Report Generator Library

Transcription

1 p Schwab Retirement Technologies, Inc. Schwab Automated Retirement Processing (SchARP) Report Generator Library Purpose: This document provides samples of reports available through SchARP Generate Reports workflow and also through the RK SQL Report Generator/cp50 module in Recordkeeping. Related Documents (available from the Resource Center at schwabrt.com): - Report Generator User Guide - Provides instructions for generating reports using RK SQL Report Generator/cp50 and SchARP workflow. - SchARP Reporting User Guide - Provides detailed instructions for generating and publishing reports using SchARP workflow.

2 SchARP Report Generator Library May 2015 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 Table of Contents Report Index... 5 Asset Holdings... 7 Batch Aging... 8 Cash Deposits by Plan... 9 Cash Deposit Matching Contribution Transaction Summary Compensation and Hours Tracking Report Deferral Change Report Deferral Change Report Enhanced Eligibility Future Eligibility Fee Disclosure Acceptance by Participant during Enrollment Fee Disclosure Detail Fee Disclosure Summary Fee Plan Statement Fee TPA Statement Find Cash Generic Confirm Hardship Deferral Suspension Report Income Statement As Of Investment Search IPM Participant Count IPM Rebalance Schedule Loan Report Loan Report Enhanced Loan Delinquency Report (Enhanced) Paid Off Loans with Residual Amounts Summary of Participant Loan Accounts Report Upcoming Loan Payoff Report Negative Units Operator Review Report Participant Holdings Participant Request Detail Report Participant Statement Preference Report Payee Fees Payroll Confirmation Payroll History Payroll Monitoring Not Being Monitored Payroll Past Due Funding Payroll Plan Monitoring Payroll User s Payroll User Monitoring Pending Activity Report PIN Letter by Date Range Plan Level Enrollment Passcode Participant Report Plan List Plan Report Options Profile Access Report Program Access Exception Program Log Report Promissory Note May 2015 Schwab Retirement Technologies Report Generator Library Page 3 of 97

4 Schwab Bank Savings (SBS) Report Schwab Bank Savings Disclosure for Participants SDBA Report by Plan SDBA Report by Provider Tax Code Analysis Annual Participant Fee Disclosure Cover Letter and Report Appendix: Reporting for All Cycles May 2015 Schwab Retirement Technologies Report Generator Library Page 4 of 97

