The following screen is displayed.

(2) The Document Locator Number, Name of Plan Sponsor, Address and City/State/Zip will be displayed from the LINUS data uploaded to EDS.

(3) DTS will assign a File Folder Number (FFN) to the file if one was not assigned. This is done by leaving the File Folder Number item blank. Once all application data has been entered, the FFN will be assigned. This number should be written on the folder.

(4) Depress the F1 key to execute the update.

(5) When there are no input errors, one of the following screens will be displayed according to Form Number and Version:

FORM NUMBERS & VERSIONS	SCREEN DISPLAYS
5300	EP 5300 Screen (Exhibit 7.14.2–6)
5303 - Obsolete	EP 5303 Screen (Exhibit 7.14.2–7)
5307	EP 5307 Screen (Exhibit 7.14.2–8)
6406	EP 6406 Screen (Exhibit 7.14.2–9)
5310, 5310–A	EP 5310 Screen (Exhibit 7.14.2–10)
4461, 4461–A, 4461–B	EP 4461 Screen (Exhibit 7.14.2–11)

Note:

Form 9999 will go directly to the POA Screen (Exhibit 7.14.2–13).

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

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

(3) Depress the F1 key to execute the update of record.

(4) The EP Certification/Designation for TRA Screen (Exhibit 7.14.2–15) is displayed.

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

(6) For any missing information, EDS will automatically store the related paragraph to generate a letter requesting the information after technical screening.

EDS-CSS-630  EP DETERMINATION APPLICATION  FORM 5310
3	(a) Interested Parties?: _(b) Date Notified:_/_/_
	(c) Has Plan Received a Letter? _(d) Any Amendments Since Last Letter? _
	(e) Contain Cash/Deferred Arrangements?_
4	(a) Name of Plan:	____________________
		____________________
	(b) Plan No: __		(c) Plan Yr Ends(mmdd): __
			(e) Total Participants: ____
5	Defined Benefit/Contribution Plan: __
6	(a) Affiliated Service Group? __
	(b) Controlled Group? __		7 Type of Entity: __
8	(a) Proposed Termination Date: _/_/_ (b) Will Funds be Distributed? _
	(c) Any Funds Returned to Employer? _Amount: _____
Is the Application Signed? _10 Reason for Termination: _
15	(f) Accumulated Funding Deficiency? _

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

(3) Depress the F1 key to execute the update of record.

(4) If there are no input errors, the EP Attachment Screen (Exhibit 7.14.2–12) is displayed.

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

(6) For any missing items, EDS will automatically store the related paragraph to generate a letter requesting the information after technical screening.

(7) The following screen is automatically displayed after successful completion of the EP Name Screen.

EDS-CSS-633  EP NOTICE OF MERGER/SPIN OFF/TRANSFER  FORM 5310A
Filing Reason: _*** IF 1, PRESS F1 NOW. ***
3	(a) Name of Plan:	____________________
		____________________ (b) Plan No: __
4	Defined Benefit/Contribution Plan: _
5	(a) Number of Plans Involved: ___
	(c) Name of Plan:	____________________
		____________________
	(d) Employer:	____________________
		____________________
	(e) EIN: __–____
	(f) Plan No:__
	(g) Effective Dt:_/_/_
	(h) Type of Plan:_
Is the Notice Signed? _

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

(9) Depress the F1 key to execute the update of record.

(10) When there are no input errors and;

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

(12) For missing information, EDS will automatically store the related paragraph to generate a letter requesting the information after technical screening.

Note:

It is very important to use caution when using the F1 and F5 keys. Any time data is changed, added or deleted, the F1 key must be depressed for the new data to be considered by the system

.

