A filing must be locked before it can be e-filed. A green check under the Status column for all associated forms confirms that all edit checks have been passed, allowing the filing to be locked. Locking is not possible if any forms fail the edit checks.
Two Locking Options:
Option One: Within the 5330 Section:
- Select the padlock next to the Form 5330.
- Padlocks are disabled until edit checks are passed, denoted by a green checkmark icon next to each form.
Option Two: From the E-file Status Page:
- Click the E-File Status hyperlink in the 5330 section.
- This opens a plan-level dashboard showing all associated 5330 forms for the selected year.
- Select the padlock next to the filing.
- Padlocks are disabled until edit checks are passed, denoted by a green checkmark icon next to each form.
Important Notes:
- Locked filings cannot be edited unless unlocked.
- All users with portal access can view locked forms.
- Portal users with e-filing access can complete the e-filing process, even if an invitation to file has not been sent.
