EFAST2 Guide Filers Service Providers

8/7/2019 EFAST2 Guide Filers Service Providers

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EFAST2 Guide for Filers & Service Providers

Deliverable No. 45

December 29, 2009

FOR THE

ERISA Filing Acceptance System 2(EFAST2)

PREPARED FOR :


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EFAST2 EFAST2 Guide to Filers & Service ProvidersDocument Version ID 4.1/122909F

Change History Log

Version Primary Author(s) Section & Description of Change Date Completed

1.0 Ron Zook,Judith Wright Initial Draft 6/19/09

2.0 Pat Foubert,Karen HickeyChanges in response to Govt.comments 7/21/09

3.0 Gibbs, McCauley

Accepted Vangents tracked changes.Replaced Appendix E with a full List of

Attachment Types. Incorporatedcomments from tri-agency review

11/19/09

4.0 Karen Hickey Revisions for Look and Feel updates 12/21/09

4.1 Karen Hickey Revisions to sections 4.2.3 and 5.1.1and 4.1 12/29/09


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Table of Contents

CHAPTER 1. INTRODUCTION ............................................................................................................. 1

1.1 BACKGROUND ...................................................................................................................................................... 1 1.2 OVERVIEW OF EFAST2 ........................................................................................................................................... 1 1.3 ADVANTAGES OF EFAST2 ....................................................................................................................................... 2 1.4 EFAST2 FUNCTIONALITY ......................................................................................................................................... 2 1.5 THIRD PARTY SOFTWARE ......................................................................................................................................... 2

1.5.1 Filing Preparation Software ................................................................................................................................. 2 1.5.2 Filing Transmission Software ............................................................................................................................... 3 1.5.3 Software Validation and Authorization ............................................................................................................... 3

1.6 ENCRYPTION ........................................................................................................................................................ 3 1.7 REFERENCES ......................................................................................................................................................... 3

CHAPTER 2. BECOMING AN EFAST2 SYSTEM USER ........................................................................... 4

2.1 EFAST2 ROLES ..................................................................................................................................................... 4 2.1.1 System Roles ........................................................................................................................................................ 4

2.1.2 Determining User Roles ....................................................................................................................................... 4 2.2 REGISTERING ........................................................................................................................................................ 5

2.2.1 Read and Accept Privacy Statement .................................................................................................................... 6 2.2.2 Complete Profile Information .............................................................................................................................. 7

2.2.2.1 Enter Contact Information ............................................................................................................................... 8 2.2.2.2 Select User Type/Role ...................................................................................................................................... 9 2.2.2.3 Validation of Profile Information ................................................................................................................... 10

2.2.3 Select Challenge Question and Answer ............................................................................................................. 11 2.2.4 Verify Registration Information ......................................................................................................................... 12 2.2.5 Registration Confirmation .................................................................................................................................. 13 2.2.6 Receive Credentials Notification ........................................................................................................................ 14 2.2.7 Retrieve and Activate Credentials ..................................................................................................................... 15

2.3 CHANGES TO ACCOUNT INFORMATION ...................................................................................................................... 22

CHAPTER 3. ELECTRONIC FILING CREDENTIALS ............................................................................... 23

3.1 CREDENTIAL TYPES ............................................................................................................................................... 23 3.1.1 User ID ............................................................................................................................................................... 23

3.1.2 ETIN .................................................................................................................................................................... 23 3.1.3 Password ............................................................................................................................................................ 23 3.1.4 PIN ...................................................................................................................................................................... 24

3.1.4.1 PIN Exceptions ................................................................................................................................................ 24 3.2 NON TRANSFERABILITY OF CREDENTIALS ................................................................................................................... 25 3.3 PROTECTING YOUR CREDENTIALS ............................................................................................................................. 25 3.4 LOST OR FORGOTTEN CREDENTIALS .......................................................................................................................... 25


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4.2.3 Filing Deadlines and Extension Requests ........................................................................................................... 28 4.3 COMPOSITION OF THE FILING .................................................................................................................................. 28

4.3.1 Forms and Schedules ......................................................................................................................................... 28 4.3.2 Attachments ...................................................................................................................................................... 29

4.4 FILING VALIDATION .............................................................................................................................................. 29 4.5 SIGNING FILINGS ................................................................................................................................................. 29 4.6 FILING SUBMISSION / TRANSMISSION ....................................................................................................................... 30 4.7 STATUS VERIFICATION .......................................................................................................................................... 30 4.8 AMENDED FILINGS ............................................................................................................................................... 30

CHAPTER 5. USER RESPONSIBILITIES ............................................................................................... 31

5.1.1 Document Retention ......................................................................................................................................... 31 5.1.2 Submitter Responsibilities ................................................................................................................................. 31 5.1.3 EFAST2 Approved Third party Software Vendor Responsibilities ..................................................................... 31

CHAPTER 6. SUPPORT AND TROUBLESHOOTING ............................................................................ 32

6.1 ONLINE INSTRUCTIONS .......................................................................................................................................... 32 6.2 SUPPORT SERVICES .............................................................................................................................................. 32

APPENDIX A. ACRONYMS AND ABBREVIATIONS ........................................................................... 34

APPENDIX B. PRIVACY AND SECURITY STATEMENT ....................................................................... 35

APPENDIX C. SIGNATURE AGREEMENT ......................................................................................... 37

APPENDIX D. PIN AGREEMENT ...................................................................................................... 38

APPENDIX E. TYPES OF OTHER ATTACHMENTS ............................................................................. 39

APPENDIX F: ACKNOWLEDGEMENT & STATUS CODES .................................................................. 42

APPENDIX F: ACKNOWLEDGEMENT & STATUS CODES .................................................................. 42


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List of Tables

Table 1. Preparation and Transmission Options and Roles Needed ........................................................................ 5

List of Figures

Figure

1.

EFAST2

Welcome

Screen

...........................................................................................................................

