Statement Generator/CP20 User Guide

Transcription

1 Schwab Retirement Technologies, Inc. Schwab RT Statement Generator/CP20 User Guide Purpose: This document provides instructions for configuring, generating, and publishing reports using the Statement Generator/cp20 module in Recordkeeping. The document also includes file layouts and report samples. Transition to MS Access: With our February 2015 Release, Schwab RT will be discontinuing the use of DBFs (dbase) for generating Crystal Reports via Statement Generator (cp20) and SchARP estatements. We will be replacing dbase with MS Access and upgrading to Crystal Reports 2013 (v x). For more information, refer to the document Modifying Data Sources for Statement Processing, available from the Resource Center s What s New menu at schwabrt.com.

2 Schwab RT Statement Generator/CP20 User Guide (December, 2014) The material contained herein is proprietary to Schwab and for informational purposes only. The information is not intended to provide tax, legal or investment advice. Schwab does not guarantee the suitability or potential value of any particular information source. Certain information presented herein may be subject to change. The information or material contained in this document may not be copied, assigned, transferred, disclosed or utilized without the express written approval of Schwab. The Charles Schwab Corporation provides services to retirement plans and participants through its subsidiaries: Charles Schwab & Co., Inc. (Member SIPC), Charles Schwab Bank, Schwab Retirement Plan Services, Inc., Schwab Retirement Plan Services Company and Schwab Retirement Technologies, Inc. (Schwab RT). Schwab RT is engaged in developing and licensing proprietary retirement plan recordkeeping systems to independent Third Party Administrators. For further information, contact Schwab Retirement Technologies, Inc. at 4529 Sharon Road, Charlotte, NC 28211, USA. Web site: schwabrt.com Schwab Retirement Technologies, Inc. All rights reserved.

3 Contents Overview... 4 Report Setup, Generation, and Publishing... 5 Defining the Report Format (Plan Maintenance)... 5 Defining Report Setup in Custom Report Generator... 6 Defining Report Options for a Single Plan... 8 Defining Report Options for Multiple Plans, Plan Group, or Report Group... 9 Defining Sort Options Defining Report Options Defining Status Codes Generating the Report Publishing Reports to Plan Sponsors Field Definitions Report Detail Window Report Setting Window Select Sort Options Window Select Report Options Window Select Status Codes Window Appendix A: Statement Generator File Layouts Plan (P20pSy01.dbf) Plan Source (P20pSr01.dbf) Plan Investment (P20Inv01.dbf) Participant Synoptic (P20Syn01.dbf) Participant Source (P20Src01.dbf) Source/Fund (P20SF01.dbf) IPM Investments (P20Ipm01.dbf) Participant Units (P20Unt01.dbf) Fee Disclosure Participant Statement Options (P20FDM01.dbf) Fee Disclosure Participant Fee Amounts (P20FDD01.dbf) Plan PPA Disclosures (P20Disc01.dbf) Appendix B: Sample Reports Cash Force Out Report Census Listing Distribution Summary Executive Summary Report Headcount Report Holdings As of Loan Ledger Report Plan Summary with Vesting Plan Summary One Line Sample Participant Statement Summary of Participant Accounts Appendix C: Headcount Report Procedures... 55

4 Overview Statement Generator/CP20 creates simplified DBF files that make it easy to create administrative reports and statements. The program computes complex calculations like vested amounts and earnings between two periods without needing to find the data in the RKDB database and program the calculations. Using Statement Generator you can print a report for all participants in a plan or for a specific range of participants. You can generate a report for a single Plan or you can process by Plan Group, Report Group, or a group of plans selected by the user at runtime. Robust output options allow you to view reports on the screen or to generate reports to a designated output destination in PDF or Excel format. You can generate reports as a single file or generate separate reports for each plan or division. You can further customize your reports by selecting the sort options, print options, and status codes to be used in processing the report(s). Note: RK SQL Report Generator/CP50 does not use DBFs and the Crystal Reports need to point to the tables or stored procedures in the Recordkeeping database (RKDB). CP50 has the advantage of being able to be scheduled to run in SchARP via the Generate Reports workflow. December 2014 Schwab Retirement Technologies Page 4 of 56

5 Report Setup, Generation, and Publishing This section provides the following procedures: Defining the Report Format (Plan Maintenance) Defining the Report Setup Defining Report Options for a Single Plan Defining Report Options for Multiple Plan, Plan Group, or Report Group Defining Sort Options Defining Report Options Defining Status Codes Generating the Report Publishing Reports to Plan Sponsors Defining the Report Format (Plan Maintenance) In Plan Maintenance, use the Report Format window to ensure that the plan or plans that you want to run your reports conform to the following requirements: Plan is using the correct Header File (report assumes Header File 1). Plan is using the correct Tax Code Map File (report assumes RPTTAX1.PAS). Plan is assigned to the correct Report Group Code. You may assign one plan, multiple plans, or all plans to a Report Group. December 2014 Schwab Retirement Technologies Page 5 of 56