5 Report Index 1. Asset Holdings Asset Holdings.rpt 12/10/ Batch Aging BatchAgingReportV10SQL.rpt 10/17/ Cash Deposits by Plan CashDepositsbyPlan.rpt 08/24/ Cash Deposit Matching CashDepositMatching.rpt 08/11/ Contribution Transaction Summary Contribution Transaction SummaryXI.rpt 04/05/ Compensation and Hours Tracking CompensationAndHours.rpt 05/13/ Deferral Change Report Deferral Change Report.rpt 08/16/ Deferral Change Report Enhanced Deferral Change Report Enhanced.rpt. 03/30/ Election Percent Report Election Percent ReportXI.rpt 01/07/ Eligibility Eligibility ReportSQLXI.rpt 04/18/ Future Eligibility Future Eligibility.rpt 03/14/ Enrollment Form Enrollment Form.rpt 12/10/ Fee Disclosure Acceptance by Participant PFDAcceptedParts.rpt 08/27/2012 During Online Enrollment 14. Fee Disclosure Detail Fee Disclosure Detail.rpt 03/30/ Fee Disclosure Summary Fee Disclosure Summary.rpt 03/30/ Fee Plan Statement FeePlanStatement.rpt 03/30/ Fee TPA Statement FeeTPAStatement.rpt 03/30/ Find Cash Find CashXI.rpt 01/07/ Generic Confirm GenericConfirmScharp.rpt 08/27/ Hardship Deferral Suspension Report Hardship Deferral Suspension Report.rpt 12/10/ Income Statement As Of Income Statement AsOf.rpt 12/10/ Investment List Investment ListXI.rpt 11/20/ Investment Search Asset SearchXI.rpt 01/07/ IPM Participant Count IPM Participant CountXI.rpt 01/07/ IPM Rebalance Schedule IPMRebalanceSchedule.rpt 07/22/ Loan Report LoanReport.rpt 01/19/ Loan Report Enhanced LoanReportEnhanced.rpt 12/09/ Loan Delinquency Loan Delinquency.rpt 12/10/ Loan Delinquency (Enhanced) Loan Delinquency Enhanced.rpt 12/10/ Loan Differences Report Loan Differences.rpt 12/10/ New Loans Report NewLoansReport.rpt 12/10/ Paid Off Loans with Residual Amounts Paid Off Loans with Residual Amounts.RPT 11/18/ Summary of Participant Loan Accounts LoanSummaryReport.rpt 11/01/ Upcoming Loan Payoff Report Upcoming_Loan_PayOff.rpt 04/10/ Negative Units Negative UnitsXI.rpt 06/03/ Operator Review Report Operator Review Report.rpt 03/06/ Participant Holdings Participant Holdings.rpt 12/10/ Participant Request Detail Report PSR Detail ReportScharp.rpt 06/08/ Participant Statement Preference Participant Statement Preference.rpt 04/15/ Payroll Confirmation Payroll Confirmation.rpt 12/16/ Payee Fees Payee Fees.rpt 09/02/ Payroll History PayrollHistory.rpt 01/29/ Payroll Monitoring Not being monitored PMon_AllPlansNotBeingMonitored.rpt 12/01/ Payroll Past Due Funding PayrollPastDueFunding.rpt 03/05/ Payroll Plan Monitoring PayrollPlanMonitoring.rpt 11/23/ Payroll User s PayrollUser s.rpt 10/20/ Payroll User Monitoring PayrollUserMonitoring.rpt 11/23/ Pending Activity Report Pending File Query ReportSQLXI.rpt 04/22/ PIN Letter by Date Range Password_LTRDaterange.rpt 11/24/ Plan Level Enrollment Passcode PLPParticipantData.rpt 02/22/ Plan List Plan ListXI.rpt 11/20/2007 May 2015 Schwab Retirement Technologies Report Generator Library Page 5 of 97

6 52. Plan Report Options Header Taxmap SetupIX.rpt 11/26/ Profile Access Report Profile Access Report 3.0.rpt 03/06/ Program Access Exception ProgramAccessException.rpt 03/10/ Program Log Report proglogxirpt.rpt 11/20/ Promissory Note Promissory NoteXI.rpt 04/06/ Schwab Bank Savings (SBS) Report PartSBSReport.RPT 05/15/ Schwab Bank Savings Disclosure for SBSMMDAPrtDisc.RPT 05/15/2015 Participants 59. SDBA Report by Investment SDBAreportByInvestment.rpt 10/06/ SDBA Report by Plan SDBAReportByPlan.rpt 09/29/ SDBA Report by Provider SDBAReportByProvider.rpt 09/29/ Tax Code Analysis TaxCodeAnalysis.rpt 05/16/ Annual Participant Fee Disclosure Cover Letter and Report PFDAnnLetter.rpt PFDAnnReport.rpt 12/20/2011 May 2015 Schwab Retirement Technologies Report Generator Library Page 6 of 97

7 Asset Holdings This report lists total units, market, cost, and participant count per asset, per plan. It can be run for current date or balance as of the request statement balance date. Note: A similar report, the Global Asset Holdings Report (Global Asset Holdings report.rpt) lists total units, market, cost, and participant count per asset, for all plans, followed by detail at the plan level. It can be run for current date or balance as of the request statement balance date. Report Sample May 2015 Schwab Retirement Technologies Report Generator Library Page 7 of 97

8 Batch Aging We recommend using the Trade Audit Scharp Business Activity. Reports any pending batches that are older than the specified days. Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 8 of 97

9 Cash Deposits by Plan List of cash deposit files imported for a plan (or list of plans) and date range. Indicates if any remainder of each deposit can be used for funding another payroll. Run in cp50 or Report Center. Parameters = Plan, Start Date, End Date, Number of days. Parameters May 2015 Schwab Retirement Technologies Report Generator Library Page 9 of 97

