PAYROLL PROCESSING User Guide

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1 Schwab Retirement Technologies, Inc. Schwab Automated Retirement Processing (SchARP) PAYROLL PROCESSING User Guide Related Documents: For related payroll information, refer to these separate user guides, available from the Resource Center at schwabrt.com: Notice of Deposit User Guide Submitting the Notice of Deposit (for Plan Sponsors) Enforcing IRS Limits (Payroll) User Guide

2 Processing User Guide (November, 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 Table of Contents The SchARP User Library... 5 Overview... 6 Payroll File Submission... 6 Payroll Monitoring... 6 Payroll Trade Automation... 6 Notice of Deposit... 6 Payroll Automation/User Activity Overview... 7 Payroll Workflow Scenarios... 8 Fast Track... 9 The User Experience Logging in to SchARP Payroll Uploading the Payroll File NOD Logon and Preview Payroll Validation (Review and Correction) Payroll File Upload Summary Payroll Approval Payroll Processing Notice of Deposit (NOD) Approval Payroll Match Funding (optional) Notification Samples Editing Previous Payrolls & Creating New Payrolls Security Roles Use Previous Payroll Create New Payroll Upcoming Payroll Page Payroll Event History Payroll Match Funding Payroll Monitoring Administering SchARP Payroll Payroll Workflow Glossary How Payroll Workflow Works Census and Payroll Validation Workflow Scheduling the Creation of Payroll Events SchARP File Transfer Business Activity SchARP Generate Trade Orders Business Activity SchARP Payroll Match Funding Business Activity Defining SchARP Security: Payroll Roles November 2014 Schwab Retirement Technologies Page 3 of 133

4 Contents Configuring SQL Recordkeeping Defining SQL System Maintenance Options Defining ADT Options Defining Plan-Level Payroll Processing Options Defining TDI Maintenance Options Defining Order File Maintenance, Search Options Processing Behavior for Related Modules Appendix Supported Data Elements Payroll Validation November 2014 Schwab Retirement Technologies Page 4 of 133

5 The SchARP User Library November 2014 Schwab Retirement Technologies Page 5 of 133

6 Overview SchARP Payroll Processing offers a full range of automation to facilitate the payroll life cycle, from uploading the payroll data to automated trade and cash matching features to oversight of key events through notifications. Payroll File Submission SchARP Payroll processing allows a TPA or Recordkeeper to create a restricted Payroll Processor security roles that log on through the Web and automatically submits a payroll for processing. After the file is submitted, the system provides automated data validation and processing, minimizing manual intervention by the user. Payroll processors can check the status of the submitted payroll by viewing the payroll event history page. Payroll Monitoring Payroll Monitoring allows TPAs to track payroll events across plans, with automatic notifications sent to designated users. The following types of notifications can be sent to SchARP users who are assigned the PayrollMonitor role in Schwab RT Admin Security: Upcoming Payroll Notice, Payroll Data Past Due Notice, Payroll Uploaded Notice, Payroll Funding Reminder, Payroll Funding Past Due Notice, and Payroll Completed Notice. Settings that determine when notifications are sent are available at the system level or at the division level for a plan. For more information on Payroll Monitoring options, see the SchARP Payroll Monitoring section of this document. Payroll Trade Automation Payroll Trade Automation (PTA) allows you to download intra-day cash activity files via SchwabLink and SchARP, match them against payroll orders, and release the orders automatically. PTA is available for CSTC (trade link 40) and for generic trading links. Cash files for generic links are downloaded using the SchARP Client file transfer utility. The PTA process uses cash deposit data provided in cash activity files to match against pending payrolls on the SchARP system. If there is a match, the system automatically queues the trade orders for export. The auto-matching process provides a three-way match by comparing the expected funding amount with cash amounts from cash activity files and the sum of the payroll trade orders. The entire process can be completed without user intervention, while providing user options to manually override the automatic system match, if needed. PTA also provides Plan Maintenance options that you can use to define the type of SchARP workflow that the plan will use for its payroll processing. You can use workflows that include or exclude the approval step. Payrolls processed via Recordkeeping ADT are not subject to the PTA matching behavior. Notice of Deposit For details on Notice of Deposit functionality, refer to SchARP Payroll Funding Request and Notice of Deposit (NOD) User Guide, available from the Resource Center at SchwabRT.com. November 2014 Schwab Retirement Technologies Page 6 of 133

7 Payroll Automation/User Activity Overview This following high-level view of the SchARP Payroll automation process identifies the roles and activities of the various users who interact with the system, from the Plan Sponsor who uploads the payroll file to the Payroll Monitor who receives notification that a payroll cycle is complete. The standard SchARP Payroll workflow provides census and payroll validation before the payroll file is submitted, and features a validation dashboard that allows you to review validation results, make corrections, and re-validate data. The corrected payroll values are then reflected in the Notice of Deposit (NOD) review process, which occurs after payroll is submitted. The payroll workflow process allows you to calculate, validate, and approve the match on deferrals using the plan-level compensation formula and to allocate and approve non-elective contributions, based on plan settings. November 2014 Schwab Retirement Technologies Page 7 of 133

8 Payroll Workflow Scenarios SchARP payroll processing offers flexible workflow components to accommodate a variety of business environments. The best practice for your operation will depend on your current trading capability and extent of manual intervention your process requires. Following are several basic scenarios to consider when designing your payroll workflows: Scenario 1: No Trade Automation TPA does not trade with Charles Schwab Trust Company (CSTC). Recommendation: Use the payroll workflow with manual approval step, with TDI plan/link matching behavior set to Do Not Match, Export Trades. Include Payroll Monitoring for enhanced oversight. Notes: File Transfer of cash activity files and Payroll Match Funding business activities are not available for non-cstc shops. Scenario 2: File Transfer Automation Only TPA trades with CSTC, wants to use File Transfer to download cash files and run report, then do cash matching manually. Recommendation: Use the payroll workflow with manual approval step, with TDI plan/link matching behavior set to Do Not Match, Export Trades. Requires File Transfer workflow. Include Payroll Monitoring for enhanced oversight. Scenario 3 Full Trade Automation, with Match Review TPA trades with CSTC, wants automated file transfer with option to manually review and accept automatic matches made by the system. Recommendation: Use the payroll workflow without manual approval step with TDI plan/link matching behavior set to Auto-Match, Review Matching on Trades. Requires File Transfer and Payroll Match Funding workflows. Include Payroll Monitoring for enhanced oversight. Scenario 4: Full Trade Automation, without Match Review TPA trades with CSTC, wants full automation of file transfer with automatic cash matching. Recommendation: Use the payroll workflow without manual approval step with TDI plan/link matching behavior set to Auto-Match, Export Matched Trades. Requires File Transfer and Payroll Match Funding workflows. Include Payroll Monitoring for enhanced oversight. November 2014 Schwab Retirement Technologies Page 8 of 133