6 Defining Report Setup in Custom Report Generator 1. Open the Custom Reporting folder in Recordkeeping and launch Statement Generator/cp From the File menu in Statement Generator, select Report Setup. 3. Select the Output Destination tab and specify the preferred output destination (Screen, Printer, or File) for your reports. The Printer option includes a Setup button that you can use to specify your printer setting. The File option provides a Browse button that you can use to select the path and file name of the report. Note: This destination selected in the File field is used only when generating single reports to a file. If reports are segregated by plan or division, the report will be generated to the Doc Path directory defined in the System Path Settings in RK SQL System Maintenance. December 2014 Schwab Retirement Technologies Page 6 of 56

7 4. Select the Report & Database tab and do the following: a. Under Report Information, use the Browse button to specify the appropriate directory and report file name. The location of the file defaults to your working drive. If the report file is not in your working drive, you must specify the location. b. Click Open and then OK. December 2014 Schwab Retirement Technologies Page 7 of 56

8 Defining Report Options for a Single Plan To define the report options for a single plan, do the following: 1. On the Report Detail window, select Plan as the Process Type. 2. Select the appropriate Price Option (Settlement Date or Trade Date). 3. Go down to the Process by Plan section, select the appropriate Plan and complete the other fields, referring to the Field Definitions as needed. 4. Under Output Options, do the following: a. If you plan to segregate the plan report by its divisions, use the Segregate File Label field to enter the suffix that will appear at the end of the file name of each segregated division. Default = STMT. b. For Output Grouping, select Single or Segregate Divisions. c. For Output Format, select Screen, PDF, or XLS. Note: The Screen option is only available if the Single option is selected for the Output Grouping. The fields for processing a single plan are highlighted below. December 2014 Schwab Retirement Technologies Page 8 of 56

9 Defining Report Options for Multiple Plans, Plan Group, or Report Group To define the report options for a multiple plans or groups, do the following: 1. On the Report Detail window, select Group / Multi. Plans as the Process Type. 2. Select the appropriate Price Option (Settlement Date or Trade Date). 3. Go down to the Process by Group / Multi. Plans section and do one of the following: Select Report Group and then select a group from the list of available groups. Select Multiple Plans and then click the button to select from a list of available Plans. Select Plan Group and then select a group from the list of available groups. 4. Complete the date fields in the Process by Group / Multi. Plans section. 5. Under Output Options, do the following: a. If you plan to segregate the report by its plans or divisions, use the Segregate File Label field to enter the suffix that will appear at the end of the file name of each segregated division. Default = STMT. b. For Output Grouping, select Single, Segregate Plans, or Segregate Divisions. Note: the Single option generates all reports in a single file while the Segregate options create separate files for each plan or division. c. For Output Format, select Screen, PDF, or XLS. Note: The Screen option is only available if the Single option is selected for the Output Grouping. December 2014 Schwab Retirement Technologies Page 9 of 56

10 The fields for processing a group or multiple plans are highlighted below. December 2014 Schwab Retirement Technologies Page 10 of 56

11 Output File Naming Conventions The following table shows the standard output file naming conventions based on the Process Type and Output Option selected by the user: Process Type Output Option Output Filename * Plan Single PLN_EndDate_FileSuffix.EXT Plan Segregate Divisions PLN_DIVISION_EndDate_FileSuffix.EXT Group (Multi. Plan) Single MultiPlan_EndDate_FileSuffix.EXT Group (Plan Group) Single PlanGroup_EndDate_FileSuffix.EXT Group/Multi. Plan Segregate Plan_DIVISION_EndDate_FileSuffix.EXT * PLN = 3 character Plan ID EXT = 3 character file extension (PDF or XLS) DIVISION = Division number FileSuffix = Segregated File Label field on Report Detail window. Note: If segregating by plan, division will be omitted. December 2014 Schwab Retirement Technologies Page 11 of 56

12 Defining Sort Options Open the Select Sort Option window and choose the sort method. Defining Report Options Open the Select Report Options window and select the appropriate print options. Do not select plan totals only. December 2014 Schwab Retirement Technologies Page 12 of 56

13 Defining Status Codes Open the Select Status Codes window and choose the Status Codes to include in the report. Generating the Report On the toolbar, select the printer icon following locations: and the report will be generated to the screen or to one of the When processing single reports to a file, the report is generated to the destination defined in the File field on the Output Destination tab of the Report Settings window in Statement Generator. When reports are segregated by plan or division, the report will be generated to the Doc Path directory defined in the System Path Settings in RK SQL System Maintenance. A sample Doc Path setting appears below: December 2014 Schwab Retirement Technologies Page 13 of 56

14 Publishing Reports to Plan Sponsors For Plan Sponsor publishing, the output files need to be moved via File Explorer from the report directory on the J:\ drive to Z:\PSR\ReportCenter. To publish via Scharp to all or select Plan Sponsors: 1. Login to Scharp as a Scharp admin. 2. From the Report Center menu, select Publish. 3. On the Manual Report Publishing page, enter the Report Name; this is an arbitrary name but will be seen by the Plan Sponsor. 4. Select the Category under which the Plan Sponsor will find the report. 5. Select the Report Date on which the report will be available. 6. Input the Publish Mask of the report. 7. Select whether to the recipients or not. 8. Select which Plan Sponsors/Financial Advisors will receive the published report. 9. Select All Users or Individual Users. 10. Click Publish. For details on report publishing in SchARP, refer to the SchARP Reporting User Guide available from the Resource Center on schwabrt.com. December 2014 Schwab Retirement Technologies Page 14 of 56

