Table 1 is all the fields that are transmitted in the various files. Table 1 Listing of possible fields for all files Data ame/field Advisor Plan Advisor TPA Plan Participant (Plan Account) Data Format Required TPA ID X X X [varchar]32 Plan umber X X X [varchar]16 Plan Location X X X First ame X [varchar]40 Middle ame X [varchar]40 Last ame X [varchar]40 SS X [varchar]9 Email Address X 0 Employment Status X [varchar]3 Date Of Birth X Date of Hire X Date of Termination X Primary Phone X [varchar]20 Address Line 1 X Address Line 2 X City X State X [varchar]2 Zip Code X Vested Account X Balance Vested Account X Balance Date Last Quarter Balance X Last Quarter End X Date QDRO X Status Code X [varchar]4 Participant Roth X Account Balance Participant Roth X Indicator Advice Enrollment X Date Advice Termination X Date Outstanding Loan X Balance Language Preference X [varchar]9 Date of Eligibility X Eligibility Indicator X (only if eligibility date is unavailable) Total/Vested Account X [varchar]1 Balance Flag Deferral Rate X [varchar]7
Data ame/field Advisor Plan Advisor TPA Plan Participant (Plan Account) Data Format Required X [varchar]1 Dollar Deferral Amount UserID X [varchar]20 Forceout Date X Plan ame X 0 Plan Address 1 X Plan Address 2 X Plan City X Plan State X [varchar]2 Plan Zip X Roth Money X Distribution Indicator X Company ame X 0 Company ID X [varchar]3 Automatic Rollover X Indicator Involuntary Cash Out X Indicator Plan Advice X Enrollment Date Plan Advice X Termination Date Plan Type X [varchar]4 Rollover-In X 401(k)/401(a) X Rollover-In 403(b) Rollover-In X 457(b) Rollover-In X Traditional IRA X Rollover-In SIMPLE IRA Rollover- X In SEP IRA Rollover-In X After Tax Rollover-In X Roth IRA Rollover-In X Roth 401(k) Rollover- X In Defined Benefit Rollover-In X TPA ame X [varchar]32 TPA Address Line 1 X TPA Address Line 2 X TPA City X TPA State X [varchar]2 TPA Zip X
Data ame/field Advisor Plan Advisor TPA Plan Participant (Plan Account) Data Format Required Advisor ID X X [varchar]50 Advisor First ame X [varchar]40 Advisor Middle ame X [varchar]20 Advisor Last ame X [varchar]40 Advisor Address Line X 1 Advisor Address Line X 2 Advisor City X Advisor State X [varchar]2 Advisor Zip X BD ame X 0 BD Branch Code X [varchar]20 BD umber X [varchar]40 Advisor Phone X [varchar]20 Advisor Email Address X 0 Data Population Rules Table 2 Data Population Rules State Codes Employment Status Plan Type 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 AL AK AZ AR CA CO CT DE DC FL GA HI ID IL I IA KS K LA ME MD MA MI 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 V H J M C D OH OK OR PA RI SC SD T TX UT VT VA WA WV WI W 900 Active 901 Terminated 902 Retired 903 Other See Mappings below in Table 2.1 6000 401(k) 6001 403(b) 6002 457 6003 Defined Benefit 6004 Money Purchase 6005 Target Date 6006 Other See mappings below in Table 2.2
State Codes Employment Status Plan Type 24 25 26 27 28 M MS MO MT E 52 53 54 55 Guam Puerto Rico Virgin Islands Other Table 2.1 Employment Status Mappings PG Status Code PG Status Description LPL Value 751 Active 900-Active 752 Inactive 903-Other 753 Leave of Absence 903-Other 754 Term with Bal 901-Terminated 755 Term o Bal 901-Terminated 756 Suspended 903-Other 757 ot yet eligible 903-Other 758 Retired 902-Retired 759 Deceased 903-Other 760 Disabled 903-Other 761 QDRO/Bene 903-Other 762 Previously Expunged Do ot Send 763 Elig on Part 900-Active 764 Mgmnt Accnt Do ot Send 765 Previously Forfeited 903-Other 770 Expunged Do ot Send 831 Elig to Part 900-Active 832 Elig to Part with bal 900-Active 833 Layoff with Partial Plan Term 901-Terminated 834 Military Leave 903-Other 853 Redemption Fee Acct Do ot Send Table 2.2 Plan Type Mappings Plan Type ame Qual Services WMSI Plan Type Code WMSI Plan Type Description 401(a) X 6006 Other 401(k) X 6000 401(k) 403(b) X 6001 403(b) 403(b) (7) X 6001 403(b) 457 (A) X 6002 457 457 (F) X 6002 457 457(b) - Government X 6002 457 457(b) - Tax Exempt X 6002 457 Cash Balance /A /A DO OT SED /A Davis Bacon X 6006 Other Deferred Compensation /A /A DO OT SED /A Defined Benefit / SERP X 6003 Defined Benefit Defined Contribution X /SERP 6006 Other DSOP X 6006 Other