6 Figure 2. Privacy Agreement ..................................................................................................................................... 7

Figure 3. Register Profile Information ................................................................................................................... 8

Figure 4. Register Contact Information ................................................................................................................. 9

Figure 5. Register User Types/Roles .................................................................................................................... 10

Figure 6. Duplicate Email Address Error Message .................................................................................................. 10

Figure 7. Sample Validation Error Messages Missing Required Fields ................................................................. 11

Figure 8. Sample Validation Error Messages Invalid Data ................................................................................... 11

Figure 9. Missing User Type/Role Error Message ................................................................................................... 11

Figure 10. Register Challenge Information .......................................................................................................... 12

Figure 11. Register Summary ............................................................................................................................... 13

Figure 12. Register Registration Confirmation .................................................................................................... 14

Figure 13. Registration Confirmation Email ............................................................................................................ 15

Figure 14. Register Challenge Question Verification ........................................................................................... 16

Figure 15. Invalid Challenge Question Answer ....................................................................................................... 16

Figure 16. Register PIN Agreement ...................................................................................................................... 17

Figure 17. Register Signature Agreement ............................................................................................................ 18

Figure 18 Register Finalize 19


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CHAPTER 1. ICCHHAAPPTTEERR 11.. IINTRODUCTIONNNTTRROODDUUCCTTIIOONN

1.1 BackgroundThe Employee Retirement Income Security Act of 1974 (ERISA) and provisions of the Internal Revenue Code requirecertain employee benefit plans, welfare benefit plans, and direct filing entities (DFEs) to submit information annually to theGovernment regarding their size, funding, operations, and other characteristics. To report this information, these plans mustuse the Form 5500 series. The Form 5500 series includes the Form 5500 Annual Return/Report of Employee Benefit Planand the Form 5500-SF Short Form Annual Return Report of Small Employee Benefit Plan, which are the elements of theseries that can be filed using the EFAST2 system.

This series was developed by the Department of Labor (DOL), the Internal Revenue Service (IRS), and the Pension BenefitGuaranty Corporation (PBGC). These agencies work together to enforce the laws designed to protect the retirement andwelfare benefits of the nations workers. This guide is intended to provide information about EFAST2 required by filers,preparers, transmitters and other service providers.

For detailed information on Form 5500 series filing requirements, instructions, and deadlines, see Instructions for Form5500 , Annual Return/Report of Employee Benefit Plan and Instructions for Form 5500-SF, Short Form Annual

Return/Report of Small Employee Benefit Plan , which can be found at www.efast.dol.gov .

1.2 Overview of EFAST2In the past, employee benefit plans could submit Form 5500 series filings on paper or electronically (modem-to-modem,magnetic tape, CD-ROM and diskette) using the ERISA Filing Acceptance System (EFAST). The DOLs regulation at 29CFR 2520.104a-2 requires electronic filing for all filers for plan years beginning on or after January 1, 2009. No paperfilings of any kind (e.g., mail, fax) will be accepted beginning January 1, 2010, except for timely filed 2008 plan year filings.

To comply with these regulations and to update and streamline the ERISA filing process, the DOL has created a new, web-based electronic filing system known as EFAST2. The EFAST2 system provides all of the basic functionality required tofulfill annual reporting requirements from the website www.efast.dol.gov, including the following:

Creating filings

Signing filings

Submitting filings

Checking the status of filings

Viewing publicly disclosable filings

EFAST2 architecture also allows for the integration of EFAST2-approved third-party software, which may provideadditional functionality and features.

The Form 5500-EZ cannot be submitted electronically. Certain one-participant plans that would otherwise file the Form5500-EZ are eligible to file Form 5500-SF and may elect to file Form 5500-SF electronically with EFAST2 rather than filinga Form 5500-EZ on paper with the IRS. See Instructions for Form 5500-SF, Short Form Annual Return/Report of Small

Employee Benefit Plan . A one-participant plan that is not eligible to file Form 5500-SF must file Form 5500-EZ on paperwith the IRS For more information on filing the Form 5500 EZ see the instructions for Form 5500 EZ go to www irs gov
http://www.efast.dol.gov/http://www.irs.gov/http://www.irs.gov/http://www.efast.dol.gov/


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For the purposes of this guide, those who use either EFAST2-approved third-party software or built-in EFAST2 functionalitywill be collectively referred to as EFAST2 system users. This guide describes the process of registering as a user, definingsystem roles, obtaining relevant credentials, and using the EFAST2 system to fulfill ERISA annual reporting requirements.

1.3 Advantages of EFAST2

EFAST2 offers several advantages over paper filing and the previous EFAST system:

Greater security: EFAST2 uses a web-based filing protocol that employs Secure Socket Layer (SSL) encryption.Electronic user credentials provide a secure method of electronically signing files and of accessing the information forwhich users are responsible. These measures, along with the security firewalls protecting the infrastructure anddatabases of EFAST2, offer improved security over the paper filing method and previous electronic filing protocols.

Fewer errors and rejected filings: With its internal edit system, EFAST2 can identify errors so users can correct thembefore transmitting filings for processing. (The EFAST2 will not be able to receive filings that contain certain types of errors or documents in the incorrect format.)

Quicker availability of information to government agencies and the public: The improved processing anddissemination capabilities of EFAST2 ensure that ERISA filing information is made available to end users more quickly.

1.4 EFAST2 Functionality

From a functionality standpoint, EFAST2 has seven major components:a. Web site a collection of web pages containing information and system interfaces

b. Internet Registration a site registry for EFAST2 users

c. Internet Filing (IFILE) a free internet-based filing tool designed for individual filers and service providers whochoose to not use value-added EFAST2-approved third party software to complete their Form 5500 filings.

d. Internet Filing Acceptance System an internal application that applies business rules to filing submissions (See the IFILE Users Guide for more information)

e. Data Dissemination Service an application that supplies filing information to government agencies, other end users,and the general public (See the Data Dissemination Users Guide Public for more information)

f. Participant Acceptance Testing System an application that allows third-party developers to test and certify theirproducts for use in EFAST2

g. Contact Center a support center for EFAST2 users

For the purposes of preparing and transmitting Form 5500 series filings, EFAST2 users will have direct contact only with theweb site, site registry, IFILE and the Contact Center. The other components of EFAST2 work behind the scenes in the

ERISA filing processing system.

1.5 Third Party Software

EFAST2-approved third-party software is expected to be the principal method for completing the ERISA filing process.Those who choose to use Third Party software are still considered EFAST2 system users and may be required to register.Approved preparation software integrates fully with the EFAST2 system and may provide additional features and


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1.5.2 Filing Transmission Software

Filing transmission software is used to transmit completed filings, submission status requests, and filing status requests toEFAST2 via web services protocol. The DOL requires filing transmission software to protect the integrity and security of the filing data.

