How does a Plan Sponsor enter into "John Doe" discussions about resolving Plan defects (self correction) in the southeast region? I have read that each region handles this differently.

I'm not sure that the SE district still allows "John Doe" submissions.

Per RIA's Pension and Benefits Week of 6/21/99, Joyce Kahn @ the 6/2/99 session of the IRS Southeast Key District's annual employee benefits conference:

"To foster service, the IRS recently suspended its informal policy of permitting “John Doe” submissions under the WI-CAP. Instead, practitioners and taxpayers may call IRS staff members and discuss issues and methods of correction for informal guidance. If the discussions require multiple conversations, the taxpayer or practitioner works with the same individual until actual submission. The person also may request recordation of the calls. If reduced to writing, the caller must identify the name of the taxpayer for purposes of linking the file with the later submission, and the recorded copy is retained for 30 days. If submission occurs within 30 days, the records are linked with the file to simplify the IRS's processing of the submission. If no submission occurs within 30 days, the records are shredded. They are not forwarded for examination or further processing. Taxpayers or practitioners also may make their own recordation and fax or mail the recordation to the IRS for the IRS's use. "