TPA Data Management. TPA User Guide. Version 1.0 July For TPA Use Only

Transcription

1 TPA Data Management TPA User Guide Version 1.0 July 2009 For TPA Use Only

2 Table of Contents Introduction 3 How to Access 4 Export General Information 6 Export Statement Feed / Vesting 9 Updating Vesting Data for Statements 12 Export Statement Feed / Defined Benefit, Life Insurance, or Outside Assets 14 Updating Defined Benefit Data for Statements 15 Updating Life Insurance Data for Statements 17 Updating Outside Asset Data for Statements 19 Vesting Management General 21 Export Vesting Management 21 Updating Vesting Management 23 Import 25 View 29 View/Edit Vesting Management Information 31 Dynamic Alert Reminder 33 Technical Support 35 Appendix A: Money Source Reference List 36 Insurance products, annuities and funding agreements issued by ING Life Insurance and Annuity Company ( ILIAC ) One Orange Way, Windsor, CT 06095, which is solely responsible for meeting its obligations. Plan administrative services provided by ILIAC or ING Institutional Plan Services, LLC. All companies are members of the ING family of companies. Securities distributed by or offered through ING Financial Advisers, LLC (member SIPC) or other broker-dealers with which it has a selling agreement. 2

3 Introduction ING s TPA Data Management application is a comprehensive tool used by TPAs to provide specific client information to ING as part of our partnership to provide superior service to our retirement plan customers. Specifically, this application provides the following capabilities: Vesting Management (Available for enhanced service model only) Assists TPAs in managing Vesting information by providing the ability for TPAs to upload calculated Vested Percents or Years of Service information to ING for use in loan and withdrawal calculations. This Vesting information will also display on participant statements. Provides the ability for TPAs to View and Edit Vesting information online, even for plans where the sponsor is providing the Vesting information. Statement Feed Provides TPAs the ability to upload certain information to ING and have it appear on the participants statements. This includes Vesting information for fully unbundled plans (to comply with the Pension Protection Act of 2006), and Defined Benefit, Life Insurance, or Outside Asset information for all plans. The TPA Data Management application is offered as part of the TPA Website suite of applications. 3

4 How to Access The Data Management application is available from the My Workspace page of the TPA Website. Click on Data Management from this page to access the application. Click on Data Management from the My Workspace page 4

5 Whether you are doing Vesting Management or Statement Feed, the Data Management landing page is the starting point to Export, Import or View information. Select Export to export a base file of participant data which you can update and then import. If you have previously submitted data, that data will be included in this Export file. Select Import to import data to ING. Select View to view previously submitted data online. There are two View options: 1) View data for participants in a plan, or 2) View a list of plans which are due to be updated. 5

6 Export General Information Whether doing Statement Feed or Vesting Management, the Export process is basically the same. This section provides a general overview of that Export process. Be sure to also review the sections of this Guide specific to exporting certain files for more details on the process. To export a base file of participants, select Export. From the Export screen, select the desired TPA Code for the plans to be exported, then select the type of Export you wish to do. These options include: Statement Feed Vesting Defined Benefit Outside Assets Life Insurance Vesting Management Vesting By % Vesting By Years of Service Select the radio button for the desired Export and click Continue. Only one option can be selected at a time. At any time in the process, you can click Back to navigate back one page or click Cancel to cancel the process and return to the My Workspace page. 6

7 When you click Continue, a list of eligible plans for that Export option will display. Eligible Plans Only those plans eligible for the option selected will display. Plans are limited to those in the selected TPA code for which the user ID has authorized access. Statement Feed for Defined Benefits, Outside Assets & Life Insurance is available for all TPAserviced plans. Statement Feed for Vesting is available for fully unbundled plans. Vesting Management (% and Years of Service) is available for plans where the TPA has elected to provide Vesting information as part of the enhanced TPA service model. The plans displayed are based upon the method elected during the Plan Set-up process. Select Plan(s) An export file can contain a single plan or multiple plans. Select the plan(s) to be included in the export file by clicking the checkbox to the left of the plan number. To include all plans displayed, click the top checkbox to select all plans. Select each plan you wish to export, or click this checkbox at the top to select all plans. Once the desired plans are selected, click Continue. 7