15 Field Definitions This section provides field definitions for Statement Generator/CP20 windows. Report Detail Window The Report Detail window includes the following fields: Process Type Price Option Select the appropriate Process Type (or Plan or Group/Multi. Plan). The Price Option indicates whether the settle date or trade date is used to compute the beginning and ending market values displayed on the report. Under Price Option, select one of the following:. Settlement Date Use the actual date on which the trade occurred. Trade Date Use the date on which the trade was ordered Process by Plan Plan ID The following fields are available for use only when Plan is selected as the Process Type The Plan ID field lists all plans identified in the Plan Group. In some applications, you can choose to process all plans in the current Plan Group. In the Plan ID field, type the identifier of the plan or select it from the list. Cycle Code The Cycle Code field displays the time periods the application uses to process. The cycle codes listed are those defined in Plan Maintenance. In the Cycle Code field, type the cycle code or select it from the list. Note: When selecting the user-defined cycle option (Please Input Date), you can specify the beginning and ending dates of the cycle in the Beginning Date and Ending Date fields. Beginning Date The Beginning Date field displays the first process date used. When choosing user-defined cycle option (Please Input Date) in the Cycle Code field, the system populates this field with the beginning date defined in Plan Maintenance. To override this date, enter a different beginning date. When choosing a predefined cycle, the system determines the beginning date. In the Beginning Date field, type the beginning date in MMDDYYYY format. For example, to enter the date January 20, 2011, type Ending Date The Ending Date field displays the last process date used. When choosing user-defined cycle option (Please Input Date) in the Cycle Code field, the system populates this field with the ending date defined in Plan Maintenance. To override this date, enter a different ending date. When choosing a predefined cycle, the system determines the ending date. In the Ending Date field, type the ending date in MMDDYYYY format. For example, to enter the date January 20, 2011, type December 2014 Schwab Retirement Technologies Page 15 of 56

16 YTD ROR Begin Date Vesting Date If PPF Not Available Beginning Participant Ending Participant Report Date Report Message This begin date is used for reporting the year-to-date rate of return. In the YTD ROR Begin Date field, type the date in MMDDYYYY format. For example, to enter the date January 20, 2011, type The Vesting Date field determines whether current or historical participant data is used to print the Statement Generator report. If the vesting date you enter is in the current month, the system uses current participant data. If the vesting date is in a prior month, periodic (historical) participant data is used. When you select a report cycle, the system sets the vesting date automatically to correspond with the ending date of the period. In the Vesting Date field, type the vesting date in MMDDYYYY format. For example, to enter the date January 20, 2011, type The If PPF Not Available field displays the action the system takes if there is no historical participant data for the specified period. In the If PPF Not Available field, select one of the following: Use Participant Data Use current participant data for each participant who does not have historical data for the specified cycle Skip the Participant Use the date on which the trade was ordered Prompt when Accessing Prompt whether to use current participant data for each participant who does not have historical data. Discontinue Processing Automatically stop processing when the system comes to a participant who does not have historical data. Note: This field is enabled when the vesting date is in a month prior to the current process date The Beginning Participant field displays a list of participants for the selected plan. Use this field to identify the first participant to include in the activity. The default is the first participant as determined by the access method defined in Plan Maintenance. In the Beginning Participant field, type the identifier of the participant, select it from the list, or select First Participant. The Ending Participant field displays a list of participants for the selected plan. Use this field to identify the last participant to be included in the activity. The default is the last participant as determined by the access method defined in Plan Maintenance. In the Ending Participant field, type the identifier of the participant, select it from the list, or select Last Participant. You can specify a date to appear at the top of the report. The Report Date field holds up to 50 characters. In the Report Date field, type the date of the report. You can specify a message to appear at the top of the report. The Report Message field holds up to 50 characters. In the Report Message field, type the message you want to appear on the report. December 2014 Schwab Retirement Technologies Page 16 of 56

17 Process by Group Multiple Plans Report Group Multiple Plans Plan Group Beginning Date Ending Date YTD ROR Begin Date Use As of Date Output Options Segregated File Label Output Grouping The following fields are available for use only when Group/Multi. Plans is selected as the Process Type To generate report(s) for a Report Group, select the Report Group option and then select a group from the list of available groups. To generate report(s) for multiple Plans selected by the user at runtime, select Multiple Plans and then click the button to select from a list of available Plans. To generate report(s) for a Plan Group, select the Plan Group option and then select a group from the list of available groups. The Beginning Date field displays the first process date used. In the Beginning Date field, type the beginning date in MMDDYYYY format. For example, to enter the date January 20, 2011, type The Ending Date field displays the last process date used. In the Ending Date field, type the ending date in MMDDYYYY format. For example, to enter the date January 20, 2011, type This begin date is used for reporting the year-to-date rate of return. In the YTD ROR Begin Date field, type the date in MMDDYYYY format. For example, to enter the date January 20, 2011, type Check this option to use the As of Date on the transactions instead of the process date. If you plan to segregate the report by its plans or divisions, use the Segregate File Label field to enter the suffix that will appear at the end of the file name of each segregated division. Underscores are not allowed in the label name. Default = STMT. Select one of the following options: Single Segregate Plans (if applicable) Segregate Divisions Note: the Single option generates all reports in a single file while the Segregate options create separate files for each plan or division. December 2014 Schwab Retirement Technologies Page 17 of 56

