1099 R PROCESSING
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There is required set up of 1099Rs before the forms, reports and media files can be produced. Users must confirm the setup of groups, states, counties, school districts and tax jurisdictions as they apply to your organization.

The government registration of the required government reporting levels and any applicable user fields must also be confirmed.

After the 1099R set up is complete, the Summary Report is run for comparison to the Year-To-Date Register. When everything is balanced, the 1099Rs can be printed and the summary report can be re-run to produce the required media file.

2018-2019 Year End Changes#

New for 2018
No recharacterizations of conversions made in 2018 or later.
A conversion of a traditional IRA to a Roth IRA, and a rollover from any other eligible retirement plan to a Roth IRA, made after December 31, 2017, cannot be recharacterized as having been made to a traditional IRA.

Disaster distributions.
Special rules apply to retirement plan distributions made to employees affected by certain natural disasters that occurred in 2016 and 2017. See Pub. 976, Disaster Relief, for more information.

Form 1099-R: Reportable policy sale box.
We have added a new box to show the date of a payment of reportable death benefits and added instructions to the recipient copy. See Reportable death benefits and Date of Payment Box, later in this document.

New distribution codes.
We have added two new distribution codes, C and M, for box 7.

Form 5498: New rollover code.
We have added code "PO" for reporting qualified plan loan offset rollovers.

Date of Payment Box.
New box to enter the date payment was made for reportable death benefits.

Government Websites

https://www.irs.gov/pub/irs-pdf/i1099R.pdf
https://www.irs.gov/pub/irs-pdf/f1099R.pdf

1099R SET UP#

Date of Payment#

For the new field Date of Payment, Seq#2815, R99-DATE-OF-PAYMENT, a combination of User Defined Fields (UDF) in IMUF and User Fields (UF) in IMCD are used.

The seed data (SEED_RP1099RWWW_20181220.sql) provided will create new user fields as follows:

After loading the seed data, confirm these 2 fields are created.

On IDFDV, for the new “R99-DATE-OF-PAYMENT’ Identifier, the field variable column must be set to “EID.DATE_OF_PAYMENT”.

On the Maintain Identity Information (IEID) form, in the ‘Date of Death Benefit Paid’ User Field, the date must be entered for the selected employees.

1099R Form Definitions IDFD#

Form Code HL$US-1099R-2019
High Line provides seed data scripts to our clients with the Year End Software release to load the IDFD Form Code definition SEED_IDFD_HL$US_1099R_YYYY.sql.
It is not necessary to maintain this form, unless instructed to do so by High Line.

Users can copy the IDFDV Variable definition from last year to the current year. Please refer to the Copy Last Year’s definition to Current Year section, below.

This seed data script is re-runnable. It will not erase the IDFDV set up of the same Form Code.

IDFD Store Option#

The IDFD Form Code HL$US-1099R-2019 provides the Store Option starting from Seq# 2000 in order for the RPYEU process to store the Employer Name/Addresses, the Employee Name/ Addresses and the Amounts of the Seq# in the Government Remittance Tables.

IMPORTANT: Users must run the RPYEU process with the new IDFD HL$US-1099R-2019 Form Code, or users can run a copy of this Form Code that has the Store Option set up to store the Addresses and the Amounts in the Government Remittance Tables.



Any prior year’s Form Codes do not supply this Option and therefore will not turn on the Store feature for the RPYEU process.

IDFDV – Copy Last Year’s Definition to Current Year#

After the HL$US-1099R-2019 information has been loaded, users can copy the IDFDV Variable definition from the last year to the current year using the COPY button on the IDFDV form as follows:

1) On the IDFDV form, select last year’s Form Code: HL$US-1099R-2018
2) Press the Copy Form Definition button
3) The Copying dialog box is displayed. Enter the current year New Form Code: HL$US-1099R-2019
4) Set the Copy Definition with Variables toggle to ON. This will copy the variables set up from HL$US-1099R-2018 to HL$US-1099R-2019 for the same Field Identifier name.

IDFDV Form Descriptions#

Use the IDFDV form to enter the variable data needed to correctly complete the 1099R’s, for both the printed 1099R’s and the Magnetic Media files.

Users should only work with the Source and Field Variable columns. The Derivation Expression field can be used by advanced users or under the guidance of a High Line consultant.

On this form, users define where, in their particular set up, each required field of data is to be retrieved from.

IDFDV Field Descriptions#

FieldDesciption
Seq #Defines the sequential order of the variable.
IdentifierThe fields within this form are defined here.
DescriptionEnter a short description of the variable.
Level Defines the field level, such as employee, employer, federal, etc.
O/R PromptThe override name of the field that will be displayed on the form is defined here.
SourceDefines the type of source of the field, such as database column, element, pay component, etc.
Field VariableThe variable for the field is defined here.
Copy Form DefinitionPress this button to copy the form definition.
Field UsageDefines the field usage, such as file only, form only, internal, etc.
TextUsers can add additional notes in this field
Derivation ExpressionUsers can add programming code for additional computation of the data within the record.

IDFDV Form Defintion Variables#

IDFDV Form Code HL$US-1099R-2018 After IDFD is loaded, users must set up your organization’s information for this Form Definition on the IDFDV form.