9 Fast Track The following Fast Track provides a procedural roadmap for configuring and using SchARP Payroll options, including Payroll Monitoring and Payroll Match Funding (both optional). To access detailed information for a step, click the corresponding page number link (Ctrl+Click). Color/Symbol Codes: Indicates Payroll Match Funding options Indicates Payroll Monitoring options Payroll Configuration Process RK Setup Define System-Level Settings In System Maintenance and do the following: ( See p. 97) 1. On the System Settings window, select Category 4 - General System Options, and set #14 Payroll by Division to 1. (Divisions are defined in Plan Maintenance). 2. Under Category Setup, on the Data Validation window, select the Run Data Validation Tests option if you wan to run the selected tests during Payroll processing. 3. Under SchARP Settings, do the following: a. Select the Master Plan Group, and other options. b. On the Notification window, enter the notification information. c. On the Event Settings window, enter the Lead Time in Days for each cycle. 4. Under SchARP Settings > Payroll Settings, do the following: a. On the Financial Settings window, select Enable Payroll Processing and define the system settings for financial processing. b. On the Synoptic Settings window, define system settings for synoptic processing and the start/stop Alarm Clock times for the exclusion on the trading window for SchARP Payroll. c. On the Payroll Monitoring window, define the notification settings that determine when the various types of payroll notifications are sent. You can override these settings at the plan/division level. ( See p. 64 for Payroll Monitoring options) d. On the Payroll Status Codes window, select which status codes represent the participants who are automatically populated when you create a new payroll from scratch in SchARP. 5. Under Process Setup>ADT Settings, define error settings for Financial and Synoptic processing. Define ADT Settings In Automated Data Translation, under SchARP Payroll Settings, define the appropriate ADT settings. ( See p. 109) Define Payroll Settings for the Plan In Plan Maintenance, under Plan Level Settings > Payroll Processing, do the following: ( See p. 110) 1. On the Payroll Cycles tab, define the cycle settings for each division in the plan and set any division-level notification settings, overriding the system-level settings. ( See p. 64 for Payroll Monitoring options) 2. On the Payroll Processing Settings tab, do the following: a. Select Enable SchARP Payroll Processing (plan-level). b. Under Workflow Selection, indicate if you want to use the payroll workflow with or without the manual approval step and/or the Generate Trade Orders business activity. c. Select the sources in the plan that can be used for SchARP Payroll Processing. d. Select default Calculate Match/Non-Elective Allocations Settings (optional) located at the bottom of the window 3. On the Template Settings tab, Parameter Settings tab, and Tax Code Settings tab, define the appropriate settings. 4. On the Notice of Deposit Settings tab, enable the NOD option, define NOD accounts, and choose the default settings. November 2014 Schwab Retirement Technologies Page 9 of 133

10 Define Past Due Funding and Payroll Matching Options (TDI) In TDI Maintenance, on the Maintain Links window, do the following for the appropriate trading links: 1. Select the Create Past Due Funding Report option and enter the group to receive the report. ( See p. 65) 2. Select the desired Payroll Match Funding Behavior. ( See p. 123) Note: To set payroll match funding behavior at a plan level, go to the Maintain Records window and select or clear the Do Payroll Match Funding option under Plan SchARP Setting. To set plan-level matching options for multiple plan links, use the Payroll Fund Matching option on the View Records window. Define Payroll Roles To define SchARP security roles in Schwab RT Admin, select User Wizard from the Security menu do the following: ( See p. 95) 1. Access the Roles tab under SchARP System-Specific settings. 2. Select the appropriate roles for the Payroll user. Security Setup (SRT Admin) Define Division Access and Select Upload Notification Group In User Wizard, do the following: ( See p. 70) 1. Access the Payroll tab under SchARP System-Specific settings and, for each Plan, select the Division(s) the user can access. 2. In the Upload Notification Group field, select the appropriate group. Members of this group are notified, in real time, of the success or failure of payroll uploads for any plans to which this user has access. Define Payroll Monitoring Options In User Wizard, do the following: ( See p. 68) 1. Access the Monitoring tab under SchARP System-Specific settings. 2. Select the appropriate Monitoring notifications to be sent to this user (per plan or all plans) when the Monitoring business activity is scheduled to run. SchARP Workflow Setup Create/Schedule Payroll-related Workflows In the SchARP Automation Center, do the following: ( See p. 84) 1. In SchARP Designer/Scheduler, create a workflow that includes the Create SchARP Events business activity and schedule it to run, with the Payroll option selected, on a daily basis (recommended) or as needed. 2. Create and schedule other workflows required to fully automate your payroll process, including File Transfer, Payroll Match Funding, Monitor Events with Notifications, Generate Trade Orders (if not already selected to run automatically), and Export Trade Orders. 3. Create and schedule the Generate Reports business activity to produce the Cash Deposit Reports and Payroll Monitoring reports. Note: The Census and Payroll Validation workflow, the basic workflow used for SchARP Payroll processing, is a locked sequence of business activities that is automatically scheduled by the system based on plan-level settings. For this reason, the payroll workflow itself is not available for selection in SchARP Designer or Scheduler. November 2014 Schwab Retirement Technologies Page 10 of 133

11 Payroll User Process Upload File On the first Payroll Upload page, select the plan/divisions, payroll date, and the payroll file to upload. You can also choose to edit a previous payroll or create a new payroll from scratch. ( See p. 13) Verify File On the second Payroll Upload page, select the appropriate Excel worksheet, apply the templates, verify that the data is correct, and submit the file for edit/validation. (Applies to Payroll Upload option only.) ( See p. 15) SchARP Payroll Upload Review and Adjust Funding Totals On the third upload page, do the following: ( See p. 17) Review the pre-populated contribution totals and make any adjustments. To review/correct the validated results now, click Validate Payroll Data or click Submit for Review to review the results later via Payroll History. Note: If the control totals are wrong, click Re-Upload Payroll to restart the upload process now or click Mark Payroll with Exception to re-upload the file later from Payroll History. (Applies to Payroll Upload option only.) Logon to SRC Before the Payroll Validation page appears, you will be asked to logon to Schwab Retirement Center (SRC) for authentication. This is a one-time step. You can view and edit the NOD values at this time; however, the NOD must be reviewed, adjusted as needed, and submitted later in the process. ( See p. 20) Review and Adjust Validated Data On the Payroll Validation page, review the validated data, correct any critical errors, revalidate the data as needed, and submit the file. ( See p. 21) Review and Print Upload Summary The upload summary provides a record of the entire upload process which you can print for future reference. ( See p. 25) Approve Payroll If required by plan workflow settings, go the Payroll History page and approve the payroll (Approval security rights required). ( See p. 26) SchARP Payroll Approvals Approve NOD (if required) In Payroll History, click on the payroll event and do the following: ( See p. 27) Open the Notice of Deposit tab and compare the adjusted payroll total with NOD total, which reflects the contribution totals submitted on the file. If the totals don t match, click View in the Details column to access the Allocation Breakdown window and make the necessary correction to reconcile the totals. Click Submit NOD Data. (A confirmation number will be returned from SRC and displayed at the top of the page.) Match Cash Files to Payroll If cash matching is enabled for the plan, use the Match link to review and adjust the available cash files with the payroll totals. ( See p. 30) Track Payroll Activity Use the Process History tab to review the status of all completed steps in a workflow and related validation and error reports. You can also use the Control Totals tab to view the Adjusted Contribution amounts which reflects all changes made to the contribution totals submitted on the file. ( See p. 46) November 2014 Schwab Retirement Technologies Page 11 of 133

12 The User Experience In the guided tour that follows, you ll see how a user with the appropriate security roles can upload, validate, and approve payroll data, including adjustment/submission of the Notice of Deposit (NOD) and optional Payroll Matching activities. After you re completed the tour, and better understand the full context of payroll activities from start to finish, we ll go back and looks at various steps in the process in more detail. Logging in to SchARP Payroll To access payroll upload options, the operator must log on to SchARP as a Payroll Processor. To access SchARP Payroll, do the following: 1. On your browser, enter the URL for your SchARP Web site. The SchARP User Authentication page appears. Type your Username and Password and click Login. 2. Depending on your SchARP user role(s), the Payroll History page or the SchARP Dashboard will appear. To upload a payroll file, select Payroll > Upload Payroll File from the Plan Center menu. November 2014 Schwab Retirement Technologies Page 12 of 133

