Fusion Phoenix Year End Table Mapping

Fusion Phoenix

Year End Table Mapping

November 2020

Copyright © 2020 Finastra International Limited, or a member of the Finastra group of companies (“Finastra”). All Rights Reserved. Confidential: Limited Distribution to Authorized Persons Only, pursuant to the terms of the license agreement by which you were granted a license from Finastra for the applicable software or services and this documentation. Republication or redistribution, in whole or in part, of the content of this documentation or any other materials made available by Finastra is prohibited without the prior written consent of Finastra. The software and documentation are protected as unpublished work and constitute a trade secret of Finastra International Limited, or a member of the Finastra group of companies, Head Office: 4 Kingdom Street, Paddington, London W2 6BD, United Kingdom.

Trademarks Finastra, Fusion Phoenix, and their respective sub-brands, and the logos used with some of these marks, are trademarks or registered trademarks of Finastra International Limited, or a member of the Finastra group of companies (“Finastra”) in various countries around the world. All other brand and product names are trademarks, registered trademarks, or service marks of their respective owners, companies, or organizations, may be registered, and should be treated appropriately.

Disclaimer Finastra does not guarantee that any information contained herein is and will remain accurate or that use of the information will ensure correct and faultless operation of the relevant software, services or equipment. This document contains information proprietary to Finastra. Finastra does not undertake mathematical research but only applies mathematical models recognized within the financial industry. Finastra does not guarantee the intrinsic theoretical validity of the calculation models used.

Finastra, its agents, and employees shall not be held liable to or through any user for any loss or damage whatsoever resulting from reliance on the information contained herein or related thereto. The information contained in this document and the general guidance of Finastra staff does not take the place of qualified compliance personnel or legal counsel within your institution. FINASTRA CANNOT RENDER LEGAL, ACCOUNTING OR OTHER PROFESSIONAL SERVICES TO YOUR INSTITUTION. THE INFORMATION CONTAINED HEREIN IS GENERAL IN NATURE AND DOES NOT CONSTITUTE LEGAL ADVICE OR A LEGAL OPINION. CONSULT YOUR LEGAL COUNSEL FOR LEGAL ADVICE SPECIFIC TO YOUR SITUATION OR CIRCUMSTANCES OR TO ANSWER ANY LEGAL QUESTIONS.

This document is not intended as a substitute for formal education in the regulatory requirements of banking, banking operations, lending, lending operations, or other topics generally applicable to financial institutions. Your financial institution is solely responsible for configuring and using the software or services in a way that meets policies, practices, and laws applicable to your institution, including, without limitation: (1) options and selections made on prompts; (2) entries in the software program; (3) program setup; and (4) documents produced by the software or services. It is the obligation of the customer to ensure that responsible decisions are taken when using Finastra products. Information in this document is subject to change without notice and does not represent a commitment on the part of Finastra.

Feedback Do you have comments about our guides and online help? Please address any comments and questions to your local Finastra representative.

Need more information? Read more about our products at http://www.finastra.com or contact your local Finastra office at http://www.finastra.com/contact.

Printed to PDF on 11/24/2020.

http://www.finastra.com/

http://www.finastra.com/contact

© Finastra | Fusion Phoenix | Year End Table Mapping i

CONTENTS OVERVIEW ________________________________________________________________ 1

DEPOSIT ACCOUNT YEAR-END TABLES _______________________________________ 2

1099-INT - Interest Paid/Bond Interest Paid 2

Selection Criteria 3

Task Information 4

Table Mapping [Payer] 4

Table Mapping [Recipient] 5

1099-OID - Interest Earned (Deposit) 11


Task Information 12



1042-S - Interest Paid/Bond Interest Paid 19


Task Information 22

Table Mapping [Withholding Agent Information] 22


RETIREMENT PLAN YEAR-END TABLES _______________________________________ 33

1099-R - Retirement Plan Distributions 33


Task Information 34



1099-SA - Retirement Plan Distributions 43


Task Information 44

Table Mapping [Trustee] 44


1099-Q - ESA Retirement Plan Distributions 51


Task Information 51

© Finastra | Fusion Phoenix | Year End Table Mapping ii



5498 - Retirement Plan Summary 56

Selection Criteria for Address 56

Selection Criteria for Accounts 59

Task Information 62


Table Mapping [Participant] 64

5498-SA - Retirement Plan Summary 74


Task Information 74



5498-ESA - Retirement Plan Summary 80


Task Information 81



LOAN ACCOUNT YEAR-END TABLES _________________________________________ 86

1098 - All Accounts 86


Task Information 88

Table Mapping [Borrower] 88


1098-E - All Accounts 97


Task Information 98


Table Mapping [Participent] 100

1099-A - Secured Property 104


Task Information 105

Table Mapping [Lender] 105

© Finastra | Fusion Phoenix | Year End Table Mapping iii

Table Mapping [Borrower] 106

1099-C - Cancellation of Debt 110



Table Mapping [Creditor] 111

Table Mapping [Debtor] 112

1099-MISC - Miscellaneous Income 116





FINASTRA SUPPORT______________________________________________________ 122

© Finastra | Fusion Phoenix | IRS Tables 1

Overview Fusion Phoenix provides all standard year-end processing functions, including general ledger closeout and tax reporting, for the accounts processed in Fusion Phoenix.

The year-end process occurs in the following stages:

1. First nightly process to the close of the current business day. The fiscal year-end closeout executes during this nightly process with fiscal years ending 12/31 and populate the IRS Tables.

2. The year-end process runs.

3. Second nightly process runs to prepare for the next processing date.

4. In-house printing of year-end customer/member tax statements.

5. Outsourced printing and mailing of year-end customer/member tax statements through Finastra.

Note: Clients using Finastra to print and mail tax statements must now generate a standard FIRE file format. This change by our print partner to use the FIRE file format may result in additional mailing envelopes and postage expense.


Deposit Account Year-End Tables • 1099-INT - Interest Paid/Bond Interest Paid • 1099-OID - Interest Earned (Deposit) • 1042-S - Interest Paid/Bond Interest Paid

1099-INT - Interest Paid/Bond Interest Paid The 1099int task generates all the information required to produce IRS form 1099-INT. The file contains the following information for each interest bearing, non-retirement deposit account and escrow account that received interest during the current tax year, and for each customer/member that redeemed savings bonds or I bonds.

Report when:

• Pay at least $10.00 in interest, or bond interest (Below Minimum defined in System Administration). • Any withholding regardless on interest paid. • Any foreign tax paid or withheld. • Exclude OID interest and report on 1099-OID.

Exceptions:

• Corporations (not supported by Fusion Phoenix) • Tax-exempt Organizations (not supported by Fusion Phoenix) • Retirement Plans • US Agency (not supported by Fusion Phoenix) • US state (not supported by Fusion Phoenix) • District of Columbia • US possession (not supported by Fusion Phoenix) • Registered securities or commodities dealer (not supported by Fusion Phoenix)


Selection Criteria For Deposit Accounts

RM_ACCT.tin_format = E (EIN), A (ATIN), C (Custom), or X (Tax Exempt), or (S with W8 Not Selected (null/N) ) and RM_ACCT.tin_cert = ‘Y’ or ‘N’ and DP_ACCT.ira = ‘N’ and DP_ACCT.oid = ‘N’ and DP_ACCT.third_party_irs_int = ‘N’ and DP_ACCT_INT_OPT.int_ytd > 0 or DP_ACCT_INT_OPT.backup_wh_ytd > 0 or DP_ACCT_INT_OPT.fed_int_wh_ytd > 0 or DP_DISPLAY2.bonus_pd_ytd > 0 RM_ACCT.tin_format = X and RM_ACCT.tin_cert = ‘N’ and DP_ACCT.ira = ‘N’ and DP_ACCT.oid = ‘N’ and DP_ACCT.third_party_irs_int = ‘N’ and DP_ACCT_INT_OPT.int_ytd > 0 or DP_ACCT_INT_OPT.backup_wh_ytd > 0 or DP_ACCT_INT_OPT.fed_int_wh_ytd > 0 or DP_DISPLAY2.bonus_pd_ytd > 0 RM_ACCT.tin_format = X and RM_ACCT.tin_cert = ‘Y’ and DP_ACCT.ira = ‘N’ and DP_ACCT.oid = ‘N’ and DP_ACCT.third_party_irs_int = ‘N’ and DP_ACCT_INT_OPT.backup_wh_ytd > 0 or DP_ACCT_INT_OPT.fed_int_wh_ytd > 0

For Loan Accounts

RM_ACCT.tin_format = E (EIN), A (ATIN), C (Custom) or X (Tax Exempt) or (S with W8 Not Selected (null/N) ) and RM_ACCT.tin_cert = ‘Y’ or ‘N’ and LN_ESCROW.cr_int_pd_ytd > 0 or LN_ESCROW.int_wh_ytd > 0 RM_ACCT.tin_format = X and RM_ACCT.tin_cert = ‘N’ and LN_ESCROW.cr_int_pd_ytd > 0 or LN_ESCROW.int_wh_ytd > 0


RM_ACCT.tin_format = X and RM_ACCT.tin_cert = ‘Y’ and LN_ESCROW.int_wh_ytd > 0

For Bond Interest

RM_ACCT.tin_format = E (EIN), A (ATIN), C (Custom) or X (Tax Exempt) or (S with W8 Not Selected (null/N) ) and RM_ACCT.tin_cert = ‘Y’ or ‘N’ and RM_DISPLAY.bond_int_pd_ytd > 0 or RM_DISPLAY.ibond_int_pd_ytd > 0 RM_ACCT.tin_format = X and RM_ACCT.tin_cert = ‘N’ and RM_DISPLAY.bond_int_pd_ytd > 0 or RM_DISPLAY.ibond_int_pd_ytd > 0

Task Information

Form Description Task Task_id Stored Proc

1099-INT Interest Income 1099-INT System Generation 591 psp_irs_1099int

Table Mapping [Payer]

Field Name Data Type ad_irs_filer

Federal Tax ID Char (11) ad_irs_filer.federal_tax_id

Name 1 Char (40) ad_irs_filer.payer_name_1


Address Char (40) ad_irs_filer.payer_address

City Char (40) ad_irs_filer.city

State Char (2) ad_irs_filer.state

Zip Char (10) ad_irs_filer.zip


Table Mapping [Recipient]

Field Name Box Nbr Data Type Source Data during Task Generation irs_1099int irs_recipient

Tax Year 20XX Int (4) irs_1099int.tax_year

TIN Type Char (1) irs_1099int.tin_type

Federal Tax ID Recipient ID

Varchar (15) RM _ACCT.tin irs_1099int.tin

If irs_1099int.rim_no IS NULL irs_recipient.tin

Name 1 Recipient Name1

Char (40) If RM_ACCT.rim_type = Personal RM_ACCT.last_name RM_ACCT.suffix ‘,’ RM_ACCT.first_name RM_ACCT.middle_initial If RM_ACCT.rim_type = NonPersonal RM_ACCT.last_name RM_ACCT.first_name

If irs_1099int.rim_no IS NULL irs_recipient.Name_1

Name 2 Recipient Name 2

Char (40) Note: Only 5498 type exports Name 2. If RM_ACCT.rim_type = Personal As Bene of RM_ACCT.last_name RM_ACCT.suffix ‘,’ RM_ACCT.first_name RM_ACCT.middle_initial If RM_ACCT.rim_type=NonPersonal As Bene of RM_ACCT.last_name RM_ACCT.first_name


Street 1 Address Char (40) If RM_ADDRESS.international=N If RM_ADDRESS.address_line_3 is NULL Select RM_ADDRESS.address_line_1 Else If RM_ADDRESS.address_line_3 is Not NULL Select RM_ADDRESS.address_line_2 If RM_ADDRESS.international =Y Select RM_ADDRESS.address_line_1

If irs_1099int.rim_no IS NULL irs_recipient.Address_line_1

Street 2 Address Char (40) If RM_ADDRESS.international=N If RM_ADDRESS.address_line_3 is NULL Select RM_ADDRESS.address_line_2 Else



Field Name Box Nbr Data Type Source Data during Task Generation irs_1099int irs_recipient If RM_ADDRESS.address_line_3 is Not NULL Select RM_ADDRESS.address_line_3 If RM_ADDRESS.international =Y If RM_ADDRESS.address_line_3 is Not NULL Select RM_ADDRESS.address_line_2 Else blank

Street 3 Address Char (40) If irs_1099int.rim_no IS NULL Irs_recipient.Address_line_3

US/Foreign City Address Char (25) If RM_ADDRESS.international=N RM_ADDRESS.city (25) If RM_ADDRESS.international =Y ‘1’ then ‘RM_ADDRESS.city’ Note: No spaces between 1 and city

If irs_1099int.rim_no IS NULL irs_recipient.city

US State Address Char (2) If RM_ADDRESS.international=N RM_ADDRESS.state (5) Else blank

If irs_1099int.rim_no IS NULL irs_recipient.state

US ZIP Address Char(9) If RM_ADDRESS.international=N RM_ADDRESS.zip (10) strip out ‘-‘ Else blank

If irs_1099int.rim_no IS NULL irs_recipient.zip

Foreign State/Province

Address Char (2) If RM_ADDRESS.international= Y RM_ADDRESS.state (5) Else blank

If irs_recipient.international= Y irs_recipient.state Else blank

Foreign Postal Code

Address Char (9) If RM_ADDRESS.international= Y RM_ADDRESS.zip (10) Else blank

If irs_recipient.international= Y irs_recipient.zip Else blank

Foreign Country Address Char (25) If RM_ADDRESS.international= Y AD_GB_COUNTRY.description (25)

If irs_recipient.international= Y irs_recipient.country_code (2)


Field Name Box Nbr Data Type Source Data during Task Generation irs_1099int irs_recipient Where RM_ADDRESS.country_code = AD_GB_COUNTRY.country_code Else blank

Else blank

Account # Account Nbr

Char (20) DP_DISPLAY.acct_type DP_DISPLAY.acct_no or RM_ACCT.rim_no or LN_ESCROW.acct_type LN_ESCROW.acct_no

irs_1099int.acct_type + irs_1099int.acct_no

Interest Income

1 Decimal (9) DP_ACCT_INT_OPT.int_ytd + DP_DISPLAY2.bonus_pd_ytd or LN_ESCROW.cr_int_pd_ytd

irs_1099int.int_income

Early Withdrawal Pnlty

2 Decimal (9) DP_DISPLAY.pen_amt_ytd irs_1099int.early_withdrawal_penalty

Interest on US Savings Bonds & Treas. Obligations

3 Decimal (9) RM_DISPLAY.bond_int_pd_ytd + RM_DISPLAY.ibond_int_pd_ytd

irs_1099int.bond_int

Fed Income Tax Withhld

4 Decimal (9) DP_ACCT_INT_OPT.fed_int_wh_ytd or LN_ESCROW.int_wh_ytd

irs_1099int.fed_income_tax_whld

Investment Expense

5 Decimal (9) N/A irs_1099int.investment_expense

Foreign Tax Paid

6 Decimal (9) N/A irs_1099int.foreign_tax_paid



Foreign Country or U.S. Possession

7 Char (40) N/A irs_1099int.foreign_country_name

Tax-Exempt Interest

8 Decimal (9) N/A irs_1099int.tax_exmpt_int

Specific Private Activity Bond Interest

9 Decimal (9) N/A irs_1099int.bond_int_priv_actvty

Market Discount 10 Decimal (9) N/A irs_1099int.market_discount

Bond Premium 11 Decimal (9) N/A irs_1099int.bond_premium

Bond Premium on Treasury Obligations

12 Decimal (9) N/A irs_1099int.bond_prem_tres_oblg

Bond Premium on Tax-Exempt Bond

13 Decimal (9) N/A irs_1099int.bond_prm_tax_exmpt

Tax-Exempt and Tax Credit Bond CUSIP No.