IDFDV HL$US-1099R-2019 Form Code Identifiers
IDFD Form: HL$US-1099R-YYYY – system provided
IDFD Form Type: US 1099R Definition

NOTE: Fields marked with an asterisk (*) are MANDATORY

IDFDV 1099R Form Defintion Variables
Field IdentifierDescriptionSuggested Field SourceSuggested Variable
* SUB-ER-EINSubmitter’s Employer EINConstant9 character EIN
SUB-PIN-NUMBERPersonal Identification NumberConstant8 characters assigned to you as PIN #. Enter 1 if the file is submitted, otherwise enter 0 (zero)
SUB-RESUB-INDResubmitt IndicatorConstantEnter 1 if file is resubmitted, otherwise 0
SUB-RESUB-WFIDResubmitt SSA WFID from noticeConstantIf resubmitted, enter SSA WFID from notice
SUB-SOFTWARESubmitter Software CodeConstantEnter your company data
SUB-COMP-NAMECompany Name receive EFR99ConstantEnter Company name who receives EFR99
SUB-COMP-LOCNCompany Location AddressConstantEnter company’s location address

such as Attention, Suite, Room # etc
SUB-COMP-DELIVCompany Delivery AddressConstantEnter company’s delivery address

such as Street or Post Office Box
SUB-COMP-CITYCompany’s CityConstantEnter company’s city
SUB-COMP-STATECompany’s State AbbrevConstantEnter company’s State Abbreviation
SUB-COMP-ZIPCompany’s ZIP CodeConstantEnter company’s ZIP code
SUB-COMP-ZIP-EXTCompany’s ZIP Code ExtensionConstantEnter company’s ZIP code extension
SUB-COMP-F-STATECompany’s foreign State/provinceConstantEnter company’s foreign State/Province
SUB-COMP-F-POSTCompany’s foreign postal codeConstantEnter company’s foreign postal code
SUB-COMP-COUNTRYCompany’s country if applicableConstantEnter company’s Country if applicable
* SUB-SUBM-NAMESubmitter Organization NameConstantOrganization Name to receive unprocessed data
* SUB-SUBM-LOCNSubmitter Location AddressConstantEnter submitter location address

such as Attention, Suite, Room # etc
* SUB-SUBM-DELIVSubmitter Delivery AddressConstantEnter submitter delivery address

such as Street or Post Office Box
* SUB-SUBM-CITYSubmitter CityConstantEnter submitter city
* SUB-SUBM-STATESubmitter State AbbrevConstantEnter submitter State Abbreviation
* SUB-SUBM-ZIPSubmitter ZIP CodeConstantEnter submitter ZIP code
SUB-SUBM-ZIP-EXTSubmitter ZIP Code ExtensionConstantEnter submitter ZIP code extension
SUB-SUBM-F-STATESubmitter foreign State/provinceConstantEnter submitter foreign State/Province
SUB-SUBM-F-POSTSubmitter foreign postal codeConstantEnter submitter foreign postal code
SUB-SUBM-COUNTRYSubmitter country if applicableConstantEnter submitter Country, if applicable
* SUB-CONT-NAMEContact name for SSAConstantEnter your company data
* SUB-CONT-TELContact telephone # for SSAConstantEnter your company data
SUB-CONT-TEL-EXTContact telephone extensionConstantEnter your company data
* SUB-CONT-EMAILContact e-mail address for SSAConstantEnter your company data
SUB-CONT-FAXContact FAX phone # for SSAConstantEnter your company data
SUB-CONT-METHPreferred Contact methodConstantMUST be BLANK
SUB-PREPARERPreparer CodeConstantEnter your company data
SUB-3RD-PARTY-SICKThird-Party Sick Pay IndicatorConstantEnter your company data
SUB-3RD-PARTY-TAXIncome Tax Withheld by 3rd PartyConstantEnter your company data
ER-AGENT-INDAgent Indicator CodeConstantIf applicable, enter appropriate code
ER-FOR-EINAgent for which EINConstantIf you are an agent, enter the EIN for which you are an agent for
ER-TERM-BUSTerminating business indicatorConstantEnter appropriate code from SSA
ER-ESTABEstablishment NumberConstantFurther identify with EIN
ER-OTHER-EINOther EINConstantOther EIN used
* R99-ER-EINEmployer Identification NumberData Base ColumnDGV.GOVT_REGIST_NUMBER
* R99-ER-NAMEEmployer NameData Base ColumnDED.ENTITY_NAME
R99-ER-LOCN-ADDREmployer Location AddressConstantEmployer’s location address

such as Attention, Suite, Room # etc.
DLN.ADDRESS_LINE_2 or DLN.MAIL_ADDRESS_LINE_2

Enter the word MAIL or blank
To use Primary address, leave this blank
To use Mailing address, enter the word MAIL
System will derive the complete primary or mailing address and store in the Address Identifiers.
R99-ER-DELIV-ADDREmployer Delivery AddressConstantEmployer’s delivery address

such as Street or Post Office Box
DLN.ADDRESS_LINE_1 or DLN.MAIL_ADDRESS_LINE_1

Enter blank, system derived
R99-ER-CITYEmployer CityConstantEmployer’s city
DLN.LOCALITY or DLN.MAIL_LOCALITY

Enter blank, system derived
R99-ER-STATEEmployer State AbbrevConstantEmployer’s State abbreviation
DSP.STATE_PROVINCE_CODE

Enter blank, system derived
R99-ER-ZIPEmployer ZIP CodeConstantEmployer’s ZIP Code
DLN.ZIP_POSTAL or DLN.MAIL_ZIP_POSTAL

Enter blank, system derived
R99-ER-ZIP-EXTEmployer ZIP ExtensionConstantEmployer’s ZIP Code
DLN.ZIP_POSTAL or DLN.MAIL_ZIP_POSTAL

Enter blank, system derived
R99-ER-F-STATEEmployer foreign State/provinceConstantEmployer foreign state/province or Constant