8 Save File The export file takes just a few moments to generate, then the standard File Download dialog box displays. Click Save to save the file to your computer. Some internet browsers block not only pop-ups, but also file downloads. When you export a file, a message may appear indicating that it has blocked a file download. To receive your file you must click on that message and select Download File. See page 36 for more details. Important Note: These export files are formatted as CSV (Comma Separated Value) files. When saving a file, do not change the file name or file extension. These files must be in CSV format to import successfully to ING. Once the file is saved to your computer, you can proceed with updating the file. 8

9 Export Statement Feed / Vesting To export a base Vesting file for Statements, from the Data Management home page, select Export. Select the Vesting radio button under Statement Feed, then click Continue. Select Plan(s) Select the plan(s) to be included in the export file by clicking the checkbox to the left of the plan number or by clicking the checkbox at the top to select all plans. Pre-Fill Option To save data-entry time, the Vesting export for Statement Feed offers pre-fill capability which allows you to pre-populate your export file prior to exporting it. Information entered via pre-fill will be populated in the export file for all participants in that file. To use the pre-fill capability, select the checkbox to the right of the plan name for each plan for which you wish to enter prefilled data. To select pre-fill for all listed plans, select the top checkbox. Once you have selected your plans for export and pre-fill (if desired), click Continue to proceed. Click here to select to Prefill data for a plan If you don t elect to pre-fill data, the export process will begin and the standard File Download box will appear. If you elected to pre-fill data, the pre-fill screen will appear. 9

10 Enter Pre-fill Data If you elect to pre-fill data, all plans selected for pre-fill will display, along with corresponding data entry fields for each money source in a plan. A data entry field will only display for the money sources in the plan. You can enter pre-fill information individually for each plan, or enter the same pre-fill information once and populate it for all plans. To pre-fill data for a single plan, enter the desired value in the data entry box for each money source that you would like to populate with pre-filled data. The values entered will pre-fill in the Export file for each participant in that plan. To pre-fill the same data for all participants in all plans listed, enter the value in the very top row in the data entry box, then click the orange arrow to the left of the data entry box to have that value populate in the entire column. Data Entry Rules It s critical that data is entered in the proper format: For % values, enter whole numbers only with no decimals or % signs. For Date values, enter dates in the format of mm/dd/yyyy. All data entered in the pre-fill boxes will populate to the corresponding column in the export file for all participants in the plan. It is not required to enter data in every box; blank data entry boxes are valid and will simply result in no entries for that field in the export file. Important: Please note if you enter pre-fill values for a plan that has previously submitted data, the value you enter in pre-fill will overwrite the previously provided data in the export file. Once satisfied with your pre-fill entries, click Continue to proceed. 10

11 Confirm Pre-fill Data A confirmation screen displays the pre-fill data to be included in the export file. The bottom portion of the page lists any additional plans that you selected to export, but not pre-fill. Review this screen for accuracy. To make corrections, click Back to return to the pre-fill data entry screen and make changes. When satisfied with the pre-fill data, click Continue. Click Cancel anytime to cancel this action and return to the My Workspace page. Save File Once you click Continue, the export process begins. The export file takes just a few moments to generate, then the standard File Download dialog box displays. Click Save to save the file to your computer. Important Note: These export files are formatted as CSV (Comma Separated Value) files. When saving a file, do not change the file name or file extension. These files must be in CSV format to import successfully to ING. 11