14 Varchar (13) N/A irs_1099int.cusip_no



State 15 Varchar (30) If DP_ACCT_INT_OPT.state_int_wh_ytd > 0.00 populate RM_ADDRESS.state If more than 1 address exists where RM_ADDRESS.addr_of_residence=Y Order by RM_ADDRESS.addr_id and select RM_ADDRESS.state from the lowest RM_ADDRESS.addr_id Or if no address exists where RM_ADDRESS.addr_of_residence = Y select RM_ADDRESS.state where GB_ACCT_NOT_ADDR.rpt_id=-101 And GB_ACCT_NOT_ADDR.addr_id = RM_ADDRESS.addr_id And RM_ADDRESS.status not= Closed If GB_ACCT_NOT_ADDR.rpt_id = -101 does not exist Then select RM_ADDRESS.state where GB_ACCT_NOT_ADDR.rpt_id = -100 And GB_ACCT_NOT_ADDR.addr_id = RM_ADDRESS.addr_id And RM_ADDRESS.status not= Closed If RM_ADDRESS.status = Closed Where GB_ACCT_NOT_ADDR.addr_id = RM_ADDRESS.addr_id Then select RM_ADDRESS.state Where RM_ADDRESS.addr_id= 1 Modified 10/09/2012 CR 19572 Add criteria for updating psp_ye_rim and address for state

irs_1099int.state

State Identification No.

16 Char (2) N/A irs_1099int.state_code



State Income Tax Withheld

17 Decimal (9) DP_ACCT_INT_OPT.state_int_wh_ytd irs_1099int.state_income_tax_whld

FATCA Filing Requirement

Char (1) irs_1099int.fatca_req

2nd TIN Notice Char (1) irs_1099int.second_tin_notice

Filing Status Varchar (25) irs_1099int.filing_status


1099-OID - Interest Earned (Deposit) The 1099oid task generates all the information required to produce Form 1099-OID. The file contains the following information for each interest-bearing time-deposit account that has the OID check box selected, and that accrued interest in the current tax year.

Report when:

• Pay at least $10.00 in interest, or bond interest (Below Minimum can be configured by the FI in Phoenix System Admin). • Any withholding regardless on interest accrued. • Any foreign tax paid or withheld.

Exceptions:

• Corporations (not supported by Fusion Phoenix) • Tax-exempt organizations (not supported by Fusion Phoenix) • Retirement Plans • US Agency (not supported by Fusion Phoenix) • US state (not supported by Fusion Phoenix) • District of Columbia (not supported by Fusion Phoenix) • US possession (not supported by Fusion Phoenix) • Registered securities or commodities dealer (not supported by Fusion Phoenix)

Selection Criteria RM_ACCT.tin_format = E (EIN), A (ATIN), C (Custom), or X (Tax Exempt), or (S with W8 Not Selected (null/N) )

and RM_ACCT.tin_cert = (‘Y’ or ‘N’ ) and DP_ACCT.ira = ‘N’ and DP_ACCT.oid = ‘Y’ and DP_ACCT.third_party_irs_int = ‘N’ and DP_DISPLAY.accr_cr_int_ytd > 0 or DP_ACCT_INT_OPT.backup_wh_ytd > 0 or DP_ACCT_INT_OPT.fed_int_wh_ytd > 0 or DP_DISPLAY2.bonus_pd_ytd > 0 or DP_ACCT_INT_OPT.int_ytd > 0 RM_ACCT.tin_format = X and RM_ACCT.tin_cert = ‘N’ and DP_ACCT.ira = ‘N’ and DP_ACCT.oid = ‘Y’


and DP_ACCT.third_party_irs_int = ‘N’ and DP_DISPLAY.accr_cr_int_ytd > 0 or DP_ACCT_INT_OPT.backup_wh_ytd > 0 or DP_ACCT_INT_OPT.fed_int_wh_ytd > 0 or DP_DISPLAY2.bonus_pd_ytd > 0 or DP_ACCT_INT_OPT.int_ytd > 0 RM_ACCT.tin_format = X and RM_ACCT.tin_cert = ‘Y’ and DP_ACCT.ira = ‘N’ and DP_ACCT.oid = ‘Y’ and DP_ACCT.third_party_irs_int = ‘N’ and DP_ACCT_INT_OPT.backup_wh_ytd > 0 or DP_ACCT_INT_OPT.fed_int_wh_ytd > 0 or DP_ACCT_INT_OPT.int_ytd > 0 AD_RM_CONTROL.irs_1042s_reporting = ‘Canadians Only’ and RM_ACCT.w8_cert = (‘Y’ or ‘N’) and RM_ACCT.w8_country_code != CA and DP_ACCT.ira = ‘N’ and DP_ACCT.oid = ‘Y’ and DP_ACCT.third_party_irs_int = ‘N’ and DP_DISPLAY.accr_cr_int_ytd > 0 or DP_ACCT_INT_OPT.backup_wh_ytd > 0 or DP_ACCT_INT_OPT.fed_int_wh_ytd > 0 or DP_DISPLAY2.bonus_pd_ytd > 0 or DP_ACCT_INT_OPT.int_ytd > 0

Task Information


1099-OID Original Issue Discount

1099-OID System Generation

592 psp_irs_1099oid













Field Name Box Nbr Data Type Source Data during Task Generation irs_1099oid irs_recipient

Tax Year 20XX

Int (4) Irs_1099oid.tax_year

TIN Type Char (1) irs_1099oid.tin_type

Federal Tax ID

Recipient ID

Varchar (15) RM_ACCT.tin Irs_1099oid.tin

If irs_1099oid.rim_no IS NULL irs_recipient.tin



If irs_1099oid.rim_no IS NULL irs_recipient.Name_1


Char (40) Note: Only 5498 type exports Name 2. If RM_ACCT.rim_type = Personal As Bene of RM_ACCT.last_name RM_ACCT.suffix ‘,’ RM_ACCT.first_name RM_ACCT.middle_initial If RM_ACCT.rim_type = NonPersonal As Bene of RM_ACCT.last_name RM_ACCT.first_name

If irs_1099oid.rim_no IS NULL irs_recipient.Name_2

Street 1 Address Char (40) If RM_ADDRESS.international = N If RM_ADDRESS.address_line_3 is NULL Select RM_ADDRESS.address_line_1 Else If RM_ADDRESS.address_line_3 is Not NULL Select RM_ADDRESS.address_line_2 If RM_ADDRESS.international = Y Select RM_ADDRESS.address_line_1

If irs_1099oid.rim_no IS NULL irs_recipient.Address_line_1



Street 2 Address Char (40) If RM_ADDRESS.international = N If RM_ADDRESS.address_line_3 is NULL Select RM_ADDRESS.address_line_2 Else If RM_ADDRESS.address_line_3 is Not NULL Select RM_ADDRESS.address_line_3 If RM_ADDRESS.international = Y If RM_ADDRESS.address_line_3 is Not NULL Select RM_ADDRESS.address_line_2 Else blank

If irs_1099oid.rim_no IS NULL irs_recipient.Address_line_2

Street 3 If irs_1099oid.rim_no IS NULL Irs_recipient.Address_line_3

US/Foreign City

Address Char (25) If RM_ADDRESS.international = N RM_ADDRESS.city (25) If RM_ADDRESS.international = Y ‘1’ then ‘RM_ADDRESS.city’ Note: No spaces between 1 and city

If irs_1099oid.rim_no IS NULL irs_recipient.city

US State Address Char (2) If RM_ADDRESS.international = N RM_ADDRESS.state (5) Else blank

If irs_1099oid.rim_no IS NULL irs_recipient.state

US ZIP Address Char (9) If RM_ADDRESS.international = N RM_ADDRESS.zip (10) strip out ‘-‘ Else blank

If irs_1099oid.rim_no IS NULL irs_recipient.zip

Foreign State/ Province

Address Char (2) If RM_ADDRESS.international = Y RM_ADDRESS.state (5) Else blank


Foreign Postal Code

Address Char (9) If RM_ADDRESS.international = Y RM_ADDRESS.zip (10)

If irs_recipient.international= Y irs_recipient.zip



Else blank Else blank

Foreign Country

Address Char (25) If RM_ADDRESS.international = Y AD_GB_COUNTRY.description (25) Where RM_ADDRESS.country_code = AD_GB_COUNTRY.country_code Else blank

If irs_recipient.international= Y irs_recipient.country_code (2) Else blank


Char (20) DP_DISPLAY.acct_type - DP_DISPLAY.acct_no irs_1099oid.acct_type + irs_1099oid.acct_no

Original Issue Discount

1 Decimal (9) DP_DISPLAY.accr_cr_int_ytd - DP_ACCT_INT_OPT.int_ytd

irs_1099oid.orginal_issue_disc

Other Periodic Interest

2 Decimal (9) DP_ACCT_INT_OPT.int_ytd + DP_DISPLAY2.bonus_pd_ytd

irs_1099oid.other_periodic_int

Early Withdrawal Penalty

3 Decimal (9) DP_DISPLAY.pen_amt_ytd irs_1099oid.early_wd_penalty

Federal Income Tax Withheld

4 Decimal (9) DP_ACCT_INT_OPT. backup_wh_ytd + DP_ACCT_INT_OPT.fed_int_wh_ytd

irs_1099oid.fed_income_tax_whld

Market Discount

5 Decimal (9) N/A irs_1099oid.market_disc

Acquisition Premium

6 Decimal (9) N/A irs_1099oid.acquisition_prem

Description 7 Char (39) CD irs_1099oid.description

OID on U.S. Treasury Obligations

8 Decimal (9) N/A irs_1099oid.org_iss_disc_us_treas



Investment Expenses

9 Decimal (9) N/A irs_1099oid.invest_expenses

Bond Premium

10 Decimal (9) N/A irs_1099oid.bond_premium

Tax-Exempt OID

11 Decimal (9) N/A irs_1099oid. tax_exempt_oid

State 12 Char (2) If DP_ACCT_INT_OPT.state_int_wh_ytd > 0.00 populate RM_ADDRESS.state If more than 1 address exists where RM_ADDRESS.addr_of_residence = Y Order by RM_ADDRESS.addr_id and select RM_ADDRESS.state from the lowest RM_ADDRESS.addr_id Or if no address exists where RM_ADDRESS.addr_of_residence = Y select RM_ADDRESS.state where GB_ACCT_NOT_ADDR.rpt_id = -101 And GB_ACCT_NOT_ADDR.addr_id = RM_ADDRESS.addr_id And RM_ADDRESS.status not= Closed If GB_ACCT_NOT_ADDR.rpt_id = -101 does not exist Then select RM_ADDRESS.state where GB_ACCT_NOT_ADDR.rpt_id = -100 And GB_ACCT_NOT_ADDR.addr_id = RM_ADDRESS.addr_id And RM_ADDRESS.status not= Closed If RM_ADDRESS.status = Closed Where GB_ACCT_NOT_ADDR.addr_id = RM_ADDRESS.addr_id Then select RM_ADDRESS.state

irs_1099oid.state



Where RM_ADDRESS.addr_id = 1

State Identification No.

13 Char (2) N/A irs_1099oid.state_ident_no


14 Decimal (9) DP_ACCT_INT_OPT.state_int_wh_ytd irs_1099oid.state_tax_whld


Char (1) irs_1099int.fatca_req

2nd TIN Notice

Char (1) irs_1099int.second_tin_notice

Filing Status Varchar (25) irs_1099int.filing_status


1042-S - Interest Paid/Bond Interest Paid The 1042s task generates all the information required to produce form 1042-S. The file contains the following information for each interest-bearing, non-retirement deposit account and escrow account, held by a foreign customer/member who received interest during the current tax year.

Report when

• Pay any interest, or bond interest for Canadians or where AD_RM_CONTROL. irs_1042s_reporting = All Foreign. • Any tax withheld for a W-8 customer/member regardless of the value of AD_RM_CONTROL. irs_1042s_reporting • Includes OID interest paid and not reported on Form 1099-OID.

Selection Criteria For Deposit Accounts

If AD_RM_CONTROL.irs_1042S_reporting = ‘Canadians Only’, SELECT all RM_ACCT.tin_format = ‘N’ or ‘I’ or (S with W8 Flag selected (Y)) and RM_ACCT.W8_country_code = PC_COUNTRY.ptid and PC_COUNTRY.w8_country_code = ‘CA’ and DP_ACCT.ira = ‘N’ and DP_ACCT.oid = ‘N’ and DP_ACCT.third_party_irs_int = ‘N’ DP_ACCT_INT_OPT.int_ytd > 0 or DP_ACCT_INT_OPT.backup_wh_ytd > 0 or DP_ACCT_INT_OPT.fed_int_wh_ytd > 0 or DP_DISPLAY2.bonus_pd_ytd > 0 or

If AD_RM_CONTROL.irs_1042S_reporting = ‘Canadians Only’, SELECT all RM_ACCT.tin_format = ‘N’ or ‘I’ or (S with W8 Flag selected (Y)) and RM_ACCT.W8_country_code = PC_COUNTRY.ptid and PC_COUNTRY.w8_country_code = ‘CA’’ and DP_ACCT.ira = ‘N’ and DP_ACCT.oid = ‘Y’ and DP_ACCT.third_party_irs_int = ‘N’ DP_DISPLAY.accr_cr_int_ytd > 0 or DP_ACCT_INT_OPT.backup_wh_ytd > 0 or DP_ACCT_INT_OPT.fed_int_wh_ytd > 0 or DP_DISPLAY2.bonus_pd_pytd > 0 or


DP_ACCT_INT_OPT.int_ytd > 0 If AD_RM_CONTROL.irs_1042S_reporting = ‘All Foreign’, SEELCT all RM_ACCT.tin_format = ‘N’ or ‘I’ or (S with W8 Flag selected (Y)) and RM_ACCT.W8_country_code = PC_COUNTRY.ptid and RM_ACCT.w8_country_code is not NULL and DP_ACCT.ira = ‘N’ and DP_ACCT.oid = ‘N’ and DP_ACCT.third_party_irs_int = ‘N’ DP_ACCT_INT_OPT.int_ytd > 0 or DP_ACCT_INT_OPT.backup_wh_ytd > 0 or DP_ACCT_INT_OPT.fed_int_wh_ytd > 0 or DP_DISPLAY2.bonus_pd_ytd > 0 If AD_RM_CONTROL.irs_1042S_reporting = ‘All Foreign’,

SELECT all RM_ACCT.tin_format = ‘N’ or ‘I’ or (S with W8 Flag selected (Y)) and RM_ACCT.W8_country_code = PC_COUNTRY.ptid and RM_ACCT.w8_country_code is not NULL and DP_ACCT.ira = ‘N’ and DP_ACCT.oid = ‘Y’ and DP_ACCT.third_party_irs_int = ‘N’ DP_DISPLAY.accr_cr_int_ytd > 0 or DP_ACCT_INT_OPT.backup_wh_ytd > 0 or DP_ACCT_INT_OPT.fed_int_wh_ytd > 0 or DP_DISPLAY2.bonus_pd_ytd > 0 or DP_ACCT_INT_OPT.int_ytd > 0

If the following applies, a single 1042s row should be written to the irs_1042s table:

If DP_ACCT.oid = Y and DP_DISPLAY.accr_cr_int_ytd > 0 and DP_ACCT_INT_OPT.int_ytd = 0 and DP_DISPLAY2.bonus_pd_ytd = 0 and DP_ACCT_INT_OPT.backup_wh_ytd = 0 and DP_ACCT_INT_OPT.fed_int_wh_ytd = 0