13 Uploading the Payroll File Payroll File Upload Step 1. Upload File PayrollProcessor role required On the first Payroll File Upload page, do the following: a. Use the File Information fields to select the plan and pay date. If not a regularly scheduled payroll, select Off Cycle Payroll and enter the date for the payroll. b. In the Division Information section, select the division(s) included on the payroll file. To select all divisions, use the Select All Divisions check box. Only those divisions selected will be processed. c. In the Upload Payroll File section, select a payroll file and click Upload File. The system renames the file, scans for viruses, and copies it to the Web server. Note: You can also choose to edit a previous payroll or create a payroll from scratch. Note: For information on the Use Previous Payroll and Create New Payroll options, see Editing Previous Payrolls & Creating New Payrolls. November 2014 Schwab Retirement Technologies Page 13 of 133

14 The upload file options are described below: Select a Plan Pay Date Off Cycle Payroll Select All Divisions Division Skip New Participant Threshold Check Select File to Upload Upload File Use Previous Payroll Create New Payroll Select from a listing of all plans available to the Payroll Processor, based on operator definitions in Schwab RT Admin Security. When you select a plan, the following actions occur: The Pay Date field is activated and populated with a list of appropriate dates. Only the next available pay date for each division is displayed. The appropriate divisions display under Division Information. If a scheduled payroll cycle is not available for the selected plan/division, a message displays to inform the user, and the Off Cycle Payroll option is activated. Select from a list of available pay dates, based on the selected plan/division. If you select a division before selecting a pay date, the Pay Date field populates with the pay date for the selected division. Select this field to upload a file for an unscheduled payroll cycle. When the option is selected, a calendar control is added to the Pay Date field so you can select a pay date. Select this option to include all divisions. Select the division(s) to be included in payroll processing. Only divisions with templates defined in ADT are available for selection. Only the divisions selected will be processed. Select this check box to bypass the automatic system check on the percentage of new participants added to the plan. If the number of new participants exceeds the threshold percentage defined in the SchARP Synoptic Settings window, the following error message appears New Participant Percent (nn%) is greater that the New Participant Threshold (nn%). Type the name of the payroll file or click the Browse button to select it. Saves the payroll file to disk, renames the file, performs a virus scan, and creates a new Payroll Event Activity associated with the current payroll cycle and plan. The uploaded file is automatically renamed using the following naming convention: <Plan ID>_<Operator ID>_<Date/Time in milliseconds>.spf. Example: 243_scharpadm_ SPF. The file is saved to the local Web server s Temp directory. Allows you to edit the previously submitted payroll file for a selected plan/division combination and apply submitted changes for the newly selected payroll date. If the census template is used, current participant data is displayed. See Editing Previous Payrolls & Creating New Payrolls. Allows you to create a new payroll file from scratch. See Editing Previous Payrolls & Creating New Payrolls. November 2014 Schwab Retirement Technologies Page 14 of 133

15 Payroll File Upload Step 2. Verify File Once the file is uploaded, the Verify File page appears. For reference throughout the file upload process, the Payroll Information box shows the Plan, Payroll Date, Divisions, and Event Activity at the top right of the page. After you select the appropriate Excel worksheet, click Apply Templates, review the data, and submit the file, the system validates the file and proceeds to the Contribution Totals window. Note: You must check the box I agree that my data looks correct before clicking the Submit File for Edit button in the lower right corner of the page. November 2014 Schwab Retirement Technologies Page 15 of 133

16 The Payroll File verification options are described below: Select Excel worksheet Financial Templates Synoptic Templates Apply Templates Template I agree that my data looks correct Submit File for Edit Select the appropriate Excel worksheet in this field. Select the templates you want to use for processing your payroll data. The default template, as defined in SQL Recordkeeping ADT, is automatically selected and previewed. Template defaults are based on the divisions selected. Note: You can upload with multiple templates but Payroll Validation only supports one Synoptic template and one Financial template. Click to apply your payroll data to the selected templates and preview the results. Preview pane where payroll data is applied to the selected template. Each preview pane shows the template data headings and the first few rows of data. Click to confirm that the payroll data is displayed correctly in the selected templates. You must select this option before you can submit the file for editing. Click to submit the current template selections. November 2014 Schwab Retirement Technologies Page 16 of 133

17 Payroll File Upload Step 3. Contribution Totals In the third step in the payroll file upload process, the system pre-populates the contribution totals based on the payroll file for contribution and loan payments. Forfeiture and Adjustments can be edited here; however, adjustments to contributions and loan payments occur later in the payroll process. If totals are incorrect, you can choose the Re-Upload Payroll or Mark Payroll with Exception options. Click Validate Payroll Data option to validate data now or Submit For Review to validate data later. See definitions below for more information. The Contribution Totals options are described below: Contribution Forfeiture Adjustment Total Funding Amount Enter the dollar amount of total contributions for the corresponding source. Enter the dollar amount of total forfeitures for the corresponding source. Forfeiture refers to the portions of participants accounts that they lose if they terminate from the plan before they become fully vested. The system tracks participants forfeitures and can re-allocate them to the other participants in the plan. Enter the dollar amount of total adjustments for the corresponding source. Displays the total for each funding type across all sources. Displays the total for all funding types for each source. November 2014 Schwab Retirement Technologies Page 17 of 133

18 I disagree with my control totals Validate Payroll Data Submit for Review If the displayed Contribution Totals are not correct, select one of the following options: Re-Upload Payroll If you selected the wrong payroll file, this option allows you to return to the first upload window and choose a different file to upload. Mark Payroll with Exception If you want to make corrections to the existing file and re-upload it later or if you need to create or obtain a new file, this option marks the payroll event as a business exception in Payroll History. Later, when you are ready to upload a file, you can select the event in Payroll History and use the Re- Upload button on the File Information tab to repeat the upload process. For an illustration, see Re-Uploading a Payroll Marked with Exception. Displays the results of the system s automatic validation the Synoptic and Financial payroll data. You can view the results and make any necessary corrections on the Payroll Validation page, if you are assigned the Payroll Validator or Approver roles. Use this option if you want to make corrections later, or if another user will be performing the validation review. When you are ready to make corrections, you can access the Payroll Validation page by going to the File Information tab in Payroll History and clicking the Re-Validate Payroll button. See Accessing Payroll Validation via Payroll History for an illustration. Automatic Submission of Payrolls With No Errors If the file contains no errors, the payroll file is automatically submitted and processed, bypassing the validation page. If you wish to view validation results anyway, you can select the checkbox on the Contribution Totals page labeled Show validation results even if there are no errors. By default, this option is not selected and the payroll is launched automatically. Note: The Show validation results even if there are no errors option is not shown on the Contributions Totals page illustrated above. November 2014 Schwab Retirement Technologies Page 18 of 133

19 Re-Uploading a Payroll Marked with Exception When you click the Mark Payroll with Exception button on the Contribution Totals page, the Payroll History page displays with the event flagged as a business exception, making it easy to locate, select, and upload using the Re-Upload Payroll File button, as demonstrated below. Tracking Re-Uploaded Payroll Events When you re-upload a payroll file, the system archives the initial event and generates comments to document both events. Each comment includes the date, the operator s name, and the ID number of the initial or re-uploaded event, creating a permanent link between the two events. The comments appear on the History page (example below) and also on the Payroll Event Details page. November 2014 Schwab Retirement Technologies Page 19 of 133

20 NOD Logon and Preview PayrollNOD role required. (For users of the Schwab Trust platform only) If PayrollNOD role is not assigned to the user, the user will be blocked from uploading the NOD for a plan that requires it. A message explaining the block is presented to the user when the plan is selected on the first Payroll File Upload page. Before the Payroll Validation page appears, you will be asked to logon to Schwab Retirement Center (SRC) for authentication. This is a one-time procedure. If you have already been authenticated, you will not have to re-authenticate. After your logon is authenticated, the initial NOD page appears, as shown below. You can edit the NOD values at this time; however, your NOD data will be incomplete until after the match or nonelective contribution amount has been determined. Consequently, you will always be required to edit/submit your NOD information later in the process. Click Save NOD Data or Skip NOD to proceed to the Payroll Validation page. If you choose Skip NOD, you will not be able to use SchARP to send the NOD information later (via the Notice of Deposit tab in Payroll History). Note: For more information, refer to the SchARP Payroll Funding Request and Notice of Deposit User Guide, available from the Resource Center on schwabrt.com. November 2014 Schwab Retirement Technologies Page 20 of 133