Enter the word NAME or blank
R99-ER-F-POSTALEmployer foreign postal codeConstantEnter Employer foreign postal code or Constant
R99-ER-COUNTRYEmployer country if applicableConstantEnter Employer country

Enter blank, system derived
R99-ER-F-COUNTRYEmployer foreign countryConstantEnter the word NAME, ISO or blank
R99-ER-TAX-JURISTax Jurisdiction CodeConstant Enter appropriate code or null
R99-ER-ACCT-NOAccount NumberConstant, Data Base Column or IDGV variableFor IDGV variable, users can look up the IDGV Field Variable and enter the Account NUmber on IDGV
R99-EE-SSNEmployee Social Security NumberData Base ColumnEID.GOVERNMENT_CODE
R99-EE-FIRST-NAMEEmployee First NameData Base ColumnEID.FIRST_NAME
R99-EE-MIDDLEEmployee Middle NameData Base ColumnEID.MIDDLE_NAME
R99-EE-LAST-NAMEEmployee Last NameData Base ColumnEID.LAST_NAME
R99-EE-SUFFIXEmployee Suffix NameData Base ColumnEID.RANK with derivation expression

Decode(~,’01’,’JR’,’02’,’SR’,NULL)
R99-EE-LOCN-ADDREmployee Location AddressConstantEmployee’s location address

such as Attention, Suite, Room # etc

EPS.ADDRESS_LINE_2
EPS.MAIL_ADDRESS_LINE_2

Enter the word MAIL or blank
To use Primary address, leave this blank.
To use Mailing address, enter the word MAIL.
System will derive the complete primary or mailing address and store in the Address Identifiers.
R99-EE-DELIV-ADDREmployee Delivery AddressConstantEmployee’s delivery address

such as Street or Post Office Box

EPS.ADDRESS_LINE_2 or EPS.MAIL_ADDRESS_LINE_2

Enter blank, system derived
R99-EE-CITYEmployee CityConstantEmployee’s city

EPS.LOCALITY or EPS.MAIL_LOCALITY

Enter blank, system derived
R99-EE-STATEEmployee State AbbrevConstantEmployee’s State abbreviation

DSP.STATE_PROVINCE_CODE

Enter blank, system derived
R99-EE-ZIPEmployee ZIP CodeConstantEmployee’s ZIP Code

EPS.ZIP_POSTAL or EPS.MAIL_ZIP_POSTAL

Enter blank, system derived
R99-EE-ZIP-EXTEmployee ZIP ExtensionConstantEnter employee’s ZIP Code

EPS.ZIP_POSTAL or EPS.MAIL_ZIP_POSTAL

Use derivation expression substr(~,6) for ZIP extension
R99-EE-F-STATEEmployee foreign State/provinceConstantEmployee foreign state/province or Constant

Enter the word NAME or blank
R99-EE-F-POSTALEmployee foreign postal codeConstantEmployee foreign postal code

Enter blank, system derived
R99-EE-COUNTRYEmployee country if applicableConstantEnter Employee country

Enter blank, system derived
R99-EE-F-COUNTRYEmployer foreign countryConstantEnter the word NAME or the word ISO or blank
R99-CONTROL-PRTPrint Control Number on FormConstantNull, 0 – Do not print Control Number on R99 Form
1 - Print Control Number as defined in R99-CONTROL-NUM Identifier
2 - Print Control Number as defined from RPYEU ‘Sort Level By’ prompt
3 - Print R99-CONTROL-NUM Identifier and Person Code
4 - Print ‘Sort Level By’ prompt and Person Code
5 - Print ‘Sort Level By’ prompt and R99-CONTROL-NUM Identifier
6 - Print ‘Sort Level By’ prompt and R99-CONTROL-NUM Identifier and Person Code
R99-CONTROL-NUMControl Number on FormData Base ColumnEnter your company data
R99-DATE-OF-PAYMENTDate of Death Benefit PaidData Base ColumnEID.DATE_OF_PAYMENT.
R99-EXCLUDE-EEExclude EmployeeData Base ColumnEnter your company data
R99-GROSS-DISTRGross DistributionElementF1099R-BOX-01
R99-TAXABLE-AMTTaxable AmountElementF1099R-BOX-02A
R99-TXBL-NOT-DETTaxable Amount Not DeterminedElementF1099R-BOX-02B-1
R99-TXBL-TOT-DISTaxable Amount Total DistributionElementF1099R-BOX-02B-2
R99-CAPITAL-GAINCapital GainElementF1099R-BOX-03
R99-FITFederal Income Tax WithheldElementF1099R-BOX-04
R99-EE-ROTHEmployee Roth ContributionsElementF1099R-BOX-05
R99-NUA-ER-SECNet Unrealized Appreciation ER SecuritiesElementF1099R-BOX-06
R99-DISTR-CODEDistribution Code(s)ConstantEnter your company data
R99-IRA-SEP-SIMPIRA or SEP or SIMPLEElementF1099R-BOX-07
R99-OTHER-DOLOther DollarsElementF1099R-BOX-08
R99-OTHER-PERCOther PercentElementF1099R-BOX-08-1
R99-PERC-DISTRPercentage of Total DistributionElementF1099R-BOX-09A
R99-EE-CONTRTotal Employee ContributionsElementF1099R-BOX-09B
R99-ALLOC-TO-IRRAmount allocable to IRR within 5 yearsPay ComponentF1099R-BOX-10
R99-FATOA

R99-1ST-YR-ROTHFirst Year Roth ContributionsElementF1099R-BOX-ROTH

The values from R99-CODE-1 to R99-CODE-T are for Box 7 Distribution Codes and are for documentation purposes only. There is no need to set these identifiers up.