1.5.3 Software Validation and Authorization

All software used with EFAST2 must be validated and approved by the DOL in strict accordance with government protocols.For this to occur, developers must submit their software for testing every year. Third-party software testing is stringent dueto the requirements for pre-validation of data and the security constraints of electronic filing.

To pass this testing, preparation software must allow users to enter form and schedule data, create or import unstructuredattachments, resolve errors, and sign the filing by entering the electronic credentials assigned by the DOL. Transmissionsoftware must allow the sending of individual or batches of filings in a prescribed format and using the required encryptionmethod. The specific instructions for using the software must be included in the instruction manual provided with thesoftware by the developer.

Once software is validated, it is authorized for use on EFAST2. Approval of third-party software does NOT mean that theDOL endorses the computer software or quality of services provided. A current list of approved software companies andtheir software can be viewed at the EFAST2 web site: www.efast.dol.gov .

1.6 EncryptionTo protect user data when using the public Internet and utilizing EFAST2, all data between the users computer and theEFAST2 web server are encrypted. This encryption is achieved through the use of Secure Socket Layer (SSL) on theEFAST2 web server. (To use EFAST2, users must have an active internet connection that supports SSL encryption.)

When a registered user logs in to the EFAST2 web site and the system authenticates the users electronic filing credentials, asecure encrypted channel is established between the users browser and the EFAST2 web server. At this point, all data sentto and from the web server is encrypted until the user terminates the session with the EFAST2 server. While a user isretrieving, editing, or submitting filings or components of filings, encryption ensures that no unauthorized user will be able

to see filing data or interject malicious data into the session.There are distinct advantages to using SSL encryption:

Security: Limits access to secure information to the filer and authorized government personnel.

Integrity: Maintains the integrity of the data sent to the DOL.

Comfort: Should provide a level of comfort to filers who may otherwise be concerned that the data could becompromised or altered if sent on paper or if a less robust encryption method was used.

1.7 ReferencesThe following references were used to create this document:

EFAST2 web site: www.efast.dol.gov

Department of Labor (DOL) Website: www.dol.gov

29 CFR Part 2520
http://www.efast.dol.gov/http://www.efast.dol.gov/http://www.efast.dol.gov/http://www.dol.gov/http://www.dol.gov/http://www.dol.gov/http://www.efast.dol.gov/http://www.efast.dol.gov/


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CHAPTER 2. BCCHHAAPPTTEERR 22.. BB ECOMING AN EFAST2 SYST EM USEREECCOOMMIINNGG AANN EEFFAASSTT22 SSYYSSTTEEMM UUSSEERR

The EFAST2 web site provides basic public disclosure and access to user guides and other reference information without therequirement of account creation. Registration is required for all other functions, including the ability to sign or submitannual filings. By registering, the user will be issued the credentials necessary to perform specific tasks.

Registration is performed on the EFAST2 website http://www.efast.dol.gov

Note that credentials obtained through EFAST will not be valid for EFAST2.You must apply for new credentials to use EFAST2.

2.1 EFAST2 Roles

Before registering as an EFAST2 user, it is recommended that the user determine the expected system role such as filingauthor, filing signer, and transmitter -- so that all appropriate credentials may be granted upon completion of the application.Roles in EFAST2 are dependent on the use of built-in functionality and signature authority in the system.

Role updates may occur at any time after initial registration by updating the user profile.

2.1.1 System RolesEach defined system role has specific filing tasks associated with it. If the registrant will be performing filing tasksassociated with more than one user type/role, he or she may indicate multiple user types/roles during the registration process.

Filing Author: Filing authors can complete Form 5500/5500-SF and the accompanying schedules, submit the filing,and check filing status. Filing authors cannot sign filings unless they also have the Filing Signer role. If you are usingEFAST2-approved third party software to author your filing rather than IFILE, you do not need to check this box.

Filing Signer: Filing signers can sign Form 5500/5500-SF filings. Signers must ensure that the filing information iscorrect prior to its submission. The signers signature indicates that to the best of the signers knowledge and belief, thefiling is true, correct, and complete. Signers include Plan Administrators, Employers/Plan Sponsors, and Direct FilingEntities. No other filing-related work may be done by this user role alone.

Schedule Author: Schedule authors can complete one or more of the schedules that accompany Form 5500/5500-SF.Schedules created by a Schedule Author are not associated with a filing. For a schedule created by a Schedule Author tobe used in a filing, the schedule must be exported. This exported file will then be imported by the Filing Author to thecorrect filing. Schedule authors cannot initiate, sign, or submit a filing. If you are using EFAST2-approved third partysoftware to author your filing rather than IFILE, you do not need to check this box.

Transmitter: Transmitters can transmit Form 5500/5500-SF filings to the EFAST2 system for processing on behalf of others. Transmitters are responsible for the security of all filing information prior to and during its transmission. Atransmitter can be a company, trade, business, or individual.

Third-Party Software Developer: Third-party software developers make Form 5500 filing preparation or transmissionsoftware for use in the EFAST2 system. They submit test cases using their software to the Participant AcceptanceTesting System (PATS) Team. The PATS Certification Team will then review their submissions and provide feedback or approve and certify the software A third-party software developer can be a company trade business or individual


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The following table illustrates the possibilities:

Table 1. Preparation and Transmission Options and Roles Needed

A plan administrator using EFAST2-approved third-party software to prepare and transmit directly to the DOL its own Form5500/5500-SF and schedules will not need Filing Author or Schedule Author credentials because the preparation will be

done separate from the web-based system.A plan administrator using EFAST2-approved third-party software to prepare filings and then imports them to IFILE fortransmission will need Filing Author credentials to be able to edit the filing once it is imported into IFILE.

Preparers who use EFAST2-approved third-party software to transmit filings on behalf of other organizations will need toregister as a transmitter.

Someone who will only be preparing schedules using IFILE and not 5500 / 5500SF Forms will need Schedule Authorcredentials.

All company official(s) responsible for signing the filing will need to obtain Filing Signer credentials.

2.2 Registering

For the sake of accuracy, security, and timeliness, users must complete the registration process in a single session.Incomplete registration forms will not be saved in the EFAST2 database. If users end the session prior to completing theregistration form, they will need to start the process over from the beginning. Users must follow six steps to completeEFAST2 registration:

1. Read and accept the privacy statement2. Provide contact information and select user type(s)

3. Select challenge question and answer

4. Verify registration information

5. Receive a credentials email notification


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Figure 1. EFAST2 Welcome Screen

2.2.1 Read and Accept Privacy Statement

The first step of EFAST2 registration is to read and accept the privacy statement ( Figure 2 ). The complete text of the privacystatement can be found in Appendix B .