Validity Checks
ITEM	PROMPT	DESCRIPTION
	Filing Reason	Must be entered. Must be 1 – 4.
3(a)	Name of Plan (Line 1)	May or may not be entered. If entered, and Name of Plan is more than 35 characters long, continue on Line 2. Do not break a word after 35 characters, carry the full word or grouping to Line 2. For notices with an Employer/Sponsor Name of more than two lines (69 characters) and a Plan Name which consists of the Employer/Sponsor Name plus a description of the plan, use only the description of the plan as the "Plan Name" .
		Example:
		Employer/Sponsor Name: Herman A. Dentist, DDS, and Wilber B. Worker, DDS, PC
		Plan Name: Herman A. Dentist, DDS, and Wilber B. Worker, DDS, PC, Employees Money Purchase Plan
		Plan Name entered should be: Employees Money Purchase Plan
		All 35 positions of Line 1 do not have to be filled to continue on Line 2. Valid characters are any key on the keyboard except the "@" , however the first position must be alphabetic or numeric. No characters may follow two consecutive blanks, except blanks.
	Name of Plan (Line 2)	If entered, "Name of Plan (Line 1)" must be entered. Valid characters are any key on the keyboard except the "@" . No characters may follow two consecutive blanks, except blanks.
3(b)	Plan No	Must be blank or numeric, but not zero. Blank is a missing item and the related paragraph will be stored to create the additional information letter.
4	Defined Benefit / Defined Contribution	Must be blank, U, F, P, S, M, T, or V. Blank and F are missing items and the related paragraphs will be stored to create the additional information letter.
5(a)	Number of Plans Involved	Must be numeric. Blank or zero is a missing item and the related paragraph will be stored to create the additional information letter. If 2 or more are entered, the Notice (Cont.) Screen will be displayed to enter additional plans listed.
5(c)	Name of Plan (Line 1)	May or may not be entered. If entered, and Name of Plan merged with is more than 35 characters long, continue on 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. Valid characters are any key on the keyboard except the "@" . No characters may follow two consecutive blanks except blanks. A blank on line 1 indicates a missing item and the related paragraph automatically stored in letter generation for an additional information letter.
	Name of Plan (Line 2)	If entered, "Name of Plan (Line 1)" must be entered. Valid characters are any key on the keyboard except the "@" . No characters may follow two consecutive blanks, except blanks.
5(d)	Employer (Line 1)	If entered, and Employer Name merged with 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. No characters may follow two consecutive blanks, except blanks. Valid characters are any key on the keyboard except the "@" .
		Blank is a missing item and the related paragraph will be stored in letter generation for an additional information request. If entered "Employer (Line 1)" must be entered. Valid characters are any key on the keyboard except the "@" . No characters may follow two consecutive blanks, except blanks.
5(e)	EIN	Must be blank or numeric. The first two digits must be in the following valid ranges:
		01–06, 11, 13–16, 21–25, 31, 33–39, 41–48, 51–59, 61–64, 66–68, 71–77, 81–88, 91–99
5(f)	Plan No	Must be blank or numeric, but not zero. Blank is a missing item and the related paragraph will be stored in letter generation for an additional information letter.
5(g)	Effective Dt	Must be blank or valid date (MMDDYYYY). Blank is a missing item. If entered, the date should be more than 30 days from the control date. If the date is 1–20 days from the control date, it will be a potential reject item. If the date is 21–29 days from the control date, may be reject item. If N/A enter blank.
5(h)	Type of Plan	Must be blank or 1–8. Blank is a missing item and the related paragraph will be stored in letter generation for an additional information letter.
	Is the Notice Signed?	Must be entered. Must be Y or N. N is a missing item and the related paragraph will be stored in letter generation for an additional information letter.
EP DETERMINATION NOTICE (CONT.) SCREEN
(13) The following screen is automatically displayed after successful completion of the EP Determination Notice screen, and the "Number of Plans Involved" is greater than one.

