Codes, Codes, Codes 2011 UPPO ANNUAL CONFERENCE MARCH 6-9, UPPO. All rights reserved. 1. Presentation Outline. Purpose behind the Codes
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1 Codes, Codes, Codes David Hughes, Horwood Marcus & Berk Kathy Janes, OK State Treasurer s Office Gary Qualset, CA State Controller s Office 1 Presentation Outline Background and purpose of codes Codes in context NAUPA Uniformity and Standardization Committee A closer look at the codes Practical applications 2 Purpose behind the Codes Simplify and standardize holder reporting Facilitate uniformity among the states Help to ensure accuracy in reporting Limit penalties and fines associated with incorrectly filed reports Expedite report processing Promote consistency in internal tracking of unclaimed properties UPPO. All rights reserved. 1
2 Codes: Background NAUPA Holder Reporting format: NAUPA Standard Electronic File Format Revised in 2002 (Standard NAUPA II) Added 3 record types (securities additional information, tangible property and summary information records) Added fields for relationship and owner codes 4 Codes: Background Proposed changes to the NAUPA Holder Reporting format: NAUPA Uniformity and Standardization Committee Codes subcommittees E.g., Ownership Code subcommittee and proposed consolidation of codes in May Codes in Context Property, owner and relationship codes are used by holders of unclaimed property when filling out holder reports in the NAUPA Standard Electronic File Format, required by every state when filing reports electronically UPPO. All rights reserved. 2
3 Codes in Context Each Holder Report is made up of records There are 6 types of records which may be required: 1.Holder record 2. Property record 3.Property additional owner record 4.Securities additional information record 5.Tangible property record 6.Summary information record 7 Codes in Context There are 8 code types in Standard NAUPA II to be used when filling in records: 1. Deduction and withholding codes 2. Addition codes 3. Paid or deletion codes 4. Relationship codes 5. Property type codes 6. Owner Type codes 7. Security delivery codes 8. Tangible type codes 8 NAUPA Uniformity & Standardization Committee Mission: Develop and foster uniform practices or procedures related to the administration of state unclaimed property laws and programs UPPO. All rights reserved. 3
4 NAUPA Uniformity & Standardization Committee Process Select Subcommittee Research/review matter under consideration Determine if action is needed Assess implication of action Prepare draft/implement plan Send information to States for comment 10 NAUPA Uniformity & Standardization Committee Process Review/summarize State input/comments Subcommittee b reviews findings with the Uniformity Committee Decision is made to recommend change Recommendation is adopted by NAST/NAUPA States decide to implement change 11 Proposed NAUPA Codes Health Savings Plans Traditional IRA, SEP IRA, SARSEP IRA and SIMPLE IRA Roth IRA IRA OTHER Educational Savings Accounts & College Savings Plans UPPO. All rights reserved. 4
5 NAUPA Relationship Codes Relationship codes represent who the Holder has determined owns the property reported Example: BF Beneficiary Person/entity who is to receive assets or profits from an estate, a trust, an insurance policy or any instrument in which there is a distribution JT Joint Tenants w/rights of Survivorship Owner's interest in property passes to the surviving owner or owners by operation of law, avoiding probate 13 NAUPA Relationship Codes Relationship codes also represent the Holder s determination of how the parties are connected Example: GR Guardian For is a person who has the legal authority and duty to care for the personal and property interests of another person TE As Trustee For A person/ entity who holds the assets (corpus) of a trust for the benefit of the beneficiaries & manages the trust assets according to the terms of the trust stated in the Declaration of Trust 14 NAUPA Property Codes Property codes are symbols that indicate property types and represent the Holder s determination of the nature of property reported Property Code Categories Account Balances Due Uncashed Checks Securities Utilities Insurance Court Deposits Misc. Checks and Intangible Personal Property Mineral Proceeds and Mineral Interests Trust, Investment and Escrow Accounts Safe Deposit Boxes and Safekeeping UPPO. All rights reserved. 5
6 NAUPA Property Codes Examples: AC01 Checking Accounts CK01 Cashier s Check SC01 Dividends UT01 Utility Deposits MS01 Wages, Payroll or Salary IN05 Premium Refunds CT02 Condemnation Awards MI01 Net Revenue Interests SD01 Safe Deposit Box Content 16 Use of Codes Mandatory information must be supplied in order to process the file correctly, or the file will be rejected Required i d the information must be supplied if you know it, otherwise the field must be space or zero filled Optional the information is desired and may be used if supplied, or must be space filled if null 17 Use of Codes in Reporting Challenges are encountered when codes are misused or not used Report could be rejected State staff may contact holders and follow up for clarification Phone call, e mail, letter UPPO. All rights reserved. 6
7 Use of Codes for Claims The proper use of codes helps to determine how to pay a property Relationship codes are important Many CK codes for checks and negotiable instruments require payee and purchaser info Property codes help with sorting, processing, and evaluation of claims 19 Use of Codes for Safekeeping Safe Deposit Box Contents Property Type Codes (SD01, SD02, SD03) Tangible Type Code Wide disparity of descriptions used by reporting holders Closer working relationship between branch staff and unclaimed property reporting staff would be helpful 20 Holder Reimbursement Claims Proper coding of the property, owner, and relationship fields during reporting and filing of a claim for reimbursement helps to get a holder claim paid quicker Including optional information is very helpful i.e. check number, account number UPPO. All rights reserved. 7
8 Use of Codes Integrate codes into your accounting or reporting systems Identify the property and owner type on the front end of your recordkeeping system Capture data for your customer and vendor profile records 22 Code Resources NAUPA Holder Reporting Handbook (7/2002) Standard Electronic File Format naupa ii.pdf Example State Website Property Type Code Listing Montana aimed_property/holders_unclaimed_property/pro perty_codes_dormancy_periods.pdf 23 Code Resources Example State Website Unclaimed Property Reporting California State Controller's Office ca html NAUPA Links to State and Province UP websites UPPO. All rights reserved. 8
9 Questions? David Hughes Horwood Marcus & Berk (312) , Kathy Janes OK State Treasurer s Office (405) , kathy.janes@treasurer.ok.gov Gary Qualset CA State Controller s Office (916) , GQualset@sco.ca.gov UPPO. All rights reserved. 9
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