e-mail us and we will be glad to answer any questions you have about the project and how it relates to your situation. Please indicate “EFAST2 Error Codes Project” in the subject line of the message. Please provide your telephone number and best time to reach you in your message. We cannot respond to you by email. You may also contact the person listed in the cover letter with questions about this project.

Background

EFAST2 validates returns as part of the filing system. When the filer selects the “validate” option, the filer may receive an error code/message if the return fails a specific test. Non-critical errors do not cause the return to be unacceptable and the filers may either correct the error or submit the return with errors and amend it later.

For “Filing Received,” “Filing Error,” or “Processing Stopped” status, the return is considered received. Plans with a status of “Filing Error” or “Processing Stopped” must be corrected through an amended filing. “Processing Stopped” means EFAST2 could not validate the return because crucial information was not provided.

Page Last Reviewed or Updated: 22-Jan-2016