21 Payroll Validation (Review and Correction) PayrollProcessor and PayrollValidator or PayrollAppprover roles required. Payroll Validation allows validation and error checking of Synoptic and Financial data prior to submitting the payroll file for processing. Validation results for Financial and Synoptic data appear on separate tabs, where the user can easily view number of records passed, errors, and warnings. Reports are made available for more information about issues identified in payroll file data. For reference, validation Totals, Details, and Error reports and payroll information are available for viewing via links at the top of the page. In order to limit the volume of data that appears on the Payroll Validation page, the system displays, by default, only those records with errors or warnings so that they can be corrected. If you want to see all available records, clear the Show Records with Errors Only option, located at the upper left (not shown below). Notes: You can upload with multiple templates but Payroll Validation only supports one Synoptic template and one Financial template at this time. November 2014 Schwab Retirement Technologies Page 21 of 133

22 A color-coded status summary appears at the upper left of the page, itemizing the number of participant records that passed validation as well as the number of critical errors, warnings, and data validation errors that were encountered. Data validation exceptions appear only if the corresponding option is enabled in Plan Maintenance. The colors codes and associated icons are described below: Green indicates that no errors were encountered during the validation process. Click Submit to submit the file. Yellow indicates that non-critical errors (warnings) and/or data validation errors (if enabled in Plan Maintenance) were encountered during the validation process. Each warning error is identified by a yellow warning icon in the appropriate row of the grid, with an arrow icon that you can click to view a description of the warning. Data validation errors are marked with a blue information icon. Click Submit with Warnings to submit the file. Red indicates that critical errors, as defined in ADT, were encountered during the validation process, which can include exceptions generated from the Financial/Synoptic edit. Each error is identified by a red error icon in the appropriate row of the grid, with an arrow icon that you can click to view a description of the error. The file cannot be submitted until all critical errors are corrected. An example of a critical error is highlighted below: November 2014 Schwab Retirement Technologies Page 22 of 133

23 Correcting and Submitting Validated Data To make corrections, click on the corresponding row of the grid and enter the correct information. Changes to data are indicated by a pencil icon at the beginning of the row. Note: Not all issues can be corrected on the Payroll Validation page. For a list of data elements supported by the Payroll Validation dashboard, see Supported Data Elements in the Appendix. After making corrections, the user has two options: Re-Validate Payroll Data If this option is selected, the entire payroll file is checked again for data errors. If you make a change and submit the file without revalidating, the following message appears: You have made changes without re-validation. If you submit now you will lose these changes. Do you want to submit anyway? Submit or Submit with Warnings This button allows you to submit the payroll file for processing. The name of the button reflects the error status of the data (Green or Yellow). Submit for Review If the payroll processor does not have approval rights, the button is labeled Submit for Review. The payroll must then be re-validated on the Payroll History page by a user who has the required approval rights. If there are no errors and approval is not required, the payroll process continues to the next step when submitted. November 2014 Schwab Retirement Technologies Page 23 of 133

24 Accessing Payroll Validation via Payroll History To access the Payroll Validation dashboard from Payroll History, click on the payroll event and click the Re-Validate Payroll button on the File Information tab, as shown below. Note: See the Appendix for a list of data elements supported by the by the payroll validation process. November 2014 Schwab Retirement Technologies Page 24 of 133

25 Payroll File Upload Summary After you submit the payroll file, the Payroll File Upload Summary appears, providing a record of the upload process which you can print for future reference. Note: For payroll processors without the approval or validator roles, the payroll upload notification is sent before the payroll is handed off to another user for validation. If the user has the approval and/or validator roles, the payroll upload is sent after validation is complete. November 2014 Schwab Retirement Technologies Page 25 of 133

26 Payroll Approval PayrollProcessor and PayrollApprover roles required. If payroll approval is required, the process waits until approval is received before proceeding. To approve a payroll event: 1. On the Payroll History page, select Approve Selected from the Select an Action menu. 2. Click the checkbox in the Selected column of the corresponding event. 3. Click the Approve Selected button. Payroll Processing After the payroll is approved (if required) the system performs the following processing steps: Payroll Census Data is updated (Synoptic Update) Payroll Data is Stored (Financial) Calculate Payroll Match (optional plan-level setting) Instead of the 401k Match included on the Payroll file, the system calculates the Match for the payroll using plan settings for compensation formula. If the Match is calculated for the payroll, then the NOD must be reviewed prior to submitting. Calculate Non-Elective Allocation (optional plan-level setting) Allows system to calculate a non-elective allocation during payroll, using plan settings for allocation. November 2014 Schwab Retirement Technologies Page 26 of 133

27 Notice of Deposit (NOD) Approval PayrollNOD role required. The NOD submission process occurs after payroll is submitted. NOD Amounts are defaulted to Adjusted Control Totals, which are based on corrected payroll values. To access the NOD, go to the Notice of Deposit tab in Payroll History. The adjusted Payroll Total appears at the upper left of the NOD page. Check to see if this total matches the NOD total at the bottom, which is populated from the contribution totals on the file. If the totals do not match, as in the example shown below, you can make any necessary corrections on the Allocation Breakdown page, which is accessed by clicking the View link in the Detail column. November 2014 Schwab Retirement Technologies Page 27 of 133

28 In the following example, an adjustment has been made to the Allocation Breakdown page in order to reconcile the adjusted payroll total with the NOD total. The corrected contribution amount is reflected on the NOD page. November 2014 Schwab Retirement Technologies Page 28 of 133

29 If the Adjusted Payroll Totals are not equal to the populated Contribution Totals, the payroll user must click Submit NOD Data to submit the NOD file to SRC. If the Adjusted Payroll Totals are equal to the populated Contribution Totals, the NOD file is sent automatically unless approval is required, based on plan settings. Once the NOD is sent, a confirmation number is returned from SRC and appears at the upper right of the page, as indicated below. November 2014 Schwab Retirement Technologies Page 29 of 133

30 Payroll Match Funding (optional) PayrollMatcher role required. If the Payroll Match Funding feature is enabled for the plan, use the Match link for the payroll event to review and adjusted the available cash files with the payroll totals. November 2014 Schwab Retirement Technologies Page 30 of 133

31 In this example, the cash file amount was manually reduced and the remaining amount was removed with a comment added to explain the adjustment. Note: For details on Payroll Match Funding options, see SchARP Payroll Processing User Guide. After the Payroll Match Funding step is complete (if required), the system proceeds to the Invest Payroll step and, finally, the trades are created, sent, and processed. November 2014 Schwab Retirement Technologies Page 31 of 133

32 Notification Samples Following are samples of payroll notification s that are automatically sent to all members of the ScharpNotify group, defined in RK SQL System Maintenance/SchARP Settings. For information on additional notifications available through Payroll Monitoring, see SchARP Payroll Monitoring. November 2014 Schwab Retirement Technologies Page 32 of 133

33 Editing Previous Payrolls & Creating New Payrolls In addition to the standard option to select and upload an existing payroll file, illustrated previously, the following additional SchARP Payroll Upload options are available: Use Previous Payroll Edit the previously submitted payroll file for a selected plan/division combination and apply submitted changes for the newly selected payroll date. Create New Payroll Create a new payroll file from scratch, with the option to add all eligible participants or select specific participants. These options are highlighted on the Payroll File Upload page below. Note: Both the Use Previous Payroll and Create New Payroll options are available only with the Census and Payroll Validation workflow, as defined in Plan Maintenance Payroll Processing settings. November 2014 Schwab Retirement Technologies Page 33 of 133