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11 Cash Deposit Matching List of cash deposit files imported for a plan (or list of plans) and date range. Shows usage of how each deposit is used to fund a payroll for a specific payroll date. Indicates if any remainder of each deposit can be used for funding another payroll Run in cp50 or Report Center. Parameters = Plan, Start Date, End Date, Number of days. Parameters May 2015 Schwab Retirement Technologies Report Generator Library Page 11 of 97

12 Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 12 of 97

13 Contribution Transaction Summary Ability to select plan(s) and date range. Displays Contributions grouped by date. Totals by code and by date. Note: This report ONLY runs in cp50, not the report center. Parameters May 2015 Schwab Retirement Technologies Report Generator Library Page 13 of 97

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15 Compensation and Hours Tracking Report Plan Level report. Print a maximum of 10 Compensation Formulas or Compensation Types per report. Parameters May 2015 Schwab Retirement Technologies Report Generator Library Page 15 of 97

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17 Deferral Change Report Plan Level report. Provides a single point of reference for all deferral changes. Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 17 of 97

18 Deferral Change Report Enhanced Plan Level report. Provides a single point of reference for all deferral changes. Ehanced with participants ACA status and related deferral information. Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 18 of 97

19 Election Percent Report Plan Level report. Reports total percent by participant, breakdown by fund, IPM # (if applicable) and when the elections were last entered/changed. Report is written for Source 1 this can be changed with in report to pull a different source or can be made a parameter to be entered at runtime. Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 19 of 97

20 Eligibility Reports eligibility rules for the plan and participant detail. Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 20 of 97

21 Future Eligibility This report lists anyone whose data of eligibility was updated on the current day the report ran. Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 21 of 97

22 Enrollment Form This report generate a generic enrollment form for a requested plan. Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 22 of 97

23 Fee Disclosure Acceptance by Participant during Enrollment Plan level report. Shows all participants who have accepted the PFD report displayed for their review during the online enrollment process. Parameters Select Plan and Date Range Sample Report Requirement: During Online Enrollment, in order for participants to view the PFD report inside the browser, rather than in a separate window, Adobe Reader must be configured as follows: 1. In Adobe Reader, click Edit and select Preferences. 2. Select the Category Internet. 3. Select the option Display PFD in browser. Note: Report files are available from the new Report Library page in the Resource Center at schwabrt.com. May 2015 Schwab Retirement Technologies Report Generator Library Page 23 of 97

24 Fee Disclosure Detail Used to disclose plan level fees for 5500 reporting purposes. Reports parameters allow you to generate data by Plan and Date Range. Reports are based on Transaction Tax codes, as defined in the Enterprise Tax Map. Lists transactions at the EIN/Payee/Tax Code/Date Level and identifies participants who paid a loan or distribution fee. The reports capture fully-defined LDT payee information, including SchARP Plan level fees. Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 24 of 97

25 Fee Disclosure Summary Used to disclose plan level fees for 5500 reporting purposes. Reports parameters allow you to generate data by Plan and Date Range. Reports are based on Transaction Tax codes, as defined in the Enterprise Tax Map. Provides totals at the Tax Code and EIN level. The reports capture fully-defined LDT payee information, including SchARP Plan level fees. Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 25 of 97

26 Fee Plan Statement Fee amounts collected for a specific plan and date range. Option to include only fees that are for invoicing purposes only. Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 26 of 97

27 Fee TPA Statement Fee amounts collected for the whole TPA and date range. Output grouped by plan. Option to include only fees that are for invoicing purposes only. Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 27 of 97

28 Find Cash Detailed breakout of transactions that have resulted in cash being created. Reports by participant further breaking it down by source and date with totals. Also give detailed information by taxcode, batch number, fund id and origin id. Helps identify long outstanding cash or helps in quick fix of current cash. Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 28 of 97

29 Generic Confirm Driven off of Activity Tracking records generated from the VRU updates process. Generates Confirmation for the following activities: - Pin Change - New Pin - Address Change (with the option to send a letter to both the old AND new address) - Transfers and Realignments - Deferral Percent change - Investment Election Percent change - Beneficiary Changes. Parameters May 2015 Schwab Retirement Technologies Report Generator Library Page 29 of 97