12 Updating Vesting Data for Statements When updating the Vesting file for Statements, you are providing a Vested % and an As of Date for each Participant Money Source. Enter the Vested % and As of Date for each participant money source desired. Not all data entry fields need to be filled. If you elected to Pre-fill data, you will notice that information is pre-populated in the Exported file. Refer to Appendix A for a list of the Money Source abbreviations used in this file. If a money source does not appear for a plan, it means that money source is not available for that plan Enter Vested % and As Of Date in the appropriate columns The following data entry rules must be adhered to when updating the Vesting file: General Rules Microsoft Excel is commonly used to manipulate.csv files; these files can be opened and edited in Excel, but must be saved in the.csv file format. The first two rows in the file are header rows and must not be altered in any way. If a participant is missing from the export file, it s possible that they have not yet been entered on ING s system. Do not add participants to the file. If any information on the file is incorrect (Name, SSN), or if plan level data is incorrect (such as a missing money source), contact your ING Plan Manager. Do not add or delete money sources. Do not delete any of the columns or rows in the file. Columns can be expanded and/or shrunk in order to make it easier to read and update the data, but do not delete any columns or rows. This file is formatted in a very specific manner; it is imperative that only the fields to the right of the Participant Name be updated (i.e., only the Vested % and As of Date fields). 12

13 Vested % Rules Only enter whole numbers (0-100), and do not input a % symbol. If a Vested % is entered, the As-of Date is required for that money source Zero is a valid Vested% value. If there is no percentage entered (left blank), then the As-of Date must also be left blank for that money source. As-of Date Rules As of Date must be formatted as mm/dd/yyyy (i.e. 06/30/2009). When an As of Date is entered, the Vested% is a required field. Tip: To suppress the As of Date and Vested % from appearing on the participant statement for a money source, enter the As-of Date for that Money Source as 01/01/0001. When you are done updating the file, Save your changes, close the file, and proceed to the Import instructions (see page 25). Remember, these export files are formatted as CSV (Comma Separated Value) files. When saving a file, do not change the file name or file extension. These files must be in CSV format to import successfully to ING. 13

14 Export Statement Feed / Defined Benefit, Life Insurance, or Outside Assets To export a base participant file for Statements for either Defined Benefit, Life Insurance, or Outside Assets, select the appropriate radio button on the Data Management Export screen under Statement Feed. Then click Continue. Select the appropriate radio button for Defined Benefits, Outside Assets, or Life Insurance, then click Continue. Select Plan(s) Based on the option selected, the eligible list of plans will display. Select the plan(s) to be included in the export file by clicking the checkbox to the left of the plan number or by clicking the checkbox at the top to select all plans. Click Continue. Save File The export file takes just a few moments to generate, then the standard File Download dialog box displays. Click Save to save the file to your computer. Once saved, you can proceed with updating the file. Important Note: These export files are formatted as CSV (Comma Separated Value) files. When saving a file, do not change the file name or file extension. These files must be in CSV format to import successfully to ING. 14

15 Updating Defined Benefit Data for Statements When updating the Defined Benefit data for Statements, you are providing the following information. Note, not all data entry fields must be filled: Current Accrued Monthly Benefit Vested Accrued Monthly Benefit Vested % Normal Retirement Date Early Retirement Date As-of Date Only the information provided will display on the Statement; if a data element is not provided, that line item will not appear on the statement. (Example: if you only provide Monthly Benefit and As of Date, only those two line items will appear.) Sample Defined Benefit file The following data entry rules must be adhered to when updating the Defined Benefit file: General Rules Microsoft Excel is commonly used to manipulate.csv files; these files can be opened and edited in Excel, but must be saved in the.csv file format. The first two rows in the file are header rows and must not be altered in any way. If a participant is missing from the export file, it s possible that they have not yet been entered on ING s system. Do not add participants to the file. If any information on the file is incorrect (Name, SSN), or if plan level data is incorrect (such as a missing money source), contact your ING Plan Manager. Do not add or delete money sources. Do not delete any of the columns or rows in the files. Columns can be expanded and/or shrunk in order to make it easier to read and update the data, but do not delete any columns or rows. This file is formatted in a very specific manner; it is imperative that only the fields to the right of the Participant Name be updated. Monthly Benefit Amount Rules For Current Accrued Monthly Benefit and Vested Accrued Monthly Benefit (at NRD) Numeric only with 2 decimal places allowed (xxxxxx.xx). Vested % Rules Only enter whole numbers (0-100), and do not input a % symbol. Zero is a valid Vested% value. 15