Plan Type ame Qual Services WMSI Plan Type Code WMSI Plan Type Description ESOP X 6006 Other KSOP X 6006 Other Long-Term Incentive X 6006 Other Money Purchase X 6004 Money Purchase Profit Sharing X 6006 Other Q Defined Benefit X 6003 Defined Benefit SEP / IRA X 6006 Other Taft-Hartley X 6006 Other Target Benefit X 6005 Target Date Data Layouts for the Five Files The first four rows of data are header rows File content will begin on the fifth row of the file TPA (Third Party Administrator Data): This file is used to insert/update TPA information in the WMSI Call Center Application ewport is the TPA and the same data will always be sent (Defined in the table below) Row 1: @InstitutionId=[Value] Value provided by WMSI Row 2: @RecordKeeperId=[Value] Value provided by WMSI Row 3: @FileType=TPA (Hardcoded) Row 4: @FileIdentifier=[Record Keeper generated GUID] (format e.g. 3F2504E0-4F89-11D3-9A0C-0305E82C3301 ) this is used to track the file at the RecordKeeper. Row 5: Detail records fixed length Table 3 TPA File Fields Data ame/field Description Required Length TPA ID= TPA s ID number in the Record [varchar]32 Hardcode using the ewport BOSS ID 11623 1 Keeping system TPA ame= TPA ame The ewport Group [varchar]32 33 TPA AddressLine1= TPA Address Line 1 13925 Ballantyne Corporate Place 65 TPA AddressLine2= Optional TPA Address Line 2 Suite 500 129 TPA City= TPA City Charlotte 193 TPA State= TPA State [varchar]2
Data ame/field Description Required Length 34 (C) 257 TPA Zip Code= TPA Zip Code (######-####) 28277 259 Record length = 268 Plan (Plan Data): This file is used to insert/update plan information into the WMSI Call Center Application Row 1: @InstitutionId=[Value] Value designated by WMSI, this is the same as the value under RecordKeeper file. Row 2: @RecordKeeperId=[Value] Value designated by WMSI, this is the same as the value under RecordKeeper file. Row 3: @FileType=Plan (Hardcoded) Row 4: @FileIdentifier=[Record Keeper generated GUID] (e.g. 3F2504E0-4F89-11D3-9A0C- 0305E82C3301 ) this is used to track the File at the RecordKeeper. Row 5: Detail records fixed length Table 4 Plan File Fields Data ame/field Description Required Length TPA ID= This is a unique identifier of the TPA Id in the Record 11623 Keeper s system. 1 This needs to match the TPA ID that comes in on the [varchar]32 Plan umber= Plan ID 33 Plan Location= 49 Plan ame 74 Plan AddressLine1 174 Plan AddressLine2 238 Plan City 302 Plan State 366 Plan Zip Code 368 Distribution Indicator 379 TPA file. Plan umber this is a unique identifier of the Plan in the Record Keeper s system Plan Location is used as an additional identifier when a company wants to differentiate several locations. For example, many recordkeeping systems with retailing clients may use Plan Location (or sub plan) to store the Store number. Or a manufacturing firm may need to differentiate between their plant in PA and their plant in TX. This allows the associated advisor(s) to better understand where participants are located. Plan ame Plan AddressLine1 Optional Plan AddressLine2 Plan City Plan State Plan Zip Code (######-####) Used for Distribution form selection. This code allows WMSI to present the correct distribution form. [varchar]16 0 [varchar]2
Data ame/field Description Required Length Company ame Will be truncated if the value is over 100 characters 389 Company ID Send the first 3 characters of the plan ID 489 Automatic Rollover Indicator 492 The name of the sponsoring company. Equivalent to Plan Sponsor ame on API1 for voluntary rollovers Company Id on recordkeeping system. Equivalent to Plan Sponsor umber on API1 for voluntary rollovers. Whether or not automatic rollovers are allowed 0 [varchar]3 Involuntary Cash Out Indicator 493 Plan Type 514 Rollover-In 518 401(k)/401(a) Rollover-In 519 403(b) Rollover-In 520 457(b) Rollover-In 521 Traditional IRA Rollover- In 522 SIMPLE IRA Rollover-In 523 SEP IRA Rollover-In 524 After Tax Rollover-In 525 Roth IRA Rollover-In 526 Roth 401(k) Rollover-In 527 Defined Benefit Rollover-In 528 Whether or involuntary cash outs are allowed display only Type of Plan See allowed Lookup values under Data Population rules (section 4.3 of WMSI documentation) Whether or not Rollover-In is allowed Whether or not 401(k)/401(a) Rollover-In is allowed Whether or not 403(b) Rollover-In is allowed display only Whether or not 457(b) Rollover-In is allowed display only Whether or not Traditional IRA Rollover-In is allowed Whether or not SIMPLE IRA Rollover-In is allowed Whether or not SEP IRA Rollover-In is allowed Whether or not After Tax IRA Rollover-In is allowed Whether or not Roth IRA Rollover-In is allowed Whether or not Roth 401(k) Rollover-In is allowed Whether or not Defined Benefit Rollover-In is allowed Lookup [varchar]4 Record length = 528