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Figure 2. Privacy Agreement

After reading the privacy statement, the user must

1. Check the box labeled I have read this agreement and

2. Click one of the buttons at the bottom of the screen:

a. Accept Agreement

1) The user will be taken to the Profile Information page to provide contact information and select a usertype.

or

b. Decline Agreement

1) If the user clicks the Decline Agreement button a warning message will appear asking Do you really


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Figure 3. Register Profile Information

2.2.2.1 Enter Contact Information

All registrants must provide their contact information. Without this information, EFAST2 will not be able to create and sendthe necessary electronic filing credentials to the user.


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- State (for U.S. addresses)/Province (for non-U.S.addresses)

- Zip Code (for U.S. addresses)/Postal Code (for non-U.S. addresses)

- Daytime Phone

- Email Address

- Company Name


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Figure 5. Register User Types/Roles

If the user type/role Third Party Software Developer is selected, EFAST2 enables the components of the web site that are specifically intended for third-party developers. If a person is developing software for internal use by a company, that person should select Third Party Software Developer as well as any other applicable credentials for that person. The yellow question mark in the circle may be selected to access the Help feature in the tool.

2.2.2.3 Validation of Profile Information

The system will next validate the entries made on the screen. A registration form will be rejected if:

Email address entered is already on file

Required identification fields are incomplete

Invalid field values have been entered (e.g., phone number must be a numeric value).

Failure to select a user type/role

These errors will not let you past the Profile Information screen. The user must correct the information on the screenbefore continuing. The following shows the types of error messages you may receive:

Figure 6. Duplicate Email Address Error Message


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Figure 7. Sample Validation Error Messages Missing Required Fields

Figure 8. Sample Validation Error Messages Invalid Data

Figure 9. Missing User Type/Role Error Message

The system does not attempt to verify the users registration information to ensure that the identity is real or that the user is authorized to prepare, sign, or transmit filings.

2.2.3 Select Challenge Question and Answer

In the next step of the registration process, the user proceeds to the Challenge Information screen ( Figure 10 ). At thisscreen, the registrant must select one of two challenge (or security) questions and provide an answer. Answers to challengequestions are case sensitive. The challenge question provides a level of security that helps prevent unauthorized third parties

from accessing the users account. You should use an answer that cannot easily be guessed, such as hospital.


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Figure 10. Register Challenge Information

2.2.4 Verify Registration Information

After selecting the challenge question and answer, users will go to the Summary screen ( Figure 11 ). This screen lists theregistration information they have entered. Users should verify that all this information is correct, especially the emailaddress, which is crucial to the next step of registration. EFAST2 uses the email address to notify users their credentials areready to be retrieved and activated. Without the email notification (and the secure link it contains), users will not be able toretrieve their credentials.


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If there are mistakes on the Summary screen, users must use the Edit button to correct them.

Figure 11. Register Summary

2.2.5 Registration Confirmation

Upon completion of the first part of registration, the user will receive the Registration Confirmation screen. Click the OK button to continue. The user is now done until they receive their Credentials Notification email with further instructions.


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Figure 12. Register Registration Confirmation

When the user clicks the OK button, they are returned to the Welcome page ( Figure 1 ).

2.2.6 Receive Credentials Notification

Within five minutes of submission and acceptance of the registration form, EFAST2 will generate the users credentials.

Once the credentials are generated, EFAST2 sends a notification to the email address the user indicated in the registrationform. In this email notification, users will find a link to a secure web site as well as instructions on how to retrieve andactivate the credentials at that site. Figure 13 below shows an example of the EFAST2 credentials email notification. Inaddition, the PIN information is always accessible via the users profile page.

Note that users must access this information within three months of registering or their account will be deactivated. If theuser wishes to use the same email address to reactivate their account, the user will need to contact the EFAST2 ContactCenter at 1-866-463-3278 (1-866-GO EFAST) to revoke the expired account and free up the email address.

.


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Figure 13. Registration Confirmation Email

2.2.7 Retrieve and Activate Credentials

Users should follow the instructions found in the email notification to retrieve their credentials (see Figure 13 ). The user willbe asked to return to the EFAST2 web site to acknowledge receipt of the credentials and set his or her password.


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1. The user must first answer the Challenge Question selected when registering. See Figure 14 .

Figure 14. Register Challenge Question Verification

If the Challenge Question is answered incorrectly three times, the account is automatically revoked and you mustre-register through the tool.

Figure 15. Invalid Challenge Question Answer


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Figure 17. Register Signature Agreement

4. Next, the user will see the Finalize screen. The user should note the User ID and PIN for future reference. Click the Next button to continue.

The Back button will return the user to the PIN Agreement screen ( Figure 16 ).

The Cancel button will return the user to the Welcome screen ( Figure 1 ) and cancel the registration activation.


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Figure 18. Register Finalize

5. Now that the user has been authenticated, the user must set his or her password. The user may enter any passwordof their own choosing; as long as it meets the password requirements.

The password must be entered twice; once to set it and once to confirm it.


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Figure 19. Register Set Password

6. Once the user has set the password, their registration activation is complete and the user is now ready to log in andbegin using the account. Click the Login button to return to the Welcome page.

Figure 20. Register Confirmation/Account Activation


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7. From the Welcome page, click the Login link on the navigation panel on the left.

Figure 21. Register Confirmation/Account Activation


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Figure 22. Login

2.3 Changes to Account Information

Users can change any of their account information through the EFAST2 web site.

Users can change their password and PIN by accessing their account through the EFAST2 web site. If users wish to changeobtain a new user ID they must do so by revoking the existing user ID and repeating the registration process. Warning: If you change your User ID, you will no longer have access to filings created or signed using your original User ID. If userswish to use the same email address, they will need to contact the EFAST2 Contact Center at 1-866-463-3278 (1-866-GOEFAST) to revoke their current account and free up their email address.

If users change their name, PIN, password, challenge questions and answers, or email address in EFAST2, a record of thatchange will be maintained in the EFAST2 database.

When any change is made to a users account, a notification of that change will be sent to the email address currently in thesystem for that user. If the user changes his or her email address in the EFAST2 database, a change notification will be sentto both the old and new email addresses associated with the account.