16 Date Rules For Normal Retirement Date, Early Retirement Date, and As of Date Must be formatted as mm/dd/yyyy (i.e. 06/30/2009). When providing or updating Defined Benefit data, the As of Date is Required Note: If either the Early Retirement Date or Normal Retirement Date is entered as 01/01/0001, all Defined Benefit participant data for this row will be suppressed from display on the participant statement. When you are done updating the file, Save your changes, close the file, and proceed to the Import instructions (see page 25). Remember, these export files are formatted as CSV (Comma Separated Value) files. When saving a file, do not change the file name or file extension. These files must be in CSV format to import successfully to ING. 16

17 Updating Life Insurance Data for Statements When updating the Life Insurance file for Statements, you are providing the following information: Policy Number Death Benefit Cash Value Cash Surrender Value Contributions YTD As of Date Up to 3 Life Insurance policies may be entered for a single participant. Only the information provided will display on the Statement; if a data element is not provided, that line item will not appear on the statement. (Example: if you only provide Policy Number and Cash Value, only those two line items will appear.) Sample Life Insurance file The following data entry rules must be adhered to when updating the Life Insurance file: General Rules Microsoft Excel is commonly used to manipulate.csv files; these files can be opened and edited in Excel, but must be saved in the.csv file format. The first two rows in the file are header rows and must not be altered in any way. If a participant is missing from the export file, it s possible that they have not yet been entered on ING s system. Do not add participants to the file. If any information on the file is incorrect (Name, SSN), or if plan level data is incorrect (such as a missing money source), contact your ING Plan Manager. Do not add or delete money sources. Do not delete any of the columns or rows in the files. Columns can be expanded and/or shrunk in order to make it easier to read and update the data, but do not delete any columns or rows. This file is formatted in a very specific manner; it is imperative that only the fields to the right of the Participant Name be updated. Policy Number Rules Alpha and numeric characters allowed Dollar Amount Rules For Death Benefit amount, Cash Value Amount, Cash Surrender Value Amount, and Contributions YTD: Numeric only with 2 decimal places allowed (xxxxxx.xx). Do not include $ sign 17

18 Date Rules For As of Date Must be formatted as mm/dd/yyyy (i.e. 06/30/2009). When providing or updating Life Insurance data, the As of Date is Required Note: If the As of Date is entered as 01/01/0001, the Life Insurance policy record will be suppressed from display on the participant statement. When you are done updating the file, Save your changes, close the file, and proceed to the Import instructions (see page 25). Remember, these export files are formatted as CSV (Comma Separated Value) files. When saving a file, do not change the file name or file extension. These files must be in CSV format to import successfully to ING. 18

19 Updating Outside Asset Data for Statements When updating the Outside Asset file for Statements, you can provide information on the following types of accounts to have that information appear on the participants statement: Cash Balance SDBA Real Estate Company Stock ESOP Non-Qualified Account Health Savings Account When providing information on these accounts, provide the following data elements: Starting Balance Ending Balance Vested % As of Date Sample Outside Asset file The following data entry rules must be adhered to when updating the Outside Asset file: General Rules Microsoft Excel is commonly used to manipulate.csv files; these files can be opened and edited in Excel, but must be saved in the.csv file format. The first two rows in the file are header rows and must not be altered in any way. If a participant is missing from the export file, it s possible that they have not yet been entered on ING s system. Do not add participants to the file. If any information on the file is incorrect (Name, SSN), or if plan level data is incorrect (such as a missing money source), contact your ING Plan Manager. Do not add or delete money sources. Do not delete any of the columns or rows in the files. Columns can be expanded and/or shrunk in order to make it easier to read and update the data, but do not delete any columns or rows. This file is formatted in a very specific manner; it is imperative that only the fields to the right of the Participant Name be updated. Balance Rules For Starting Balance and Ending Balance: Numeric only with 2 decimal places allowed (xxxxxx.xx). Do not include $ sign 19

