Filing federal extensions (Form 4868) electronically

This year, you can electronically file federal Form 4868, Application for Automatic Extension of Time to File U.S. Individual Income Tax Return. Typically, you file Form 4868 (to request a four-month extension of time to file a federal return) in late March or early April.


Important:	When to set up a client file for electronic filing of Form 4868, ProSeries switches that client file from the standard Return EF Mode to Extension EF Mode. Therefore, we recommend that you don’t set up a client file for electronic filing of Form 4868 until you are getting ready to electronically file Form 4868 for that client. Presumably, that will be in late March or early April.

Follow these steps to electronically file Form 4868:

"Set up the client file for electronic filing of Form 4868"

"Convert and transmit extensions"

"Check for extension acknowledgments"

"Identifying the electronic filing status of an extension"

"When an extension is accepted"

Set up the client file for electronic filing of Form 4868

When you’re getting ready to file Form 4868 for an individual return client, take the following steps:

Open the client’s return.

Complete the Federal Information Worksheet

Scroll down the Federal Information Worksheet to Part IV - Filing Information, then make sure the appropriate preparer code is entered in the Enter the Preparer Code from the Firm/Preparer Info field on the first line of the section.

Check the Check this box to file Form 4868 electronically box in the Electronic Filing area.

This causes the ProSeries program to switch the client’s federal file from the standard Return EF Mode to Extension EF Mode.

Checking this box also displays an Electronic Filing dialog box that gives you the option to watch the Electronic Filing - Preparing an Extension tutorial video.


Important:	The File the federal return electronically and File the state(s) electronically boxes in the Electronic Filing area can be checked, but they don’t need to be.

If your client wants a federal Form 4868 balance due withdrawn from a bank account, scroll down to the Direct Deposit or Electronic Funds Withdrawal Information section of the worksheet and enter the appropriate bank account information, then continue with step 5. Otherwise, skip to step 7.


Tip:	If the ProSeries program has transferred the client’s bank account from last year’s Federal Information Worksheet, verify with the client that the information is still correct.

Complete the Form 4868 Electronic Filing Information Worksheet

Click the second QuickZoom button to go to the Form 4868 Electronic Filing Information Worksheet.

On the Form 4868 Electronic Filing Information Worksheet, complete the Electronic Funds Withdrawal - Form 4868 Balance Due section, then complete the Self-Select PIN program section.


Important:	Self-Select PIN program. When you file Form 4868 electronically, a Self-Select PIN is required if the client is using electronic funds withdrawal, but the use of a Self-Select PIN is prohibited if the client isn’t using electronic funds withdrawal. The Self-Select PINs for a client’s extension are separate from the Self-Select PINs for the client’s return. For information on using Self-Select PINs, see "Using Self-Select PINs instead of Form 8453". Need help? For information on completing the Form 4868 Electronic Filing Information Worksheet or Form 4868, open the worksheet or form, go to the Help menu, choose Help Center, then select Tax Help

Complete Form 4868

Go to the Forms Bar and select Form 4868.

Go to the Important Information section of Form 4868 and check Box A, Check this box to freeze the amounts flowing to this form.

When you check the Freeze the Amounts box, ProSeries freezes the amount (if any) on line 9 (Total Liability).

If the ProSeries program calculates an amount for line 9 (Total Liability), enter on line 10 (Amount You Are Paying) the amount that the client will be paying with Form 4868.

ProSeries flows the amount on line 10 (Amount You Are Paying) to line 67 (Amount Paid with Request for Extension to File) of Form 1040.

If the client will be paying an amount with Form 4868, scroll down to the end of Form 4868 to see information about the electronic funds withdrawal or instructions for mailing a check to the IRS.

Correct any errors that will affect the Form 4868

Go to the Information menu and choose Final Review to check the client’s data for errors that might prevent Form 4868 from being filed electronically. Correct any relevant errors in the client’s data.


Important:	Relevant errors. Some errors in the client’s data that would prevent you from filing the client’s federal return electronically don’t affect the client’s first federal extension request and won’t prevent you from filing the client’s Form 4868 electronically. Before you file the client’s Form 4868, correct errors that are categorized as You must fix this error. You might not need to correct errors that are categorized as You should fix this error before you file the client’s Form 4868.

Convert and transmit extensions


Important:	Pay-Per-Return and Pay-Per-EF. If you’re using ProSeries/1040 on a pay-per-return or pay-per-electronic filing basis, see "Pay-Per-Return products versus unlimited products" before converting or transmitting extensions.

To convert one or more client extensions into electronic filing format:

Go to the toolbar and click the EF Center button

to go to the HomeBase EF Center. (The EF Center button isn’t available if you’re already in the HomeBase EF Center.)

Select the applicable federal returns that have a status of Extension Marked for EF.


Tip:	Selecting multiple extensions. To select several federal returns that have a status of Extension Marked for EF, hold down the CTRL key while you click each federal return.

Go to the File menu and choose Electronic Filing.

From the Electronic Filing menu, choose Convert/Transmit Returns and Extensions.

The Electronic Filing Options dialog box appears. This dialog box shows the number of clients that you have selected for electronic filing conversion.


