1041 E-file: Tips for Troubleshooting E-file Rejections

Keyword(s) within the Rejection Text	What it means	How to fix it
Database validation error	This indicates what is effectively a “Master File” rejection, meaning that there is not necessarily a calculation error within the return (unless you also receive additional errors), but instead a mismatch between a piece of demographic information reported on the form and what the IRS shows on their records. Most commonly this includes the taxpayer's tax year, entity type, and/or name. It can also indicate that the ERO (e-filer) did not indicate his or her intent to e-file this entity type of return when he or she initially applied to e-file with the IRS.	First, verify that there are no data entry errors regarding the item which is referenced as problematic, i.e. verify that you entered the name and SSN/EIN of the taxpayer correctly if it states that the SSN/EIN and Name control do not match. Beyond that, it will require a call to the IRS and/or Social Security Administration to determine what information is incorrect on their records, which they can hopefully revise. The IRS phone number to call is (800) 829-1040 for individuals or (800) 829-4933 for businesses. The Social Security Administration phone number is (800) 772-1213. If the caller did not prepare the prior year return, it will be necessary for an officer or tax matters partner to call instead. Lastly, if the error indicates that the ERO’s “EFIN must be valid and in accepted status,” this means that the ERO must contact the IRS at (866)255-0654 to have that entity type of return added to his or her e-file registration.
Unexpected [child element…] / Expected: { }	This indicates that while the IRS or state's e-file processor was analyzing the e-file, it found an entry that it did not expect to see until later on in the e-file, until after it had already seen other items - specifically, whatever it lists as “expected.” Therefore, this means that the "expected" item(s) is missing.	Both the expected and unexpected items will have field descriptions which should hint as to what place on the form the rejection is referencing. Use the unexpected item(s) to establish context as to where the expected item(s) should have been, and attempt to identify the line described as “expected” and identify what might be missing about that item. Many times, this refers to the system seeing an amount for a subschedule line-item, without a corresponding description, or vice versa; note that this may include entering a zero.
Element data is incomplete / Expected: { }	This rejection is in most cases synonymous with the rejection above, and indicates that the item listed as “Expected” is missing and must be entered.	As with the rejection above, locate the field described after “Expected” and verify that an entry exists within this field; note that this may include entering a zero.
Violates MinInclusive restraint: 0	Whenever you see the word “constraints,” this means that the tax authority has established certain rules as to what can be in that field on the return. In this case, a rejection like this indicates that the lowest value the tax authority will accept is 0, therefore positive values.	This error generally results when the tax authority expects a gross number in a field, i.e. for apportionment factors, yet a negative has been entered; if this is the case, the only resolution is to replace the negative number with a positive one or a zero.
Violates enumeration constraint of….	This indicates that the tax authority has specified a specific (enumerated) group of values which this field could potentially contain. For instance, in a field requesting an entry for the state in which the corporate books are located, the accepted list of entries would only include the list of standard state postal codes. Luckily, the list of acceptable values is generally included within the rejection text itself.	Verify that there is not a data entry error which would result in a value which is outside the confines of the enumerated values. To continue the example, verify that “IN” for Indiana was not mistyped as “IK”, etc. Returns containing Noncalculating forms are particularly susceptible to this sort of rejection.
Value failed to parse / error parsing element with value { }	This is very similar to the rejection above. This indicates that the entry in the field referenced goes against the data type which the tax authority expects to see in that field. For instance, it may be expecting a decimal number in a field for the apportionment percentage, and will return this error if instead it sees a word in this field.	Identify and locate the field which is referenced and verify that the entry in that field makes sense in the context of its data-type; i.e. look out for letters entered into the ZIP code field, etc.
Element { } cannot be empty according to the Schema.	The “Schema” refers to the blueprint to which all submitted e-files must conform, which is established by the tax authority. This rejection indicates that the specified field is required to have data in order for the return to be acceptable for e-file.	Using the description of the field, attempt to locate the field which is missing data, and place an entry in the corresponding input screen field; note that this may include entering a zero.

E-file/1041_ef_app_d_troubleshooting_tips.htm/TY2020

Last Modified: 03/20/2020

Last System Build: 09/13/2021