Row writes with:


• Income Code = 30 • Gross Income = DP_DISPLAY.accr_cr_int_ytd

If the following applies, two 1042s row should be written to the irs_1042s table:

If DP_ACCT.oid = Y and DP_DISPLAY.accr_cr_int_ytd > 0 and (DP_ACCT_INT_OPT.int_ytd > 0 or DP_DISPLAY2.bonus_pd_ytd > 0 or DP_ACCT_INT_OPT.backup_wh_ytd > 0 or DP_ACCT_INT_OPT.fed_int_wh_ytd > 0)

One row writes with:

• Income Code = 30 • Gross Income = DP_DISPLAY.accr_cr_int_ytd - DP_ACCT_INT_OPT.int_ytd

Another row writes with:

• Income Code = 29 • Gross Income = DP_ACCT_INT_OPT.int_ytd + DP_DISPLAY2.bonus_pd_pytd • Federal Withholding = DP_ACCT_INT_OPT.backup_wh_ytd + DP_ACCT_INT_OPT.fed_int_wh_ytd

For Loan Accounts

If AD_RM_CONTROL.irs_1042S_reporting = ‘Canadians Only’, SELECT all RM_ACCT.tin_format = ‘N’ or ‘I’ or (S with W8 Flag selected (Y)) and RM_ACCT.W8_country_code = PC_COUNTRY.ptid and PC_COUNTRY.w8_country_code = ‘CA’ and LN_ESCROW.cr_int_pd_ytd > 0 or LN_ESCROW.int_wh_ytd > 0 If AD_RM_CONTROL.irs_1042S_reporting = ‘All Foreign’, SELECT all RM_ACCT.tin_format = ‘N’ or ‘I’ or (S with W8 Flag selected (Y)) and RM_ACCT.W8_country_code = PC_COUNTRY.ptid and PC_COUNTRY.w8_country_code is not NULL and LN_ESCROW.cr_int_pd_ytd > 0 or LN_ESCROW.int_wh_ytd > 0


All NRAs reported for bond interest:

SELECT all RM_ACCT.tin_format = ‘N’ or ‘I’ and RM_ACCT.W8_country_code = PC_COUNTRY.ptid and RM_ACCT.w8_country_code is not NULL RM_DISPLAY.bond_int_pd_ytd > 0 or RM_DISPLAY.ibond_int_pd_ytd > 0

Task Information


1042-S Foreign Person's U.S. Source Income Subject to Withholding

1042-S System Generation

599 psp_irs_1042s

Table Mapping [Withholding Agent Information]











Field Name Box Nbr Data Type Source Data during Task Generation irs_1042s irs_recipient

Tax Year 20XX Int (4) irs_1042s.tax_year

TIN Type N/A Char (1) If tin_format = ‘I’, populate as 1; Else (i.e. tin_format = ‘N’, populate as 0 Note: TIN type check box (SSN or ITIN).

irs_1042s.tin_type

TIN Varchar (15) RM_ACCT.tin irs_1042s.tin

Name 1 Char (40) If RM_ACCT.rim_type = Personal RM_ACCT.last_name RM_ACCT.suffix ‘,’ RM_ACCT.first_name RM_ACCT.middle_initial If RM_ACCT.rim_type = NonPersonal RM_ACCT.last_name RM_ACCT.first_name

If irs_1042s.rim_no IS NULL irs_recipient.Name_1

Street 1 c Char (40) If RM_ADDRESS.international = N If RM_ADDRESS.address_line_3 is NULL Select RM_ADDRESS.address_line_1 Else If RM_ADDRESS.address_line_3 is Not NULL Select RM_ADDRESS.address_line_2 If RM_ADDRESS.international = Y Select RM_ADDRESS.address_line_1

If irs_1042s.rim_no IS NULL irs_recipient.address_line_1



Street 2 Char (40) If RM_ADDRESS.international = N If RM_ADDRESS.address_line_3 is NULL Select RM_ADDRESS.address_line_2 Else If RM_ADDRESS.address_line_3 is Not NULL Select RM_ADDRESS.address_line_3 If RM_ADDRESS.international = Y If RM_ADDRESS.address_line_3 is Not NULL Select RM_ADDRESS.address_line_2 Else blank Note: Additional address line no longer provided for recipient effective 2014.

If irs_1042s.rim_no IS NULL irs_recipient.address_line_2

Street 3 Char (40) If irs_1042s.rim_no IS NULL irs_recipient.address_line_3

US/Foreign City d Char (25) If RM_ADDRESS.international = N RM_ADDRESS.city (25) If RM_ADDRESS.international = Y ‘1’ then ‘RM_ADDRESS.city’ Note: No spaces between 1 and city

If irs_1042s.rim_no IS NULL irs_recipient.city

US State d Char (2) If RM_ADDRESS.international = N RM_ADDRESS.state Else blank

If irs_1042s.rim_no IS NULL irs_recipient.state

US ZIP d Char (9) If RM_ADDRESS.international = N RM_ADDRESS.zip (10) strip out ‘-‘ Else blank

If irs_1042s.rim_no IS NULL irs_recipient.zip



Foreign Country Name

d Char (25) If RM_ADDRESS.international = Y AD_GB_COUNTRY.description (25) Where RM_ADDRESS.country_code = AD_GB_COUNTRY.country_code Else blank

Foreign Country Code

d Char (2) If RM_ADDRESS.international = Y And AD_GB_COUNTRY.w8_country_code is Not NULL Select PC_COUNTRY.w8_country_code Where RM_ADDRESS.country_code = AD_GB_COUNTRY.country_code And AD_GB_COUNTRY.w8_country_code = PC_COUNTRY.ptid If If RM_ADDRESS.international = Y And AD_GB_COUNTRY.w8_country_code is NULL, select AD_GB_COUNTRY.iso_code Else blank

Foreign Province

d Char (2) If RM_ADDRESS.international = Y RM_ADDRESS.state (5) Elese blank

Foreign Postal Code

Char (9) If RM_ADDRESS.international = Y RM_ADDRESS.zip (10) Else blank

Recipient Account #

13k Char (15) DP_ACCT_INT_OPT.acct_type DP_ACCT_INT_OPT.acct_no

irs_1042s.acct_type + irs_1042s.acct_no



Income Code 1 Char (2) Deposit Interest or Escrow Interest ‘29’ if DP_ACCT_INT_OPT.int_ytd or LN_ESCROW.cr_int_pd_ytd or DP_DISPLAY2.bonus_pd_ytd Bond Interest ‘01’ if RM_DISPLAY.bond_int_pd_ytd or RM_DISPLAY.ibond_int_pd_ytd OID Interest ‘30’ if DP_DISPLAY.accr_cr_int_ytd

irs_1042s.income_code

Gross Income 2 Decimal (9) Deposit Interest or Escrow Interest If Income Code = 29 DP_ACCT_INT_OPT.int_ytd + DP_DISPLAY2.bonus_pd_ytd or LN_ESCROW.cr_int_pd_ytd Bond Interest If Income Code = 01 RM_DISPLAY.bond_int_pd_ytd + RM_DISPLAY.ibond_int_pd_ytd OID Interest If Income Code = 30 (OID Interest) DP_DISPLAY.accr_cr_int_ytd - DP_ACCT_INT_OPT.int_ytd

irs_1042s.gross_income



Chapter 3 3 Char (1) Deposit Interest or Escrow Interest If ( DP_ACCT_INT_OPT.fed_int_wh_ytd + DP_ACCT_INT_OPT.backup_wh_ytd ) or LN_ESCROW.int_wh_ytd, move 1 Else, move 0 Bond Interest 0 OID Interest 0 Note: When populated as 1, the Chap. 3 (box 3) must be marked. Otherwise, it will be un-marked.

irs_1042s.chapter_indicator

Chapter 3 Exemption Code

3a Char (2) Deposit Interest or Escrow Interest If DP_ACCT_INT_OPT.fed_int_wh_ytd + DP_ACCT_INT_OPT.backup_wh_ytd = 0 or LN_ESCROW.int_wh_ytd = 0, move 02; Else, move 00. Bond Interest 00 OID Interest 00

irs_1042s.chapter3_exemp_code



Chapter 3 Tax Rate

3b Decimal (5) ‘blank’ if RM_DISPLAY.bond_int_pd_ytd or RM_DISPLAY.ibond_int_pd_ytd ‘0000’ if DP_ACCT_INT_OPT.fed_int_wh_ytd + DP_ACCT_INT_OPT.backup_wh_ytd = 0.00 or LN_ESCROW.int_wh_ytd = 0.00 Else AD_GB_BANK.backup_wh_rate Note: Enter the Tax Rate as a 2-digit whole number and 2-digit decimal - do not round and no decimal point (e.g., enter 39.612% as 3961, 15% as 1500 or 6% as 0600) Note: If this is for OID accrued interest (Income Code = 30), Fed Income Tax Withheld is always 0000

irs_1042s.chapter3_tax_rate

Chapter 4 3 Char (1) Populate as 0 Note: The assumption is that if any taxes are being withheld,they are being withheld pursuant Chapter 3 of the Internal Revenue Code (IRC).

irs_1042s.chapter_indicator

Chapter 4 Exemption Code

4a Char (2) Blank irs_1042s.chapter4_exemp_code

Chapter 4 Tax Rate

4b Decimal (5) Blank irs_1042s.chapter4_tax_rate

Withholding Allowance

5 Decimal (9) N/A irs_1042s.whld_allowance

Net Income 6 Decimal (9) N/A irs_1042s.net_income



Fed Income Tax Withheld

7aa Decimal (9) Deposit Interest or Escrow Interest If Income Code = 29 DP_ACCT_INT_OPT.fed_int_wh_ytd + DP_ACCT_INT_OPT.backup_wh_ytd or LN_ESCROW.int_wh_ytd Bond Interest 0 OID Interest 0

irs_1042s.federal_tax_whld

Tax not Deposited

7b Char (1) N/A irs_1042s.tax_not_dep

Tax Withheld by Other

8 Decimal (9) N/A irs_1042s.tax_whld_other

Overwithheld Tax Repaid to Recipeint

9 Decimal (9) N/A irs_1042s.tax_pd_whld_agent

Total Withholdong Credit

10 Decimal (9) N/A irs_1042s.tot_whld_credit

Tax Paid by Withholding Agent

11 Decimal (9) N/A irs_1042s.tax_pd_whld_agent

Recipeint’s Country Code

13b Char (2) N/A irs_1042s.recip_country_code

Recipeint’s Ch 3 Code

13f Char (2) RM_ACCT.W8_recipient_code

irs_1042s.chapter3_status_code

Recipeint’s Ch 4 Code

13g Char (2) N/A irs_1042s.chapter4_status_code

Recipeint’s GIIN 13h Char (19) N/A irs_1042s.recip_giin



Recipeint’s Foreign TIN

13i Char (22) RM_ACCT.w8_foreign_tin irs_1042s.recip_foreign_tin

LOB Code 13j Char (2) irs_1042s.lob_code lob_code

Recipient’s Date of Birth

13l Smalldatetime (4)

If RM_ACCT.rim_type = ‘Personal’ and RM_ACCT.birth_dt is not NULL, move RM_ACCT.birth_dt. Note: Format as MMDDYYYY

irs_1042s.recip_dob

Recipient Country Code

15f Char (2)

Select PC_COUNTRY.w8_country_code where RM_ACCT.w8_country_code = PC_COUNTRY.ptid

Irs_1042.recip_country_code


17a Decimal (9) N/A irs_1042s.state_income_tax_whld

Payer’s State Tax No

17b Char (10) N/A irs_1042s.payer_state_tax_no

Name of State 17c Char (2) N/A irs_1042s.name_of_state


Tax Over/Under WH Status

Char (1) If Income Code = 29 and Tax Rate = 0000 Print 0 If Income Code = 29 and Tax Rate > 0000 then And DP_ACCT_INT_OPT.fed_int_wh_ytd + DP_ACCT_INT_OPT.backup_wh_ytd > 0 And AD_GB_BANK. backup_wh_rate X (DP_ACCT_INT_OPT.int_ytd + DP_DISPLAY2.bonus_pd_ytd) / 100 = DP_ACCT_INT_OPT.fed_int_wh_ytd + DP_ACCT_INT_OPT.backup_wh_ytd Print 0 or DP_ACCT_INT_OPT.fed_int_wh_ytd + DP_ACCT_INT_OPT.backup_wh_ytd > 0 And AD_GB_BANK. backup_wh_rate X (DP_ACCT_INT_OPT.int_ytd + DP_DISPLAY2.bonus_pd_ytd) / 100 > DP_ACCT_INT_OPT.fed_int_wh_ytd + DP_ACCT_INT_OPT.backup_wh_ytd Print 2 or DP_ACCT_INT_OPT.fed_int_wh_ytd + DP_ACCT_INT_OPT.backup_wh_ytd > 0 And AD_GB_BANK. backup_wh_rate X (DP_ACCT_INT_OPT.int_ytd + DP_DISPLAY2.bonus_pd_ytd) / 100 < DP_ACCT_INT_OPT.fed_int_wh_ytd + DP_ACCT_INT_OPT.backup_wh_ytd Print 1 or LN_ESCROW.int_wh_ytd > 0 And AD_GB_BANK.backup_wh_rate X LN_ESCROW.cr_int_pd_ytd / 100 = LN_ESCROW.int_wh_ytd Print 0 or LN_ESCROW.int_wh_ytd > 0

irs_1042s.tax_over_under_whld_status


Field Name Box Nbr Data Type Source Data during Task Generation irs_1042s irs_recipient And AD_GB_BANK.backup_wh_rate X LN_ESCROW.cr_int_pd_ytd / 100 > LN_ESCROW.int_wh_ytd Print 2 or LN_ESCROW.int_wh_ytd > 0 And AD_GB_BANK.backup_wh_rate X LN_ESCROW.cr_int_pd_ytd / 100 < LN_ESCROW.int_wh_ytd Print 1 If Income Code = 29 and Tax Rate = <blank> Print <blank> Note: Make sure to keep the fixed position

Filing Status Varchar (25) irs_1042s.filing_status


Retirement Plan Year-End Tables • 1099-R - Retirement Plan Distributions • 1099-SA - Retirement Plan Distributions • 1099-Q - ESA Retirement Plan Distributions • 5498 - Retirement Plan Summary • 5498-SA - Retirement Plan Summary • 5498-ESA - Retirement Plan Summary

1099-R - Retirement Plan Distributions The 1099r task generates all the information required to produce Form 1099-R. The file contains the following information for each retirement plan umbrella that had distributions for the current tax year.

Report when:

• DP_UMB.type = IRA, Roth, Roth Conv, SEP, SIMPLE, Keogh, Qualified

Exceptions:

• If DP_UMB.third_party_irs_rpt = ‘Y’, do not generate

Selection Criteria Generate one 1099-R record for each distribution code combination.