20 Vested % Rules Only enter whole numbers (0-100), and do not input a % symbol. Zero is a valid Vested% value. Date Rules For As of Date Must be formatted as mm/dd/yyyy (i.e. 06/30/2009). When providing or updating Outside Asset data, the As of Date is Required Note: If the As of Date is entered as 01/01/0001, that Asset will be suppressed from display on the participant statement. When you are done updating the file, Save your changes, close the file, and proceed to the Import instructions (see page 25). Remember, these export files are formatted as CSV (Comma Separated Value) files. When saving a file, do not change the file name or file extension. These files must be in CSV format to import successfully to ING. 20

21 Vesting Management General To assist you in managing Vesting information for your plans, ING s Data Management application provides the ability for you to upload calculated Vested Percents or Years of Service information to ING for use in loan and withdrawal calculations. An initial load of Vesting information for all participants should be provided during the Plan Setup process. The Data Management application is used to update that Vesting information on an ongoing basis. Eligible plans This capability is only available for those plans where you (the TPA) have partnered with ING to manage Vesting. This capability is not available for plans where the Plan Sponsor has elected to provide the Vesting information. File Formats Due to the file format requirements for Vesting information, there are two standard templates for exporting Vesting data: Vested % for plans where you are submitting Vesting by % Years of Service for plans where you are submitting Vesting by Years of Service The Export process is built around these 2 formats; when exporting Vesting Management data, you will need to select which format you are exporting. The format for how you submit Vesting for a plan is defined during the Plan Setup process. You cannot change that format through this application. Plans with the same format can be combined in a single file, but you cannot combine different formats in the same file (e.g., you cannot combine Vested % plans and Years of Service plans in the same file). Export Vesting Management To export a base participant file for Vesting Management, from the Data Management Export page, select the appropriate TPA code, then select the radio button under Vesting Management for the format of plans you are exporting (either Vesting by % or Vesting by Years of Service). Click Continue. 21

22 Select Plan(s) Your export file can contain a single plan or multiple plans. Only those plans using the format you selected will display. Select the plan(s) to be included in the export file by clicking the checkbox to the left of the plan number. To include all plans displayed, click the checkbox at the top to select all plans. Click Continue. Save File The export file takes just a few moments to generate, then the standard File Download dialog box displays. Click Save to save the file to your computer. Important Note: These export files are formatted as CSV (Comma Separated Value) files. When saving a file, do not change the file name or file extension. These files must be in CSV format to import successfully to ING. Once the file is saved to your computer, you can proceed with updating the file 22

23 Updating Vesting Management When updating a Vesting Management file, you are providing either calculated percents or years of service. Any previously provided data is provided in the export file, if applicable. You can update these previously provided values or leave them as is if still accurate. General Rules Microsoft Excel is commonly used to manipulate.csv files; these files can be opened and edited in Excel, but must be saved in the.csv file format. The first two rows in the file are header rows and must not be altered in any way. If a participant is missing from the export file, it s possible that they have not yet been entered on ING s system. Do not add participants to the file. If any information on the file is incorrect (Name, SSN), or if plan level data is incorrect (such as a missing money source), contact your ING Plan Manager. Do not add or delete money sources. Do not delete any of the columns or rows in the files. Columns can be expanded and/or shrunk in order to make it easier to read and update the data, but do not delete any columns or rows. This file is formatted in a very specific manner; it is imperative that only the fields to the right of the Participant Name be updated. Vested % file For Vested % files, enter or edit the Vested % for each Participant Money Source in the plan. Percents can include one decimal point. Do not input a % symbol. Zero is a valid value and will update and existing values. Not every field needs to be updated; blanks are acceptable. Enter or edit the Vested percent for each money source. Enter this percent in the percent column (Ex: MS1%, MS2%, etc.) Do not edit any other information. When you are done updating the file, Save your changes, close the file, and proceed to the Import instructions (see page 25). Remember, these export files are formatted as CSV (Comma Separated Value) files. When saving a file, do not change the file name or file extension. These files must be in CSV format to import successfully to ING. 23