PlanAccount (Participant Data): This file is used to insert/update participant information into the WMSI Call Center Application Row 1: @InstitutionId=[Value] Value designated by WMSI, this is the same as the value under RecordKeeper file. Row 2: @RecordKeeperId=[Value] Value designated by WMSI, this is the same as the value under RecordKeeper file. Row 3: @FileType=PlanAccount (Hardcoded) Row 4: @FileIdentifier=[Record Keeper generated GUID] (e.g. 3F2504E0-4F89-11D3-9A0C- 0305E82C3301 ) this is used to track the File at the RecordKeeper. Row 5: Detail records fixed length Table 5 Participant File Fields Data ame/field Description Required Length Plan umber= Plan umber this is a unique identifier of the Plan in the Plan ID Record Keeper s system. [varchar]16 1 Plan Location= 17 First ame 42 Middle ame 82 Last ame 122 SS 162 Email Address Will send if populated 171 Employment Status 271 Date Of Birth 274 Date Of Hire 284 Plan Location is used as an additional identifier when a company wants to differentiate several locations. For example, many Recordkeeper systems with retailing clients may use Plan Location (or sub plan) to store the Store number. Or a manufacturing firm may need to differentiate between their plant in PA and their plant in TX. This allows the associated advisor(s) to better understand where participants are located. Equivalent to Plan Sponsor umber on API1 for voluntary rollovers Participant s First ame Participant s Middle ame or Middle Initial Participant s Last ame Participant s SS Participant s E-mail address Employment Status See allowed Lookup values under section 4.3 of WMSI documentation Participant s Date of Birth Date format: MM/DD/ Participant s Date of Hire at the Plan Sponsor Date format: MM/DD/ [varchar]40 [varchar]40 [varchar]40 [varchar]9 0 [varchar]3
Data ame/field Description Required Length Date Of Participant s Date of Termination from the Plan Sponsor Termination Date format: MM/DD/ 294 Primary Phone Will send if populated 304 AddressLine1 324 AddressLine2 388 City 452 State 516 Zip Code 518 Vested Account Balance 528 Vested Account Balance Date 553 Last Quarter Balance Field removed previously 563 Last Quarter End Date 588 QDRO LOB ote: Leave blank 598 Participant Roth Account Balance 603 Advice Enrollment Date ote: will be blank Participant s preferred phone number (mobile, home, or work) this could be mobile or home or work Participant s Mailing Address Line 1 Participant s Mailing Address Line 2 Participant s Mailing Address City Participant s Mailing Address State Participant s Mailing Address Zip Code Participant s Vested Account Balance If the vested balance is completely unavailable, there is a flag that indicates whether the account balances are Vested or Total. Date vested account balance was last reported Indicates if there is an active QDRO Qualified Domestic Relations Orders with this participant s account. This participant being the original owner. This indicates that the Participant cannot resolve until the QDRO is resolved. Participant s Vested Roth Balance. If the vested balance is completely unavailable, there is a flag that indicates whether the account balances are Vested or Total.. Indicates the date when a participant is enrolled in plan advice. Condition: A recordkeeper who is using Morningstar s in plan advice product. (Conditional) May be required by Institution [varchar]20 [varchar]2
Data ame/field Description Required Length 629 Advice Termination Date ote: will be blank 639 Outstanding Loan Balance 649 Date of Eligibility 683 Eligibility Indicator Use status code mapping (see table below) 693 Total/Vested Account Balance Flag LOB ote: This will always be V for Vested. 694 Deferral Rate 695 Dollar Deferral Amount 702 11/10 ew WMSI field send blanks UserID 11/10 change control 712 Forceout Date 11/10 ew WMSI field send blanks 732 Indicates the date when a participant is terminated from in plan advice. Condition: A recordkeeper who is using Morningstar s in plan advice product. Participant s outstanding loan balance The date participant became eligible to enroll in their retirement plan. Date format: MM/DD/ Use participant s Date of Participation Indicates if a participant is eligible to enroll in their retirement plan if a recordkeeper doesn t have an eligibility date available. Indicates whether account balance and Roth balance are Total Account Balance or Vested Account Balance. Acceptable values are V or T. This is a percentage value. Format is: 000.000. E.g. 100% = 100.000 or 100, 25% =25.000 or 25, a fraction 25.5% = 25.500 or 25.5, etc. Trailing 0 s can be removed. 11/11 - if the deferral rate is 0%, then display a blank in the file If the participant elects to defer a specific dollar amount per pay period, please indicate the value here., if not available use Eligibility Indicator Conditional, required if Date of Eligibility is empty [varchar]1 [varchar]7 [varchar]1 0 Unique Participant ID on the RecordKeeper System [varchar]20 Indicates the date when a participant will be forced out of the Plan MMDD Record length = 741