EDS-CSS–634	EP DETERMINATION NOTICE (CONT.)	FORM 5310A
Additional Plans involved with this notice:
1(a) Name of Plan:	____________________
	____________________
(b) Employer:	____________________
	____________________	(c) EIN:__-____
(d) Plan No:___	(f) Type of Plan:__
2(a) Name of Plan:	____________________
	____________________
(b) Employer:	____________________
	____________________	(c) EIN:__-____
(d) Plan No:___	(f) Type of Plan:__
3(a) Name of Plan:	____________________
	____________________
(b) Employer:	____________________
	____________________	(c) EIN:__-____
(d) Plan No:___	(f) Type of Plan:__
Are there additional plans involved with this notice?__ Plans Involved:_____  Plans entered so far:_____

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

(15)  Depress the F1 key to execute the update of record.

(16)  When "No" is answered to "Are there additional plans involved with this notice?" , the EP Attachment Screen (Exhibit 7.14.2–12) is displayed. If "Yes" is answered to "Are there additional plans involved with this notice?" , a blank screen EP Notice Determination Screen (CONT) will be displayed to continue entering the plans.

(17)  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 (15), above.

(18)  For any missing information, EDS will automatically store the related paragraph to generate a letter requesting the information after technical screening.

a. The EP Attachment Screen (Exhibit 7.14.2–12) will be displayed if "N" was answered to "Are there additional plans involved with this notice?" . If "Y" was answered, this screen will be re-displayed.

**NOTE: It is very important to use caution when using the F1 and F5 keys. Any time data is changed, added or deleted, the F1 key must be depressed for the new data to be considered by the system.

Validity Checks
ITEM	PROMPT	DESCRIPTION
1(a)	Name of Plan (Line 1)	If entered, and Name of Plan merged with 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. No characters may follow two consecutive blanks, except blanks. If blank and items 1(b)–(f) are entered a missing item paragraph will be generated. The related paragraph is stored to generate the additional information letter.
	Name of Plan (Line 2)	If entered, "Name of Plan (Line 1)" must be entered. No characters may follow two consecutive blanks, except blanks.
(b)	Employer (Line 1)	May or may not be entered. If entered, and Employer Name merged with is more than 35 characters long, continue on Line 2. Do not break a word after exactly 35 characters, carry the full work of grouping to Line 2. All 35 positions of Line 1 do not have to be filed to continue on Line 2. No characters may follow two consecutive blanks, except blanks. If blank and line 1(b)–(f) are entered a missing item paragraph will be generated. The related paragraph is stored to generate the additional information letter.
	Employer (Line 2)	If entered, "Employer (Line 1)" must be entered. No characters may follow two consecutive blanks, except blanks.
(c)	EIN	Must be blank or numeric. The first two digits must in the following valid ranges:
		01–06, 11, 13–16, 21–25, 31, 33–39, 41–48, 51–59, 61–64, 66–68, 71–77, 81–88, 91–99
		The third digit must not be a "9" . If blank and lines 1(b)–(f) are entered a missing item paragraph will be generated. The related paragraph is stored to generate the additional information letter.
(d)	Plan No	Must be blank or numeric, but zero. If blank and lines 1(a)–(f) are entered a missing item paragraph will be generated. The related paragraph is stored to generate the additional information letter.
(f)	Type of Plan	Must be blank or 1–5. Blank is a missing item and the related paragraph will be stored to create the additional information letter if any item 1(a)–(f) is entered.
2(a)–(f)		See 1(a)–(f)
3(a)–(f)		See 1(a)–(f)
	Are there additional plans involved with this notice?	Must be entered. Must be Y or N. If there are more plans involved, enter "Y" . This same screen will re-display to enter the additional plans listed.
	Plans Involved	Display only. The number entered in 5(a) in the Notice of Merger/Spin Off/Transfer screen.
	Plans entered so far	Display only. The number of other merged plan entered. This would be the plan entered in 5(c) or from any attached list of other plans.
NOTICE OF QSLOB SCREEN
(19)  The following screen is automatically displayed after pressing F1 and 1 was entered in Filing Reason in the EP Notice of Merger/Spin Off/Transfer screen.