24 Years of Service For Years of Service files, enter or edit the Years of Service for each participant. Enter only whole numbers (0-100) Not every field needs to be updated; blanks are acceptable. Enter or edit the Years of Service for each participant. Enter this information in the Years of Service column. Do not edit any other information. When you are done updating the file, Save your changes, close the file, and proceed to the Import instructions (see page 25). Remember, these export files are formatted as CSV (Comma Separated Value) files. When saving a file, do not change the file name or file extension. These files must be in CSV format to import successfully to ING. 24

25 Import To import files to ING, return to the Data Management application. This Import process is the same for all files, whether Statement Feed or Data Management. From the My Workspace page of the TPA Website, click on Data Management, and then select Import. Select TPA Code Select the TPA Code for the plan(s) you are going to import, then click Continue. At any time in this process you can click Back to navigate back one page or click Cancel to cancel the operation and return to the My Workspace page. 25

26 Contact Information Your Name and address is pre-filled on the Upload File screen based on the information in the profile associated to your logon ID. This is the address that will receive the confirmation notices about your Import. You can edit this information if necessary. Please note, editing this information does not change that information in your Profile or on any of ING s recordkeeping systems. Upload File Click Browse to locate and select the file you wish to upload. Click Browse to locate & select the file. Then click Upload File. The standard Choose File dialog box will display. Locate and select the file you are importing. Then click the Upload File button. Import Confirmation An on-screen confirmation indicates that your file was received. This on-screen confirmation includes a Request ID, which is a tracking number you can use if any problems or questions arise; you should retain this number for your records. You will also receive an notification indicating the success or failure of your import. 26

27 Successful Import If the file you submitted was received with no errors, you will receive an notification with File Submission Successful in the Subject line. The body of the will contain high level details of your successful submission, including the Request ID that was displayed on the screen following your submission. Information successfully uploaded for Vesting Management is available for View or Export the next day. Information that you submit for Statement Feed before mid-day, is available for View or Export later that same day. Information submitted after mid-day is available to View or Export the next day. Failed Import If there is any error in your file, the entire file will fail with no records being written to ING systems. The file will have to be corrected and resubmitted in order to import successfully. If your import file was received with errors, you will receive an notification with File Submission Failed in the subject line. The body of the will contain high level details of your failed submission, including the Request ID that was displayed on the screen following your submission. There will also be an attachment detailing the errors contained in the file. 27

28 Error Attachment The Error will contain an attachment that will list all errors contained in the file. It will specifically list the line and column where the error(s) is located, as well as the actual error. The attachment indicates exactly where in the file the error is located. This error is in column: MS3PCT, row 12. Import Availability The Import feature is available from the first day of each month through the 28 th day of each month. When the 28 th falls on a weekend or holiday, the service will be unavailable beginning the last business day of the month prior to the 28 th. 28

29 View The Data Management View feature allows you to view previously submitted information directly online. This includes information submitted for Vesting Management or for Statement Feed. To view information, click the View data for participants in a plan link from the Data Management landing page. Select this first View link to view previously submitted data. Select the appropriate TPA code and the Plan you wish to View. Then select the radio button for the type of Data you wish to view: Vesting, Defined Benefit, Outside Assets, or Life Insurance. Click the View Report button. 29

30 View Statement Feed Information The Statement Feed View screen contains the same data as is included on the export file. The screen displays a maximum of 20 participants. Click Previous to navigate to the previous page of the report. Click Next to navigate to the next page of the report. You can also navigate to a specific page on the report by clicking the Go to Page drop-down menu and selecting a page. If no data has previously been submitted for the selected plan, an on-screen message will display, No previously submitted data available for the selected Plan. Click New Report to navigate back and select a different TPA Code/Plan combination. Or click Return to My Workspace to navigate back to the My Workspace page. 30