18 Output Format Select one of the following output options: Screen - If selected, report displays on screen where you can view, search, print, and export the report to PDF, Excel, and other file formats. (default setting) PDF Generates the report(s) in the designated output destination in PDF format. XLS - Generates the report(s) in the designated output destination in Excel format. Note: The Screen option is only available if the Single option is selected for the Output Grouping. December 2014 Schwab Retirement Technologies Page 18 of 56

19 Report Setting Window Use the Report Setup command to: Specify where you want the report to go. Specify report and database options. Specify print options. The Report Setup command is available whenever a report can be generated. Note: Some applications optionally allow you to suppress Social Security numbers from the report output. This is used for reports that are mailed to the participant, beneficiary, or employee. To define report settings, do the following: From the File menu, click Report Setup. The Report Settings dialog appears, displaying the Output Destination tab. Output Destination Tab Use this tab to define the following fields: Screen Printer File Select this option to view the report output on your computer screen (default). Select this option to send your report to a specific printer. If you select this option, click Setup to select a printer and set the print options. Select this option to save your report as a file. This location is used only when generating single reports that are not segregated by Plan or Division. If you select this option, do one of the following: 1. Type the path and file name. 2. Click Browse, select the path, and type or select the file name. 3. Click Save. (If you select an existing file name, the system gives you the option of replacing the existing file.) December 2014 Schwab Retirement Technologies Page 19 of 56

20 Report and Database Tab Use this tab to define the following fields: Report Information In the Report Information field, specify the location of the report file the system uses to format the report. The location of the file defaults to your working drive. If the report file is not in your working drive, you must specify the location. To specify the location of the appropriate report file, do one of the following: Type the report path and file name in the text box. Click Browse to select the location of the report. If Crystal Reports Professional is installed on your system, you can make changes to the file that formats the report. If you have not purchased the Professional version of Crystal Reports, Edit Rpt is not available. Only the Crystal Reports engine comes with the standard system, without the report formatting capability. To edit the format of the report: Database Information Click Edit Rpt. Crystal Reports displays the layout for the report format. Make changes to the format, and click Save. The database directory is the location of the temporary database the system creates to provide data for reports. The database directory defaults to your working drive. To specify a different database directory, do one of the following: Type the path for the database directory. Click DB Directory to select or create a location for the database directory. After reports are generated, the system deletes the temporary report database (DBF File) unless you choose to save it. If you save the temporary report database, the system leaves it on the specified directory. To save the report database and print the report: 1. Select the Save Data Files check box. 2. Click OK. To generate and save the database files without actually printing the report: 3. Select the Save Data Files check box. 4. Select the Generate Data Files Only check box. 5. Click OK. December 2014 Schwab Retirement Technologies Page 20 of 56

21 Select Sort Options Window Use the Sort Levels grid to define how the system groups records. Sort Level Sort Element Control Break? Sort Order The number of the sort level. There can be up to 10 levels. The item in the record used as the sort key. The key field determines the order of the records being sorted. The order is based on the value of the key in each record, such as name or status. The sort elements are defined in Code and Map Maintenance The item that indicates whether subtotals are calculated for this element. (This option is not always available.) The order in which records are sorted: ascending (smallest to largest) or descending (largest to smallest). Select Report Options Window Use the Report Options window to select one or more of the following report print options: Suppress Zero Investments Suppress Zero Begin and End Populate Units Generate Plan Totals Only Consolidate Sources Suppress PPA Disclosures Calculate Rate of Return Calculate YTD Rate of Return Generate IPM Detail To omit investments with a zero balance, select the Suppress Zero Investments check box. If this check box is not selected, the system prints the plan name, source, investment, and zero total. This option is selected by default. Select the Suppress Zero Begin and End check box to exclude all investments with a beginning zero balance and an ending zero balance, regardless if there is any activity between these dates. This option is selected by default. Select the Populate Units check box to include total investment units with each investment reported. Select Generate Plan Totals Only to report the totals by plan for all investments in the current Plan Group. Select the Consolidate Sources check box to indicate whether to consolidate all sources on the report. Clear the check box to list sources individually. Select this check box to suppress printing PPA Disclosures to the report. The Pension Protection Act Disclosures are set at either the system level (C282/RK SQL System Maintenance) or plan level (C001/Plan Maintenance). Select this option to calculate the rate of return for the date range specified by the Beginning Date and Ending Date fields on the Report Detail window. Select this option to calculate the year-to-date rate of return, based on the date range specified by the YTD ROR Begin Date and Ending Date fields on the Report Detail window Select this option to generate detail for underlying IPM funds. December 2014 Schwab Retirement Technologies Page 21 of 56

22 Select Status Codes Window Use the Status Codes window to select QDRO/Bene options and Status Codes for inclusion in the report(s). QDRO/Bene Options Status Code Choose the appropriate QDRO/Bene Option based on which participants to include: Include QDRO/Bene - Include both QDROs and beneficiaries Exclude QDRO/Bene - Exclude both QDROs and beneficiaries Include QDRO - Include QDROs, but not beneficiaries Include Bene - Include beneficiaries, but not QDROs Select the status codes to determine the participants to include. Click to select all status codes. You can then click an individual check box(es) to clear a status code(s). Click to clear all status codes. You can then click an individual check box(es) to include a status code(s). December 2014 Schwab Retirement Technologies Page 22 of 56