Tip:	To quickly open the Electronic Filing Options dialog box, click the E-File button on the HomeBase toolbar. The E-File button is active only in the HomeBase EF Center.

Make sure that you have selected Enable conversion error checking.

Select Convert and Transmit selected returns and extensions, then click OK.

The Electronic Filing Conversion dialog box appears, showing the conversion progress of each extension.


Tip:	Failed Final Review. If an extension fails electronic filing conversion because there are errors in the client’s data that affect Form 4868, the program assigns the Extension Failed Final Review electronic filing status to the return. When you open a return that has the electronic filing status Extension Failed Final Review, the program starts Final Review automatically.


Tip:	To view the records of your converted files at any time, go to the Information menu, choose Logs, then choose Electronic Filing Conversion Log.

After the ProSeries program completes the conversion process, it begins the transmission process and connects to the Intuit Electronic Filing Center. The Online Connection indicator shows the transmission progress of each extension.

When ProSeries finishes transmitting extensions, the Electronic Filing Transmission log appears. This log indicates whether each return was successfully transmitted, and, if any returns were not successfully transmitted, the reason why they were not successful.

Click Print to print the contents of the Electronic Filing Transmission log.

Click Close to close the Electronic Filing Transmission log.

Check for extension acknowledgments as explained in the next section.

Check for extension acknowledgments

You check for extension acknowledgments the same way that you check for return acknowledgments. You also update extension acknowledgments the same way that you update return acknowledgments.


Tip:	Acknowledgments. Each time you connect to the Intuit Electronic Filing Center to transmit returns or extensions, you also receive any available acknowledgments. The ProSeries program shows new acknowledgment information in the Electronic Filing Transmission log after the transmission records. In addition, the status of each return or extension for which you received an acknowledgment is updated in HomeBase and a message appears in the HomeBase Message Center. Customer service messages are also picked up when a transmission occurs.

For more information, see "Checking for electronic filing return acknowledgments".

Identifying the electronic filing status of an extension

To identify the electronic filing status of a client’s extension, go to the toolbar and click the EF Center button.

All client files that are marked for electronic filing are listed in alphabetical order, with one of the following status messages displayed in the Status column:


Status	Definition
Extension Marked for EF	The extension has been marked for electronic filing.
Extension Failed Final Review	The extension could not be converted because it failed Final Review. When you open the return, the ProSeries program begins Final Review automatically.
Extension Ready to Transmit	The extension is complete and has been converted. The extension is ready to transmit.
Extension Duplicate SSN	At least one other extension in the HomeBase EF Center shares the primary social security number (SSN) in this extension.
Extension Duplicate DCN	At least one other extension or return in the HomeBase EF Center shares the Declaration Control Number (DCN) in this extension.
Extension Transmitted	The extension was transmitted to the Intuit Electronic Filing Center.
Extension Send Error	An error occurred while the ProSeries program was transmitting the extension. The extension was not sent.
Extension Sent to IRS	The Intuit Electronic Filing Center has forwarded the federal extension to the IRS.
Extension Accepted	The extension was accepted by the IRS. This status appears only if the federal return isn’t marked for electronic filing. If the federal return is marked for electronic filing, the status in the Status column will be “Return Marked for EF,” and status in the First Extension column will be “Accepted.”
Extension Rejected	The extension was rejected by the IRS. Run a Reject Report for details on how to fix errors in the extension.

In addition, the First Extension column in the HomeBase EF Center shows the most recent status for an extension. The statuses that can appear in the First Extension column are: Marked, Converted, Transmitted, Rejected, and Accepted.

When an extension is accepted

When ProSeries receives an Accepted acknowledgment for an extension, the program checks the Form 4868 accepted box on the Form 4868 Electronic Filing Information Worksheet.


Important:	When an extension is accepted, ProSeries also does the following: Return EF Mode. The program switches the client file from Extension EF Mode back to the standard Return EF Mode (when you open the client file and save the data) so you can proceed with your client’s federal return. EF Center. The program replaces the most-recent Extension-related status in the Status column with the most-recent Return-related status, and it enters the most-recent Extension-related status in the First Extension column.

You don’t have to file the return electronically just because you filed Form 4868 electronically. You can print and mail the client’s federal return if you prefer.


Tip:	File Form 4868 electronically box. Don’t remove the “X” from the File Form 4868 electronically box in the Filing Information section of the client’s Federal Information Worksheet. If you do, you will lose information about the electronic filing of the client’s Form 4868.

If you want to switch a client file back to Return EF Mode

If ProSeries hasn’t received an Accepted acknowledgment for an extension but you want to switch from Extension EF Mode back to Return EF Mode so you can file the client’s return, go to the Form 4868 Electronic Filing Information Worksheet and check the Form 4868 accepted box.


Important:	If you check the “Form 4868 accepted” box on the Form 4868 Electronic Filing Information Worksheet, ProSeries does the following: Return EF Mode. The program switches the client file from Extension EF Mode back to the standard Return EF Mode (when you save the client file) so you can complete and file the client’s federal return. EF Center. The program replaces the most-recent Extension-related status in the Status column with the most-recent Return-related status, and it enters the most-recent Extension-related status in the First Extension column.