If your User ID was used for filings belonging to a single organization, and you no longer are responsible for filings for thatorganization, you should revoke your existing user ID via the EFAST2 Contact Center and re-register to obtain a new userID.

EFAST2 EFAST2 G id Fil & S i P id


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CHAPTER 3. ECCHHAAPPTTEERR 33.. EE LECTRONIC FILING CREDE NTIALSLLEECCTTRROONNIICC FFIILLIINNGG CCRREEDDEENNTTIIAALLSS

3.1 Credential Types

EFAST2 electronic filing credentials include the following:

User ID

ETIN (electronic transmitter identification number)

Password

PIN (personal identification number)

The following table correlates credential types to the requested system roles:

User ID ETIN Password PIN

Filing Author X X

Filing Signer X X X

Schedule Author X X

Transmitter X X X X

Table 2. System Roles and User Credentials

3.1.1 User ID

The User ID is composed of an alphabetic character (A through W) followed by seven numeric characters.

Example: A1002187

User IDs are provided for all EFAST2 users who use IFILE to prepare or submit filings. When used in combination with thepassword, the User ID permits users to access their EFAST2 account and any filing information for which they areresponsible.

All filing signers, whether using third party software or IFILE, are required to have both a User ID and a PIN. The User IDis used in conjunction with the PIN to sign filings, to submit ones organizations filing, and to retrieve status on submittedfilings.

3.1.2 ETIN

The ETIN is a unique identifier composed of the letter Y followed by seven numeric characters.Example: Y1002188

An ETIN, along with a PIN, is required for preparers to submit filings or batches of filings on behalf of others usingEFAST2-approved third-party software. Filing Authors and Filing Signers normally do not need to know the transmittersETIN.

EFAST2 EFAST2 Guide to Filers & Service Providers


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Contain at least one number (numeric character)

It may contain special characters (e.g., !&%)

It may not contain spacesExamples: JKL2&HRT77BB% 1LeapingLizard!

3.1.4 PIN

The PIN is a unique identifier composed of four (4) numeric characters. A PIN is used when signing a filing, transmittingone or more filings via EFAST2-approved third-party software, or retrieving filing status information. In every case it isused to authenticate a user for the action being performed.

Example: 2354

Filing authors and signers with a User ID may change their PIN as described in section 2.3. Transmitters must apply for anew credential to change the PIN that corresponds to an ETIN.

3.1.4.1 PIN Exceptions

A PIN cannot be any of the values listed below:

1111

2222

3333

4444

5555

6666

7777

88889999

0000

0123

1234

2345

3456

4567

5678

6789

7890

0987



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3.2 Non-transferability of Credentials

EFAST2 user credentials belong to the individual who obtains them. Except in the case of transmitters , credentials are nottransferrable; that is, they cannot be shared by multiple users. Therefore, if different company officers will sign the filing,each officer must register and obtain his or her own credentials.

Also, if an EFAST2 user has submitted or signed filings, but responsibility for those filings has moved to another EFAST2user, the user credentials may not be shared. If the user responsibilities are changed in mid-cycle, the filings and/orschedules must be exported, and the new user must register for credentials and import the filings and schedules under thenew credentials, if the new user has not already registered for credentials in a different capacity. Otherwise the new EFAST2user will need to start with blank filings or schedules.

3.3 Protecting Your Credentials

The safety and integrity of your filings depend on the security of your electronic credentials. EFAST2 takes measures toprotect user credentials:

The PIN is only displayed on the User Profile screen once logged in and the page is accessed

The password is masked with asterisks when used to log into the systemit is not available anywhere else.

Users must also take responsibility for keeping their credentials secure. Following the guidelines listed below will helpensure that credentials are not compromised:

Do not share your credentials with anyone.

Do not leave any papers containing your credentials where anyone may see them.

Do not save your credentials in an unsecured computer file.

Do not file with compromised credentials.

3.4 Lost or Forgotten CredentialsLost PINs, User IDs and passwords can be recovered through the EFAST2 web site ( www.efast.dol.gov ).

To recover a User ID, click the Forgot User ID link on the Login page ( Figure 22 )

To recover a Password, click the Forgot Password link on the Login page ( Figure 22 )

To recover a PIN, view your User Profile once logged in ( Figure 18 )

3.5 Compromised Credentials

The users PIN and User ID are considered compromised if anyone but the user or someone authorized to file on the usersbehalf obtains access to them. If a PIN or User ID is lost, or stolen, or compromised in any way, users may request theimmediate deactivation of the PIN or User ID by calling the EFAST2 Contact Center at 1-866-463-3278 (1-866-GOEFAST). Callers must give the reason for the deactivation request and provide their User ID or PIN. To receive a new PINor User ID, users must complete the registration process again. Warning: if you deactivate your User ID, you will no

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Note: If the user wishes to use the same email address, they will need to contact the EFAST2 Contact Center at1-866-463-3278 (1-866-GO EFAST) to revoke their expired account and free up their email address.

3.7 Revocation of CredentialsUsers must maintain a high degree of integrity and accuracy to take part in the EFAST2 program. The DOL reserves theright to revoke the electronic filing credentials of any user who does not maintain an acceptable level of quality in his or herfilings or who deviates from the requirements, procedures, and specifications set forth in this publication and in otherEFAST2 publications.

The following conditions can lead to suspension of electronic filing credentials:

Misrepresentation on the users registration form.

Deterioration in the format of filing submissions.

Unacceptable cumulative error rate.

Violation of advertising standards, listed in Chapter 5 of this document.

Unethical practices in filing preparation.

Other actions that would adversely affect the EFAST2 program.



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Document Version ID 4.1/122909F

CHAPTER 4. UCCHHAAPPTTEERR 44.. UUSING THE EFAST2 SYSTEM SSIINNGG TTHHEE EEFFAASSTT22 SSYYSSTTEEMM

4.1 Filing Options

There are two filing methods in EFAST2:

EFAST2-approved third-party software

IFILE (DOLs free internet-based filing tool)

Users have available to them several options for combining these methods of preparing and transmitting filings. For

example, users can: Prepare and transmit their filings using EFAST2-approved third-party software.

Prepare filings using EFAST2-approved third-party software and then import and submit the filings through IFILE if thethird-party software supports exporting.

Prepare filings using IFILE and then import and submit the filings through EFAST2-approved third party software if thethird-party software supports importing.