23 Appendix A: Statement Generator File Layouts API reference guide for Schwab RT estatement, Statement on Demand, and SDDA. Plan (P20pSy01.dbf) The following table contains detail about each Plan, with one row for each Plan. Data Element Type Size Description PLA_IDI Double 8 For linking back to the RKDB PLA table advanced feature PLNID Text 3 Plan ID NAME1 Text 40 Plan description line 1 NAME2 Text 40 Plan description line 2 COL1TOP Text 15 Report header 1 Top COL1BOT Text 15 Report header 1 Bottom 15 COL15TOP Text 15 Report header 15 Top COL15BOT Text 15 Report header 15 Bottom BEGINDATE Text 8 Beginning date range for the statement in YYYYMMDD format ENDDATE Text 8 Ending date range for the statement in YYYYMMDD format RPTDATE Text 80 Report Date text entered at runtime RPTMSG Text 80 Report Message text entered at runtime BENOFFPH Text 15 VRS Customer Service Phone GL_FLD Double 8 Gain Loss field from the Enterprise Tax Map CONTR_FLD Double 8 Contribution field from the Enterprise Tax Map WITHDR_FLD Double 8 Withdrawal field from the Enterprise Tax Map FORF_FLD Double 8 Forfeiture field from the Enterprise Tax Map CONTROLSRC Double 8 Control source of the plan EXTRACT_DT Date/Time 8 System date when the statement was generated in mm/dd/yyyy format BEGINDT_DT Date/Time 8 Beginning date range for the statement in mm/dd/yyyy format ENDDT_DT Date/Time 8 Ending date range for the statement in mm/dd/yyyy format GROSSW2FRM Text 80 Gross W2 Formula Name TESTINGFRM Text 80 Testing Formula Name ALLOWASI Yes/No 1 Allow Automatic Savings Increase PRTAXINCON Double 8 ASI Pre Tax Initial Contribution Rate Percentage December 2014 Schwab Retirement Technologies Page 23 of 56

24 PRTAXANCON Double 8 ASI Pre Tax Annual Contribution Rate Increase RTHINCONRT Double 8 ASI Roth Initial Contribution Rate Percentage RTHANCONRT Double 8 ASI Roth Annual Contribution Rate Increase ASISPDTINC Text 5 ASI Specific Date for Increase in mm/dd format ASILEADTIM Double 8 ASI Lead Time for upcoming deferral Increase Notice (days) ASIUPDPART Yes/No 1 Update Participants with ASI Increase Table Indexes Name Fields Sort Order PLNSYN1 PLNID Ascending Plan Source (P20pSr01.dbf) The following table contains detail about each Source, with one row for each Plan/Source. Data Element Type Size Description PLA_IDI Double 8 For linking back to the RKDB PLA table advanced feature SOU_SI Double 8 For linking back to the RKDB SOURCE table advanced feature SOU_IDI Double 8 For linking back to the RKDB SOURCE table advanced feature PLNID Text 3 Plan ID SOURCENUM Text 2 Source Number within the plan HEADING1 Text 30 Source heading 1 HEADING2 Text 30 Source heading 2 ALLOWASI Yes/No 1 Automatic Savings Increase Allowed Table Indexes Name Fields Sort Order PLNSRC1 PLNID Ascending SOURCENUM Ascending December 2014 Schwab Retirement Technologies Page 24 of 56

25 Plan Investment (P20Inv01.dbf) The following table contains detail about each Investment, with one row for each Plan/ Investment. Data Element Type Size Description PLA_IDI Double 8 For linking back to the RKDB PLA table advanced feature INV_IDI Double 8 For linking back to the RKDB Invest table advanced feature ASSET_ID Text 15 Investment ID PLNID Text 3 Plan ID FUNDID Text 30 Fund ID (the IPM Number) BEGPRICE Double 8 Beginning Price ENDPRICE Double 8 Ending Price SPECIALIND Double 8 Special Purpose Indicator TICKER Text 15 TICKER CUSIP Text 15 CUSIP Table Indexes Name Fields Sort Order ASSET_ID ASSET_ID Ascending FUNDID FUNDID Ascending PLNID PLNID Ascending PLNINV1 PLA_IDI Ascending INV_IDI Ascending December 2014 Schwab Retirement Technologies Page 25 of 56

26 Participant Synoptic (P20Syn01.dbf) The following table contains detail about each Plan Participant, with one row for each Plan/Social Security number. Data Element Type Size Description PLA_IDI Double 8 For linking back to the RKDB PLA table advanced feature PAR_IDB Double 8 For linking back to the RKDB PART table advanced feature PLNID Text 3 Plan ID SSN Text 15 Social Security number NAME Text 30 Participant name DOP Text 8 Date of participation - YYYYMMDD DOS Text 8 Date of service YYYYMMDD DOW Text 8 Date of withdrawal DOT Text 8 Date of termination DOB Text 8 Date of Birth DOR Text 8 Date of Retirement NRD Text 8 Normal Retirement Date ERD Text 8 Early Retirement Date STATUS Text 40 Primary status name (Example: Active) DIV Text 15 Division ADD1 Text 30 Address line 1 ADD2 Text 30 Address line 2 CITY Text 30 City STATE Text 2 State ZIP Text 10 Zip COMMENT1 Text 25 Comment line 1 COMMENT2 Text 25 Comment line 2 COMMENT3 Text 25 Comment line 3 FROZEN86 Double 8 Frozen86 amount FROZEN88 Double 8 Frozen88 amount KEY1 Text 15 Alternate Key 1 KEY2 Text 15 Alternate Key 2 PARTCUMHRS Text 14 Cumulative Hours HRSBASEVST Double 8 1 = uses hours based vesting, 0 = does not use hours based vesting FIRSTNAME Text 40 First Name December 2014 Schwab Retirement Technologies Page 26 of 56