Field IdentifierDescriptionSuggested Field SourceSuggested Variable
R99-CODE-1Early Distr, no known exceptionsPay ComponentEnter your company data
R99-CODE-2Early Distr, exception appliesPay ComponentEnter your company data
R99-CODE-3DisabilityPay ComponentEnter your company data
R99-CODE-4DeathPay ComponentEnter your company data
R99-CODE-5Prohibited transactionPay ComponentEnter your company data
R99-CODE-6Section 1035 exchangePay ComponentEnter your company data
R99-CODE-7Normal distributionPay ComponentEnter your company data
R99-CODE-8Excess contribution earnings deferrals 2018Pay ComponentEnter your company data
R99-CODE-9Cost current life insurancePay ComponentEnter your company data
R99-CODE-AEligible 10 year tax optionPay ComponentEnter your company data
R99-CODE-BRoth account distributionPay ComponentEnter your company data
R99-CODE-DExcess contribution earnings deferrals 2018Pay ComponentEnter your company data
R99-CODE-EExcess 415 or 403(b)Pay ComponentEnter your company data
R99-CODE-FCharitable gift annuityPay ComponentEnter your company data
R99-CODE-GRollever contributionPay ComponentEnter your company data
R99-CODE-JEarly distribution Roth IRAPay ComponentEnter your company data
R99-CODE-LLoans distribution 72(p)Pay ComponentEnter your company data
R99-CODE-NIRA contributions 2018Pay ComponentEnter your company data
R99-CODE-PExcess contribution earnings 2018Pay ComponentEnter your company data
R99-CODE-QQualified distributions Roth IRAPay ComponentEnter your company data
R99-CODE-RIRA contributions 2018Pay ComponentEnter your company data
R99-CODE-SEarly distribution SIMPLE IRA 2 yrs, no exceptionPay ComponentEnter your company data
R99-CODE-TRoth IRA distributions, exception appliesPay ComponentEnter your company data
R99-CODE-UESOP under section 404(k)Pay ComponentEnter your company data
R99-CODE-WPayments for LT Care InsurancePay ComponentEnter your company data

The values from R99-OTHER-01 to R99-OTHER-20 are for future use. There is no need to set these identifiers up.

Field IdentifierDescriptionSuggested Field SourceSuggested Variable
R99-OTHER-01Your company descriptionPay ComponentEnter your company data
R99-OTHER-nnYour company descriptionPay ComponentEnter your company data
R99-OTHER-20Your company descriptionPay ComponentEnter your company data

Set up the following State/Local Identifiers, if necessary.

R99-STATE-CODEState CodeData Base ColumnDSP.STATE_PROVINCE_CODE
R99-STATE-REGISTState Registration I.D. NoData Base ColumnDGV.GOVT_REGIST_NUMBER
R99-STATE-DIST-HOMEState Distributions (Home State)ElementR99-STATE-DIST-H
R99-STATE-DIST-WORKState Distributions (Work State)ElementR99-STATE-DIST-W
R99-STATE-TAX-HOMEState Income Tax (Home State)ElementR99-STATE-TAX-H
R99-STATE-TAX-WORKState Income Tax (Work State)ElementR99-STATE-TAX-W
R99-CNTY-NAMECounty NameData Base ColumnDCN.COUNTY_NAME
R99-CN-DIST-HOMECounty Distributions (Home County)ElementR99-CNTY-DIST-H
R99-CN-DIST-WORKCounty Distributions (Work cOUNTY)ElementR99-CNTY-DIST-W
R99-CN-TAX-HOMECounty Tax (Home County)ElementR99-CNTY-TAX-H
R99-CN-TAX-WORKCounty Tax (Work County)ElementR99-CNTY-TAX-W
R99-CITY-NAMECity Name Data Base ColumnDTX.JURISDICTION_NAME
R99-CI-DIST-HOMECity Distributions (Home City)ElementR99-CITY-DIST-H
R99-CI-DIST-WORKCity Distributions (Work City)ElementR99-CITY-DIST-W
R99-CI-TAX-HOMECity Tax (Home City)ElementR99-CITY-TAX-H
R99-CI-TAX-WORKCity Tax (Work City)ElementR99-CITY-TAX-W

1099R PROCESSING#

The RP1099RW form print program prints all of the information retrieved from the RPYEU xml file, according to the defined selection criteria.

If an employee has multiple States and Local tax information to be reported, each 1099RW form is printed with 2 States and 2 Locals information until all State and Local information are printed. The Local information printed may not necessarily coincide with the State Information on the same page.

The RP1099RW program generates Summary Totals by each Employer Identification Number and Employment Type. At the end of the RP1099RW run, a Grand Total Summary is generated for all Employers.

Users must run RMEX with the RP1099RW Mex ID to obtain the Summary and Grand totals to balance to the RPYEU Summary report.

The RP1099RW Summary and Grand Totals are accumulated for numeric, alphanumeric or Toggle boxes that are not totaled.

Users should verify the RP1099RW numeric box totals balance to the RPYEU numeric box totals.

The RP1099RW process generates the Summary Totals and Grand Totals for all States and Locals regardless:

The RP1099RW process does not accumulate the State and Local tax totals by each State and each Local. Users should run the RPYEU Summary report to obtain the totals for each State and Local.

If the RP1099RW process cannot select any information from the xml file to print, users must run RMEX with the RP1099RW Mex ID to review any error or exception messages to locate the problem.