Prepare and submit their filings through IFILE.

4.1.1. Delinquent or Amended Filings

To submit a delinquent or amended Form 5500 return/report electronically through EFAST2 for plan years prior to 2009,you must submit the filing using current filing year Form 5500, schedules, and instructions except as provided below. Thecurrent filing year forms take the place of the Form 5500 pages that would have been included in the prior year's filings. Theelectronic filing on the current filing year Form 5500, however, must indicate, in the appropriate space at the beginning of the Form 5500, the plan year for which the annual return/report is being filed.

Exceptions to requirement to use current filing year schedules and instructions: Filers using EFAST2 must use the followingcorrect-year schedules (that is, the plan year for which the annual return/report relates) completed in accordance with therelated correct-year instructions:

Schedule B, SB, or MB (Actuarial Information),

Schedule E (ESOP Annual Information),

Schedule P (Annual Return of Fiduciary of Employee Benefit Trust),

Schedule R (Retirement Plan Information) and Schedule T (Qualified Pension Plan Coverage Information).

For example, if you are filing a delinquent 2007 Form 5500 return/report for a defined benefit pension plan, you mustinclude the 2007 Schedule B, Schedule R and all required attachments for these schedules. Attach them as PDF images to thecurrent filing year Form 5500 (2009 or 2010 forms can be used as current filing year forms as of 1/1/2010) tagging them as



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IMPORTANT: Do not send any penalty payments associated with a delinquent filing to EFAST2. Penalty payments to theIRS or made under the Department's Delinquent Filer Voluntary Compliance (DFVC) Program must be submittedseparately in accordance with the applicable requirement.

4.2 General Filing Information

4.2.1 Submissions

A submission may consist of a single filing or batches of multiple filings. The maximum allowable size of a batch filingsubmission is 100 filings up to a total of 100 megabytes (MB). Note that each transmission cannot exceed the 100 MB limit.If a file is larger than 100 MB, call the EFAST2 Contact Center at 1-866-463-3278 (1-866-GO EFAST) for assistance withthe filing.

Transmissions must consist of only complete batches, and these batches must be transmitted in their entirety sequentially.That is, the first batch must be completely transmitted before the next batch begins.

4.2.2 Unique Numbers Assigned by the Electronic Filing System

AckIDThe Acknowledgement ID (AckID) is a system-generated identifier that uniquely identifies a received submission that has

completed EFAST2 processing. The original AckID is required when amending a filing if the original filing was submittedthrough EFAST2.

4.2.3 Filing Deadlines and Extension Requests

The deadline for plans to file a Form 5500 is the last day of the seventh month after the close of the plan year. If users needmore time to file, they can request an extension on or before the filing due date. Detailed information on requesting filingextensions can be found in the publications Instructions for Form 5500 and Instructions for Form 5500-SF and at theEFAST2 web site ( www.efast.dol.gov ).

With EFAST2, filers are no longer required to attach a copy of IRS Form 5558, Application for Extension of Time to FileCertain Employee Plan Returns, or any other extension request form to their Form 5500 or Form 5500-SF filing or anexplanation of a special extension. Filers now merely check the box on the Form 5500 or Form 5500-SF, and if applicable,enter a description of the special extension. Plans still must file Form 5558 (or other applicable extension request form) withthe IRS and keep with their records a copy of the form.

If a filing is late, a filer may choose to attach an explanation for filing late in the Reasonable Cause attachment. If Government review finds that the filer had a reasonable explanation for filing late, late filing penalties may be waived.

4.3 Composition of the FilingERISA filings consist of multiple filing components that are comprised of individual forms, schedules, and attachments.

Form 5500 or Form 5500-SF

Schedules
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Upon signing the filing, filing preparation software (either IFILE or EFAST2-approved third party software) shall apply thesigners electronic filing credentials (User ID and PIN), name, and date to the annual return/report file and the name and dateto the Form 5500/5500-SF.

Upon submission to the Government, the signatures are authenticated by comparing the submitted credentials to theregistration credentials in EFAST2. If a required signature is missing, the filing will not be accepted.

Signatures signify verification and certification. No changes to signed filings are allowed. Filings that have not beensubmitted may have signatures removed to allow editing. Submitted and accepted filings require the submission of anamendment to make modifications.

4.6 Filing Submission / Transmission

After filings have been verified and signed, they may be transmitted to the EFAST2 system for acceptance processing.Filings may be submitted individually or in a batch. Your approved software (third-party or IFILE) will ensure that theXML format of filings and batches matches what is expected by the EFAST2 system.

Submission through EFAST2-approved third-party software requires either a UserID/PIN or ETIN/PIN combination forverification. Those preparing their own filing would use their UserID, whereas preparers transmitting on behalf of otherswould use their ETIN.

Within approximately 20 minutes after transmission, the submitter should receive an acknowledgement indicating that thesubmission has been received as processable or has been rejected with errors. Error messages may indicate variousidentification problems, invalid transmission credentials, or other unprocessable situations that must be resolved beforeanother submission attempt. If an error message is received at this stage, the filing is not on record with EFAST2. Receiptacknowledgements include an AckID and indicate that submitted filings have been successfully transmitted and will besubjected to further processing and review.

A receipt acknowledgement does not indicate that submitted filings have been accepted.

4.7 Status Verification

All filings undergo computerized processing after successful submission into the EFAST2 system. Within minutes, the

status of each batch and filing will be accessible to the submitter. Submitters are encouraged to verify the status throughtheir submission software as the EFAST2 system validates each filing. Filings that contain errors are subject to rejection andpenalties.

Filings may be received, with errors and/or warnings, or not received by the system at all, depending on the severity of anyobserved errors (see Appendix F). A list of errors and/or warnings will be provided in cases in which they are present.Filings that are not successfully received by EFAST2 must be resubmitted. Any filings that are received with errors and/orwarnings may be amended through the amendment process described below.

It is the responsibility of the submitter to convey accurately the filing status to plan sponsors and administrators if the

submitter does not also have those roles.