(DP_UMB_DISPLAY_DIST.umb_code/umb_code_2) SELECT DP_UMB.TYPE = IRA, Roth, Roth Conv, SEP, SIMPLE, Keogh, Qualified and DP_UMB.third_party_irs_rpt = ‘N’ and DP_UMB_DISPLAY_DIST.fmv_at_death = ‘N’


Task Information


1099-R Distributions From Pensions, Annuities, Retirement or Profit-Sharing Plans, IRAs, Insurance Contracts, etc

1099-R System Generation

593 psp_irs_1099r












Field Name Box Nbr Data Type Source Data during Task Generation irs_1099r Irs_recipient

Tax Year 20XX Int (4) tax_year

TIN Type Char (1) irs_1099r.tin_type


Varchar (15) RM_ACCT.tin If irs_1099int.rim_no IS NULL irs_recipient.tin









Street 2 Address Char (40) If RM_ADDRESS.international = N If RM_ADDRESS.address_line_3 is NULL




Select RM_ADDRESS.address_line_2 Else If RM_ADDRESS.address_line_3 is Not NULL Select RM_ADDRESS.address_line_3 If RM_ADDRESS.international = Y If RM_ADDRESS.address_line_3 is Not NULL Select RM_ADDRESS.address_line_2 Else blank

Street 3 If irs_1099int.rim_no IS NULL Address_line_3

US/Foreign City Address Char (25) If RM_ADDRESS.international = N RM_ADDRESS.city (25) If RM_ADDRESS.international = Y ‘1’ then ‘RM_ADDRESS.city’ Note: No spaces between 1 and city









Foreign Postal Code

Address Char (9) If RM_ADDRESS.international = Y RM_ADDRESS.zip (10) Else blank


Foreign Country Address Char (25) If RM_ADDRESS.international = Y AD_GB_COUNTRY.description (25)

If irs_recipient.international= Y irs_recipient.country_code (2)



Where RM_ADDRESS.country_code = AD_GB_COUNTRY.country_code Else blank

Else blank


Char (20) DP_UMB_DISPLAY.plan_no <space> DP_UMB_DISPLAY_DIST.umb_code <space> DP_UMB_DISPLAY_DIST.umb_code_2 Note: There could be 2 UMB codes in a record. UMB Code 2 is 0 do not print 0.

Irs_1099r.acct_type + Irs_1099r.acct_no OR Irs_1099r.plan_no

Gross Distribution

1 Decimal (9) Sum (DP_UMB_DIST_DISPLAY.distribution_ytd + federal_tax_wh_ytd + state_tax_wh_ytd + other_tax_wh_ytd) Where X = distinct DP_UMB_DISPLAY_DIST.umb_code and DP_UMB_DISPLAY_DIST.umb_code_2

Irs_1099r.gross_dist

Taxable Amount

2a Decimal (9) If DP_UMB_DISPLAY_DIST.umb_code = 8, 10 or 14 write DP_UMB_DISPLAY_DIST.income_attrib_ytd or If DP_UMB_DISPLAY_DIST.umb_code = 9, write Gross Distribution amount or If DP_UMB_DISPLAY_DIST.umb_code = 23 or 24, write 0.00 or If DP_UMB.type = IRA and DP_UMB_DISPLAY_DIST.umb_code = 18, write 0.00

Irs_1099r.taxable_amt



or If DP_UMB.type = IRA, SEP, SIMPLE and DP_UMB_DISPLAY_DIST.umb_code = 17, write 0.00 or If DP_UMB.type = Keogh or Qualified and DP_UMB_DISPLAY_DIST.umb_code = 17 or 18, write 0.00 or If DP_UMB.type = IRA and DP_UMB_DISPLAY_DIST.umb_code != 18, 8, 10, 14, 23, 24, 17 write Gross Distribution amount or If DP_UMB.TYPE = SEP, SIMPLE, and DP_UMB_DISPLAY_DIST.umb_code != 8, 10, 14, 23, 24, 17 write Gross Distribution amount Else write Blank

Taxable Amount

2b √ box 1

Char (1) If DP_UMB_DISPLAY_DIST.umb_code = 8, 9, 10, 14, 23, 24 write N or If DP_UMB.type = IRA and DP_UMB_DISPLAY_DIST.umb_code = 18, write N or If DP_UMB.type = IRA, SEP, SIMPLE and DP_UMB_DISPLAY_DIST.umb_code = 17, write N or

Irs_1099r.taxable_amt_not_det



If DP_UMB.type = Keogh or Qualified and DP_UMB_DISPLAY_DIST.umb_code = 17 or 18, write N Else write Y

Capital Gain (Included in Box 2a)

3 Decimal (9) Irs_1099r.capital_gain


4 Decimal (9) DP_UMB_DIST_DISPLAY.federal_tax_wh_ytd Where X = distinct DP_UMB_DISPLAY_DIST.umb_code and DP_UMB_DISPLAY_DIST.umb_code_2

Irs_1099r.federal_income_tax_whld

Emp. Contrib / Insurance

5 Decimal (9) Write this column to record only when DP_DISPLAY_UMB_DIST.umb_code = 9 Sum (DP_UMB_DIST_DISPLAY.distribution_ytd + federal_tax_wh_ytd + state_tax_wh_ytd + other_tax_wh_ytd) Else write Blank

Irs_1099r.empl_contrib

Net Unrealized Appreciation

6 Decimal (9) Irs_1099r.net_unrealized_appr

IRA / SEP / SIMPLE Distribution

Char (1) If DP_UMB.TYPE = IRA, SEP, SIMPLE And DP_UMB_DISPLAY_DIST.umb_code = 8, 10 or 14 write DP_UMB_DISPLAY_DIST. income_attrib_ytd or If DP_UMB.TYPE = IRA, SEP, SIMPLE And DP_UMB_DISPLAY_DIST.umb_code = 23, 24, 17 write 0.00 or

Irs_1099r.ira_sep_simple



If DP_UMB.type = IRA and DP_UMB_DISPLAY_DIST.umb_code = 18, write 0.00 or If DP_UMB.type = IRA, SEP, SIMPLE and DP_UMB_DISPLAY_DIST.umb_code not= 18, 8, 10, 14, 23, 24, 17 write Gross Distribution amount Else write Blank

IRA, SEP or SIMPLE?

Char (1) If DP_UMB.type = IRA, SEP or SIMPLE and DP_UMB_DISPLAY_DIST.umb_code not= 23, 24 write X Else write Blank Note: The exception is where DP_UMB_DISPLAY_DIST.umb_code = 23 or 24 for recharacterizations.

Irs_1099r.ira_sep_simple

Distribution Code - 1

7 Char (2) PC_DP_UMB. irs_value where DP_UMB_DISPLAY_DIST.umb_code = PC_DP_UMB.umb_code PC_DP_UMB. irs_value where DP_UMB_DISPLAY_DIST.umb_code_2 = PC_DP_UMB.umb_code

Irs_1099r.dist_code

Distribution Code - 2

7 Char (2) Irs_1099r.dist_code2

Other Amount 8 Decimal (9) Irs_1099r.other_amt

Other Percent 8 Decimal (5) Irs_1099r.other_percent

Your Percentage of Total Distribution

9a Decimal (5) Irs_1099r.percent_total_dist



Total Employee Contributions

9b Decimal (9) Irs_1099r.total_empl_contrib

Amount Allocable to IRR Within 5 Years

10 Decimal (9) Irs_1099r.amt_allocable

1st Year of Desig. Roth Contrib

11 Int (4) Irs_1099r.first_year_roth_contrb


12 Char (1) N/A irs_1099r.fatca_req

Date of Payment

13 Smalldatetime (4)

NA irs_1099r.payment_dt

State Tax Withheld

14 Decimal (9) DP_UMB_DIST_DISPLAY.state_tax_wh_ytd Where X = distinct DP_UMB_DISPLAY_DIST.umb_code and DP_UMB_DISPLAY_DIST.umb_code_2

Irs_1099r.state_tax_whld

State/Payer’s State No.

15 Varchar (15) When OV_CONTROL. OV_CONTROL. use_residence_state = Y Locate the record where RM_ADDRESS.addr_of_residence = ‘Y’ Write RM_ADDRESS.state Else write AD_GB_BRANCH.state where AD_GB_BRANCH.branch_no = DP_UMB.branch_no Write State only where State Inc. Tax Withheld > 0

Irs_1099r.state_payer_state_no

State Distribution

16 Decimal (9) Irs_1099r.state_dist

Local Tax Withheld

17 Decimal (9) Irs_1099r.local_tax_whld

Name of Locality

18 Varchar (40) Irs_1099r.name_of_locality



Local Distribution

19 Decimal (9) Irs_1099r.local_dist

Filing Status Varchar (25) irs_1099r.filing_status


1099-SA - Retirement Plan Distributions The 1099sa.nnn task generates all the information required to produce form 1099-SA. The file contains the following information for each Medical Savings Account (MSA) and Health Savings Account (HSA) retirement plan umbrella that had distributions for the current tax year.

Report when:

• DP_UMB.type = Health, Medical

Exceptions:

• If DP_UMB.third_party_irs_rpt = ‘Y’, do not include in the irs_1099sa table

Selection Criteria Generate one 1099-SA record for each distribution code.

SELECT accounts in plan where DP_UMB.TYPE = Medical, Health and DP_UMB.third_party_irs_rpt = ‘N’ and DP_UMB_DISPLAY_DIST.fmv_at_death = ‘N’ IF DP_UMB.dist_type = Participant and DP_UMB.status = Deceased and DP_UMB_BENE has no active rows WHERE DP_UMB_BENE.type = Primary and DP_UMB_DISPLAY_DIST.death_rpt_yr equals the system date year WHERE DP_UMB_DISPLAY.fmv_at_death = Y

Then, include the FMV at Death for the decedent plan.

IF DP_UMB.dist_type = Beneficiary and DP_UMB_DISPLAY_DIST.death_rpt_yr equals the system date year WHERE DP_UMB.part_plan_no = DP_UMB.plan_no and DP_UMB_DISPLAY.fmv_at_death = Y and DP_ACCT.status = Closed for all the beneficiary plan accounts

Then, include the FMV at Death for the decedent plan in the beneficiary’s 1099-MSA.


Task Information


1099-SA Distributions From an HSA, Archer MSA, or Medicare Advantage MSA

1099-SA System Generation

595 psp_irs_1099sa

Table Mapping [Trustee]











Field Name Box Nbr Data Type Source Data during Task Generation irs_1099sa irs_recipient


TIN Type Char (1) irs_1099sa.tin_type


Varchar (15) RM_ACCT.tin irs_1099isa.tin

If irs_1099sa.rim_no IS NULL irs_recipient.tin



If irs_1099sa.rim_no IS NULL irs_recipient.Name_1



If irs_1099sa.rim_no IS NULL irs_recipient.Name_2

Street 1 Address Char (40) If RM_ADDRESS.international = N If RM_ADDRESS.address_line_3 is NULL Select RM_ADDRESS.address_line_1 Else If RM_ADDRESS.address_line_3 is Not NULL Select RM_ADDRESS.address_line_2 If RM_ADDRESS.international = Y

If irs_1099as.rim_no IS NULL irs_recipient.Address_line_1


Field Name Box Nbr Data Type Source Data during Task Generation irs_1099sa irs_recipient Select RM_ADDRESS.address_line_1


If irs_1099sa.rim_no IS NULL irs_recipient.Address_line_2

Street 3 If irs_1099sa.rim_no IS NULL Address_line_3


If irs_1099sa.rim_no IS NULL irs_recipient.city


If irs_1099sa.rim_no IS NULL irs_recipient.state


If irs_1099sa.rim_no IS NULL irs_recipient.zip


Address Char (2) If RM_ADDRESS.international = Y RM_ADDRESS.state (5)

If irs_recipient.international= Y irs_recipient.state


Field Name Box Nbr Data Type Source Data during Task Generation irs_1099sa irs_recipient Else blank Else blank

Foreign Postal Code



Foreign Country Address Char (25) If RM_ADDRESS.international = Y AD_GB_COUNTRY.description (25) Where RM_ADDRESS.country_code = AD_GB_COUNTRY.country_code Else blank



Char (20) DP_UMB_DISPLAY.plan_no <space> DP_UMB_DISPLAY_DIST.umb_code

irs_1099sa.acct_type + irs_1099sa.acct_no OR Irs_1099r.plan_no

Gross Distribution

1 Decimal (9) Sum (DP_UMB_DIST_DISPLAY.distribution_ytd + federal_tax_wh_ytd + state_tax_wh_ytd + other_tax_wh_ytd) Where X = distinct DP_UMB_DISPLAY_DIST.umb_code and DP_UMB_DISPLAY_DIST.umb_code_2

irs_1099sa. gross_dist

Earnings on Excess Contributions

2 Decimal (9) If DP_UMB_DISPLAY_DIST.umb_code = 71 write DP_UMB_DISPLAY_DIST. income_attrib_ytd Else write NULL

irs_1099sa.earnings_on_contb



Distribution Code 3 Char (2) PC_DP_UMB. irs_value where DP_UMB_DISPLAY_DIST..umb_code = PC_DP_UMB.umb_code If PC_DP_UMB.irs_value = M1 = display 1 M2 = display 2 M3 = display 3 M4 = display 4 M5 = DISPLAY 5 M6 = display 6 Can remove this. We removed the ‘M’ from the table value.

irs_1099sa.dist_code

FMV on Date of Death

4 Decimal (9) If DP_UMB.dist_type = Participant and DP_UMB.status = Deceased and DP_UMB_BENE has no active rows where DP_UMB_BENE.type = Primary and DP_UMB_DISPLAY_DIST.death_rpt_yr equals the system date year where DP_UMB_DISPLAY.fmv_at_death = Y then include the FMV at Death for the decedent plan If DP_UMB.dist_type = Beneficiary and DP_UMB_DISPLAY_DIST.death_rpt_yr equals the system date year where DP_UMB.part_plan_no = DP_UMB.plan_no and DP_UMB_DISPLAY.fmv_at_death = Y and DP_ACCT.status = Closed for all the beneficiary plan accounts then include the FMV at Death for the decedent plan in the beneficiary’s 1099-MSA If DP_UMB_DISPLAY.death_rpt_yr = the reporting year

irs_1099sa.fmv_on_dod


Field Name Box Nbr Data Type Source Data during Task Generation irs_1099sa irs_recipient Calculate FMV where If DP_UMB_DISPLAY.death_rpt_yr = the reporting year Calculate FMV where DP_UMB_DISPLAY.fmv_at_death = Y Sum DP_UMB_DISPLAY.begin_bal + DP_UMB_DISPLAY.int_pd_ytd + DP_UMB_DISPLAY.norm_cont_ytd + DP_UMB_DISPLAY.tfr_cont_ytd + DP_UMB_DISPLAY.roll_cont_ytd + DP_UMB_DISPLAY.prev_yr_cont_ytd + DP_UMB_DISPLAY.empl_cont_ytd + DP_UMB_DISPLAY.roth_conv_ytd + DP_UMB_DISPLAY.rechar_cont_ytd + DP_UMB_DISPLAY.prev_yr_empl_cont_ytd + DP_UMB_DISPLAY.other_credits_ytd + DP_UMB_DISPLAY.death_accr_int - DP_UMB_DISPLAY.other_debits_ytd - DP_UMB_DISPLAY.penalty_ytd - DP_UMB_DISPLAY.tfr_wd_ytd - DP_UMB_DISPLAY.cc_amt_ytd where DP_UMB_DISPLAY.fmv_at_death = Y Minus sum DP_UMB_DISPLAY_DIST.distribution_ytd + DP_UMB_ DISPLAY_DIST.federal_tax_wh_ytd + DP_UMB_ DISPLAY_DIST.state_tax_wh_ytd + DP_UMB_ DISPLAY_DIST.other_tax_wh_ytd


Field Name Box Nbr Data Type Source Data during Task Generation irs_1099sa irs_recipient where DP_UMB_DISPLAY_DIST.fmv_at_death = Y

Plan Type

5 Char (2) If DP_UMB.type = Medical pass A If DP_UMB.type = Health pass H

irs_1099sa.plan_type

Filing Status Varchar (25) irs_1099sa.filing_status


1099-Q - ESA Retirement Plan Distributions The 1099q task generates all the information required to produce form 1099-Q. The file contains the following for each Coverdell ESA retirement plan umbrella that had distributions for the current tax year.