31 View/Edit Vesting Management Information When you select to View Vesting information for a plan on the enhanced service model, the results screen is editable. All participants in a plan display, even if there is no previously submitted Vesting information to display. You can use this feature to provide Vesting information for the first time, or to update existing information. The screen displays a maximum of 20 participants. Click Previous to navigate to the previous page or click Next to navigate to the next page. You can also navigate to a specific page by clicking the Go to Page drop-down menu and selecting a page, or you can Search for a participant by Last Name or SSN. Enter or edit the information, then click the Save Changes button. If you make changes, you have to save your changes before moving to another page. Click the Discard Changes button to un-do a change and revert to the original value; however if you ve already saved the change, it won t revert. Changes submitted through this feature are immediately available for Export or View, and will be available for use in Vesting calculations beginning the next day. Vested % View / Edit To add or edit the Vested %, enter the percent for each money source in the plan. 31

32 Years of Service View / Edit For Years of Service plans, the View/Edit screen displays Years of Service and Hours of Service, and both are editable. For plans where you are providing Years of Service, do not enter hours since hours for those plans are not being tracked or used. Hours information is displayed because this feature is available even for plans where the Sponsor is submitting the Vesting information. Hours will appear only if the Plan Sponsor has authorized ING to calculate vesting. Because of this, it s important to understand the impact of any edits made to the hours or years information for participants in those plans. Years of service and hours of service are both used in determining the final vested percent. Adjustments made to hours worked should be communicated to the Plan Sponsor to ensure their payroll file is updated and to avoid overstating vesting credits. ING will roll hours and apply vesting credits for these sponsor-submitted plans, so be mindful of this if ever adjusting Years of Service or Hours for these plans. Just like the Vested % screen, the Years of Service screen displays a maximum of 20 participants; use the Next and Previous buttons to navigate back and forth through the pages, or Search for a participant by Last Name or SSN. Enter or edit the information, then click the Save Changes button. If you make changes, you must save your changes before moving to another page. Click the Discard Changes button to un-do a change and revert to the original value; however if you ve already saved the change, it won t revert. Changes submitted through this feature are immediately available for Export or View, and will be available for use in Vesting calculations beginning the next day. 32

33 Dynamic Alert Reminder If nine months or more have passed since your last successful Vesting file submission for a plan, a reminder will display on the My Workspace page, appearing directly below the Data Management application description. This alert reminder will appear on the first day of each month when you have Vesting plans that are due to be updated. Click on the alert message to navigate to a report listing all plans that are due to have updates. Once you click on this alert message, the message will go away until the next month that you have Vesting file submissions due. This Alert message reminds you when data is due to be updated. You can also access this list at any time by clicking on the View list of plans due to be updated link on the Data Management home page. Click this second View link anytime to access the list of plans due to be updated. 33

34 Dynamic Alert Plan List You can access the list of all plans due to be updated by either clicking on the dynamic alert reminder on the My Workspace page or by clicking the View list of all plans due to be updated link on the Data Management home page. All plans that are due to be updated (at least 9 months have passed since the last successful submission for that file type) will display in bold red text on the top section of the report. The bottom section of the page lists all plans that have previously submitted data, by file type. You can remove the alert from displaying on the My Workspace page for specific plans by unchecking the box in the left column and clicking the Update button. Alerts will continue to be triggered and display for all plans that have the Alert box checked. These alerts are set and displayed at the user level; turning off the alert for yourself will not affect other users who have access to the same plan(s). To print this report, click on Print Version in the top right of the screen. Click Return to My Workspace to navigate back to the My Workspace page. 34

35 Technical Support Browser Issues Some internet browsers block not only pop-ups, but also file downloads. When you export a file, a message may appear on the top of the page (just below the address box) indicating that it has blocked a file download. To receive your file you must click on that message where it says Click here for options and then click Download File. If your browser blocks file downloads, click on this message where it says Click here for options, then select Download File. Contacting TPA Support In the event that you experience problems importing, exporting, viewing or manipulating a file, please contact the TPA Sales Support Team at Option 4, or send an to tpawebmaster@us.ing.com. 35

