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How to sign Form 5500 through EFAST2 using Lacerte

by Intuit•1• Updated 5 months ago

The plan administrator must electronically sign the benefit plan return before you can e-file.

Before you start:

  • All signers of the benefit plan must register for EFAST2 on the DOL website.
  • Make sure you have a valid email address for each signer.
  • Make sure your email address has been entered in User Options, on the Preparers tab.

Follow these steps to prepare the return for signature:

  1. Go to Screen 4, Electronic Filing.
  2. Click on e-file Misc from the left navigation panel.
  3. Select Administrator from the Signer Type (Ctrl+T) drop-down menu.
  4. Enter the signer's name in Individual signing return.
  5. Enter the signer's e-mail in Email.
  6. Complete the return.

Once you've resolved all critical diagnostics besides "The return must be electronically signed before e-filing the return... (ref. #13799)," you're ready to send the signature request.

To send the signature request:

  1. Go to the Client list.
  2. Highlight the client file.
  3. Select the Request Signature link, or alternatively:
    • Select the E-file menu
    • Select Step 1: Print e-file Signature Document
    • Select Send Request to Sign Returns.
      • If this is grayed out, either you are in the client, or the client is not highlighted.
  4. Start the Signature process.  You will have a chance to edit the request email at this point. 
  5. Select Next to continue.
  6. Review the e-mail that will be sent.
  7. Select Next to continue.
  8. Once the request has been processed, you will see the Signature Request Summary.
  9. Select Finish to complete.
  10. The Signature Status column will now display Pending.

If your client is in the office, you can have them sign immediately by selecting the E-file menu and selecting Launch Signature Website.

  1. Follow the link in the e-mail to review and sign the return.
  2. Enter your e-mail address, as well as the Plan ID and Plan EIN that were provided in the e-mail.
  3. Check the box to agree to the terms of service.
  4. Press Sign In, then click Let's Go.
  5. Click on the PDF under Review Documents to review the return.
  6. Enter your EFAST2 UserId and PIN.
  7. Press Sign to approve the return.

If the signer does not see the email, the first step would be to have them check their spam or junk folders. The email comes from our servers, so it may have been flagged as an automated email and moved to spam or junk. You can also review the email in Screen 4, Electronic Filing to ensure the address is correct.

If unable to locate the email, there are two options available:

  • Send a new signature request
  • Create an email to the signer with the necessary information

If the issue was with the initial transmission of the email, you can cancel the current signature request and send a new request. Steps for this is located in the Unlocking the client or canceling the signature request section below.

Creating an email to the Signer with the necessary information:

The signature email contains a link to the signature website, as well as some information that they may already have, but you can include in a new email for them to access and sign the return. The information they will need is:

  • The website link: https://taxreturn-download.intuit.com/esig
  • The plan number: This can be found on Screen 1, Client Information, in the Plan Information section
  • The EIN: This can be found on Screen 1, Client Information, in the Sponsor Information section
  • Their email: This can be found on Screen 4, Electronic Filing

After the return is signed:

  • The Signature Status column will change to Complete within 15 minutes of all signers completing the request. Once the status is complete, you can e-file the return.
  • If a signer rejects the return, you must modify the return in order to send another signature request.
  • When entering the Benefit Plan EIN as a signer, be sure to enter the - in the number.
    •  If the EIN is entered without the - the signer will receive a message stating No Benefit Plan found
  • Diagnostic ref. #13799 will continue to generate, but won't prevent you from e-filing.

Unlocking the client or canceling the signature request

Unlike other e-filed returns, due to DOL requirements the client file in Lacerte will be locked as part of the signature request. This ensures the return that is filed will be the same as the one that was sent with the signature request.

This means that if you need to unlock the client file to make a change, such as updating an amount or correcting an e-file rejection, you will need to first cancel the signature request.

To cancel the current signature or signature request:

  1. Open Lacerte to the Client tab
  2. Highlight the client
  3. Select the E-File menu
  4. Select Step 1: Print E-file Signature Document
  5. Select Cancel Request for Signature
    • If this is grayed out, either you are inside the client, or the client is not selected on the client list

Note: We recommend you do not cancel the signature request or unlock a client that has been e-filed and accepted by the DOL. For amendments or other changes, we recommend making a copy of the client file to preserve the signature from the original filing.

May, 13, 2010 announcement from the Department of Labor, concerning an alternative method of signing e-filed Form 5500:

"... The EFAST2 electronic filing system for Forms 5500 and 5500-SF employee benefit plan annual reports has a new e-signature option....

Under the new e-signature option, preparers can get their own signing credentials and submit the electronic Form 5500 or 5500-SF for the plan. The preparer must have specific written authorization from the plan administrator to submit the plan?s electronic filing, and attach a PDF copy of the manually signed Form 5500 or 5500-SF to the electronic filing.

The preparer must communicate to the plan administrator any inquiries received from federal agencies regarding the filing, and inform the plan administrator that he image of the manual signature will be publicly disclosed on the Internet with the annual return/report.

This option will be available in the government-sponsored IFILE application beginning May 13, 2010.

The essential difference in the alternative method is that the tax preparer is providing the electronic signature for the return. The DOL has indicated they'd prefer the original method where the actual benefit plan administrator, signor, or DFE obtains their own User Name and PIN and go through this process.

Follow these steps to sign Form 5500 on the behalf of the administrator:

  1. Obtain the manual written signature of the actual plan administrator/sponsor on Page 1 of Form 5500 or 5500-SF.
  2. Scan the Form 5500 or Form 5500-SF and attach the PDF copy to the return.
    • On Screen 4, Electronic Filing, click Attach PDF and select the scanned copy of the return. Open the dropdown field labeled Attachments, and then select Other Attachments.
  3. Go to Screen 4, Electronic Filing.
  4. Select e-file Misc from the left navigation panel.
  5. Select Administrator from the Signer Type dropdown menu.
  6. Enter the name of the plan administrator in the Individual signing return field.
    • This is the plan administrator who manually signed the return.
  7. Enter your E-mail.
    • If more than one person signed the hard copy of the return as described in step 1, only the administrator's information needs to be entered on Screen 4.
  8. Go to the Client list.
  9. Highlight the client file.
  10. From the E-File menu, select Step 1: Print e-file Signature Document and choose Send Request to Sign Returns.
  11. Click through the Signature Request window.
    • The Send Request to Sign Returns option is only available when on the main client list and a client is selected. Otherwise, this option will be unavailable.
  12. From the E-File menu, select Step 1: Print e-file Signature Document and choose Launch Signature Website.
  13. On the website, enter the following:
    • E-mail address
    • Tax Year
    • Plan ID
    • Plan EIN
  14. Check the box labeled I agree to the Terms and Service.
  15. Click Sign In, and then click Let's go.
  16. Enter your User ID (obtained from DOL).
  17. Enter your PIN.
  18. Re-enter your PIN.
  19. Click on Sign In.
  20. Go back into Lacerte.
  21. Click on the Pending Signature Status.
    • The Signature Status window should display Signed next to Admin.
  22. Click Close.
    • The Signature Status should change from Pending to Complete, and you'll be able to e-file the return.
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