27 LASTNAME Text 40 Last Name MIDDLEINIT Text 1 Middle Initial STATUS_INT Double 8 Primary Status code (ie 761) ADDR Text 50 address COMP1 Double 8 Compensation field 1 COMP15 Double 8 Compensation field 15 ROR Double 8 Rate of return for the statement cycle YTD_ROR Double 8 Year to date rate of return DOP_DT Date/Time 8 Date of participation in date format DOS_DT Date/Time 8 Date of service in date format DOW_DT Date/Time 8 Date of withdrawal in date format DOT_DT Date/Time 8 Date of term in date format DOB_DT Date/Time 8 Date of birth in date format DOR_DT Date/Time 8 Date of retirement in date format NRD _DT Date/Time 8 Normal retirement date in date format ERD_DT Date/Time 8 Early retirement date in date format CURR_HRS Double 8 Participant Current Hours YTD_HRS Double 8 Participant YTD Hours FIRSTYTD_H Double 8 Participant First Year Hours BESTATEONL Yes/No 1 Participant Benefit Statement Preference GROSSW2CMP Double 8 Participant s Gross W2 Compensation TESTINGCMP Double 8 Participant s Testing Compensation Table Indexes Name Fields Sort Order KEY1 KEY1 Ascending KEY2 KEY2 Ascending PART1 PLNID Ascending SSN Ascending PRTSYN1 PLNID Ascending December 2014 Schwab Retirement Technologies Page 27 of 56

28 Participant Source (P20Src01.dbf) The following table contains detail about each Participant s Source, with one row for each Plan/Social Security number/source. Data Element Type Size Description PLA_IDI Double 8 For linking back to the RKDB PLA table advanced feature PAR_IDB Double 8 For linking back to the RKDB PART table advanced feature SOU_SI Double 8 For linking back to the RKDB SOURCE table advanced feature SOU_IDI Double 8 For linking back to the RKDB SOURCE table advanced feature PLNID Text 3 Plan ID SSN Text 15 Social Security number SOURCENUM Text 2 Source Number within the plan UICASH Double 8 Uninvested Cash for the source VESTEDPCT Double 8 Vested percent for the source VESTEDAMT Double 8 Vested amount for the source SRCCOMP Double 8 The salary compensation for the source (as defined in plan maintenance source level contribution salary field) LDTCONT Double 8 Life to date contributions for the source LDTDIST Double 8 Life to date distributions for the source DEFPCT Text 8 Deferral Percent for the source DEFAMT Double 8 Deferral Amount for the source SRCTOTAL Double 8 Total Source Ending Balance BEGUICASH Double 8 Beginning Uninvested Cash for the source ASIOPTIN Yes/No 1 ASI Opt-In ASIINCPERC Double 8 ASI Increment % ASIMAXPERC Double 8 ASI Maximum % ASINXTINDT Text 8 Next ASI Increment Date in yyyymmdd format Table Indexes Name Fields Sort Order PRTSRC1 PLNID Ascending SSN Ascending SOURCENUM Ascending December 2014 Schwab Retirement Technologies Page 28 of 56

29 Source/Fund (P20SF01.dbf) The following table contains detail about each Source/Fund, with one row for each Plan/Social Security number/source/fund. Data Element Type Size Description PLA_IDI Double 8 For linking back to the RKDB PLA table advanced feature PAR_IDB Double 8 For linking back to the RKDB PLA table advanced feature SOURCE_POS Double 8 The position of the source in the plan SOU_IDI Double 8 For linking back to the source row in the RKDB advanced feature FUN_IDI Double 8 For linking back to the Fund row in the RKDB advanced feature INV_IDI Double 8 For linking back to the investment row in the RKDB advanced feature IPM_NID Double 8 For linking back to the RKDB IPM table advanced feature ASSET_ID Text 15 Investment ID FUND_POS Double 8 Fund position within the source PLNID Text 3 Plan ID SSN Text 15 Social Security number SOURCENUM Text 2 Source Number within the plan FUNDID Text 30 Fund name ELECTPCT Double 8 Election percent for the source/fund COL1AMT Double 8 Beginning Balance for the source/fund COL2AMT Double 8 Column 2 amount for the source/fund based on the report tax map for plan.. COL14AMT Double 8 Column 14 amount for the source/fund based on the report tax map for plan COL15AMT Double 8 Ending Balance for the source/fund BEGUNITS Double 8 Beginning units for the source/fund ENDUNITS Double 8 Ending units for the source/fund BEGPRICE Double 8 Beginning price for the source/fund ENDPRICE Double 8 Ending price for the source/fund December 2014 Schwab Retirement Technologies Page 29 of 56