34 Security Roles Access to the Payroll Upload options are controlled by the following SchARP user roles: PayrollCreateNewPayroll Allows the user to access Create New Payroll option. PayrollUsePreviousPayroll Allows the user to access the Use Previous Payroll option. SchARP roles are defined in the User Wizard, available from the Security menu in Schwab RT Admin. November 2014 Schwab Retirement Technologies Page 34 of 133

35 Use Previous Payroll SchARP Payroll Select the Use Previous Payroll option to edit your previously submitted payroll file (for this plan/division combination). Any changes that you make will be submitted against the newly selected payroll date. After clicking Use Previous Payroll, the Edit Payroll page appears and automatically loads the last completed Payroll Data and the current participant Census Data on the respective tabs. Notes: If the previous payroll had only Financial Data submitted, the Census Data tab will not be available. If no previous payroll exists for the selected plan/division combination, a message to that effect will appear and you ll be automatically redirected to the Create New Payroll page. November 2014 Schwab Retirement Technologies Page 35 of 133

36 The Census Data tab on the Edit Payroll page appears below. To add new participants to a previous payroll, click Add Participants and then enter a comma delimited list of Social Security numbers. You can enter the numbers with or without dashes. To save time, you can also copy and paste numbers from a csv file or other source. November 2014 Schwab Retirement Technologies Page 36 of 133

37 When you click Search, the system returns a dialog that indicates whether or not the requested participants were found in the plan. To add a participant, select the corresponding check box and click Add Selected Participants. If the participant is already in the plan, census data will automatically be loaded. If the participant is new to the plan, you will need to add their census information in order to submit the payroll. When you add participants who are new to the plan, they are marked with a green plus sign icon, to distinguish them from participants who were included on the previous payroll. You can use the Delete button to remove participants from the payroll. Deleted participants can be restored by clicking the Undelete button. To edit data, click on the row in the table and make the necessary modification or additions. The modification is saved, as indicated by the green check mark icon, and a pencil icon appears to show that data has been modified. Note: Once a modification is made and saved, the green check mark icons no longer appear for participants who were on the previous payroll because their information is already saved in the system. Both data grids provide standard data filters and sort capabilities that allow you to customize the display of data. November 2014 Schwab Retirement Technologies Page 37 of 133

38 When all information is complete, click the Submit Payroll button in the lower right corner. Next Steps When you click Submit Payroll, the Contribution Source Totals page appears, followed by the Notice of Deposit logon, if applicable, and the Payroll Validation process. On the Contribution Source Totals page, the Re-Upload Payroll and Mark Payroll with Exceptions options are only available for Upload Payroll File option, not for the Use Previous Payroll or Create New Payroll options. Create New Payroll You can use the Create New Payroll option to create a new payroll file from scratch, with the option to add all eligible participants or select specific participants. After clicking Create New Payroll, the screen displays grids for Payroll Data and Census Data. Both tabs are empty until you load participant data. Click Populate Payroll with Eligible Participants to load Payroll and/or Census data for all participants whose Division matches a division selected on the Payroll File Upload window Status code matches a selected status code selected on the System Maintenance Payroll Status codes window Date of Participation/Date of Eligibility occurs before or on the selected payroll date (or is blank). The following dialog appears when you click Populate Payroll with Eligible Participants, providing options to load Payroll Data and/or Census Data. When you click Populate, the data will replace any data currently contained in the payroll file. Note: If a default Financial or Synoptic template is not available, the corresponding option will not be enabled for selection. November 2014 Schwab Retirement Technologies Page 38 of 133

39 A sample Payroll Data tab, populated with eligible participant data, appears below. Note that Payroll Data populates only the participant names and Social Security numbers, with the remaining fields left to be completed by the user. On the Census Data tab, shown below, current data for eligible participants is populated based the data elements on the corresponding default ADT Synoptic template. November 2014 Schwab Retirement Technologies Page 39 of 133

40 To add new participants to a payroll, click Add Participants and then enter a comma delimited list of Social Security numbers. See Use Previous Payroll for details on adding participants, editing data, deleting participants and other options. To reset the grids to the initial display, click Reset. When all information is complete, click the Submit Payroll button in the lower right corner. Next Steps When you click Submit Payroll, the Contribution Source Totals page appears, followed by the Notice of Deposit logon, if applicable, and the Payroll Validation process. On the Contribution Source Totals page, the Re-Upload Payroll and Mark Payroll with Exceptions options are only available for Upload Payroll File option, not for the Use Previous Payroll or Create New Payroll options. November 2014 Schwab Retirement Technologies Page 40 of 133

41 Upcoming Payroll Page The Upcoming Payroll page, available from the SchARP Payroll menu, shows all upcoming payroll events. To archive upcoming payrolls, select the Archive Selected option from Select An Action field, check the Selected option for the appropriate payroll event(s), and click Archive Selected. Note: Before implementing Payroll Monitoring notifications, we recommend that you review the Upcoming Payroll page and delete any unused or unneeded payroll jobs. November 2014 Schwab Retirement Technologies Page 41 of 133

42 Payroll Event History Note: This section discusses the use to the Payroll Event History page without the Payroll Match Funding feature. For details on Payroll Match Funding, see Payroll Match Funding later in this document. The Payroll Event History page provides a record of all payroll uploads during a defined time period for your assigned plans. When you click on a specific row of the History table, a window displays detailed information for that payroll job. By default, payroll events are sorted by the upload date but you can sort by any of the table headings. You can use the history page to archive workflows and, if you have the appropriate security privileges, you can approve payroll events for processing. Workflow cannot be completed until the payroll job is approved. To approve or archive a payroll event, or to discontinue payroll monitoring, follow this procedure: 1. In the Select an Action field, select Approve Selected, Archive Selected, or Do Not Monitor. 2. In the Selected column, select the event(s) you want to approve or archive. To select all events, click Select All. 3. To submit all selections, click the Approve Selected, Archive Selected button, or Do Not Monitor Selected. After an event is approved, a check box appears in the Approved column. Archived events will be removed from the History page but can be restored by selecting the Archived status option on the Configuration window. See Configuring History Display for more information. November 2014 Schwab Retirement Technologies Page 42 of 133

43 The Payroll Event History options are described below: Select an Action Use this field, shown below, to choose the action you want to perform. ID Selected Approved Monitored Plan Payroll Date Status Matched Progress Step Step Uploaded After selecting the action, you can select the event(s) to which the action will apply and click the corresponding button in the lower right corner of the page. You must have the appropriate security privileges in order to approve payroll events or discontinue monitoring. For information on the Do Not Monitor option, see Payroll Monitoring. The unique ID that the system assigns to each payroll event. Use this box to select an event to be approved or archived. A check in this box indicates that the corresponding payroll job is approved and ready to move to the workflow queue for scheduled processing. This field is view-only. See the Select an Action field above for the procedure used to approve an event. A check in this box indicates that Payroll Monitoring is in effect for the plan. This option is automatically enabled for all plans. For more information, see Payroll Monitoring. The name of the plan associated with the payroll job. The date of the payroll, from the Pay Date field on the Payroll File Upload page. By default, the table is sorted by payroll date, as indicated by the arrow button in the column heading. Click the arrow button to reverse the sort order. You can resort the table by clicking on any other column heading. The arrow button will appear in the last column heading selected, then return to its default position the next time you access the page. The current status of the payroll job. For status definitions, click the question mark icon in the upper right corner of the window. See Payroll History Legend below. Displays matching information and links, if payroll matching is used. For more information, see Payroll Match Funding. A thumbnail version of the progress bar. As each step in the process is completed, the corresponding step in the thumbnail progress bar turns green. An arrow indicates a step that is skipped because it is not required in the workflow. For example, if the plan is set to Do Not Match, Export Trades, a skip arrow will appear in corresponding position on the bar. For definitions of each step, click the question mark icon in the upper right corner of the window. See Payroll History Legend below. Time spent in the current progress step. The date and time when the payroll file was uploaded. November 2014 Schwab Retirement Technologies Page 43 of 133