Report when:

• DP_UMB.type = Education

Exceptions:

• If DP_UMB.third_party_irs_rpt = ‘Y’, do not include in the irs_1099q table

Selection Criteria SELECT accounts in plan where DP_UMB.type = Education and DP_UMB.third_party_irs_rpt = ‘N’ and DP_UMB_DISPLAY_DIST.fmv_at_death = ‘N’

Task Information


1099-Q Payments from Qualified Education Programs (Under Sections 529 and 530)

1099-Q System Generation

594 psp_irs_1099q













Field Name Box Nbr Data Type Source Data during Task Generation irs_1099q irs_recipient


TIN Type Char (1) irs_1099q.tin_type


Varchar (15) RM_ACCT.tin Irs_1099q.tin

If irs_1099q.rim_no IS NULL irs_recipient.tin


Char (40) If RM_ACCT.rim_type = Personal RM_ACCT.last_name RM_ACCT.suffix ‘,’ RM_ACCT.first_name RM_ACCT.middle_initial If RM_ACCT.rim_type = NonPersonal

RM_ACCT.last_name RM_ACCT.first_name

If irs_1099q.rim_no IS NULL irs_recipient.Name_1


Char (40) Note: Only 5498 type exports Name 2. If RM_ACCT.rim_type = Personal As Bene of RM_ACCT.last_name RM_ACCT.suffix ‘,’ RM_ACCT.first_name RM_ACCT.middle_initial If RM_ACCT.rim_type = NonPersonal As Bene of

RM_ACCT.last_name RM_ACCT.first_name

If irs_1099q.rim_no IS NULL irs_recipient.Name_2

Street 1 Address Char (40) If RM_ADDRESS.international = N If RM_ADDRESS.address_line_3 is NULL Select RM_ADDRESS.address_line_1 Else If RM_ADDRESS.address_line_3 is Not NULL Select RM_ADDRESS.address_line_2

If irs_1099q.rim_no IS NULL irs_recipient.Address_line_1



If RM_ADDRESS.international = Y Select RM_ADDRESS.address_line_1

Street 2 Address Char (40) If RM_ADDRESS.international = N If RM_ADDRESS.address_line_3 is NULL Select RM_ADDRESS.address_line_2 Else If RM_ADDRESS.address_line_3 is Not NULL Select RM_ADDRESS.address_line_3 If RM_ADDRESS.international = Y If RM_ADDRESS.address_line_3 is Not NULL Select RM_ADDRESS.address_line_2

Else blank

If irs_1099q.rim_no IS NULL irs_recipient.Address_line_2

Street 3 If irs_1099q.rim_no I S NULL irs_recipient.Address_line_3

US/Foreign City

Address Char (25) If RM_ADDRESS.international = N RM_ADDRESS.city (25) If RM_ADDRESS.international = Y ‘1’ then ‘RM_ADDRESS.city’

Note: No spaces between 1 and city

If irs_1099q.rim_no IS NULL irs_recipient.city

US State Address Char (2) If RM_ADDRESS.international = N RM_ADDRESS.state (5)

Else blank

If irs_1099qrim_no IS NULL irs_recipient.state

US ZIP Address Char (9) If RM_ADDRESS.international = N RM_ADDRESS.zip (10) strip out ‘-‘

Else blank

If irs_1099q.rim_no IS NULL irs_recipient.zip


Address Char (2) If RM_ADDRESS.international = Y RM_ADDRESS.state (5)

Else blank




Foreign Postal Code

Address Char (9) If RM_ADDRESS.international = Y RM_ADDRESS.zip (10)

Else blank


Foreign Country

Address Char (25) If RM_ADDRESS.international = Y AD_GB_COUNTRY.description (25) Where RM_ADDRESS.country_code = AD_GB_COUNTRY.country_code

Else blank



Char (20) DP_UMB_DISPLAY.plan_no <space> DP_UMB_DISPLAY_DIST.umb_code

irs_1099q.acct_type + irs_1099q.acct_no OR irs_1099q.plan_no

Gross Distribution

1 Decimal (9) Sum (DP_UMB_DIST_DISPLAY. distribution_ytd + federal_tax_wh_ytd + state_tax_wh_ytd + other_tax_wh_ytd) Where X = distinct DP_UMB_DISPLAY_DIST.umb_code and DP_UMB_DISPLAY_DIST.umb_code_2 and DP_UMB_DISPLAY_DIST.period_id = 0 and DP_UMB_DISPLAY_DIST.fmv_at_death = N or DP_UMB_DISPLAY.tfr_wd_ytd where period_id = 0 and DP_UMB_DISPLAY_DIST.fmv_at_death = N

This gets 1 form per distinct X and tfr_wd_ytd

irs_1099q.plan_no.gross_dist

Earnings 2 Decimal (9) If DP_UMB_DISPLAY_DIST.umb_code = 8, 10 or 14

write DP_UMB_DISPLAY_DIST. income_attrib_ytd

irs_1099q.earnings



Basis 3 Decimal (9) irs_1099q.basis

Trustee to Trustee Transfer

4 Char (1) If from reporting for DP_UMB_DISPLAY.tfr_wd_ytd DP_UMB_DISPLAY.tfr_wd_ytd where period_id = 0 and DP_UMB_DISPLAY_DIST.fmv_at_death = N print Y

Else leave blank

irs_1099q.trustee_tfr

Tuition Program Type

5 Char (10) print Y irs_1099q. tuition_prgrm_type

Recipeint is not the Designated Beneficiary

6 Char (1) irs_1099q.recip_not_des_bene

Fair Market Value

Decimal (9) Sum of DP_DISPLAY.cur_bal plus DP_DISPLAY.accr_cr

where DP_ACCT.plan_no = DP_UMB.plan_no and DP_ACCT.acct_type/acct_no = DP_DISPLAY.acct_type/acct_no

irs_1099q.fmv

Distribution Code

Char (2) irs_1099q.dist_code

Filing Status Varchar (25) irs_1099q.filing_status


5498 - Retirement Plan Summary The 5498 task generates all the information required to produce form 5498. The file contains the following information for each active IRA, Roth, Roth Conversion, SEP, or SIMPLE retirement plan umbrella in the system.

IMPORTANT! Schedule the 5498 task for the national retirement contribution cut-off date. Go to the Year End Processing Guide for more information.

Report when:

• DP_UMB.type = IRA, Roth, Roth Conv, SEP or SIMPLE

Exceptions:

• DP_UMB.third_party_irs_rpt = ‘Y’

Selection Criteria for Address Living Plans

Need to report for Plan Owners

IF DP_UMB.dist_type = Participant and DP_UMB.status = Contribution, Distribution, Both, Closed Name 1 = RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial WHERE DP_UMB.rim_no = RM_ACCT.rim_no Use Participant’s primary address (DP_UMB.rim_no = RM_ADDRESS.rim_no) IF DP_UMB.dist_type = Beneficiary and DP_UMB.status = Distribution, Both, Closed Name 1 = RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial WHERE DP_UMB.rim_no = RM_ACCT.rim_no Name 2 = as Bene of <RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial> WHERE DP_UMB.part_rim_no = RM_ACCT.rim_no Use Beneficiary’s primary address (DP_UMB.rim_no = RM_ADDRESS.rim_no)

For Decedent Plans

WHERE the Plan Owner Died in the Current Year (DP_UMB.plan_status = Deceased, Split and


RM_ACCT.deceased_dt = system year)

Need to report for plan owners:

IF DP_UMB.dist_type = Participant and DP_UMB.status = Deceased, Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt where DP_UMB_DISPLAY.period_id = 0 Name 1 = RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial WHERE DP_UMB.rim_no = RM_ACCT.rim_no Use Participant’s primary address (DP_UMB.rim_no = RM_ADDRESS.rim_no)

Do not report FMV for Plan Beneficiaries since Participant was alive on Decemebr 31st of the report year.

IF DP_UMB.dist_type = Beneficiary and DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt WHERE DP_UMB_DISPLAY.period_id = 0 Name 1 = RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial WHERE DP_UMB.rim_no = RM_ACCT.rim_no Name 2 = as Bene of <RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial> WHERE DP_UMB.part_rim_no = RM_ACCT.rim_no Use Beneficiary’s primary address (DP_UMB.rim_no = RM_ADDRESS.rim_no)

Beneficiary plans do not allow beneficiaries:

For Date of Death Year on Participant Plans (Report Year = Deceased Year) Need to report for Participant and Primary Beneficiaries

Participant Plan

IF DP_UMB.dist_type = Participant DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt WHERE DP_UMB_DISPLAY.period_id = 1 Name 1 = RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial


Use Participant’s primary address (DP_UMB.rim_no = RM_ADDRESS.rim_no)

Beneficiary(s) on Participant Plan

IF DP_UMB.dist_type = Participant and DP_UMB.status = Deceased and RM_ACCT.deceased_dt BETWEEN DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt WHERE DP_UMB_DISPLAY.period_id = 1 Name 1 = RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial WHERE DP_UMB_BENE.rim_no = RM_ACCT.rim_no and DP_UMB-_BENE.type = Primary and DP_UMB_BENE.status = Active. Name 2 = as Bene of <RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial> WHERE DP_UMB.rim_no = RM_ACCT.rim_no Use Beneficiary’s primary address (DP_UMB_BENE.rim_no = RM_ADDRESS.rim_no

Note: If not the date of death year, do not generate a 5498 for either Participant or Primary Beneficiary(s). The decedent Plan must be split by December 31st of the year following the date of death.

For Date of Death Year on Beneficiary Plans (Report Year = Deceased Year) - Need to report for Beneficiary

Beneficiary Plan 5498

IF DP_UMB.dist_type = Beneficiary and DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt WHERE DP_UMB_DISPLAY.period_id = 1 Name 1 = RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial WHERE DP_UMB.rim_no = RM_ACCT.rim_no Name 2 = as Bene of <RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial> WHERE DP_UMB.part_rim_no = RM_ACCT.rim_no Use Beneficiary’s primary address (DP_UMB.rim_no = RM_ADDRESS.rim_no)


Note: Beneficiary plans do not allow Beneficiaries.

If not the date of death year, do not generate a 5498 for Beneficiary. The decedent Plan must be split by December 31 of the year following the date of death.

Selection Criteria for Accounts Do not need to generate a statement if:

• Plan = Education, Medical, KEOGH, or Qualified

(DP_UMB.type = Medical, KEOGH, or Qualified)

• Third Party IRS Reporting = Y

(DP_UMB.third_party_irs_rpt = Y)

If Plan beginning balance was $0.00 and no contributions, rollovers, transfers, conversion or recharacterizations were made.

DP_UMB_DISPLAY.begin_bal = 0 where period_id = 0 and DP_UMB_DISPLAY.normal_cont.ytd = 0 where period_id = 0 and DP_UMB_DISPLAY.roll_cont_ytd = 0 where period_id = 0 and DP_UMB_DISPLAY.tfr_cont_ytd = 0 where period_id = 0 and DP_UMB_DISPLAY.prev_yr_cont_ytd = 0 where period_id = 0 and DP_UMB_DISPLAY.empl_cont_ytd = 0 where period_id = 0 and DP_UMB_DISPLAY.prev_yr_empl_cont_ytd = 0 where period_id = 0 and DP_UMB_DISPLAY.roth_conv_ytd = 0 where period_id = 0 or and DP_UMB_DISPLAY.rechar_cont_ytd = 0 where period_id = 0 Special Instructions

Living Plans - Need to report for Plan Owners

IF DP_UMB.dist_type = Participant and DP_UMB.status = Contribution, Distribution, Both, Closed Name 1 = RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial WHERE DP_UMB.rim_no = RM_ACCT.rim_no Use Participant’s primary address (DP_UMB.rim_no = RM_ADDRESS.rim_no), TIN, and calculated FMV. IF DP_UMB.dist_type = Beneficiary and DP_UMB.status = Distribution, Both, Closed Name 1 = RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial


WHERE DP_UMB.rim_no = RM_ACCT.rim_no Name 2 = as Bene of <RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial> WHERE DP_UMB.part_rim_no = RM_ACCT.rim_no Use Beneficiary’s primary address (DP_UMB.rim_no = RM_ADDRESS.rim_no), TIN, and calculated FMV.

For Decedent Plans - Need to report for Plan Owners

WHERE the Plan Owner Died in the Current Year (DP_UMB.plan_status = Deceased, Split and RM_ACCT.deceased_dt = system year) IF DP_UMB.dist_type = Participant and DP_UMB.status = Deceased, Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt WHERE DP_UMB_DISPLAY.period_id = 0 Name 1 = RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial WHERE DP_UMB.rim_no = RM_ACCT.rim_no

Use Participant’s primary address (DP_UMB.rim_no = RM_ADDRESS.rim_no), TIN, and calculated FMV.

Do not report FMV for Plan Beneficiaries since Participant was alive on Decemebr 31st of the report year.

IF DP_UMB.dist_type = Beneficiary and DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt WHERE DP_UMB_DISPLAY.period_id = 0 Name 1 = RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial WHERE DP_UMB.rim_no = RM_ACCT.rim_no Name 2 = as Bene of <RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial> WHERE DP_UMB.part_rim_no = RM_ACCT.rim_no

Use Beneficiary’s primary address (DP_UMB.rim_no = RM_ADDRESS.rim_no), TIN, and calculated FMV.

Note: Beneficiary plans do not allow Beneficiaries


For Date of Death Year on Participant Plans (Report Year = Deceased Year)

Need to report for Participant and Primary Beneficiaries

Participant Plan

IF DP_UMB.dist_type = Participant DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt WHERE DP_UMB_DISPLAY.period_id = 1 Name 1 = RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial

Use Participant’s primary address (DP_UMB.rim_no = RM_ADDRESS.rim_no), TIN, and FMV = $0.00.

Beneficiary(s) on Participant Plan

IF DP_UMB.dist_type = Participant and DP_UMB.status = Deceased and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt WHERE DP_UMB_DISPLAY.period_id = 1 Name 1 = RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial WHERE DP_UMB_BENE.rim_no = RM_ACCT.rim_no and DP_UMB-_BENE.type = Primary and DP_UMB_BENE.status = Active. Name 2 = as Bene of <RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial> WHERE DP_UMB.rim_no = RM_ACCT.rim_no

Use Beneficiary’s primary address (DP_UMB_BENE.rim_no = RM_ADDRESS.rim_no), TIN, and the beneficiary’s portion of calculated FMV.

If not the date of death year, do not generate a 5498 for either Participant or Primary Beneficiary(s). The decedent Plan must be split by December 31 of the year following the date of death.

For Date of Death Year on Beneficiary Plans (Report Year = Deceased Year)

Need to report for Beneficiary


Beneficiary Plan 5498

IF DP_UMB.dist_type = Beneficiary and DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt WHERE DP_UMB_DISPLAY.period_id = 1 Name 1 = RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial WHERE DP_UMB.rim_no = RM_ACCT.rim_no Name 2 = as Bene of <RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial> WHERE DP_UMB.part_rim_no = RM_ACCT.rim_no

Use Beneficiary’s primary address (DP_UMB.rim_no = RM_ADDRESS.rim_no), TIN, and FMV = $0.00.

Note: Beneficiary plans do not allow Beneficiaries

If not the date of death year, do not generate a 5498 for Beneficiary. The decedent Plan must be split by December 31 of the year following the date of death.