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32 Hardship Deferral Suspension Report Report lists anyone who took a hardship and had a suspension data entered within the past seven days. Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 32 of 97

33 Income Statement As Of This report generates a balance sheet and income statement, per plan, for a requested time frame. Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 33 of 97

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36 Investment List Displays all Master Investments. Excellent report for identifying funds that are not set up correctly or that are not being used in plans. Features include column that displays total plans using the investment. Last date priced, Trading link, Fund Family and redemption fee information are included but report could easily be customized to evaluate any investment information. Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 36 of 97

37 Investment Search Quick list of what plans hold a certain fund. Could be expanded to show more information relating the fund. Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 37 of 97

38 IPM Participant Count Breakdown of IPMs by plan. Reports out Participant headcount and total Market value. Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 38 of 97

39 IPM Rebalance Schedule Intended for external presentment, publishing to Plan Sponsor, Financial Advisor etc. Lists the IPM rebalance dates (past and future) for a given Plan. Parameters May 2015 Schwab Retirement Technologies Report Generator Library Page 39 of 97

40 Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 40 of 97

41 Loan Report Loan Ledger for a given plan Parameters Sample Report (Report continued) May 2015 Schwab Retirement Technologies Report Generator Library Page 41 of 97

42 Loan Report Enhanced Report lists current loan specifications for a time period entered by the user. Sample Report (Report continued) May 2015 Schwab Retirement Technologies Report Generator Library Page 42 of 97

43 Loan Delinquency Report Report shows any loans that are 30 days past due from the End Date parameter. Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 43 of 97

44 Loan Delinquency Report (Enhanced) Report shows any loans that are 30 days past due from the End Date parameter. Sample Report (Report continued) May 2015 Schwab Retirement Technologies Report Generator Library Page 44 of 97

45 Loan Differences Report This report generates a listing of participants that took out a loan within the past seven days. Contains all the pertinent loan information that can be sent to plan sponsors as notification to start payroll deductions. Report Parameters: Select Plan(s), Number of Day to First Payment Date, and Include loans Pending Approval (Y/N). Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 45 of 97

46 New Loans Report This report generates a listing of participants that took out a loan within the past seven days. Contains all the pertinent loan information that can be sent to plan sponsors as notification to start payroll deductions. Report Parameters: Select Plan(s), Number of Day to First Payment Date, and Include loans Pending Approval (Y/N). Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 46 of 97

47 Paid Off Loans with Residual Amounts May 2015 Schwab Retirement Technologies Report Generator Library Page 47 of 97

48 Summary of Participant Loan Accounts Report Provides a record of loan activity for each plan participant during a specified period. The report can be used for internal purposes and also provided to plan sponsors. Report parameters include options to suppress the Social Security number and to Print Loan Detail. Sample Report The following samples show the report with and without the Print Loan Detail option selected. Without Print Loan Detail: With Print Loan Detail: The detailed version of the report provides additional information, including totals per participant, Loan ID, Interest Rate, Origination Date, and Payoff Date. Notes: If a participant has multiple loans, the amount in the Distribution column is the total for all loans, not for each individual loan. Loans marked with an asterisk (*) are deemed, defaulted, or offset at some point in the history of the loan, not confined to the selected reporting period May 2015 Schwab Retirement Technologies Report Generator Library Page 48 of 97

49 Upcoming Loan Payoff Report Provides Plan Sponsors with a report that documents loans approaching the pay off date so that sponsors can stop payroll deductions at the appropriate time. Report Parameters: Select Plan(s) and Number of Payments Remaining. Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 49 of 97

50 Negative Units Report of negative units across system. Breakdown by plan, participant and fund. Recommended to use in place of the end of day report. Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 50 of 97

51 Operator Review Report Identifies the SQL Recordkeeping operators assigned to each profile and provides related operator information. Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 51 of 97

52 Participant Holdings Report lists total participant share balances per asset with an additional column indicating if balance is part of IPM. Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 52 of 97