44 NOD Upload Original File Name Comments System File Name Shows the date the Notice of Deposit was submitted. For details on Notice of Deposit functionality, refer to SchARP Payroll Funding Request and Notice of Deposit (NOD) User Guide, available from the Resource Center at SchwabRT.com. The name of the payroll file before it was renamed by the system. Additional information about the payroll job. To enter a comment, click on a payroll event row and type the comment in the Comments field on the File Information tab. The name of the payroll file, as renamed by the system at the time of upload. Standard naming convention: <Plan ID>_<Operator ID>_<Date/Time>.SPF. Access Configuration window to define the date range for the History display and filter payroll events by plan and current status. See Configuring History Display below. Payroll History Legend The Payroll History Legend button in the upper right corner of the Payroll Event History page displays definitions of each steps in the payroll workflow process. The Progress Legend appears in thumbnail form in the Progress Step column of each payroll event. As each step in the process is completed, the corresponding step in the thumbnail progress bar turns green This window also defines the color-coded Status icons that appear on the Payroll History grid. November 2014 Schwab Retirement Technologies Page 44 of 133

45 Configuring History Display The configuration button in the upper right corner of the Payroll Event History page lets you define the date range for the display and filter payroll events by plan and status. For example, if you select Plan ABC, the Open filter option, and a date range of 4/1/09 to 4/30/09, the grid will show all open payroll events for Plan ABC during the month of April. All other events would be excluded from the display. The full list of Status options appears below: November 2014 Schwab Retirement Technologies Page 45 of 133

46 Payroll Event Details When you click on a payroll event in the Payroll Event History page, detailed information about that event appears. The Payroll Event Details window contains separate tabs for File Information, Process History, Status History, and Control Totals, and Notice of Deposit. File Information The File Information tab shows the upload date, payroll date, file name, status, progress step, and other information, including any comments. To download the payroll file, click on the file name. November 2014 Schwab Retirement Technologies Page 46 of 133

47 Process History The Process History tab shows individual processing steps, including current status, processing dates, and related validation and error reports. The reports correspond to the settings defined for financial and synoptic processing in C282/RK SQL System Maintenance>SchARP Settings>Payroll Processing. Note: If you want your reports saved to the network, you must select the Save Reports to Network option on the SchARP Settings window in C282/RK SQL System Maintenance. Otherwise, reports will be saved to the database. November 2014 Schwab Retirement Technologies Page 47 of 133

48 Status History The Status History tab shows the processing date and time, as well as current status, description, plan division, and comments which includes the user name. Control Totals The Control Totals tab shows the control totals and any adjustments entered and verified during the payroll file upload process. November 2014 Schwab Retirement Technologies Page 48 of 133

49 Notice of Deposit The Notice of Deposit tab shows information related to the Notice of Deposit submitted for this payroll event. To view the allocation breakdown for the NOD, click view in the Detail column. November 2014 Schwab Retirement Technologies Page 49 of 133

50 Payroll Match Funding Note: The illustrations in this section were produced from an earlier Payroll release, before the validation step was added to the progress bar and other minor screen changes were made. However, the basic functionality of Payroll Match Funding presented here remains essentially the same. For workflows that use the Payroll Match Funding feature, the Matching column on the Payroll Event History page provides links to a Payroll Match window where SchARP PayrollMatchers can match funding for orders that could not be automatically matched during the Payroll Match Funding business activity. In this illustration, the middle section of the grid is enlarged for a better view of the match icons, editing links, and progress bars that provide important workflow information. November 2014 Schwab Retirement Technologies Page 50 of 133

51 Payroll Matching SchARP Payroll If applicable, the Matched column of the payroll event will display a match icon (A for Auto-match or M for Manual match) and provide an Edit, View, Review or Match link. Modifications to the match cannot be made after the trades are exported. Examples of icon/link combinations appear below: Icon/Link Auto-Match Setting (TDI) Definition Auto-Match, Review Matching Auto-Match, Export Matched Trades Auto-Match, Export Matched Trades (Either setting) Payroll was auto-matched but must be reviewed and accepted by the user before workflow can continue. If user modifies match, M displays. Payroll was manually matched; user can view but not modify match because trades have already been sent or user has view-only rights. Displays A if auto-matched. Payroll was auto-matched; user can edit match. If user modifies match, M displays. Payroll has not yet been matched; user can attempt to match manually, if any cash files have been downloaded. If no cash files are available, the message No deposit records available for this payroll appears. November 2014 Schwab Retirement Technologies Page 51 of 133

52 When you click a link in the Matched column, the corresponding Payroll Match window appears. Payroll Matchers can use this window to review auto-matches made by the system and make manual matches and other adjustments. Field Definitions The Payroll Match window includes the following fields: Selected Cash File Date Receipt Amount Available Amount Remove Remaining Forfeiture Amount Adjustment Amount This option is automatically selected when the system matches a cash record with a payroll. When matching manually, you must select this option to make changes to the corresponding match amount. Multiple cash records can be selected at the same time. Displays the date and time when the record was copied from the Cash Activity file during the Payroll Match Funding business activity. Displays the original cash amount from the Cash Activity file. Displays the difference between the Receipt Amount and Match Amount. This option allows the user to not use part or all of the Receipt Amount of the cash record. For example, a rollover deposit can be selected and not used. Selecting this will zero out the Available Amount, if there is one, and allow the Receipt Amount to not equal the Match Amount. Click the information icon to record a reason for removing the remainder. Displays the forfeiture amount from the payroll totals and allows the user to enter a different amount. Amounts entered here also appear on Match Total line the next time you click the mouse. Displays the adjustment amount from the payroll totals and allows the user to enter a different amount. Amounts entered here also appear on Match Total line the next time you click the mouse. November 2014 Schwab Retirement Technologies Page 52 of 133

53 Match Amount Comment Payroll Total Match Total Remainder Total OK/Accept Cancel Reset Un-Match Amount used to fund the payroll. The user can modify this amount directly or offset it with a forfeiture or adjustment. Amounts entered here also appear on Match Total line the next time you click the mouse. If enter a Match Amount that is less than the Receipt Amount or Available Amount, the amount appears on the Remainder Total line. Allows the user to record reasons why the match was modified or any other information related to the match. The total payroll amount to be funded. The total of all Match Amounts for selected cash files. The total of the remainder. The remainder must be zero in order to submit a match. Click OK to save any changes you made to the matching data. If user review of matches is required by this payroll, click Accept to accept the match. Click to cancel any changes you made to the matching data. Click to revert to the original or last saved matching relationship. The system asks the user to verify the action before resetting the match. Click to remove the current matching relationship and reset order status to Waiting for Funding. The system asks the user to verify the action before removing the match. The user can then choose to match funding to payroll manually or wait for the Auto-Match business activity to process the match again. November 2014 Schwab Retirement Technologies Page 53 of 133

54 Matching Scenarios Various match scenarios are illustrated below to show the differences between payrolls that have different TDI match settings and that are currently in different workflow progress steps. (TDI Setting = Auto-Match, Export Matched Trades) In this example, the payroll was auto-matched by the system. The trades have not been sent yet, so the user still has the option to change the match and make other needed adjustments. November 2014 Schwab Retirement Technologies Page 54 of 133