30 Table Indexes Name Fields Sort Order ASSET_ID ASSET_ID Ascending FUNDID FUNDID Ascending IPM_NID IPM_NID Ascending PRTSF1 PLNID Ascending SSN Ascending SOURCENUM SOURCENUM Ascending December 2014 Schwab Retirement Technologies Page 30 of 56

31 IPM Investments (P20Ipm01.dbf) The following table contains detail about the investments within the IPM, with one row for each Plan/Social Security number/source/ipm/investment. Data Element Type Size Description PLA_IDI Double 8 For linking back to the RKDB PLA table advanced feature PAR_IDB Double 8 For linking back to the RKDB PLA table advanced feature SOURCE_POS Double 8 The Source position within the plan SOU_IDI Double 8 For linking back to the RKDB SOURCE table advanced feature INV_IDI Double 8 For linking back to the RKDB INVEST table advanced feature IPM_NID Double 8 For linking back to the RKDB IPM table advanced feature ASSET_ID Text 15 The Investment ID within the IPM PLNID Text 3 Plan ID SSN Text 15 Social Security Number SOURCENUM Text 2 Source Number within the plan FUNDID Text 30 Fund ID (the IPM Number) ELECTPCT Double 8 Election Percent COL1AMT Double 8 Beginning Balance for the source/ipm/investment COL2AMT Double 8 Column 2 amount for the source/ipm/investment, based on the report tax map for the plan COL14AMT Double 8 Column 14 amount for the source/ipm/investment, based on the report tax map for the plan COL15AMT Double 8 Ending Balance for the source/ipm/investment BEGUNITS Double 8 Beginning Units for the source/ipm/investment ENDUNITS Double 8 Beginning Units for the source/ipm/investment Table Indexes Name Fields Sort Order ASSET_ID ASSET_ID Ascending FUNDID FUNDID Ascending IPM_NID IPM_NID Ascending PRTIPM1 PLNID Ascending SSN Ascending SOURCENUM SOURCENUM Ascending December 2014 Schwab Retirement Technologies Page 31 of 56

32 Participant Units (P20Unt01.dbf) The following table contains detail about each Source/Fund units, with one row for each Plan/Social Security number/source/fund. Generated only if the Consolidate Sources option is ON. Data Element Type Size Description PLA_IDI Double 8 For linking back to the RKDB PLA table advanced feature PAR_IDB Double 8 For linking back to the RKDB PART table advanced feature SOU_SI Double 8 The position of the source in the plan SOU_IDI Double 8 For linking back to the source row in the RKDB advanced feature FUND_POS Double 8 Fund position within the source PLNID Text 3 Plan ID SSN Text 15 Social Security number SOURCENUM Text 2 Source Number within the plan. FUNDID Text 30 Fund name COL1AMT Double 8 Beginning Units Balance for the source/fund.. COL15AMT Double 8 Ending Units Balance for the source/fund Table Indexes Name Fields Sort Order PRTUNT1 PLNID Ascending SSN Ascending SOURCENUM Ascending FUNDID Ascending December 2014 Schwab Retirement Technologies Page 32 of 56

33 Fee Disclosure Participant Statement Options (P20FDM01.dbf) The following table contains details about the Fee Disclosure Participant Statement Options with one row for each plan. Data Element Type Size Description PLA_IDI Double 8 For linking back to the RKDB PLA table advanced feature PLNID Text 3 Plan ID PLNHEADER Text 100 Plan Fee Header PLNDESC Memo - Plan Fee Description PARTHEADER Text 100 Participant Fee Header PARTDESC Memo - Participant Fee Description PLANDISCTY Double 8 Plan Level Fee Printing Option PARTDISCTY Double 8 Participant Level Fee Printing Option Table Indexes Name Fields Sort Order PFD PLNID Ascending December 2014 Schwab Retirement Technologies Page 33 of 56

34 Fee Disclosure Participant Fee Amounts (P20FDD01.dbf) The following table contains details about the participant s fee Amounts. If the plan level fee printing option is Totals only, there will be only one row for each plan/participant with fee name as Total else there will be one row for plan/participant/fee type along with the totals row. The same applies for participant level fee printing option. Data Element Type Size Description PLA_IDI Double 8 For linking back to the RKDB PLA table advanced feature PLNID Text 3 Plan ID PAR_IDB Double 8 For linking back to the RKDB PART table advanced feature SSN Text 15 Social Security Number FEENAME Text 100 Fee Name (As defined in System Maintenance. Will be Total for the total row for both fee types) AMOUNT Double 8 Fee Amount FEETYPE Text 4 Fee Type (Can be Plan or Part ) Table Indexes Name Fields Sort Order PFD1 PLNID Ascending SSN Ascending December 2014 Schwab Retirement Technologies Page 34 of 56

35 Plan PPA Disclosures (P20Disc01.dbf) The following table contains details about the plan level PPA disclosures with one row for each plan. Data Element Description Pla_IDI For linking back to the RKDB PLA table advanced feature PlnID 3 character plan ID DiscType Length of the Disclosure Text Disc Combines text of all the PPA disclosures for the plan separated by blank lines. December 2014 Schwab Retirement Technologies Page 35 of 56