4.8 Amended Filings

Users must submit an amended filing to correct errors or omissions that exist in a previously submitted filing for the sameyear in accordance with the instructions for the Form 5500 or Form 5500-SF, whichever is applicable. Filing can be amendedmore than once; however the last amended filing received and on file is considered the latest filing for a plan

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CHAPTER 5. UCCHHAAPPTTEERR 55.. UUSER RESPONSIBILITIESSSEERR RREESSPPOONNSSIIBBIILLIITTIIEESS

5.1.1 Document Retention

Retention periods are specified in the Internal Revenue Code and ERISA, and implementing regulations. The PlanAdministrators and Direct Filing Entities must retain a copy of the filing signed by the Filing Signer(s) and anyacknowledgements received from the DOL, along with all other documents required by the Internal Revenue Code andERISA.

Filers may use electronic media for record maintenance and retention, so long as they meet the applicable requirements. Formore information, see the instructions to the Form 5500.

The signer must also retain a copy of the Schedule MB or SB signed by the actuary and, where applicable, a copy of the IRSForm 5558, Application for Extension of Time to File Certain Employee Plan Returns.

5.1.2 Submitter Responsibilities

Communications on filing errors and statuses are directed to the submitter. In the case that the submitter is not also the plansponsor or administrator, the submitter is responsible for ensuring that accurate communication is directed to those

responsible for filing the Form 5500/Form 5500-SF annual return/report.5.1.3 EFAST2-Approved Third-party Software Vendor Responsibilities

As the Government does not endorse any specific software product, any advertising that goes beyond the accurate reflectionof approved status is a misrepresentation.


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Transmission of filing

Receipt of acknowledgements

Status of filing receipt and processing Acknowledgement messages received in response to edit test failures

Questions or problems with the ERISA Filing Data Search (searching for filings)

System performance, availability, or functionality (problems are immediately reported to EFAST2 processing andsystem maintenance staff for resolution)

If users have questions or problems related to the use of EFAST2-approved third-party software that the Contact Centercannot address, they should use the technical support offered by the software provider.



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ocu e t Ve s o . / 909

Appendix A. ACRONYMS AND ABBREVIATIONS

DLN Document Locator Number

DER Data Element Requirements

DFE Direct Filing Entities

DOL Department of Labor

EBSA Employee Benefits Security Administration

EFAST2 ERISA Filing Acceptance System 2

EIN Employer Identification Number

ERISA Employee Retirement Income Security Act

HTML Hyper Text Markup Language

HTTP Hypertext Transfer Protocol

HTTPS Hypertext Transfer Protocol over Secure Sockets Layer

IFILE Internet Based Filing Application

PATS Participant Acceptance Testing System

PBGC Pension Benefit Guaranty Corporation

PDF Portable Document Format

PIN Personal Identification Number

PN Plan Number

SSL Secure Sockets Layer

TE/GE Tax Exempt and Government Entities

XML Extensible Markup Language



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Appendix B. P RIVACY AND S ECURITY S TATEMENT

Below is the complete text of the privacy statement that users must read and accept in order to be registered in EFAST2 andto obtain the necessary electronic filing credentials:

Thank you for visiting the Department of Labor (DOL) Web site and reviewing our privacy andsecurity statement. DOL is strongly committed to maintaining the privacy of your personalinformation and the security of DOL computer systems. With respect to the collection, use and

disclosure of personal information, DOL makes every effort to ensure compliance with applicablefederal law, including, but not limited to, The Privacy Act of 1974 , The Paperwork Reduction Act of 1995 , and The Freedom of Information Act .

As a general rule, DOL does not collect personally-identifying information about you when you visitour site, unless you choose to provide such information to us. The information we receive dependsupon what you do when visiting our site.

I f y o u r e s p o n d t o a n o n l i n e r e q u e s t f o r p er s o n a l i n f o r m a t i o n :

Generally, DOL will use the information requested to respond to your inquiry or to provide you withthe service associated with the request. However, when we request this information, we fullydescribe in a customized "Privacy Notice" the reasons for collecting it and DOL's intended use of the information. This Privacy Notice will either appear on the Web page collecting the informationor be accessible through a link prominently displayed immediately preceding the informationrequest.

I f y o u v i s i t o u r s i t e t o r e ad o r d o w n l o a d i n f or m a t i o n :

We collect and store the following information:

The name of the domain from which you access the Internet (for example, dol.gov, if you are connecting from DOL's computer account).

The date and time you access our site.

The Internet address of the Web site from which you linked directly to our site.

The above information is used by software programs on our Web site to create summary statisticswhich allow us to assess the number of visitors to the different sections of our site, identify whatinformation is of most and least interest, determine technical design specifications, monitor systemperformance, and help us make our site more useful to visitors.

I f y o u i d e n t i f y y o u r s e l f b y se n d i n g a n e - m a i l co n t a i n i n g p e r s o n a l i n f o r m a t i o n :

http://www.usdoj.gov/opcl/privacyact1974.htmhttp://www.cio.gov/documents/paperwork_reduction_act_1995.htmlhttp://www.cio.gov/documents/paperwork_reduction_act_1995.htmlhttp://www.usdoj.gov/oip/index.htmlhttp://www.usdoj.gov/oip/index.htmlhttp://www.cio.gov/documents/paperwork_reduction_act_1995.htmlhttp://www.cio.gov/documents/paperwork_reduction_act_1995.htmlhttp://www.usdoj.gov/opcl/privacyact1974.htm


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I f y o u l i n k t o o t h e r s i t e s o u t s i d e DO L:

Our Web site has many links to other sites. When you link to any of these sites, you are no longer

on our site and are subject to the privacy policy of the new site.

Co o k i e U s e N o t i c e

DOL employs "cookies" to provide better service to its customers. DOL does not use cookies tocollect any personally-identifying information from users or to track user activities beyond our Website. DOL does not maintain copies of cookies on our Web site after you leave our Web site.

Cookies are small pieces of temporary data that are exchanged between a web site and a user's

computer which enable a "session," or "dialog," to be established between the two machines. Withthe session established, DOL is able to tailor its responses (i.e., identify and provide you with theinformation you want) and help you traverse our Web pages in the most efficient and effectivemanner possible. When DOL's server does not receive further requests from your computer or yousimply exit your browser, the session will be terminated

DOL limits its use of cookies to "session cookies" - types of cookies that are temporarily stored inyour computer's memory. Session cookies are normally deleted from a user's computer when theuser logs off the computer or the user exits the browser. Effective January, 2001, DOL stopped

issuing "persistent cookies" - types of cookies that could be stored permanently on yourworkstation and reused each time you visit DOL's EFAST2 Web site.