55 (TDI Setting = Auto-Match, Export Matched Trades) In this example, the payroll was auto-matched by the system, then modified by the user. The trades have been sent so the information can be viewed but not modified. Note that the user has selected multiple cash files to obtain the needed match. (TDI Setting = Auto-Match, Review Matching on Trades) In this example, the payroll was auto-matched but must be reviewed and accepted by the user before workflow can continue. November 2014 Schwab Retirement Technologies Page 55 of 133

56 Here s another example of an Auto-Match that requires user review. In this case, forfeiture has been entered based on the control totals in the payroll file. November 2014 Schwab Retirement Technologies Page 56 of 133

57 How Event Progress Impacts Archiving The following rules apply when archiving payroll events. If you archive a Payroll event before completion of the Manual Approval or Cash Matching step, that workflow event will be stopped and will not reappear on the History page. Once stopped, the workflow cannot be restarted. If you archive an event after the Manual Approval or Cash Matching step is complete, the workflow will continue to process in the background and the event will reappear in the display when the event reaches the next step in the workflow, for example, when orders are generated and released. The following diagram shows examples of two Payroll events, one that can still be stopped using the archive option, and another that has progressed too far to be stopped. November 2014 Schwab Retirement Technologies Page 57 of 133

58 Payroll Monitoring Payroll Monitoring allows TPAs to track payroll events across plans, with automatic notifications sent to designated users. The following types of notifications can be sent to SchARP users who are assigned the PayrollMonitor role in Schwab RT Admin Security. Settings that determine when notifications are sent are available at the system level or at the division level for a plan. Notification Type Upcoming Payroll Payroll Data Past Due Payroll Uploaded Payroll Funding Reminder Payroll Funding Past Due Payroll Completed Description/Occurrence Payroll data is expected to be uploaded soon. Notification sent once. Payroll Data is delinquent. Notification sent daily until resolved or specified maximum is reached. Payroll data uploaded. Notification sent once. Payroll data uploaded but funding not available yet. Notification sent once. Payroll Funding is delinquent. Notification sent daily until resolved or specified maximum is reached. Trade Orders are sent on the export file for the payroll. Notification sent once. Notes: When you implement Payroll Monitoring, the system automatically flags all existing payroll jobs that are complete or currently in progress as Do Not Monitor to prevent generation of notifications for past payrolls. Before implementing Payroll Monitoring notifications, we recommend that you review the Upcoming Payroll page in SchARP and delete any unused or unneeded payroll jobs. Payroll Monitoring is available only for payrolls processed by SchARP. November 2014 Schwab Retirement Technologies Page 58 of 133

59 Payroll Monitoring Scenarios The following timelines demonstrate how payroll notifications can be targeted to designated SchARP users for specific plans and divisions. In the first best case scenario, only two notifications are required, at the beginning and end of the process. In the second worst case scenario, six different types of payroll notifications are required to facilitate the payroll process. For each scenario, the specified Payroll Monitoring settings and recipients are shown. Best Case Scenario: Plan A, All Divisions Worst Case Scenario: Plan A, All Divisions November 2014 Schwab Retirement Technologies Page 59 of 133

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61 Summary of Payroll Monitoring Options The following Payroll Monitoring options and features are available in SchARP and Recordkeeping: Payroll Monitoring Component System-level Payroll Monitoring Settings Plan Division-level Payroll Monitoring Settings Past Due Funding Report Options PayrollMonitor User Role, Payroll Monitoring settings for SchARP users Monitor Events with Notifications Business Activity Monitoring Status Indicators, Do Not Monitor Options Payroll Monitoring Reports. Payroll Users Report Application RK SQL System Maintenance/C282 Plan Maintenance/C001 TDI Maintenance/C046 Schwab RT Admin Security SchARP Workflow Designer SchARP Payroll History Page SchARP Report Center and CP50 November 2014 Schwab Retirement Technologies Page 61 of 133

62 System-Level Payroll Monitoring Settings System-level Payroll Monitoring settings are located on the Payroll Monitoring window in the SchARP Payroll node of RK SQL System Maintenance/C282, as shown below. These settings determine when the various types of payroll notifications are sent. You can override the system settings at the division level for a plan. The Payroll Monitoring window includes the following fields: Upcoming Payroll Notification (before) Payroll Data Past Due (after) Max Times to Send Determines how many calendar days before the pay date that the Upcoming Payroll Notification is ed to designated users, as defined in Schwab RT Admin Security. The value should not greater than the least value setting for Lead Time in Days for creating payroll events, located on the Event Setting window in SQL System Maintenance/C282. If the Lead Time in Days value is greater, the Upcoming Payroll is sent on the day that the event is created. If the payroll is uploaded before the notification is scheduled to be sent, the notification is not sent. If set to 0 (default setting) the is sent on the pay date. Determines how many calendar days after the pay date that the Payroll Data Past Due Notification is ed to designated users, as defined in Schwab RT Admin Security. If set to 0 (default setting) the is sent on the pay date. Determines how many times the Payroll Data Past Due Notification is sent to designated users. After the initial notification, the notification is repeated daily until the Max Times to Send value is exceeded or the payroll data is submitted. Defaults to 999. See note below. November 2014 Schwab Retirement Technologies Page 62 of 133

63 Payroll Funding Reminder (after) Payroll Funding Past Due (after) Max Times to Send Determines how many calendar days after the pay date that the Payroll Funding Reminder Notification is ed to designated users, as defined in Schwab RT Admin Security. If the payroll is funded before the notification is scheduled to be sent, the notification is not sent. If set to 0 (default setting) the is sent on the pay date. Determines how many calendar days after the pay date that the Payroll Funding Past Due Notification is ed to designated users, as defined in Schwab RT Admin Security. If the payroll is funded before the notification is scheduled to be sent, the notification is not sent. If set to 0 (default setting) the is sent on the pay date. Determines how many times the Payroll Funding Past Due Notification is sent to designated users. After the initial notification, the notification is repeated daily until the Max Times to Send value is exceeded or the payroll funding is determined. Defaults to 999. See note below. Note: If a payroll event is archived or discontinued on the Payroll History page, the notification process stops. November 2014 Schwab Retirement Technologies Page 63 of 133

64 Plan-Level Payroll Monitoring Settings Division-level Payroll Notification Settings are available from the Payroll Processing window in Plan Maintenance/C001. When you select a division and click Edit Division, the division-level Payroll Notification Settings appear, with the option to use system settings or to define different settings for the division. Another feature lets you quickly copy the notification settings from one division to one or more other divisions. The Division Settings window includes the following notification fields: Use System Settings Payroll Notification Settings Copy to Other Divisions When this option is selected (default), the selected division uses the Payroll Notification Settings defined on the SchARP Payroll Monitoring window in RK SQL System Maintenance/C282. By default, the Division level settings are set to view only and cannot be edited. When this option is cleared, the division-level Payroll Notification Settings can be defined, overriding the system-level settings. These settings default to the system settings defined on the SchARP Payroll Monitoring window in RK SQL System Maintenance/C282. To override the system-level settings, clear the Use System Settings option and make the necessary modifications to the division-level settings. See System-level Payroll Monitoring Settings for definitions. To apply the current division settings to other divisions, click Copy to Other Divisions, select the division(s), and click OK. November 2014 Schwab Retirement Technologies Page 64 of 133

65 Past Due Funding Report (TDI Maintenance/C046) SchARP Payroll Settings on the Maintain Links window in TDI Maintenance allow you to generate a Past Due Funding report across all plans tied to a given trade link that can be ed to a designated recipient. Only plans with past due funding appear on this report. The report is generated daily, and continues to report past due amounts until they are funded. The procedure for selecting the report and group is illustrated below. November 2014 Schwab Retirement Technologies Page 65 of 133