Task Information


5498 IRA Contribution Information

5498 System Generation

604 psp_irs_5498













Table Mapping [Participant]

Field Name Box Nbr Data Type Source Data during Task Generation irs_5498 irs_recipient

Tax Year 20XX irs_5498.tax_year

TIN Type Char (1) irs_5498.tin_type


Varchar (15) If DP_UMB.status = Contribution, Distribution, Both, Closed RM_ACCT.tin Participant Plan if DP_UMB.dist_type = Participant DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt where DP_UMB_DISPLAY.period_id = 0 Use Participant’s RM_ACCT.tin if DP_UMB.dist_type = Participant DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt where DP_UMB_DISPLAY.period_id = 1 Use Participant’s RM_ACCT.tin Beneficiary(s) on Participant Plan if DP_UMB.dist_type = Participant DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt where DP_UMB_DISPLAY.period_id = 1 Use Participant Plan Beneficiary’s RM_ACCT.tin Beneficiary Plan if DP_UMB.dist_type = Beneficiary and DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt where DP_UMB_DISPLAY.period_id = 0

irs_5498.tin If irs_5498.rim_no IS NULL irs_recipient.tin


Field Name Box Nbr Data Type Source Data during Task Generation irs_5498 irs_recipient Use Beneficiary’s RM_ACCT.tin if DP_UMB.dist_type = Beneficiary and DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt where DP_UMB_DISPLAY.period_id = 1 Use Beneficiary’s RM_ACCT.tin


Char (40) If DP_UMB.status = Contribution, Distribution, Both, Closed Name 1 = RM_ACCT.last_name RM_ACCT.suffix‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial where DP_UMB.rim_no = RM_ACCT.rim_no Participant Plan if DP_UMB.dist_type = Participant and DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt where DP_UMB_DISPLAY.period_id = 0 Name 1 = RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial if DP_UMB.dist_type = Participant and DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt where DP_UMB_DISPLAY.period_id = 1 Name 1 = RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial Beneficiary(s) on Participant Plan if DP_UMB.dist_type = Participant and DP_UMB.status = Deceased and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and



Field Name Box Nbr Data Type Source Data during Task Generation irs_5498 irs_recipient DP_UMB_DISPLAY.end_dt where DP_UMB_DISPLAY.period_id = 1 Name 1 = RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial where DP_UMB_BENE.rim_no = RM_ACCT.rim_no and DP_UMB-_BENE.type = Primary and DP_UMB_BENE.status = Active Beneficiary Plan If DP_UMB.dist_type = Beneficiary and DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt where DP_UMB_DISPLAY.period_id = 0 Name 1 = RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial where DP_UMB.rim_no = RM_ACCT.rim_no If DP_UMB.dist_type = Beneficiary and DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt where DP_UMB_DISPLAY.period_id = 1 Name 1 = RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial where DP_UMB.rim_no = RM_ACCT.rim_no


Char (40) if DP_UMB.dist_type = Participant and DP_UMB.status = Contribution, Distribution, Both, Closed Name 2 is NULL If DP_UMB.dist_type = Beneficiary and DP_UMB.status = Distribution, Both, Closed Name 2 = as Bene of <RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial> where DP_UMB.part_rim_no = RM_ACCT.rim_no Participant Plan



Field Name Box Nbr Data Type Source Data during Task Generation irs_5498 irs_recipient if DP_UMB.dist_type = Participant DP_UMB.status = Deceased and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt where DP_UMB_DISPLAY.period_id = 0 Name 2 is NULL if DP_UMB.dist_type = Participant DP_UMB.status = Deceased and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt where DP_UMB_DISPLAY.period_id = 1 Name 2 = as Bene of <RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial> where DP_UMB.rim_no = RM_ACCT.rim_no Beneficiary Plan If DP_UMB.dist_type = Beneficiary and DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt where DP_UMB_DISPLAY.period_id = 0 Name 2 = as Bene of <RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial> where DP_UMB.part_rim_no = RM_ACCT.rim_no If DP_UMB.dist_type = Beneficiary and DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt where DP_UMB_DISPLAY.period_id = 1 Name 2 = as Bene of <RM_ACCT.last_name‘,’ RM_ACCT.first_name, RM_ACCT.middle_initial> where DP_UMB.part_rim_no = RM_ACCT.rim_no

Street 1 Address Char (40) If RM_ADDRESS.international = N If RM_ADDRESS.address_line_3 is NULL Select RM_ADDRESS.address_line_1 Else

If irs_5498.rim_no IS NULL irs_recipient.Address_line_1


Field Name Box Nbr Data Type Source Data during Task Generation irs_5498 irs_recipient If RM_ADDRESS.address_line_3 is Not NULL Select RM_ADDRESS.address_line_2 If RM_ADDRESS.international = Y Select RM_ADDRESS.address_line_1


If irs_5498.rim_no IS NULL irs_recipient.Address_line_2

Street 3 If irs_5498.rim_no IS NULL irs_recipient.Address_line_3












Foreign Postal Code






Char (20) DP_UMB_DISPLAY.plan_no irs_5498.plan_no

Regular IRA Contribution

1 Decimal (9) If DP_UMB.type = IRA or SEP DP_UMB_DISPLAY.normal_cont.ytd where period_id = 1 + DP_UMB_DISPLAY.prev_yr_cont.ytd where period_id = 0

irs_5498.reg_IRA_contrib

Rollover Contribution

2 Decimal (9) If DP_UMB.type = IRA or SEP, Roth, Roth Conv, SIMPLE (excludes DP_UMB.type = Education) DP_UMB_DISPLAY.roll_cont.ytd where period_id = 1

irs_5498.rollover_contrib

Roth Conversion Amount

3 Decimal (9) If DP_UMB.type = Roth, Roth Conv DP_UMB_DISPLAY.roth_conv_ytd where period_id = 1

irs_5498.roth_conv_amt

Recharacterization Contributions

4 Decimal (9) If DP_UMB_DISPLAY.rechar_cont_ytd where period_id = 1

irs_5498.rechar_contrib

FMV of Account 5 Decimal (9) If DP_UMB.status = Contribution, Distribution, Both, Closed Sum of DP_UMB_DISPLAY.begin_bal where period_id = 0 +

irs_5498.fmv_acct


Field Name Box Nbr Data Type Source Data during Task Generation irs_5498 irs_recipient DP_UMB_DISPLAY.dec_31_accr_int where period_id = 1 If period_id = 1 does not exist then calculate as DP_UMB_DISPLAY.begin_bal where period_id = 0 Participant Plan if DP_UMB.dist_type = Participant and DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt where DP_UMB_DISPLAY.period_id = 0 Sum of DP_UMB_DISPLAY.begin_bal where period_id = 0 + DP_UMB_DISPLAY.dec_31_accr_int where period_id = 1 If period_id = 1 does not exist then calculate as DP_UMB_DISPLAY.begin_bal where period_id = 0 if DP_UMB.dist_type = Participant and DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt where DP_UMB_DISPLAY.period_id = 1 FMV = $0.00 if DP_UMB.dist_type = Participant and DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt where DP_UMB_DISPLAY.period_id = 1 FMV = (DP_UMB_DISPLAY.begin_bal where DP_UMB_DISPLAY.period_id = 0 + DP_UMB_DISPLAY.dec_31_accr_int where period_id = 1 times DP_UMB_BENE.percentage) where DP_UMB_BENE.type = Primary and DP_UMB_BENE. status = Active


Field Name Box Nbr Data Type Source Data during Task Generation irs_5498 irs_recipient Beneficiary Plan If DP_UMB.dist_type = Beneficiary and DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt where DP_UMB_DISPLAY.period_id = 0 Sum of DP_UMB_DISPLAY.begin_bal where period_id = 0 + DP_UMB_DISPLAY.dec_31_accr_int where period_id = 1 If period_id = 1 does not exist then calculate as DP_UMB_DISPLAY.begin_bal where period_id = 0 If DP_UMB.dist_type = Beneficiary and DP_UMB.status = Deceased or Split and RM_ACCT.deceased_dt between DP_UMB_DISPLAY.begin_dt and DP_UMB_DISPLAY.end_dt where DP_UMB_DISPLAY.period_id = 1 FMV = $0.00 Note: If calculated FMV is negative, populate using 0.00

Life Insurance Cost in Box 1

6 Decimal (9) irs_5498.life_insurance_cost

Contribution Type

7 Char (1) If DP_UMB.type = IRA = I Roth, Roth Conv = R SEP = S SIMPLE = L

irs_5498.contrib_type

SEP Contribtions

8 Decimal (9) If DP_UMB.type = SEP DP_UMB_DISPLAY.empl_cont_ytd where period_id = 1 + DP_UMB_DISPLAY.prev_yr_empl_cont_ytd where period_id = 1

irs_5498.SEP_contrib



SIMPLE Contributions

9 Decimal (9) If DP_UMB.type = SIMPLE DP_UMB_DISPLAY.empl_cont_ytd where period_id = 1 + DP_UMB_DISPLAY.normal_cont_ytd where period_id = 1 + DP_UMB_DISPLAY.prev_yr_empl_cont_ytd where period_id = 1 + DP_UMB_DISPLAY.prev_yr_cont_ytd where period_id = 1

irs_5498.SIMPLE_contrib

ROTH IRA Contributions

10 Decimal (9) IF DP_UMB.type = Roth, Roth Conv DP_UMB_DISPLAY.normal_cont.ytd where period_id = 1 + DP_UMB_DISPLAY.prev_yr_cont.ytd where period_id = 0

irs_5498. ROTH_IRA_contrib

Check if RMD Indicator for YYYY

11 Char (1) If DP_UMB.required_begin_dt <= ‘12/31/system date year + 1> print Y Else blank

irs_5498.RMD

RMD Date 12a Smalldatetime (4)

N/A irs_5498.RMD_dt

RMD Amount 12b Decimal (9) N/A irs_5498.RMD_amt

Postponed/Late Contrib. Amount

13a Decimal (9) N/A irs_5498.postponed_contrib_amt

Postponed/Late Contrib. Year

13b Char (4) N/A irs_5498.postponed_contrib_yr

Postponed/Late Contrib. Code

13c Char (2) N/A irs_5498.RMD.postponed_contrib_code

Repayment Amount

14a Decimal (9) CARES??? irs_5498.repay_amt

Repayment Code

14b Char (2) CARES??? irs_5498.repay_code

FMV of Certain Specified Assets

15a Decimal (9) N/A irs_5498.FMV_assets

Code 15b Char (2) N/A irs_5498.code



Filing Status Varchar (25) N/A irs_5498.filing_status


5498-SA - Retirement Plan Summary The 5498sa task generates all the information required to produce form 5498-MSA. The file contains the following information for all active Archer Medical Savings Account retirement plan umbrellas in the system.

IMPORTANT! Schedule the 5498 task for the national retirement contribution cut-off date. Go to Year End Processing Guide for more information.

Report when:

• DP_UMB.type = Medical, Health

Exceptions:

• DP_UMB.third_party_irs_rpt = ‘Y’

Selection Criteria SELECT accounts within plan where DP_UMB.TYPE = Medical, Health and DP_UMB.third_party_irs_rpt = ‘N’ and DP_UMB_DISPLAY_DIST.fmv_at_death = ‘N’

Task Information


5498-SA HSA, Archer MSA, or Medicare Advantage MSA Information

5498-SA System Generation

603 psp_irs_5498sa















Tax Year 20XX Int (4) irs_5498sa.tax_year If irs_1099int.rim_no IS NULL irs_recipient.tin

TIN Type Char (1) irs_5498sa.tin_type







Street 1 Address Char (40) If RM_ADDRESS.international = N If RM_ADDRESS.address_line_3 is NULL Select RM_ADDRESS.address_line_1 Else




If RM_ADDRESS.address_line_3 is Not NULL Select RM_ADDRESS.address_line_2 If RM_ADDRESS.international = Y Select RM_ADDRESS.address_line_1








US ZIP Address Char (9) If RM_ADDRESS.international = N If irs_1099int.rim_no



RM_ADDRESS.zip (10) strip out ‘-‘ Else blank

IS NULL irs_recipient.zip




Foreign Postal Code






Char (20) DP_UMB_DISPLAY.plan_no irs_5498sa.plan_no

Reglar MSA Contribution

1 Decimal (9) If DP_UMB.type = Medical DP_UMB_DISPLAY.normal_cont_ytd where period_id = 1 + DP_UMB_DISPLAY.prev_yr_cont_ytd where period_id = 0 Else leave blank

irs_5498sa.reg_MSA_contrib

Total Contributions Made in XXXX XXXX = Current Tax Year

2 Decimal (9) Sum of DP_UMB_DISPLAY.normal_cont_ytd where period_id = 1 + DP_UMB_DISPLAY.empl_cont_ytd where period_id = 1 + DP_UMB_DISPLAY.prev_yr_cont_ytd where period_id = 1 + DP_UMB_DISPLAY.prev_yr_empl_cont_ytd where period_id = 1

irs_5498sa.total_contrib



Total MSA Contribution in YYYY for XXXX Where XXXX = Current Tax Year YYYY = Next Tax Year

3 Decimal (9) DP_UMB_DISPLAY.prev_yr_cont_ytd where period_id = 0 + DP_UMB_DISPLAY.prev_yr_empl_cont_ytd where period_id = 0

irs_5498sa.total_contrib_sa


4 Decimal (9) DP_UMB_DISPLAY.roll_cont_ytd where period_id = 1

irs_5498sa. rollover_contrib

Fair Market Value of MSA

5 Decimal (9) Sum of DP_UMB_DISPLAY.begin_bal where period_id = 0 + DP_UMB_DISPLAY.dec_31_accr_int where period_id = 1 If period_id = 1 does not exist then calculate as DP_UMB_DISPLAY.begin_bal where period_id = 0 Note: If calculated FMV is negative, populate using 0.00

irs_5498sa.FMV_MSA

Plan Type

6 Char (1) If DP_UMB.type = Medical pass A If DP_UMB.type = Health pass H

irs_5498sa.plan_type

Filing Status Varchar (25) N/A irs_5498sa.filing_status


5498-ESA - Retirement Plan Summary The 5498esa task generates all the information required to produce form 5498-ESA. The 5498esa contains the following information for each active Coverdell ESA retirement plan umbrella in the system.

IMPORTANT! Remember to schedule the 5498 task for the national retirement contribution cut-off date. Go to the Year End Processing Guide for more information.

Include in the irs_5498esa table when:

• DP_UMB.type = Education • DP_UMB_DISPLAY.normal_cont.ytd > 0 where period_id = 1 or DP_UMB_DISPLAY.prev_yr_cont_ytd > 0 where period_id = 0 • DP_UMB_DISPLAY.roll_cont_ytd > 0 where period_id = 1

Selection Criteria Do not need to generate to the table if:

• Third Party IRS Reporting = Y - DP_UMB.third_party_irs_rpt = Y • Plan beginning balance was $0.00 and no contributions or rollovers were made.