EDS-DTS-635  NOTICE OF QSLOB  FORM 5310A
6 Section(s) testing under:
(place X before)
_410(b)
_401(a)(26)
_129(d)(8)
7 First Testing Year: _/_/_
8(a) Previously filed? _	(b) First Day of Test Year: _/_/_
(c) Filing Date: _/_/_	Filing Location: _
Is the Notice signed?_
Is 10(a) blank?_  Is 10(e) blank? _

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

(21) Depress the F1 key to execute the update of record.

(22) When there are no input errors the EP Attachment Screen (Exhibit 7.14.2–12) will be displayed.

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

(24) For any missing information, EDS will automatically store the related paragraph to generate a letter requesting the information after technical screening.

Validity Checks
ITEM	PROMPT	DESCRIPTION
6	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)). If all three code sections are blank, the missing item and the related paragraph will be stored to create the additional information letter.
7	First Testing Year	Must be blank or a valid MM/DD/YYYY format. Blank is a missing item and the related paragraph will be stored to create the additional information letter.
8(a)	Previously filed?	Must be blank, 1 or 2. Blank is a missing item and the related paragraph will be stored to create the additional information letter.
8(b)	First Day of Test Year	Must be blank or a valid MM/DD/YYYY format. If blank and line 8a is 1 system will generate a missing item paragraph. The paragraph will be stored to create the additional information letter.
8(c)	Filing Date	Must be blank or a valid MM/DD/YYYY format. If blank and line 8a is 1 system will generate a missing item paragraph. The paragraph will be stored to create the additional information letter.
	Filing Location	Must be blank or 1 – 8. If blank and line 8a is 1 system will generate a missing item paragraph. The paragraph will be stored to create the additional information letter.
	Is the Notice Signed?	Must be entered. Must be Y or N. N is a missing item and the related paragraph will be stored to create the additional information letter.
10(a)	Is 10(a) blank?	Must be entered. Must be Y or N. If N/A, enter N.
10(e)	Is 10(e) blank?	Must be entered. Must be Y or N. If N/A, enter N.

FORM 4461, Application for Approval of Master or Prototype Defined Contribution Plan

FORM 4461–A, Application for Approval of Master or Prototype Defined Benefit Plan

FORM 4461–B, Application for Approval of Master or Prototype Plan, Mass Submitter Adopting Sponsor

EP 4461 and 4461–A Screens
(1) The following screen is automatically displayed after successful completion of the EP Name Screen for Application 4461.
EDS-CSS-623-90  EP DETERMINATION APPLICATION  FORM 4461 VER _
1 Approval Requested:_
3 Type of Applicant:_
6(a) Name of Plan:___________________
	___________________ (c) Plan No: __
7 Form of Plan:_
8 Type of Plan:_
10 Filing Status of Plan: _
Is the Application Signed?_
Letter Serial No: _____

(2) The following screen is automatically displayed after successful completion of the EP Name Screen for Application 4461 A.

EDS-CSS-623a90  EP DETERMINATION APPLICATION  FORM 4461 VER A
1 Approval Requested:_
3 Type of Applicant:_
6(a) Name of Plan:___________________
	___________________ (c) Plan No: __
7 Form of Plan:_
9 Filing Status of Plan: _
Is the Application Signed?_
Letter Serial No: _____

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

(4) Depress the F1 key to execute the update of record.

(5) When there are no input errors, the EP Attachment Screen (Exhibit 7.14.2–12) will be displayed.

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

(7) For any missing information, EDS will automatically store the related paragraph to generate a letter requesting the information after technical screening.

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

(10) Depress the F1 key.

(11) When there are no input errors, the EP Attachment Screen (Exhibit 7.14.2–12) will be displayed.