36 Appendix A: Money Source Reference List MT Employer Match DF Employee Deferral PS Profit Sharing IN Individual Rollover EC Employer Contribution (MP, DB) MN Employee Mandatory PA Prior Plan Assets PV Pre 1986 Voluntaries VL Employee Voluntary After-Tax Corporate Plans CR Employer Contributions (MAP2/MAP3) CE Employee Contributions (MAP2/MAP3) SM Safe Harbor Employer Match SE Safe Harbor Employer Contributions QC Qualifying Non-Elective Contribution EP Post 2001 Employer Contributions MP Post 2001 Matching Contributions PP Post 2001 Profit Sharing Contributions RA Rollover (After Tax Contributions) RH Roth 401(k) (After Tax Contributions) RV Roth 401(k) Rollover Health/Education/Government Plans 7 403(B)(7) CUSTODIAL OR ROLLOVER 7R 403(B)(7) CUSTODIAL OV EMPLOYEE VOLUNTARY AC ACCUMULATED LEAVE P1 EMPLOYER PROFIT SHAR AR ROLLOVER - AFTER TAX PD POST 2004 DEFERRED AT AFTER TAX PF FLEX PREMIUM CN CUSTODIAL IRA PO OPTIONAL RETIREMENT CV CUSTODIAL IRA PR EMPLOYER RETIREMENT E1 FLEX - EMPLOYEE PS EMPLOYER PROFIT SHAR E7 403(B)(7) CUSTODIAL QM QUALIFIED EE FLEX - EMPLOYEE QV QUALIFIED CONTRIBUTI EF FRONT-END LOAD PAID- R7 403(B)(7) CUSTODIAL EI L.S.- INTERNAL ROLL RE FLEX - EMPLOYER EL L.S.- EXTERNAL ROLL RH ROTH CONTRIBUTIONS EN EXPRESS NON-QUAL RI L.S.- INTERNAL ROLL EQ EXPRESS QUALIFIED RL L.S.- EXTERNAL ROLL ER FLEX - EMPLOYER RO ROLLOVER ET TRANSFER CREDIT - EE RP EMPLOYER RETIREMENT FC FIXED CUSTODIAL RQ ROLLOVER FROM QUAL P FE FRONT-END LOAD PAID- RR ROLLOVER FROM IRA FN FIXED NON-QUALIFIED RS ROLLOVER-SPOUSAL 457 FP FLEX PREMIUM RT TRANSFER CREDIT - ER FQ FIXED QUALIFIED RV ROTH ROLLOVER HN NON-QUALIFIED RX ROLLOVER FR 403/401/ HQ QUALIFIED S1 INDIVIDUAL SPD IE L.S.- INTERNAL ROLL SL LUMP SUM IR L.S.- INTERNAL ROLL SP INDIVIDUAL SPD LC CUSTODIAL IRA TA 401 AFTER TAX LE L.S.- EXTERNAL ROLL TE TRANSFER CREDIT - EE LN NON-QUAL CONTRIBUTIO TR TRANSFER CREDIT - ER LQ QUALIFIED CONTRIBUTI TX EMPLOYEE VOLUNTARY LR L.S.- EXTERNAL ROLL VC CUSTODIAL IRA LS LUMP SUM VN NQ VARIABLE ONLY NM NON-QUALIFIED VO EMPLOYEE VOLUNTARY NV NON-QUAL CONTRIBUTIO VQ Q VARIABLE ONLY OC CUSTODIAL IRA XN NON-QUALIFIED ON NON-QUAL CONTRIBUTIO XQ QUALIFIED OP OPTIONAL RETIREMENT XR ROLLOVER FR 403/401/ OQ QUALIFIED CONTRIBUTI XT EMPLOYEE VOLUNTARY 36