1099R Type of Employment#

Government Media File Name#

Example: 1099R_mex_ohio.txt will generate a magnetic media file 1099R_67109_ohio.txt for Execution ID 67109

XML File#

Examples:

RPYEU Trace and Data Dump File#

Exclude Employees#

Then the ‘1099R-EXCLUDE-EE’ Identifier on IDFDV should be set up with:

Election Workers#

Election workers earnings should be reported on the 1099R if:

Election workers earnings should NOT be reported on the 1099R if:

Users can manage this reporting as follows:

  1. Use a separate pay component to record the Election worker earnings. If FICA and Medicare are not calculated for these earnings, users can exclude the election worker earnings by not defining the pay component in the element for each 1099R Box.
  2. If the employee is paid with election earnings and FICA and Medicare tax are withheld, users should determine if the employee should be excluded or not. If an employee is excluded, users can set up a 'STAT CODE' for the ‘1099R-EXCLUDE-EE’ Identifier on IDFDV, to exclude the employee from reporting on the 1099R form.
  3. Users can exclude All Election workers by setting the EASD.ASSIGNMENT_TITLE to‘ELECTION WORKER’, then setting the ‘1099R-EXCLUDE-EE’ Identifier to EASD.ASSIGNMENT_TITLE.

Reissued / Corrected 1099R Form#

If an employee loses their 1099R Form, organizations can reissue the 1099R Form by running RP1099R and selecting the specific employee.

For RP1099R (Oracle version), prior to reissuing the 1099R Forms, users must have the XML file ready for the RP1099R program. The XML file can be from one of the following:

  1. Re-run RPYEU to generate the XML file for the specific employee, OR
  2. Use the archived XML file from the previous RPYEU run and select the employee from the XML file.

For RP1099RW4C/RP1099RW4TB (Windward versions), users must select the GVT Run number that the employee belongs to when RPYEU is run.

  1. Re-run RPYEU to generate a new GVT Run number for the specific employee, OR
  2. Use the existing GVT Run number that the employee's 1099R was originall issued for.

When any 1099R Print Program is run, users should enter the word ‘REISSUED’ or ‘CORRECTED’ in the ‘Reissued/Corrected field’, so the 1099R form will be printed with the defined word.

Void 1099R Form#

The incorrect 1099R should still be filed to the government. High Line does not support the VOID box on the 1099R Form to indicate an error.

RPYEU#

RPYEU Registration Set Up Audit#

When RPYEU is run, users have the option to audit and fix the government registrations set up on IDGV. Users can define the following the Regist/Set Up Audit field to:

OptionDescription
00Do not print, run.
After the Government Registration is audited, do not print all registrations, continue to run RPYEU.
This option suppresses all exception messages to be printed.
01Print, do not run.
After the Government Registration is audited, print all registrations, do not run RPYEU.
This option is used when a user just wants to verify all of the government registration set up prior to running RPYEU. This option allows exception messages to be printed.
02Print and run.
After the Government Registration is audited, print all registrations and continue to run RPYEU.
This should be the default so users can verify all of the government registration set up and run RPYEU. This option allows exception messages to be printed.
03Excp and run.
After the Government Registration is audited, do not print registrations and continue to run RPYEU.
This option allows exception messages to be printed.
This field is validated from the ‘X_PRINT_AND_RUN’ lexicon.

RPYEU Exception Messages#

Negative (credit) amounts are never allowed for 1099R reporting. If negative amounts are encountered, an exception message is printed. Users must resolve the negative amount and the re-run the report until no exceptions are found.

The following set up exception messages are highlighted if one of the ‘Regist/Set Up Audit field' are defined that allows exception messages to be printed (Options 01, 02 and 03 only):

IMUFUser Field 1099R STATE MEDIA FILING is not set up for P2K_CM_GOVT_REGISTRATIONS
IMUFUser Field 1099R TAX TYPE CODE is not set up for P2K_CM_GOVT_REGISTRATIONS
IMUFUser Field 1099R TAXING ENTITY is not set up for P2K_CM_GOVT_REGISTRATIONS
IDGVFederal Registration is not set up for Entity: Entity name
IDGR1099R EMP TYPE is not set up for Entity: entity code, Unit: unit code, Group: group code or Effective date
IDGVState Registration is not set up for State: State name
IDGV VariablesState: State name 1099R STATE MEDIA FILING = xx is invalid, value must be 00,01,02,03
IDGVLocal Registration is not set up for County Tax Jurisdiction: County name
IDGV VariablesCounty: county name 1099R STATE MEDIA FILING = xx is invalid, value must be 00,01,02,03
IDGVLocal Registration is not set up for City Tax Jurisdiction: City name
IDGV VariablesCity: city name 1099R STATE MEDIA FILING = xx is invalid, value must be 00,01,02,03
IDGVSchool Registration is not set up for School: School name
WarningIDFDV Identifier Name is not set up
WarningIDFDV Identifier Name contains CONSTANT


The following exception messages are always printed for an employee: The following exception messages are always printed for an employee:

CodeMessage
Empl nnnInvalid SSN: ssn, SSN must be 11 positions, position 4 and 7 must be a hyphen (-). Users must verify and correct The SSN number, otherwise 1099R form and Magnetic media filing will be incorrect for the employee
Empl nnnTerm date YYYYMMDD is prior to reporting year YYYY. This is a warning that indicates the employee has been terminated in a prior year, but has YTD information for this calendar year
Empl nnnBox 3 999999.99 + Box 7 999999.99 = 999999.99 exceeds Annual Max Wage Base 999999.99. Users must correct either the Box 3 or Box 7 set up. The system does not adjust this number because it does not know if Box 3 or 7 is correct. If this situation is not corrected, the 1099R will be rejected because the government does not allow these wage base to exceed the annual maximum.
Empl nnnEmployee has no Federal Information for Employment Type R, employee is bypassed.
Empl nnnIdentifier Amt 999999.99-, negative amount not allowed, amount changed to 0.00. Uses must review this error and correct the negative amount, otherwise the system will report zero for this field.
Empl nnnIdentifier Amt 999999.9999 exceeds 2 decimals, amount changed to 999999.99. This can cause a rounding error. Users should be review the error to find out why the amount exceeds 2 decimals and correct the data.
Empl nnnIdentifier Amt 999999999.99 exceeds 11 digits, check printed Form and Govt File size. The system highlights the amount that exceeds 11 digits. Users should review the printing of 1099R for this field and the government file to report this amount.
Empl nnnError: RS record posn 999 length = nn only, Field size exceeded for Amt 99999999.99. This Error message is issued when the Length of the Field Size available on the Magnetic Media file is not large enough to hold the amount. The field size is always checked for each numeric field prior to writing the amount on the file
Users MUST correct this error because the report will show ####### in the field and the government will reject the file. Users should not correct the ####### to zero in the file. This will result in incorrect reporting for the 1099R, between the 1099R form print and the 1099R file.

The 1099R form may be large enough to print the field size while the magnetic media reporting could not report this large amount.
Users must find out if incorrect data is the cause of the problem, or contact High Line for support.

RPYEU Summary Report Level#

There are five levels of reporting for RPYEU Summary Report: Each level of print can be suppressed by selecting the options from the RPYEU run. However, the Federal level grand total report is always printed to capture all statistics of the RPYEU run.

The Federal level print is reported and sorted by employees and has all levels of details for an employee. The State, County, City and School District levels are reported and sorted by State, County, City and School District.

Users can suppress the printing of ‘Set Up Exceptions’ for IDFDV, IDGV, etc., however, the employee level of exception are always printed, to show error or warning messages for an employee.

RPYEU Trace Level#

Users should always run RPYEU with the Tracel Level set to 'Exceptions Only' for all employees.

If there is problem in RPYEU, users should run RPYEU with the Trace Level set to Program Trace. This will print a list of processed employees to determine which employee has the problem.

When the Trace Level is set to Program Trace, the Select Statements for Federal, State and Local levels are also written as Trace messages. Users can review the Select statements by running RMEX for the RPYEU Execution ID.

After determining which employee has the problem, users should run RPYEU for the specific employee with the Trace Level set to Utility Trace to review and determine the problem in detail.

RPYEU Sort Levels#

There are three options to sort employees in RPYEU for distribution of the 1099R Forms:

1. Sort Level By
The lexicon X_1099R_SORT_LEVEL is used for this prompt.

Options are:



2. Sort by Active/Inactive
This prompt is useful for sorting Terminated employees from Active employees for distribution purposes.
The lexicon X_1099R_SORT_ACTIVE is used for this prompt.
The options are:


Example for 01-Before Sort Level
Department A has 2 terminated employees (A1, A2) and 3 active employees (A3, A4, A5)
Department B has 2 terminated employees (B1, B3) and 3 active employees (B3, B4, B5)

RPYEU will sort in this order:

Department AStatus: InactiveEmployee A1
Employee A2
Department BStatus: InactiveEmployee B1
Employee B2
Department AStatus: ActiveEmployee A3
Employee A4
Employee A5
Department BStatus: ActiveEmployee B3
Employee B4
Employee B5
All Inactive employees are grouped together, by Department (Sort Level), followed by all Active employees.

Example for 02-After Sort Level
Department A has 2 terminated employees (A1, A2) and 3 active employees (A3, A4, A5)
Department B has 2 terminated employees (B1, B3) and 3 active employees (B3, B4, B5)

RPYEU will sort in this order:

Department AStatus: InactiveEmployee A1
Employee A2
Status: ActiveEmployee A3
Employee A4
Employee A5
Department BStatus: InactiveEmployee B1
Employee B2
Status: ActiveEmployee B3
Employee B4
Employee B5
Inactive employees are grouped together, within each Department (Sort Level), followed by all Active employees in the same department.

3. Sort Employees By
The lexicon X_1099R_SORT_PERSON is used for this prompt.
This prompt will sort within the ‘Sort Level By’ and ‘Sort by Active / Inactive’ fields. The options are:

RPYEU Sort by Zip – Mailing 1099R at discount rate#

For organizations who are mailing a large volume of the 1099R forms to their employees, arrangements can be made with the US Post Office to mail the 1099R forms at a discounted postal rate if the 1099R forms are sorted by ZIP code.

To mail 1099R forms at a discounted rate, when RPYEU is run, users should select to Sort Employees By:

If the IEPI Mailing Address does not exist, the IEPI Primary Address will be used.

The RPYEU report prints the employees by ZIP code sequence and prints the ZIP codes on the Employee’s line.

The RP1099R (Oracle Version only) print program reads from the xml file and prints records in the sequence as sorted by RPYEU. If the RP1099RW4C/RP1099RW4TB (Windward Version only) print program is used, the print program reads the IPGH ID Sequence that has been sorted by the RPYEU process.

NOTE: When using the option to sort by ZIP code, the employees are sorted in ZIP order and not by Last/First name or Person code sequence. This can make it difficult to locate a specific employee.

For auditing and balancing purposes, it is recommended that RPYEU should be run with the Sort Employee By parameter set to either Person Code or Dept/Last/First. This will generate the government file, to balance to the RPREGT, and submit to the government.