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

EDS-DTS-628  EP DETERMINATION APPLICATION   FORM_
Enter X by each Attachment Received
	*See (3), below.
Hit F1: Execute

Complete Copy of Plan	(Formally Attachment A)
Joinder Agreement or Adop Agreement	(Formally Attachment B)
Completed Form 6088	(Formally Attachment C)
Trust/Group Annuity/Custodial Docs	(Formally Attachment D)
Member Employers Plus Pertinent Info	(Formally Attachment E)
Appl for Each Employer Participants	(Formally Attachment F)
Determination Letter	(Formally Attachment H)
Coverage/Participation Completed	(Formally Attachment I)
Leased Employee Data	(Formally Attachment J)
Certif Notif Letter Not Withdrawn	(Formally Attachment K)
Statement Plan Word-for-Word	(Formally Attachment L)
Plan Amendments(s)	(Formally Attachment M)
Expl of Amend(s)/Effects on Prov	(Formally Attachment N)
Statement Plan is Complete	(Formally Attachment O)
Stmt of VSP Changes	(Formally Attachment P)
Opinion/Notif/Advisory Letter	(Formally Attachment Q)
Completed Part II	(Formally Attachment R)
Completed Part III	(Formally Attachment R)
Completed Part IV	(Formally Attachment R)
Completed Part V
Reg Prototype Ltr-30 Employers Adopt	(Formally Attachment S)
Reg Prototype Registration Agrm	(Formally Attachment T)
Form 5309	(Formally Attachment U)
Paired Plans Plus Adopt Agrmt(s)	(Formally Attachment V)
Explanation of Termination Action	(Formally Attachment W)
Plan or Adopt Agreement for 5310	(Formally Attachment X)
Affiliated Service Group Data	(Formally Attachment Y)
Partial Termination Statement	(Formally Attachment Z)
Explanation of Reason to Terminate	(Formally Attachment 0 zero)
Actuarial Statement of Valuation	(Formally Attachment 1 one)
Employer/QSLOB List
Demonstration 1
Demonstration 2
Demonstration 3
Demonstration 4
Demonstration 5
Demonstration 6
Demonstration 7
Demonstration 8
Demonstration 9
Demonstration 10

EDS-CSS-609	EP/EO Determination	Form___
POWER OF ATTORNEY INFORMATION — FORM 2848 OR OTHER AUTHORIZATION
(1) POA Name:	____________________
	____________________
Address:	____________________
City:	___________State:_Zip:___–__
(2) POA Name:	____________________
	____________________
Address:	____________________
City:	___________State:_Zip:___–__

EDS-FMS-20  Print Format/Selection
	* Print Mode _
	* Device Number _
	* Number of Copies _

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	If not entered, one copy will be printed. Must be numeric.

EDS-CSS-627

EP SCHEDULE Q

FORM!!!

—	Is Schedule Q attached? *** If N, press F1 now.
—	Enter the letter that describes the plan. If A or B, press F1 now.
***For "401(a)(17) Amendment" ONLY, enter Y and A above, respectively.
—	1	Using separate line of business rules?
—	2	If this is a defined benefit play, and a ruling desired under 410(b) complete line 5 of this Schedule.
—	3	Benefits, rights or features available?
—	4	Disaggregated, permissively aggregated or restructured?
—	5	If Form 5300, line 13 or Form 5307 line 11 is answered "No" , is this a request for a determination regarding Regs. Section 1.410(b)-2(b)(3) average benefit test?
—	6	If Form 5300 line 14 or Form 5307 line 12 is answered "No" , is this a request for a determination regarding nondesign-based safe harbor or general test under 401(a)(4)?
—	7	Is this a request for a determination regarding a plan provision that provides for pre-participation or imputed service?
—	8	Part of a floor offset arrangement?
—	9	Required to submit a demo for definition of compensation is nondiscriminatory?
—	10	Is this a request for a determination for a defined benefit plan with employee contributions not allocated to separate accounts?
—	11	Identify method used for employer-provided benefit.
—	12	Identify method used to show benefit nondiscriminatory.