DP_UMB_DISPLAY.normal_cont_ytd = 0 where period_id = 1 and

DP_UMB_DISPLAY.roll_cont_ytd = 0 where period_id = 1 and

DP_UMB_DISPLAY.prev_yr_cont_ytd = 0 where period_id = 0

Select accounts in plan where:

DP_UMB.type = Education and DP_UMB,third_party_irs_rpt = ‘N’ and DP_UMB_DISPLAY_DIST.fmv_at_death = ‘N’ and (DP_UMB_DISPLAY.normal_cont.ytd > 0 where period_id = 1 or DP_UMB_DISPLAY.roll_cont_ytd > 0 where period_id = 1 or DP_UMB_DISPLAY.prev_yr_cont_ytd > 0 where period_id = 0)


Task Information


5498-ESA Coverdell ESA Contribution Information

5498-ESA System Generation

605 psp_irs_5498esa












Field Name Box Nbr Data Type Source Data during Task Generation irs_5498esa irs_recipient

Tax Year 20XX Int (4) irs_5498esa.tax_year

TIN Type Char (1) irs_5498esa.tin_type

Federal Tax ID Recipient ID Varchar (15) RM_ACCT.tin If irs_1099int.rim_no IS NULL irs_recipient.tin

























Foreign Postal Code





Account # Account Nbr Char (20) DP_UMB_DISPLAY.plan_no irs_5498esa.plan_no

Coverdell ESA Contribution

1 Decimal (9) DP_UMB_DISPLAY.normal_cont.ytd where period_id = 1 + DP_UMB_DISPLAY.prev_yr_cont.ytd where period_id = 0

irs_5498esa.coverdell_esa_contrib


2 Decimal (9) DP_UMB_DISPLAY.roll_cont_ytd where period_id = 1

irs_5498esa.rollover_contrib



Filing Status Varchar (25) N/A irs_5498esa.filing_status


Loan Account Year-End Tables Task:

• 1098 - All Accounts • 1098-E - All Accounts • 1099-A - Secured Property • 1099-C - Cancellation of Debt • 1099-MISC - Miscellaneous Income

1098 - All Accounts The 1098 task generates all the information required to produce Form 1098. The file contains all loan accounts with the 1098 option selected in the IRS group box on the Reporting information tab of the Add New/Edit Existing Loan Account window, regardless of interest paid.

Report when:

• Loan is 1098 reportable on Form 1098. • Any amount of 1098 reportable interest and/or fees are to be reported. • Taxes paid do not need to be reported.

Note: This file includes the PMI amount.

Selection Criteria SELECT RM_ACCT.tin, RTRIM(RM_ACCT.last_name + ' ' + RM_ACCT.suffix), RM_ACCT.first_name, RM_ACCT.middle_initial, RM_ADDRESS.address_line_1, RM_ADDRESS.address_line_2, RM_ADDRESS.address_line_3, RM_ADDRESS.city, RM_ADDRESS.state, RM_ADDRESS.zip, LN_DISPLAY.acct_type, LN_DISPLAY.acct_no, LN_ACCT_INT_OPT.int_type, LN_ACCT_INT_REB.earn_ytd, LN_ACCT_INT_OPT.int_pd_ytd, LN_DISPLAY.int_ppd_ytd, LN_DISPLAY.accr_dr, LN_DISPLAY.int_refund_ytd, LN_DISPLAY.late_fees_pd_ytd, LN_DISPLAY.class_code,


LN_DISPLAY.pd_ytd_1098, LN_DISPLAY.status, RM_ADDRESS.international, RM_ACCT.rim_type, AD_GB_COUNTRY.description, RM_ACCT.rim_no, LN_DISPLAY.re_taxes_pd_pytd, LN_ACCT.branch_no FROM RM_ACCT, RM_ADDRESS, LN_DISPLAY, RM_DISPLAY, LN_ACCT, LN_ACCT_INT_OPT, LN_ACCT_INT_REB, AD_GB_COUNTRY WHERE RM_ACCT.rim_no = LN_DISPLAY.rim_no and RM_ACCT.rim_no = RM_ADDRESS.rim_no and RM_ACCT.rim_no = RM_DISPLAY.rim_no and LN_ACCT.irs = 'y' and LN_DISPLAY.part_count>= 0 and LN_DISPLAY.acct_no = LN_ACCT_INT_OPT.acct_no and LN_DISPLAY.acct_type = LN_ACCT_INT_OPT.acct_type and LN_DISPLAY.acct_no = LN_ACCT.acct_no and LN_DISPLAY.acct_type = LN_ACCT.acct_type and LN_DISPLAY.acct_no *= LN_ACCT_INT_REB.acct_no and LN_DISPLAY.acct_type *= LN_ACCT_INT_REB.acct_type and ( LN_DISPLAY.status != 'closed' or ( LN_DISPLAY.status = 'closed' and LN_DISPLAY.closed_dt between @pdtfrom and @pdtto ) ) and RM_ADDRESS.country_code = ad_gb_country.country_code and RM_ADDRESS.addr_id = ( select max(x.addr_id) FROM RM_ADDRESS x WHERE x.rim_no = RM_ACCT.rim_no and ( ( x.addr_type_id = 10 and @pdtto between x.start_dt and x.end_dt and x.status = 'active' ) or x.addr_type_id = 1) ) ORDER BY RM_ACCT.last_name, RM_ACCT.first_name


Note: Participated loans are excluded from reporting. The exclusion is defined as LN_DISPLAY.part_count >= 0.

Task Information


1098 Mortgage Interest Statement

1099 System Generation

601 psp_irs_1098

Table Mapping [Borrower]












Tax Year 20XX Int (4) irs_1098.tax_year

TIN Type Char (1) irs_1098.tin_type


Varchar (15) RM_ACCT.tin If irs_1099int.rim_no IS NULL irs_recipient.tin

























Foreign Postal Code






Char (20) LN_ACCT.acct_type - LN_ACCT.acct_no irs_1098.acct_type + irs_1098.acct_no

Mortgage Interest Received from Payer(s)

1 Decimal (9) If LN_ACCT_INT_OPT.int_type = ‘Add-On’, this will be equal to LN_ACCT_INT_REB.earn_ytd. To this, the system will add LN_DISPLAY.late_fees_pd_ytd if the late fees are 1098 reportable and any prepayment penalties that are also 1098 reportable. For all other interest types, this will be equal to LN_ACCT_INT_OPT.int_pd_ytd. To this, the system will add LN_DISPLAY.late_fees_pd_ytd if the late fees are 1098 reportable and any prepayment penalties that are also 1098 reportable. And, if the accrued interest is currently less than zero, the accrued interest is added to this total.

irs_1098.int_paid

Original Mortgage Principal

2 Decimal (9) LN_DISPLAY.cur_yr_begin_bal irs_1098.cur_bal

Mortgage Origination Date

3 Smalldatetime (4)

LN_DISPLAY.orig_contract_dt irs_1098.orig_dt

Refund of Overpaid Interest

4 Decimal (9) LN_DISPLAY.int_refund_ytd irs_1098.



Mortgage Insurance Premium

5 Decimal (9) SUM of LN_ESCROW_AGENT.disb_ytd for escrow agent records configured for PMI. Note: For current tax year, PMI is reported.

Irs_1098.ins_premium

Points Paid on Purchase of Principal Residence

6 Decimal (9) LN_DISPLAY.pd_ytd_1098 minus any prepayment penalties that were paid that are 1098 reportable.

Irs_1098.points_paid

Address or Property Securing Mortgage

7 Char (1) LN_ACCT.property_securing_same irs_1098.address_secure


Address or Property Securing Mortgage

8 Varchar (120) If LN_COLLATERAL.primary = ‘Y’ where LN_COLLATERAL.acct_type = LN_ACCT.acct_type and LN_COLLATERAL.acct_no = LN_ACCT.acct_no And RM_FIN_STMT.entry_type = ‘Property’ or RM_FIN_STMT.entry_type = ‘Vehicle’ and RM_FIN_STMT.1098_rep_propr = ‘Y’ where RM_FIN_STMT.fin_stmt_item_id = LN_COLLATERAL.fin_stmt_item_id, INSERT RM_FIN_STMT.address_line_1 CONCATENATE If LN_COLLATERAL.primary = ‘Y’ where LN_COLLATERAL.acct_type = LN_ACCT.acct_type and LN_COLLATERAL.acct_no = LN_ACCT.acct_no And RM_FIN_STMT.entry_type = ‘Property’ or RM_FIN_STMT.entry_type = ‘Vehicle’ and RM_FIN_STMT.1098_rep_propr = ‘Y’ where RM_FIN_STMT.fin_stmt_item_id = LN_COLLATERAL.fin_stmt_item_id, INSERT RM_FIN_STMT.address_line_2. CONCATENATE If LN_COLLATERAL.primary = ‘Y’ or RM_FIN_STMT.entry_type = ‘Vehicle’ and RM_FIN_STMT.1098_rep_propr = ‘Y’ where LN_COLLATERAL.acct_type = LN_ACCT.acct_type and LN_COLLATERAL.acct_no = LN_ACCT.acct_no And RM_FIN_STMT.entry_type = ‘Property’ where RM_FIN_STMT.fin_stmt_item_id = LN_COLLATERAL.fin_stmt_item_id, INSERT RM_FIN_STMT.city. CONCATENATE If LN_COLLATERAL.primary = ‘Y’ where LN_COLLATERAL.acct_type = LN_ACCT.acct_type and LN_COLLATERAL.acct_no = LN_ACCT.acct_no And RM_FIN_STMT.entry_type = ‘Property’ or RM_FIN_STMT.entry_type = ‘Vehicle’ and

irs_1098.property_securing



RM_FIN_STMT.1098_rep_propr = ‘Y’ where RM_FIN_STMT.fin_stmt_item_id = LN_COLLATERAL.fin_stmt_item_id, INSERT RM_FIN_STMT.state. CONCATENATE If LN_COLLATERAL.primary = ‘Y’ where LN_COLLATERAL.acct_type = LN_ACCT.acct_type and LN_COLLATERAL.acct_no = LN_ACCT.acct_no And RM_FIN_STMT.entry_type = ‘Property’ or RM_FIN_STMT.entry_type = ‘Vehicle’ and RM_FIN_STMT.1098_rep_propr = ‘Y’ where RM_FIN_STMT.fin_stmt_item_id = LN_COLLATERAL.fin_sm,t_item_id, INSERT RM_FIN_STMT.zip. CONCATENATE Only populate this box if LN_ACCT.property_securing_same = ‘N’ If LN_COLLATERAL.primary = ‘Y’ where LN_COLLATERAL.acct_type = LN_ACCT.acct_type and LN_COLLATERAL.acct_no = LN_ACCT.acct_no And RM_FIN_STMT.entry_type = ‘Property’ where RM_FIN_STMT.fin_stmt_item_id = LN_COLLATERAL.fin_stmt_item_id, INSERT RM_FIN_STMT.country_code. ***Note: The country code will appear after the property zip.



Address or Property Securing Mortgage Cont.

8 Varchar (120) If LN_COLLATERAL.primary = ‘Y’ where LN_COLLATERAL.acct_type = LN_ACCT.acct_type and LN_COLLATERAL.acct_no = LN_ACCT.acct_no And RM_FIN_STMT.entry_type = ‘Property’ or RM_FIN_STMT.entry_type = ‘Vehicle’ and RM_FIN_STMT.1098_rep_propr = ‘Y’ where RM_FIN_STMT.fin_stmt_item_id = LN_COLLATERAL.fin_sm,t_item_id, INSERT RM_FIN_STMT.jurisdiction. If LN_COLLATERAL.primary = ‘Y’ where LN_COLLATERAL.acct_type = LN_ACCT.acct_type and LN_COLLATERAL.acct_no = LN_ACCT.acct_no And RM_FIN_STMT.entry_type = ‘Property’ or RM_FIN_STMT.entry_type = ‘Vehicle’ and RM_FIN_STMT.1098_rep_propr = ‘Y’ where RM_FIN_STMT.fin_stmt_item_id = LN_COLLATERAL.fin_stmt_item_id, INSERT RM_FIN_STMT.parcel_id.

irs_1098.property_desc



Number of Properties Securing the Mortgage

9 Char (4) If LN_ACCT.irs = 'Y' LN_COLLATERAL.acct_type = LN_ACCT.acct_type LN_COLLATERAL.acct_no = LN_ACCT.acct_no RM_FIN_STMT.fin_stmt_item_id = LN_COLLATERAL.fin_stmt_item_id RM_FIN_STMT.entry_type = 'Property' or RM_FIN_STMT.entry_type = 'Vehicle' and RM_FIN_STMT.1098_rep_prop = 'Y' LN_COLLATERAL.status != 'Closed', 'Inactive' LN_DISPLAY.status != 'Closed' or LN_DISPLAY.status = 'Closed' and LN_DISPLAY.closed_dt between 01/01/2017 and 12/31/2017 RM_FIN_STMT.status != ‘Closed’ Sum up number of rows found attached to account.

irs_1098.no_properties

Taxes Paid 10 Char (39) irs_1098.other

Mortgage Acquition Date

11 Smalldatetime (4)

LN_ACCT.acquisition_dt irs_1098.acquition_dt

Filing Status Varchar (25) N/A irs_1098.filing_status


1098-E - All Accounts IMPORTANT! When importing in IRS Tax Reporting for Fusion Phoenix, choose ONE 1098 and ONE 1098-E, if applicable. Refer to the IRS Tax Reporting for Fusion Phoenix Release Installation and Processing Instructions for more information.

Report when:

• a loan is 1098-E reportable on Form 1098-E.

Selection Criteria SELECT RM_ACCT.tin, rtrim(RM_ACCT.last_name + ' ' + RM_ACCT.suffix), RM_ACCT.first_name, RM_ACCT.middle_initial, RM_ADDRESS.address_line_1, RM_ADDRESS.address_line_2, RM_ADDRESS.address_line_3, RM_ADDRESS.city, RM_ADDRESS.state, RM_ADDRESS.zip, LN_DISPLAY.acct_type, LN_DISPLAY.acct_no, LN_ACCT_INT_OPT.int_type, LN_ACCT_INT_REB.earn_ytd, LN_ACCT_INT_OPT.int_pd_ytd, LN_DISPLAY.int_ppd_ytd, LN_DISPLAY.accr_dr, LN_DISPLAY.int_refund_ytd, LN_DISPLAY.late_fees_pd_ytd, LN_DISPLAY.class_code, LN_DISPLAY.pd_ytd_1098, LN_DISPLAY.status, RM_ADDRESS.INTERNATIONAL, RM_ACCT.RIM_TYPE, AD_GB_COUNTRY.DESCRIPTION, RM_ACCT.rim_no, LN_DISPLAY.re_taxes_pd_pytd, LN_ACCT.branch_no FROM RM_ACCT, RM_ADDRESS, LN_DISPLAY, RM_DISPLAY, LN_ACCT, LN_ACCT_INT_OPT, LN_ACCT_INT_REB, AD_GB_COUNTRY WHERE RM_ACCT.rim_no = LN_DISPLAY.rim_no and RM_ACCT.rim_no = RM_ADDRESS.rim_no and RM_ACCT.rim_no = RM_DISPLAY.rim_no and


LN_ACCT.irs = 'Y' and LN_DISPLAY.part_count>= 0 and LN_DISPLAY.acct_no = LN_ACCT_INT_OPT.acct_no and LN_DISPLAY.acct_type = LN_ACCT_INT_OPT.acct_type and LN_DISPLAY.acct_no = LN_ACCT.acct_no and LN_DISPLAY.acct_type = LN_ACCT.acct_type and LN_DISPLAY.acct_no *= LN_ACCT_INT_REB.acct_no and LN_DISPLAY.acct_type *= LN_ACCT_INT_REB.acct_type and ( LN_DISPLAY.status != 'Closed' OR ( LN_DISPLAY.status = 'Closed' and LN_DISPLAY.closed_dt between @pdtFrom and @pdtTo ) ) and RM_ADDRESS.COUNTRY_CODE = AD_GB_COUNTRY.COUNTRY_CODE and RM_ADDRESS.ADDR_ID = ( SELECT MAX(X.ADDR_ID) FROM RM_ADDRESS X WHERE X.RIM_NO = RM_ACCT.RIM_NO and ( ( X.ADDR_TYPE_ID = 10 and @pdtTo BETWEEN X.START_DT and X.END_DT and X.STATUS = 'Active' ) OR X.ADDR_TYPE_ID = 1) ) ORDER BY RM_ACCT.last_name, RM_ACCT.first_name

Note: Participated loans are excluded from reporting. The exclusion is defined as LN_DISPLAY.part_count >= 0.