Prior to printing the 1099R forms through the 1099R Print Form programs, users should re-run the RPYEU with the Sort Employee By parameter set to either Mailing ZIP/Last/First or Primary ZIP/Last/First to generate the xml file to sort by ZIP code. Users should also verify that this RPYEU run report balances to the RPYEU report from the prior run, to ensure the totals match. Users can then run 1099R Print Form programs to print the 1099R forms.

After the 1099R Print Form program is run, users should save the RPYEU xml file for backup or auditing purposes. If a user needs to reference the order of 1099R printing, users can re-run RPYEU with the Sort Employee By parameter set to either Person Code or Dept/Last/First to generate the government file sequence to be kept on the IPGR / IPGH form for balancing to the government file.

RPYEU Combined Employment Type#

The EF1099R media file Code RE Employer record requires to report one of the following types of employment:

The Employment Code is retrieved from the ‘1099R Employment Type’ parameter on IDGR or from the employee’s FICA and Medicare method defined on IPRLU.

Otherwise, the 1099R Type of Employment is derived from the ‘1099R Employment Type’ field on IDGR.

1099R Form Control Number Print#

On the 1099R Form, 2-on-1-page, Box D, users can print the Control Number on the form for reference or distribution purpose, such as a Person Code. Users must set up the following Identifiers on the IDFDV form:

Seq 2800 1099R-CONTROL-PRT
Print Control Number on Form
Form Code: Use current year's form code
Identifier: 1099R-CONTROL-PRINT
Level: Federal
O/R: CONTROL NUM PRT
Source: Constant
Field Variable Options:


Seq 2810 1099R-CONTROL-NUM
Control Number on Form
Form Code: Use current year's form code
Identifier: 1099R-CONTROL-NUM
Level: Federal
O/R: CONTROL NUMBER
Source: Data Base Column
Field Vaiable Option: Enter your company data, such as 'EID.PERSON_CODE’, or ‘DLN.LOCALITY’, or ‘PPA.PAYROLL_CODE’ etc.

If Seq # 2810 1099R-CONTROL-NUM defines a data base column, such as PPA.PAYROLL_CODE, and:

the YTD values will be accumulated together, and 1099R Form Box D Control Number will be printed with one PAYROLL_CODE only, usually the PAYROLL_CODE with the name that is sorted last.

Example:
Employee is paid by PAYROLL_CODE: US CENTRAL BW
Employee is also paid by PAYROLL_CODE: US WEST BW

Then ‘US WEST BW’ code will be printed.

RPREGT - Pay Totals Register#

Run the To Date Register (RPREGT) to create the summary register of YTD totals for employees.

Users can run RPREGT for a group, unit, department, etc., or for a list of employees using the People List Code parameter.

Create an element on the IPPE form with only the pay components that will be reported on the 1099RW form. This will greatly reduce the size of the Year-to-Date Register.

If an employee worked in two different jurisdictions, there will be one register for each jurisdiction. Consequently, the employee will receive a separate 1099RW form for each jurisdiction.

For auditing purposes, (comparing RPREGT TO RPYEU) users should define the Provide Totals By field as Fed Regist Number when RPREGT is run.

RPYEU – US Year End Summary Report#

The US Year End Summary Report (RPYEU) is used to verify that the totals are balanced with the Year to Date information before printing the W2 forms. Produce the US Year End Summary Report.

RPYEU Report Selection Criteria#

Report Parameters

ParameterDescription
Annual Form CodeMandatory.
Form Code that is defined on the IDFDV form.
NOTE: Always use the current year form code. DO NOT use a prior year form code as the Identifiers may be obsolete.
Quarterly Form CodeBlank for Annual Reporting. Defines the quarterly form code for the report. Optional
Govt Interface FormatBlank for Annual Reporting. Defines the government interface format for the report. Optional
Period TypeMandatory. Defines the period type. Enter "Year" for Annual reporting and "Quarter for quarterly reporting.
Period End DateMandatory. Defines the end date of the reporting period.
As of DateMandatory. Defines the start date of the reporting period.
Combine Employment TypeDefines if the employees on the report should be sorted by their Employment Type Set this field to YES to combine Regular and Other Types of Employment, such as Agriculture. Optional.

This parameter is used mostly for State filing so an employee is reported only once for a State, even if they have been paid by multiple Federal Registrations. Therefore, when this field is set to YES, RPYEU will not store the Federal Level amounts on the IPGH form because the Federal Registration Numbers are combined and will not be linked to a specific Federal Registration Number.

A warning message is issued when this field is set to YES: *** WARNING: Combine Fed Regist = Yes, IPGR Federal Amounts and Employee Remittance Header are not added by Federal Registration Number.
Combine Fed RegistDefines if all of the selected 'Federal Regist' for State/Local Reporting should be combined. Set this field to YES to combine all 'Federal Regist' for State/Local reporting. Optional
Media FormatDefines the Federal file format for SSA reporting. Optional
Directory Name Mandatory. Defines the name of the government Magnetic Media file.
Media File NameMandatory. Defines the media file name of the data being uploaded.
Create Data Dump Defines if a data dump file with the extension of .csv should be generated. Optional
Trace LevelDefines the tracing level (report messages) for the report. Optional. Users should always run RPYEU with the Trace Level set to 'Exceptions Only' for all employees, unless required for tracing.
Regist/Set Up AuditOption to print exceptions that may exist from set up. Optional. Options are:
00-Do not print, run
01-Print, do not run
02-Print and run
03-Excp and run
User CommentsEnter a comment to print on the header of the report. Optional