53 Participant Request Detail Report Use this in place of the Interface Detail Report in Recordkeeping. Recommended to schedule before the VRU Update process is executed in SchARP Parameters May 2015 Schwab Retirement Technologies Report Generator Library Page 53 of 97

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55 Participant Statement Preference Report Lists the statement preference for the participants for the specified plans. Values for the Stmt Preference column are as follows: Before April 2010 release: 0 = paper, 1 = estatement. After April 2010 release: 0 = plan default, 1 = paper, 2 = estatement. Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 55 of 97

56 Payee Fees Summary of fees paid to each payee through LDT. Includes information about when and how payment is sent, Fee Template. Parameters May 2015 Schwab Retirement Technologies Report Generator Library Page 56 of 97

57 Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 57 of 97

58 Payroll Confirmation This report generates a listing of the total contribution amount posted to a plan during a specified time frame. The second page of the report shows total contributions by participants with default investment elections, followed by information on loans with two of fewer remaining payments. Report Sample May 2015 Schwab Retirement Technologies Report Generator Library Page 58 of 97

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60 Payroll History Will provide a history of the payroll activity for the plan 1 - All = All payrolls 2 - Past Due Data = payrolls that were uploaded late 3 - All Past Due = payrolls that were uploaded or funded late 4 - Past Due Funding = payrolls that were funded late Will include archived payrolls within the date range Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 60 of 97

61 Payroll Monitoring Not Being Monitored Plans and divisions that are not currently being monitored are reported in the Un-Monitored Payroll Plans Report. The report also shows plans that have SchARP Payroll enabled but don t have Payroll Monitoring settings defined. Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 61 of 97

62 Payroll Past Due Funding Plans with past due funding appear on this report. The report is generated once each day, and continues to report past due amounts until they are funded. Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 62 of 97

63 Payroll Plan Monitoring The Payroll Plan Monitoring Report indicates which Payroll Monitoring notifications have been set for a plan. Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 63 of 97

64 Payroll User s Reports all payroll groups. Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 64 of 97

65 Payroll User Monitoring The Payroll User Monitoring Report shows monitoring activity sorted by user and plan. There are no workflow parameters for this report. Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 65 of 97

66 Pending Activity Report Reports any pending batches for the specified participant. Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 66 of 97

67 PIN Letter by Date Range Generates a letter for any pin changes within the specified date range. Note: This report can only be run through cp50, not the report center. Parameters May 2015 Schwab Retirement Technologies Report Generator Library Page 67 of 97

68 Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 68 of 97

69 Plan Level Enrollment Passcode Participant Report Shows all self-enrolled participant records for a specified period. Note: The plan level passcode enhancement allows new participants to use a plan-specific passcode, provided by the Recordkeeper, to log on to the Schwab RT Web where they can enter their name and date of birth, create their own password, and enroll themselves in the system. Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 69 of 97

70 Plan List Displays all Plans. Used to identify differences in plans or check set up. There several tables linked to the report which allows easy customization of report to compare several different fields. Switch the report to landscape to add more fields. Default fields include Plan Group, Year end(s), Tax ID and type code/description. Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 70 of 97

71 Plan Report Options Plan by Plan report of the Report header and Taxmap settings. Including Report/Statement Group Codes. Helps verify setting before quarter end or reporting periods. Groups the plans by plangroup. Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 71 of 97

72 Profile Access Report Lists the SQL Recordkeeping applications available to each security profile. Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 72 of 97

73 Program Access Exception Shows all profile access violations occurring during a specified date range. The report identifies operator access to a program not available in their current profile. This helps identify access issues caused by changes to profiles or users moving between profiles during the review period. Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 73 of 97

74 Program Log Report Quick showing users currently in the system. Assists in clearing people out of the system when changes in the system require all users out. Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 74 of 97

75 Promissory Note Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 75 of 97

76 Schwab Bank Savings (SBS) Report SBS holdings report for Charles Schwab Bank. The report can be generated for all plans trading on Link 040 : CSTC. Recordkeepers are required to provide the report within five business days of quarter end using Schwab s Proofpoint secured . Parameters Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 76 of 97