36 Appendix B: Sample Reports The following sample report files can be downloaded from the Resource Center (Report Library page) at schwabrt.com. Cash Force Out Report Report shows participants with a terminated status that have a balance less than the force out amounts of $1000 or $5000. Requires the Cash Out Amount field in Plan Maintenance to be completed. This report contains RKDB tables that must be set to the specific client. December 2014 Schwab Retirement Technologies Page 36 of 56

37 Census Listing Report shows a listing of participants with their dates, status, account and vested balance. Will only list participants with activity during the specified time frame. December 2014 Schwab Retirement Technologies Page 37 of 56

38 Distribution Summary Report listing participants who took a withdrawal during the selected period. Assumes COL5 is mapped for Withdrawals and COL6 is mapped for Forfeitures. This report contains RKDB tables that must be set to the specific client. December 2014 Schwab Retirement Technologies Page 38 of 56

39 Executive Summary Report Generates a combined report that shows Plan Summary, Account Totals, Participant Overview, Distribution Summary, Plan Balances by Age Group (with Pie Chart), Investment Balances by Age Group, and Total Balance by Age/Investment (with Pie Chart). This report contains RKDB tables that must be set to the specific client. Cover page: December 2014 Schwab Retirement Technologies Page 39 of 56

40 Executive Summary Report (cont.) December 2014 Schwab Retirement Technologies Page 40 of 56

41 Executive Summary Report (cont.) December 2014 Schwab Retirement Technologies Page 41 of 56

42 Executive Summary Report (cont.) December 2014 Schwab Retirement Technologies Page 42 of 56

43 Executive Summary Report (cont.) December 2014 Schwab Retirement Technologies Page 43 of 56

44 Executive Summary Report (cont.) December 2014 Schwab Retirement Technologies Page 44 of 56

45 Executive Summary Report (cont.) December 2014 Schwab Retirement Technologies Page 45 of 56

46 Headcount Report Report lists head count totals for status codes per plan. Fields include # With Bal, # No Bal, Total SSNs, Mkt. Value, # with Loans, and Loan Amount. The report can be sorted by several parameters (See Appendix for Headcount report procedures). December 2014 Schwab Retirement Technologies Page 46 of 56

47 Holdings As of Generates a report that shows holdings at the investment level for a specified time frame. This report contains RKDB tables that must be set to the specific client. December 2014 Schwab Retirement Technologies Page 47 of 56

48 Loan Ledger Report Report shows listing of loans, per plan, that had a balance in the selected time frame. This report contains RKDB tables that must be set to the specific client. December 2014 Schwab Retirement Technologies Page 48 of 56

49 Plan Summary with Vesting Generates a summary of plan activity, per source, including the vested amount per source. This report uses Header and Tax Map containing COL1, COL2, COL3, COL4, COL5, COL6, COL7, and COL15. December 2014 Schwab Retirement Technologies Page 49 of 56

50 Plan Summary One Line Generates one line of plan activity in total, per participant, including the total vested amount. This report uses Header and Tax Map containing COL1, COL2, COL3, COL4, COL5, COL6, COL7, and COL15. December 2014 Schwab Retirement Technologies Page 50 of 56

51 Sample Participant Statement Generates a sample participant statement that can be customized. The statement uses the following for Header and Tax Map: COL1 (Beginning Balance), COL2 (Contributions), COL3 (Loan Pmt/Transfers), COL4 (Gains/Losses), COL5 (Distributions), COL6 (Forfeitures), COL7 (Fees), and COL15 (Ending Balance). This report contains RKDB tables that must be set to the specific client. Statement Generator December 2014 Schwab Retirement Technologies Page 51 of 56

52 Sample Participant Statement (cont.) December 2014 Schwab Retirement Technologies Page 52 of 56

53 Sample Participant Statement (cont.) \ December 2014 Schwab Retirement Technologies Page 53 of 56

54 Summary of Participant Accounts Generates a breakdown of participant activity by source and by fund. This report uses Header and Tax Map containing COL1, COL2, COL3, COL4, COL5, COL6, COL7, and COL15. December 2014 Schwab Retirement Technologies Page 54 of 56

55 Appendix C: Headcount Report Procedures This section provides procedures required to run the Headcount report using Statement Generator/cp20. Note: This cannot be run in SchARP which requires RK SQL Report Generator (CP50). 1. From the File menu in Statement Generator/cp20, select Report Setup. 2. On the Report Setting window, select the Report & Database tab 3. Browse to J:\\Reports\Headcount.rpt 4. On the Report Detail window, select to run a single plan or multiple plans, with the appropriate beginning and ending dates. 5. On the Select Sort Options window, select the sort method. 6. On the Select Report Option window, select the appropriate Print Options. To include all participants, deselect Suppress Zero Investments and Suppress Zero Beginning and Ending Balances, which are enabled by default. 7. On the Select Status Codes window, select the appropriate participant Status Codes to include in the report. 8. All other selection criteria (division, balance, date) will automatically appear in the next window, shown on the following page. December 2014 Schwab Retirement Technologies Page 55 of 56

56 10. On the Enter Values window, in the Division field, click the button to select the appropriate division or enter ALL. The value must be all CAPS. 11. If you want to include all dates in each date range, select No lower value on the beginning date ranges and then enter the current date for the ending ranges. Otherwise, enter the dates you want to include. 12. Submit the report to run. December 2014 Schwab Retirement Technologies Page 56 of 56