Report Filters

FilterDescription
EntityTo define and report on a specific Entity. Optional
Federal Regist SetTo define and report on a specific Federal Registration Set, on IDGV. Optional
Federal Regist TypeTo define and report on a specific Federal Registration type, defined on IDGV. Optional
Federal Regist NumberDefines the Employer Identification Number, on IDGV. Optional
People ListThis field limits the process to the people in the defined list. Optional
PersonEnter the Person Code of the employee you are tesating with. Optional
Select StateDefines a State to report on. Optional. Do not enter a State when generating the Federal File or W2 forms. If a State is selected, the process will report on the defined State only.
State Regist SetTo define and report on a specific State Registration set, on IDGV. Optional. This field is not required for Annual reporting.
State Regist TypeTo define and report on a specific State Registration type, defined on IDGV. Optional
State Regist NumberUsed only for Quarterly State filing. Is a State is not entered, then the Federal Regist Number on IDGV is used. Optional
Local Regist SetTo define and report on a specific Local Registration set. Optional
Local Regist SetTo define and report on a specific Local Registration type, defined on IDGV. Optional
Local Regist NumberTo define and report on a specific Local Registration set. Optional
Select CountyTo define and report on a specific County. Optional
Select CityTo define and report on a specific City. Optional
Select SchoolTo define and report on a specific School District. Optional

1099R Form Box Descriptions#

Users should read the following form descriptions and refer to the IRS 2018 instructions for Forms 1099R and 5498 prior to setting up the IDFDV form.
https://www.irs.gov/pub/irs-pdf/i1099R.pdf

2018 1099R format for reporting in 2019#

BoxTitleDescription
1Gross DistributionEnter the total amount of the distribution before income tax or other deductions were withheld
2aTaxable AmountEnter the taxable amount
2bTotal DistributionEnter an “X” in this box only if the payment shown in box 1 is a total distribution
2bTaxable Amount Not DeterminedEnter an “X” in this box if you are unable to reasonably obtain the data needed to compute the taxable amount.
3Capital Gain (Included in Box 2a)Report any amount that is taxable as a capital gain
4Federal Income Tax WithheldEnter any federal income tax withheld
5Employee Contributions/ Designated Roth Contributions or Insurance PremiumsEnter the employee's contributions
6Net Unrealized Appreciation (NUA) in Employer's SecuritiesUse this box if a distribution from a qualified plan (except a qualified distribution from a designated Roth account) includes securities of the employer corporation
7Distribution Code(s)Enter an “X” in the IRA/SEP/SIMPLE checkbox if the distribution is from a traditional IRA, SEP IRA, or SIMPLE IRA. Do not check the box for a distribution from a Roth IRA or for an IRA recharacterization
8OtherEnter the current actuarial value of an annuity contract that is part of a lump-sum distribution.
9Your Percentage of Total DistributionIf this is a total distribution and it is made to more than one person, enter the percentage received by the person whose name appears on Form 1099-R.
9bTotal Employee ContributionsYou are not required to enter the total employee contributions or designated Roth contributions in box 9b
10Amount Allocable to IRR Within 5 YearsEnter the amount of the distribution allocable to an IRR made within the 5-year period, beginning with the first day of the year in which the rollover was made.
111st Year of Designated Roth ContributionsEnter the first year of the 5-tax-year period
12-17State and Local InformationThese boxes and Copies 1 and 2 are provided for your convenience only and do not need to be completed for the IRS. Use the state and local information boxes to report distributions and taxes for up to two states or localities.
FATCA Filing RequirementCheck the box if you are an FFI reporting a cash value insurance contract or annuity contract that is a U.S. account in a manner similar to that required under section 6047(d).
Account NumberThe account number is required if you have multiple accounts for a recipient for whom you are filing more than one Form 1099-R.
Date of PaymentEnter the date payment was made for reportable death benefits.

RP1099RW Form Print Program #

The US 1099R Forms (RP1099RW) report will print a list of 1099R forms.

The RP1099RW program currently supports the 2 on-a-page format.

Report Parameters
EE/ER CopyOptional. Defines if the Employee ot Employer copy of 1099 will be printed. Options are:
*01 - Employer Copy
*02 - Employee Copy
Corrected ToggleOptional. When this toggle is set to ON, an “X” will be printed in the Corrected box (top of form).
Reissued/CorrectedOptional. Defines if the 1099RW is being reissued for an employee.
If an employee has lost their 1099RW form and have requested a replacement copy, users should run the RP1099RW process and define the Person Code for the specific employee.
*Enter the word REISSUED in this field for re-issued 1099RW forms.
*Enter the word CORRECTED in this field for corrected 1099RW forms. Users can enter a date in this field to indicate the Date of the Corrected copy (if an employee has more than one corrected copy).
The exact wording in this field will be printed on the top of the 1099RW form.
Exception LevelOptional. Defines the level of detail on the exception report. Users should always run with the Exception Level set to Exception Only for all employees, unless it is being used for debugging.
Trial Print OnlyDefines if the Print Stage field on the IPGH form will be updated when the 1099s are printed.
When set to YES, the field will not updated.
When set to NO, the Print Stage will be changed to Forms Printed
User CommentOptional, Text
This field holds the user-supplied comment which will appear in the header of all pages of the report.

Report Filters
GVT RunMandatory. This field defines the GVT Run number to be used to read, extract the data from and produce the 1099R forms.
StateOptional. If used, only one State can be entered.
This field should not be defined when users are printing the Employee Copy. Employees MUST have all of the States printed on their 1099 forms.

When printing the Employer copy, users can define to print by State to file the 1099RW paper copy to the State.
PersonOptional. Users can enter one or more person codes to report on.