Our Web site employs software programs for security purposes and to ensure that this serviceremains available to all users. This software monitors network traffic to identify unauthorizedattempts to upload or change information, or to block traffic that might otherwise cause damage.

Unauthorized attempts to upload information or change information on this service are strictly

prohibited and may be punishable under the Computer Fraud and Abuse Act of 1986 and TheNational Information Infrastructure Protection Act of 1996.

http://www.usdoj.gov/criminal/cybercrime/1030_new.htmlhttp://www.usdoj.gov/criminal/cybercrime/s982.htmhttp://www.usdoj.gov/criminal/cybercrime/s982.htmhttp://www.usdoj.gov/criminal/cybercrime/s982.htmhttp://www.usdoj.gov/criminal/cybercrime/s982.htmhttp://www.usdoj.gov/criminal/cybercrime/s982.htmhttp://www.usdoj.gov/criminal/cybercrime/1030_new.html


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Appendix C. S IGNATURE AGREEMENT

I understand and agree that the electronic signature is not transferable and that the inclusion of suchelectronic signature in a Form 5500 or Form 5500-SF return/report filed in electronic form shall have thesame legal force and effect as my hand written signature.

If I am not the Transmitter, I also agree that my electronic signature on a Form 5500 or Form 5500-SFconstitutes consent for EFAST personnel to send my Transmitter an acknowledgment of receipt oftransmission and to communicate with my Transmitter about the success or failure of the transmissionand specific reason(s) for any failure(s).

If I am an EFAST Software Developer or EFAST Transmitter, I declare that I am authorized to make andsign this statement on behalf of the applicant. The applicant agrees that it and its employees will complywith all provisions of the EFAST2 procedures for the electronic filing of Forms 5500 or 5500-SF for eachyear in which the applicant participates. Noncompliance will result in the applicant no longer beingallowed to participate as an EFAST2 Software Developer or Transmitter. The applicant understands thatacceptance as an EFAST2 Software Developer or Transmitter is not transferable. If applying to be anEFAST2 Transmitter, the applicant further agrees that a copy of all returns/reports that the applicanttransmits electronically to the Department of Labor will be provided to the plan administrator, employer ordirect filing entity on whose behalf the return/report was transmitted.

Under penalties of perjury, I declare that I have examined this agreement, and to the best of myknowledge and belief the information provided in my request for access to the EFAST2 system is true,correct, and complete.

I declare that I am authorized to make and sign this statement.



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Appendix D. PIN AGREEMENT

By activating your PIN, you agree not to share your PIN with anyone. The security of your PIN is importantbecause it can be used to:

Electronically sign documents, and Access your personal records

If your PIN is lost or stolen, you also agree to: Contact the EFAST2 Contact Center at 1-866-463-3278 (1-866-GO-EFAST), or Request a new PIN by selecting Change My PIN from the EFAST2 Web site



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Appendix E. T

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YPES OF OTHER ATTACHMENTS

Attachment Type Code Form / ScheduleLine Item Number in

5500/5500-SF Instructions Attachment DescriptionActiveParticipData Schedule MB Line 8b Schedule of Active Participant Data

Schedule SB Line 26 Schedule of Active Participant DataActrlAssmptnMthds Schedule MB Line 6 Statement of Actuarial Assumptions/Methods

Schedule SB Line 23 Statement of Actuarial Assumptions/Methods

ActrlPriorYrCreditFndgDeficiency Schedule MB Line 9fExplanation of Prior Year Credit Balance/FundingDeficiency Discrepancy

ActuaryStatement

Schedule MB andSchedule SB, Statementby Enrolled Actuary

Schedule MB - Statement byEnrolled Actuary; Schedule SB- Statement by EnrolledActuary

Schedule MB and Schedule SB Statement by EnrolledActuary

DelnqntPartcpContrib Schedule H Line 4a Schedule of Delinquent Participant ContributionsSchedule I Line 4a Schedule of Delinquent Participant Contributions

FinancialStatements Schedule H Line 3The financial statements will be placed in theattachment for the accountant's opinion

Schedule I Line 4k

The financial statements will be placed in the

attachment for the accountant's opinion

FivePrcntTrans Schedule H, Line 4j5% Transaction Schedule - Schedule of ReportableTransactions

MBSBActuarySignature Schedule MBSchedule MB - Statement byEnrolled Actuary Copy of Schedule MB in PDF format

Schedule SB Schedule SB - Who Must FileCopy of Schedule SB in PDF format labeled SBActuary Signature

PlanAtRisk Schedule SB Line 4 Additional Information for Plans in At-Risk StatusPlanProvisions Schedule MB Line 6 Summary of Plan Provisions

Schedule SB Part V Summary of Plan ProvisionsReasonableCause Form 5500 Administrative Penalties Explanation of Reasonable Cause

Form 5500-SF Administrative Penalties Explanation of Reasonable CauseSchABasisStmtPremRate Schedule A Line 6a Basis of Premium Rates

SchAssetsAcqDisp Schedule H Line 4iSchedule of Assets (Acquired and Disposed of WithinYear)

SchAssetsHeld Schedule H Line 4i Schedule of Assets (Held at End of Year)

SchB Schedule SB Line 27

Actuarial Information Based on Pre-PPA Funding

Rules


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Line Item Number inAttachment Type Code Form / Schedule 5500/5500-SF Instructions Attachment Description

OtherAttachment Schedule SB Line 4 Explanation of Status

Schedule R Part V Update of Funding Improvement Plan orRehabilitation Plan

Schedule SB Line 7Explanation of Discrepancy in Prior Year FundingStandard Carryover Balance or Prefunding Balance

Schedule SB Line 8Late Election to Apply Balances to QuarterlyInstallments

Schedule SB Line 9 Explanation of Credit Balance DiscrepancySchedule SB Line 23 Information on Use of Multiple Mortality Tables

Page 41



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APPENDIX F: ACKNOWLEDGEMENT & S TATUS CODES

PROCESSING: Filing is currently being processed by the EFAST2 system

FILING_RECEIVED: Filing passed all error checks but may have failed warning checks and is received by the Government

FILING_ERROR: Filing failed one or more error checks

PROCESSING_STOPPED: Filing failed one or more critical error checks

FILING_UNPROCESSABLE: Filing could not be read and is not received by the Government

FILING_NOT_FOUND: A filing with the matching AckId was not found (related to queries in Data Dissemination)

Documents

EFAST2 Guide Filers Service Providers