77 Sample Report (continued) May 2015 Schwab Retirement Technologies Report Generator Library Page 77 of 97

78 Schwab Bank Savings Disclosure for Participants Recordkeepers are responsible for providing SBS MMDA Disclosures to participants in plans that include SBS investments. (MMDA = Money Market Deposit Account) This report should be generated through Report Generator/cp50 if needed as a single report or nonspecific participant. Sample Report (page 1) May 2015 Schwab Retirement Technologies Report Generator Library Page 78 of 97

79 SDBA Report by Investment Field allows selection of multiple investments. All Investments are selected by default. Available investments are attached to Link 20. SDBA balances by each SDBA investment broken down by Total, amount in cash, amount invested. Option to show participant detail (part. name, account #). Parameters May 2015 Schwab Retirement Technologies Report Generator Library Page 79 of 97

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82 SDBA Report by Plan You can select all plans (default selection) or multiple plans from the Select Plan Group window. Only Plan Groups with an attached SDBA investment display in the field. SDBA balances for a plan broken down by Total, amount in cash, amount invested. Option to show participant detail (part. name, account #). Parameters May 2015 Schwab Retirement Technologies Report Generator Library Page 82 of 97

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85 SDBA Report by Provider SDBA balances by plan for each SDBA provider broken down by Total, amount in cash, amount invested. Option to show participant detail (part. name, account #). Parameters May 2015 Schwab Retirement Technologies Report Generator Library Page 85 of 97

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89 Tax Code Analysis Identifies all mapped, unmapped, and duplicate tax codes in the Enterprise Tax Map. There are no workflow parameters for this report. Sample Report May 2015 Schwab Retirement Technologies Report Generator Library Page 89 of 97

90 Annual Participant Fee Disclosure Cover Letter and Report Sent to all eligible participants and new enrollees to provide notification of all fees applicable to them in relation to their retirement account. For more information, refer to Participant Fee Disclosure User Guide. Parameters May 2015 Schwab Retirement Technologies Report Generator Library Page 90 of 97

91 Sample Letter Default content for the cover letter that accompanies the Annual Participant Fee Disclosure appears below. This letter can be modified in Crystal Reports. May 2015 Schwab Retirement Technologies Report Generator Library Page 91 of 97

92 Sample Reports For samples of the following reports, refer to the (SchARP) PARTICIPANT FEE DISCLOSURE User Guide, available from the Resource Center at schwabrt.com. Annual Participant Fee Disclosure This sample report shows the default content of the report, with callouts that indicate the source of the report content. Users can customize the report using PFD options in System and Plan Maintenance. Fee Disclosures in Participant Statement This document shows default statement disclosures for plan and participant level fees, with callouts that indicate the source of the content. Users can customize content using PFD options in System and Plan Maintenance. Change Notce This report shows changes made to the Annual Fee Disclosure report using the PFD Change Interface/C240 and generated in SchARP. Note: For additional PFD resources, including Crystal reports, visit the Participant Fee Disclosure page in the Resource Center at schwabrt.com. You can access the PFD page from a link on the What s New menu or from the main menu on the Resource Center home page (logon required). May 2015 Schwab Retirement Technologies Report Generator Library Page 92 of 97

93 Appendix: Reporting for All Cycles Schwab RT offers a solution for clients who wish to schedule SchARP reports to generate on cycles other than the days of the week method inherent in the SchARP Workflow Scheduler. This solution provides more flexibility to schedule reports, eliminating the need to create different reports for different cycles or schedule monthly, semi-monthly or bi-weekly reports manually for each future occurrence. The approach used in this solution is to schedule the report to run every day. (In the case of bi-weekly, you can schedule the report to run weekly and no report will generate on the off week). Formulas and parameters are used in the Crystal Report to create the selection formula that determines if the report should return any data for the current day. On days when a report should not be generated, the selection criteria are formulated to not return data, on the intended days the normal selection criteria of the report is used. Any report can use a similar approach to bypass the selection criteria on an off-day. Examples of the Crystal parameter screen, selection criteria formula and other formulas used in a sample report follow. The report example uses the formula ReportStart_dt for selecting Activity Tracking records. May 2015 Schwab Retirement Technologies Report Generator Library Page 93 of 97

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