Task Information


1098_ Student Interest 1098-E System Generation

602 psp_irs_1098e













Table Mapping [Participent]

Field Name Box Nbr Data Type Source Data during Task Generation irs_1098e irs_recipient

Tax Year 20XX Int (4) irs_1098e.tax_year

TIN Type Char (1) irs_1098e.tin_type

Federal Tax ID Recipient ID Varchar (15) RM_ACCT.tin

Name Recipient’s/ Lender’s Name

Char (40) If RM_ACCT.rim_type = Personal RM_ACCT.last_name RM_ACCT.suffix ‘,’ RM_ACCT.first_name RM_ACCT.middle_initial As Bene of RM_ACCT.last_name RM_ACCT.suffix ‘,’ RM_ACCT.first_name RM_ACCT.middle_initial If RM_ACCT.rim_type = NonPersonal RM_ACCT.last_name RM_ACCT.first_name As Bene of RM_ACCT.last_name RM_ACCT.first_name

If irs_1099int.rim_no IS NULL irs_recipient.tin







Street 3 If irs_1099int.rim_no IS NULL Irs_recipient.Address_line_3












Foreign Postal Code





Account # Account Nbr Char (20) LN_ACCT.acct_type - LN_ACCT.acct_no irs_1098e.acct_type + irs_1098e.acct_no

Student Loan Interest Received by Lender

1 Decimal (9) If LN_ACCT_INT_OPT.int_type = ‘Add-On’, this will be equal to LN_ACCT_INT_REB.earn_ytd. To this, the system will add LN_DISPLAY.late_fees_pd_ytd if the late fees are 1098 reportable and any prepayment penalties that are also 1098 reportable. For all other interest types, this will be equal to LN_ACCT_INT_OPT.int_pd_ytd. To this, the system will add LN_DISPLAY.late_fees_pd_ytd if the late fees are 1098 reportable and any prepayment penalties that are also 1098 reportable. And, if the accrued interest is currently less than zero, the accrued interest is added to this total.

irs_1098e.student_int_rec

Box 1 does not include loan origination fees and/or capitailized interest and loan was made before September 1, 2004

2 Char (1) If LN_ACCT_INT_OPT.cap_int = Y And LN_ACCT_INT_OPT.int_pd_ytd > 0 or LN_ACCT_INT_REB.earn_ytd > 0 or LN_DISPLAY.pd_ytd_1098 > 0 or LN_ACCT.contract_dt >= '2004-09-04' Print <blank space> else Print Y

irs_1098e.no_orig_fee



Filing Status Varchar (25) N/A irs_1098e.filing_status


1099-A - Secured Property The 1099a.nnn file contains all the information required to produce form 1099-A. The 1099a.nnn file contains the following information for each loan with an acquisition or abandonment.

Report when:

• the financial institution acquires an interest in property that is security for the debt, or you have reason to know that the property has been abandoned.

Selection Criteria SELECT RM_ACCT.tin, RM_ACCT.last_name, RM_ACCT.first_name, RM_ACCT.middle_initial, RM_ACCT.suffix, RM_ACCT.rim_type, RM_ADDRESS.address_line_1, RM_ADDRESS.address_line_2, RM_ADDRESS.address_line_3, RM_ADDRESS.city, RM_ADDRESS.state, RM_ADDRESS.zip, LN_1099A.acquisition_dt, LN_1099A.debt_outstanding, LN_1099A.bid_or_value, LN_1099A.description, LN_1099A.borrower_liable, LN_1099A.rim_no, LN_1099A.fin_stmt_item_id FROM RM_ACCT, RM_ADDRESS, LN_1099A WHERE RM_ACCT.rim_no = RM_ADDRESS.rim_no and RM_ACCT.rim_no = ln_1099a.rim_no and RM_ADDRESS.addr_type_id = 1 and ln_1099a.status = 'active' and ln_1099a.report_owner = 'Y' and ln_1099a.acquisition_dt between $FromYearEnddt and $ToYearEnddt


Task Information


1099-A Acquisition or Abandonment of Secured Property

1099-A System Generation

596 psp_irs_1099a

Table Mapping [Lender]










Table Mapping [Borrower]

Field Name Box Nbr Data Type Source Data during Task Generation irs_1099a irs_recipient

Tax Year 20XX Int (4) irs_1099a.tax_year

TIN Type Char (1) irs_1099a.tin_type

Federal Tax ID Recipient ID Varchar (15) RM_ACCT.tin If irs_1099a.rim_no IS NULL irs_recipient.tin



If irs_1099a.rim_no IS NULL irs_recipient.Name_1



If irs_1099a.rim_no IS NULL irs_recipient.Name_2




If irs_1099a.rim_no IS NULL irs_recipient.Address_line_1


If irs_1099a.rim_no IS NULL irs_recipient.Address_line_2

Street 3 If irs_1099a.rim_no IS NULL Address_line_3

US/Foreign City


If irs_1099a.rim_no IS NULL irs_recipient.city




If irs_1099a.rim_no IS NULL irs_recipient.state


If irs_1099a.rim_no IS NULL irs_recipient.zip




Foreign Postal Code



Foreign Country



Account # Account Nbr Char (20) LN_1099a.rim_no - LN_1099a.fin_stmt_item_id

irs_1099a.acct_type + irs_1099a.acct_no

Acquisition or Abandonment Date

1 Smalldaterime (4)

LN_1099A.acquisition_dt Month portion + LN_1099A.acquisition_dt Day Porrtion + LN_1099A.acquisition_dt Year Portion

irs_1099a. acquisition_abandon_dt

Balance of Principal Outstanding

2 Decimal (9) LN_1099A.debt_outstanding irs_1099a. bal_prin_outstanding



Fair Market Value of Property

4 Decimal (9) LN_1099A.bid_or_value irs_1099a. FMV_property

Borrower Liable for Repayment of the Debt

5 Char (1) LN_1099A.borrower_liable irs_1099a. borrower_liable_repay_debt

Property Description

6 Varchar (39) LN_1099A.description irs_1099a. property_desc

Filing Status Varchar (25) N/A irs_1099a.filing_status


1099-C - Cancellation of Debt The 1099c task generates all the information required to produce Form 1099-C. The file contains all information for each loan that had a debt cancellation.

Report when:

• the financial institution canceled a debt owned.

Selection Criteria The selection criteria must be modified. Currently, it’s pulling records from LN_1099C and retrieving the customer/member information based on the rim_no for the corresponding account record in LN_DISPLAY (shown below).

SELECT RM_ACCT.TIN, rtrim(RM_ACCT.LAST_NAME + ' ' + RM_ACCT.SUFFIX), RM_ACCT.FIRST_NAME, RM_ACCT.MIDDLE_INITIAL, RM_ADDRESS.ADDRESS_LINE_1, RM_ADDRESS.ADDRESS_LINE_2, RM_ADDRESS.ADDRESS_LINE_3, RM_ADDRESS.CITY, RM_ADDRESS.STATE, RM_ADDRESS.ZIP, LN_1099C.ACCT_NO, LN_1099C.ACCT_TYPE, LN_1099C.CANCELED_DT, LN_1099C.CANCELED_DEBT, LN_1099C.CANCELED_INT, LN_1099C.COMBINED_1099A, LN_1099C.DESCRIPTION, LN_1099C.IDENTIFIABLE_EVENT, RM_ADDRESS.INTERNATIONAL, AD_GB_COUNTRY.DESCRIPTION, RM_ACCT.RIM_TYPE, RM_ACCT.RIM_NO, LN_1099C.BORROWER_LIABLE FROM RM_ACCT, RM_ADDRESS, LN_DISPLAY, LN_1099C, AD_GB_COUNTRY WHERE LN_DISPLAY.ACCT_NO = LN_1099C.ACCT_NO and LN_DISPLAY.ACCT_TYPE = LN_1099C.ACCT_TYPE and RM_ACCT.RIM_NO = LN_1099C.RIM_NO and RM_ACCT.RIM_NO = RM_ADDRESS.RIM_NO and


LN_1099C.status = 'Active' and LN_1099C.year= YYYY and RM_ADDRESS.ADDR_ID = ( SELECT MAX(X.ADDR_ID) FROM RM_ADDRESS X WHERE X.RIM_NO = RM_ACCT.RIM_NO and ( ( X.ADDR_TYPE_ID = 10 and ‘YYYY-12-31’ BETWEEN X.START_DT and X.END_DT and X.STATUS = 'Active' ) OR X.ADDR_TYPE_ID = 1)) and RM_ADDRESS.COUNTRY_CODE = AD_GB_COUNTRY.COUNTRY_CODE

Task Information


1099-C Cancellation of Debt 1099-C System Generation

597 psp_irs_1099c

Table Mapping [Creditor]










Table Mapping [Debtor]

Field Name Box Nbr Data Type Source Data during Task Generation irs_1099c irs_recipient

Tax Year 20XX Int (4) irs_1099c.tax_year

TIN Type Char (1) irs_1099c.tin_type

TIN Recipient ID

Varchar (15) RM_ACCT.tin If irs_1099c.rim_no IS NULL irs_recipient.tin



If irs_1099c.rim_no IS NULL irs_recipient.Name_1



If irs_1099c.rim_no IS NULL irs_recipient.Name_2




If irs_1099c.rim_no IS NULL irs_recipient.Address_line_1


If irs_1099c.rim_no IS NULL irs_recipient.Address_line_2

Street 3 If irs_1099c.rim_no IS NULL Address_line_3

US/Foreign City


If irs_1099c.rim_no IS NULL irs_recipient.city




If irs_1099c.rim_no IS NULL irs_recipient.state


If irs_1099c.rim_no IS NULL irs_recipient.zip




Foreign Postal Code



Foreign Country




Char (20) LN_1099C.acct_type - LN_1099C.acct_no irs_1099c.acct_type + irs_1099c.acct_no

Date of Identifiable Event

1 Smalldatetime (4)

LN_1099C.canceled_dt Month Portion + LN_1099C.canceled_dt Day Portion + LN_1099C.canceled_dt Year Portion

irs_1099c.identifiable_event_dt

Amount of Debt Discharged

2 Decimal (9) LN_1099C.canceled_debt irs_1099c.amt_debt_discharged



Interest Included in Box 2

3 Char (12) LN_1099C.canceled_int irs_1099c.interest_included

Debt Description

4 Char (39) LN_1099C.description irs_1099c.debt_desc

Personal Liable for Repmt

5 Char (1) LN_1099C.borrower_liable irs_1099c.personal_liable_repay

Identifiable Event

6 Char (1) LN_1099C.identifiable_event irs_1099c.identifiable_event_code

FMV of Property

7 Char (12) LN_1099C.combined_1099a irs_1099c.FMV_property

Filing Status Varchar (25) N/A irs_1099c.filing_status


1099-MISC - Miscellaneous Income The 1099misc task generates all the information required to produce Form 1099-MISC. The file contains all the following information for each contractor that had reportable miscellaneous income for the calendar year.

Report when:

• gross proceeds to an attorney

Selection Criteria SELECT RM_ACCT.tin, RM_ACCT.last_name, RM_ACCT.first_name, RM_ACCT.middle_initial, RM_ADDRESS.address_line_1, RM_ADDRESS.address_line_2, RM_ADDRESS.address_line_3, RM_ADDRESS.city, RM_ADDRESS.state, RM_ADDRESS.zip, RM_3RD_CONTRACT.status, RM_3RD_CONTRACT.misc_1099_pmts_ytd LTRIM(RTRIM(RM_3RD_CONTRACT.sub_type)), RM_ACCT.rim_no, RM_ADDRESS.name_1 RTRIM(RM_ACCT.suffix) FROM RM_ACCT , RM_ADDRESS , RM_3RD_CONTRACT WHERE RM_ACCT.rim_no = RM_ADDRESS.rim_no and RM_ACCT.rim_no = rm_3rd_contract.rim_no and rm_3rd_contract.misc_1099_pmts_ytd > 0 and rm_3rd_contract.misc_1099 = 'Y'

Task Information


1099-MISC

Miscellaneous Income 1099-MISC System Generation

598 psp_irs_1099misc













Field Name Box Nbr Data Type Source Data during Task Generation irs_1099misc irs_recipient

Tax Year 20XX Int (4) irs_1099misc.tax_year

TIN Type Char (1) irs_1099misc.tin_type

Federal Tax ID Recipient ID Varchar (15) RM_ACCT.tin If irs_1099int.rim_no IS NULL irs_recipient.tin

























Foreign Postal Code





Account # Account Nbr Char (20) RM_3RD_CONTRACT.rim_no - RM_3RD_CONTRACT.rm_3RD_contract_id

irs_1099misc.acct_type + irs_1099misc.acct_no

Rent 1 Decimal (9) irs_1099misc.rents

Royalties 2 Decimal (9) irs_1099misc.royalties

Other Income 3 Decimal (9) RM_3RD_CONTRACT.misc_1099_pmts_ytd where sub_type != ‘Attorney’

irs_1099misc.other_income


4 Decimal (9) N/A irs_1099misc.fed_income_tax_whld

Boat Proceeds 5 Decimal (9) N/A irs_1099misc.fishing_boat_proceeds



Health Care Pmt

6 Decimal (9) N/A irs_1099misc.medical_health_care

Direct Sales $5000+

7 Char (1) N/A irs_1099misc.direct_sale

Sub Pmt in Lieu 8 Decimal (9) N/A irs_1099misc.substitute_payment

Crop Insurance Procceds

9 Decimal (9) N/A irs_1099misc.crop_insurance

Gross Proceeds Paid to Attorney

10 Decimal (9) RM_3RD_CONTRACT.misc_1099_pmts_ytd where sub_type = ‘Attorney’

irs_1099misc.gross_proceeds

Section 409A Deferral

12 Decimal (9) N/A irs_1099misc.deferrals

Excess Golden Parachute Pmt

13 Decimal (9) N/A irs_1099misc.excess_payments

Section 409A Income

14 Decimal (9) N/A irs_1099misc.income

State Tax Withheld

15 Decimal (9) N/A irs_1099misc.state_tax_whld

State Payer’s State No

16 Char (2) N/A irs_1099misc.state_no

State Income 17 Decimal (9) N/A irs_1099misc.state_income

Filing Status Varchar (25) N/A irs_1099misc.filing_status


Finastra Support Finastra support offers several options to help you get the most out of your software, including a self-service Case Management tool, and phone support.

Please visit the Finastra Customer Center at https://customercenter.dh.com/ to log in to our online self-service Case Management system. If you forgot your password, simply click the Forgot Password link. Once logged in to Customer Center, you have the ability to use the Knowledge Center to troubleshoot issues and answer questions.

If your financial institution is not currently using these tools and would like to, please contact Finastra support for assistance.

Note: The Financial Modernization Act of 1999, also known as the Gramm-Leach-Bliley Act or GLB Act, includes provisions to protect consumers' personal financial information held by financial institutions. Therefore, Finastra support cannot accept data or screen captures that contain personal financial information via email or fax. For information about secure file transfer methods, contact Finastra support.

About Finastra Finastra is building an open platform that accelerates collaboration and innovation in financial services, creating better experiences for people, businesses and communities. Supported by the broadest and deepest portfolio of financial services software, Finastra delivers this vitally important technology to financial institutions of all sizes across the globe, including 90 of the world’s top100 banks. Our open architecture approach brings together a number of partners and innovators. Together we are leading the way in which applications are written, deployed and consumed in financial services to evolve with the changing needs of customers. Learn more at finastra.com

North American Headquarters 744 Primera Boulevard

Suite 2000 Lake Mary, FL 32746

United States

T: +1 888 989 9009

The future of digital finance can start here. Consider our planet before printing.

https://customercenter.dh.com/

https://customercenter.dh.com/Auth/ForgotPassword

http://www.finastra.com/

Documents

Fusion Phoenix Year End Table Mapping