Schwab Automated Retirement Processing (SchARP) ROLE DICTIONARY. Schwab Retirement Technologies, Inc.

Transcription

1 Schwab Automated Retirement Processing (SchARP) ROLE DICTIONARY Schwab Retirement Technologies, Inc.

2 Schwab Automated Retirement Processing (SchARP) Role Dictionary (March 2012) 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. The Compliance Management Automation (CMA) system is designed to provide compliance testing and tracking capabilities for Employee Benefit Plans based on plan criteria and information inputted by the user. Schwab does not provide tax, legal, regulatory or compliance advice or oversight to plan sponsors.

3 Introduction Schwab RT Security provides a User Wizard that allows you to assign various roles to users of the SchARP and Schwab RT Admin systems, as shown below. This document identifies and defines the default roles for both the SchARP and Schwab RT Admin systems. You can use the separate Role Wizard to create new roles and customize existing roles. SchARP Roles (User Wizard) Schwab RT Admin Roles (User Wizard) March 2012 Schwab Retirement Technologies Page 3 of 7

4 SchARP Automation Center Roles ScharpDesigner ScharpScheduler ScharpMonitor ScharpExceptionHandler Allows users to access the Workflow Designer and create, modify, delete, and view workflows. Allows users to access the Workflow Scheduler and modify system level workflows, run workflows once, and run workflows on schedule. Allows users to access the Workflow Monitor. Allows users to access view, reprocess, and restart workflow exceptions. SchARP Compliance Management Automation (CMA) Roles ComplianceDashboard ComplianceNotify ComplianceApprover Allows full administrative access to the internal Compliance Dashboard. Not recommended for use by Plan Sponsors or other external users. Allows view-only access to compliance report data on the Plan Sponsor Compliance Dashboard (if corresponding plan options are enabled). Required for notification. Allows the user to view and approve/reject compliance report data on the Plan Sponsor Compliance Dashboard (if corresponding plan options are enabled). Required for notification. User must also be assigned the ComplianceNotify role in order to access the dashboard SchARP Fee Processing Roles FeeScheduler FeeProcessor FeeApprover FeeCreateOnFly FeeHierarchyMaintenance Allows users to access the Workflow Scheduler and Monitor in the Automation Center, in order to schedule and monitor fee worklow. Allows users to access the following pages: Fee History Fee Posting Fee Staging Fee Template Allows users to access approval options on the Fee Staging page. Allows users to access the Create Event Now button on the Fee Templates page. Allows users to access to the Fee Hierarchy page. March 2012 Schwab Retirement Technologies Page 4 of 7

5 SchARP Payroll Processing Roles PayrollProcessor Upload the payroll file, verify data template, and submit contributions for review. Re-upload a payroll file if business exceptions are encountered during processing. Access Payroll Event History page with view-only rights. Access Upcoming Payroll Events page with view-only rights. PayrollCreateNewPayroll PayrollUsePreviousPayroll PayrollValidator Allow the user to access the Create New Payroll option on the Payroll File Upload page Allow the user to access the Use Previous Payroll option on the Payroll File Upload page Upload the payroll file, verify data template, validate, and submit payroll. Re-upload a payroll file if business exceptions are encountered during processing. Access Payroll Event History page with view-only rights. Access Upcoming Payroll Events page with view-only rights. Note: Requires PayrollProcessor role for full functionality. PayrollApprover Upload the payroll file, verify data template, validate, submit contributions for review, and submit payroll. Access Payroll Event History page to approve or archive an event. Access Upcoming Payroll Events page, with archival rights. Note: Requires PayrollProcessor role for full functionality. PayrollMatcher Access the Payroll Event History page to review the current status of the payroll job. Access the Match Funding window and manually match funding with payroll orders, if exact match is not found by the SchARP workflow. Access Upcoming Payroll Events page. Note: For full functionality, add PayrollProcessor and PayrollApprover roles. March 2012 Schwab Retirement Technologies Page 5 of 7

6 PayrollMonitor Access Payroll Event History page and stop payroll monitoring for an event. Receive payroll processing notifications, as defined by Schwab RT Admin Security. Note: For full functionality, add PayrollProcessor and PayrollApprover roles. Users assigned to the PayrollMonitor role only will receive notifications but cannot log on to the SchARP system. PayrollNOD Allows the user to submit Notice of Deposit to Charles Schwab Trust Company (CSTC). SchARP Reporting Roles ReportViewer Allows the user to access the Report Center to view and publish view report history in SchARP. Note: Requires one of these additional roles: PayrollProcessor, PayrollApprover, ScharpDesigner, ScharpScheduler, or ScharpMonitor. Note: See Schwab RT Admin Roles for a definition of the UnPublishReportsForUser role that is used to unpublish reports. SchARP estatement Processing Roles estatementsview estatementsdashboard Provides users of the SchARP system with view-only access to the estatement Dashboard and Participant Search pages. Allows users of the SchARP system full access to all options on the estatement Dashboard and Participant Search pages. Note: See Schwab RT Admin Roles for a definition of the estatementsgroup role that is required for estatement processing. SchARP Participant Fee Disclosure (PFD) Roles PFDApprover Allows the user to access the PFD Dashboard and perform these tasks: - Archive, Cancel, and Re-Process at a Event level (By Event view). - Cancel or Re-Process at a Plan level (By Plan view). PFDPlanSponsor Allows the user to access the PFD Dashboard and view reports at a Plan level (By Plan view). March 2012 Schwab Retirement Technologies Page 6 of 7

7 Schwab RT Admin Roles GroupWizard GlobalSettingsWizard OperatorGroupWizard ProfileWizard RoleWizard UserWizard estatementsgroup UnPublishReportsForUser Allows access to Group Wizard in Schwab RT Admin. Note: groups are groups of addresses that are used to notify operators that a specific event or process has occurred. Allows access to Global Settings in Schwab RT Admin. Note: The Global Settings page determines password and account security parameters for all operators of Schwab RT systems. Allows access to Recordkeeping Operator Group Wizard in Schwab RT Admin. Note: An Operator Group defines access restrictions to Plan Groups for operators assigned to that group. Allows access to Profile Wizard in Schwab RT Admin Note: Operator Profiles determines which Recordkeeping applications an operator can access. Allows access to Role Wizard in Schwab RT Admin. Note: The Role Wizard determines the specific tasks that can be performed by a user assigned to that role. Allows access to User Wizard in Schwab RT Admin. Note: The User Wizard defines security access for new Recordkeepers, Plan Sponsors, Financial Advisors, SchARP users, Call Center Reps, and Schwab RT Admin users. Allows users of the Schwab RT Admin system to define estatement Groups on the estatement Groups page. Allows users to un-publish reports for individual Plan Sponsors or Financial Advisors. March 2012 Schwab Retirement Technologies Page 7 of 7