Table 5.1 Eligibility Indicator Status Code Mapping PG Status Code PG Status Description LPL Value Eligibility Indicator 1=es 0=o 751 Active 900-Active 1 752 Inactive 903-Other 0 753 Leave of Absence 903-Other 0 754 Term with Bal 901-Terminated 0 755 Term o Bal 901-Terminated 0 756 Suspended 903-Other 0 757 ot yet eligible 903-Other 0 758 Retired 902-Retired 0 759 Deceased 903-Other 0 760 Disabled 903-Other 0 761 QDRO/Bene 903-Other 0 762 Previously Expunged Do ot Send /A 763 Elig on Part 900-Active 1 764 Mgmnt Accnt Do ot Send /A 765 Previously Forfeited 903-Other 0 770 Expunged Do ot Send /A 831 Elig to Part 900-Active 1 832 Elig to Part with bal 900-Active 1 833 Layoff with Partial Plan Term 901-Terminated 0 834 Military Leave 903-Other 0 853 Redemption Fee Acct Do ot Send /A PlanAdvisor (Plan Advisor Data): This file is used to map advisors in the AR application and is required if the institution subscribed to the AR (Advisor Rollover etwork) Row 1: @InstitutionId=[Value] Row 2: @RecordKeeperId=[Value] Row 3: @FileType=PlanAdvisor (Hardcoded) Row 4: @FileIdentifier=[Record Keeper generated GUID] (e.g. 3F2504E0-4F89-11D3-9A0C- 0305E82C3301 ) this is used to track the File at the RecordKeeper. Row 5: Detail records fixed length Table 6 Plan Advisor File Fields Data ame/field Description Required Length Advisor Id 1 Unique advisor ID on the Record Keeper System Use Primary Advisor when there is more than one. If the primary advisor is not populated or is set to /A, [varchar]50 TPA Id= 11623 51 Plan umber= Plan ID 83 then the field will be blank. This is a unique identifier of the TPA Id in the Record Keeper s system. This needs to match the TPA ID that comes in on the TPA file. Plan umber this is a unique identifier of the Plan in the Record Keeper s system [varchar]32 [varchar]16
Data ame/field Description Required Length Plan Location= 99 Plan Location is used as an additional identifier when a company wants to differentiate several locations. For example, many Recordkeeper systems with retailing clients may use Plan Location (or sub plan) to store the Store number. Or a manufacturing firm may need to differentiate between their plant in PA and their plant in TX. This allows the associated advisor(s) to better understand where participants are located. Equivalent to Plan Sponsor umber on API1 for voluntary rollovers Record length = 123 Advisor (Advisor Data): This file is used to insert/update advisors into the AR application and is required if an institution subscribes to the AR (Advisor Rollover etwork) Row 1: @InstitutionId=[Value] Row 2: @RecordKeeperId=[Value] Row 3: @FileType=Advisor (Hardcoded) Row 4: @FileIdentifier=[Record Keeper generated GUID] (e.g. 3F2504E0-4F89-11D3-9A0C- 0305E82C3301 ) this is used to track the file at the RecordKeeper. Row 5: Detail records fixed length Table 7 Advisor Data File Fields Data ame/field Description Required Length Advisor Id Unique Advisor Id on the Record Keeper System. Has a 1 one to many relationship with PlanAdvisor s Advisor Id [varchar]50 Advisor First ame Advisor s First ame 51 [varchar]40 Advisor Middle ame Advisor s Middle ame or Initial 91 [varchar]20 Advisor Last ame Advisor s Last ame 111 [varchar]40 Advisor AddressLine1 Advisor s AddressLine 1 151 Advisor AddressLine2 Advisor s AddressLine 2 215 Advisor City Advisor s City 279 Advisor State Advisor s State 343 [varchar]2 Advisor Zip Code Advisor s Zip Code 345 Broker Dealer ame Broker Dealer ame that the advisor is associated with 355 0 Broker Dealer Branch Broker Dealer Branch Code where advisor is located, Code 455 this is a unique identifier under the Broker Dealer in the Record Keeper system [varchar]20
Data ame/field Description Required Length Broker Dealer umber Broker Dealer umber, this is a unique identifier under 475 the Broker Dealer in the Record Keeper system [varchar]40 Advisor Phone umber Advisor s Phone umber 515 [varchar]20 Advisor Email Address Advisor s Email Address 535 0 Record length = 634