66 The Maintain Links window includes the following fields: Create Past Due Funding Report Group to Send Report Notification If selected, the Past Due Funding Report will be generated if there is any information to report. Default: not selected. Enabled only if Create Past Due Funding Report option is selected. If group is present, report is sent. Available groups are defined using the Group Wizard in Schwab RT Admin Security. Default: not selected. See Sample message below. A sample Past Due Funding notification appears below: November 2014 Schwab Retirement Technologies Page 66 of 133

67 Payroll Monitor Security Role In order to monitor SchARP payroll, a user must be a SchARP user assigned to the PayrollMonitor role in Schwab RT Admin Security. Users assigned to the PayrollMonitor role only will receive notifications but cannot log on and access the SchARP system. The User Wizard appears below, with the PayrollMonitor role selected. This user will receive payroll notifications only, with no access to other payroll functions. Note: For full functionality, add the PayrollProcessor and PayrollApprover roles when assigning the PayrollMonitor role. These additional roles are required to access the Payroll Event History page and stop payroll monitoring for an event. November 2014 Schwab Retirement Technologies Page 67 of 133

68 Defining Payroll Monitoring Options Plan-level payroll monitoring settings for individual SchARP users are defined in Schwab RT Admin Security. In the User Maintenance Wizard, under SchARP System Specific Settings, the Monitoring tab lets you select which monitoring s the user will receive for a specific plan s payroll. Only users with the PayrollMonitor role can receive Payroll Monitoring notifications. Note: If the payroll event is created for an off-cycle payroll, the upcoming payroll notice is not sent for the payroll. Only regularly scheduled payrolls are reported with an upcoming payroll notice. All other notices are available, based on monitoring settings. November 2014 Schwab Retirement Technologies Page 68 of 133

69 The Monitoring tab includes the following fields: Plan Displays all plans that the user can access. Click on an individual plan to define the monitoring options for that plan s payroll. Monitoring for All Plans For All Monitored Plans, Receive Notifications on All Divisions Monitor (Selected Plan) To define monitoring options for all plans at once, select Monitoring for All Plans and then select the appropriate monitoring options. If not selected, you must define monitoring options on a plan by plan basis. Select this option to send the user notifications for all divisions for all monitored plans, regardless of access rights. If not selected, the user receives notifications only for divisions to which the user has access rights. This option applies to all plans in the current list. If any new plans are added in the future, those plans will need to be set up separately. Select the appropriate notification options for the SchARP user: Upcoming Payrolls Payroll Uploaded Payroll Data Past Due Payroll Funding Reminder Payroll Funding Past Due Payroll Completed By Default, no payroll notifications are sent. November 2014 Schwab Retirement Technologies Page 69 of 133

70 How Payroll Monitors Differ from Members of the Payroll Upload Notification Group Members of Upload Notification Group, as defined on the Payroll tab, are notified in real time of the success or failure of payroll uploads for any plans to which the user has access. Members of this group do not automatically receive payroll monitoring notifications. To receive payroll monitoring notifications, a user must be defined in Schwab RT Admin Security as a SchARP user, with the PayrollMonitor role, and assigned the appropriate plan-specific notifications options on the Monitoring tab. The required monitoring notifications are sent when the Monitor Events with Notifications Business Activity runs, typically at the end of the business day. Both settings are illustrated on the following page. To assist you in setting up payroll monitoring rights for members of an existing Upload Notification Group, a report called Payroll User Report is available in the SchARP Report Center and in RK SQL Report Generator/CP50. This report shows all addresses in the group and identifies the SchARP operators to whom the group is assigned. A sample report appears below: With this information in hand, you can go the User Maintenance Wizard and update the security record for any existing SchARP users and create new users who require only the PayrollMonitor role. In either case, users must be assigned the PayrollMonitor role (Roles tab) and the appropriate monitoring notification options (Monitoring tab). November 2014 Schwab Retirement Technologies Page 70 of 133

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72 Payroll Monitoring Business Activity The Monitor Events with Notifications workflow monitors the status of payrolls and sends the required notifications to designated users, based on system-level and plan-level monitoring settings. In addition to notifications, the business activity generates a Past Due Funding Report if the link is set up to receive notifications in TDI Maintenance/C046. For details, see Past Due Funding Report (TDI Maintenance/C046). The Past Due Funding report can also be generated through the Generate Reports business activity and accessed via the Report Center. All other Payroll Monitoring Reports are created by the Generate Reports business activity and accessed via the Report Center. For report samples, see Payroll Monitoring Reports (SchARP Report Center). We recommend that you run the Monitor Events with Notifications business activity at the end of each business day. There are no runtime parameters associated with this business activity. Sample workflow status information appears below, with links to the Past Due Funding Report and counters indicating the number of notifications sent during the payroll process. November 2014 Schwab Retirement Technologies Page 72 of 133

73 Examples Sample notifications generated by the Monitor Events with Notifications business activity appear below. The Charles Schwab logo, not shown in the samples below, will appear in the header of the . Upcoming Payroll Notification From: Sent: Wednesday, December 02, :27 AM To: <name of recipient> Subject: SchARP Payrolls - Upcoming (As of 12/02/2009) November 2014 Schwab Retirement Technologies Page 73 of 133

74 Payroll Uploaded Notification A sample appears below, with sections enlarged for legibility. From: schwabrt.asp@schwab.com [mailto:schwabrt.asp@schwab.com] Sent: Tuesday, December 01, :34 AM To: <name of recipient> Subject: SchARP Payrolls - Uploaded (As of 12/01/2009) November 2014 Schwab Retirement Technologies Page 74 of 133

75 Payroll Data Past Due From: Sent: Wednesday, December 02, :28 AM To: <name of recipient> Subject: SchARP Payrolls - Data past due (As of 12/02/2009) Importance: High Payroll Funding Reminder From: schwabrt.asp@schwab.com [mailto:schwabrt.asp@schwab.com] Sent: Thursday, December 10, :53 PM To: <name of recipient> Subject: SchARP Payrolls - Funding reminder (As of 12/10/2009) November 2014 Schwab Retirement Technologies Page 75 of 133

76 Payroll Funding Past Due From: Sent: Tuesday, December 01, :34 AM To: <name of recipient> Subject: SchARP Payrolls - Funding past due (As of 12/02/2009) Payroll Complete Notification From: schwabrt.asp@schwab.com [mailto:schwabrt.asp@schwab.com] Sent: Tuesday, December 01, :34 AM To: <name of recipient> Subject: SchARP Payrolls - Complete (As of 12/02/2009) November 2014 Schwab Retirement Technologies Page 76 of 133

77 Payroll History Page On the SchARP Payroll Event History page, you can click on a payroll and view the dates when specific monitoring notifications were sent. In addition, a Monitored indicator lets you know which plans are currently being monitored. November 2014 Schwab Retirement Technologies Page 77 of 133

78 Discontinue Payroll Monitoring To discontinue monitoring for a payroll, select the Do Not Monitor option from Select An Action field, check the Selected option for the appropriate payroll event, and click Do Not Monitor Selected. The following message appears: Internal/external notifications including amounts on Past Due Funding Report will be discontinued. Continue?" When you confirm the action, the Monitored option for the selected payroll is cleared and a comment is automatically created by the system. Note: When you implement Payroll Monitoring, the system automatically flags all existing payroll jobs that are complete or currently in progress as Do Not Monitor to prevent generation of notifications for past payrolls. November 2014 Schwab Retirement Technologies Page 78 of 133

79 Payroll Monitoring Reports (SchARP Report Center) The following Payroll Monitoring Reports are available from the SchARP Report Center or RK SQL Report Generator/CP50: Payroll Plan Monitoring Report Payroll User Monitoring Report Un-Monitored Payroll Plans Report Past Due Funding Report Payroll Users Report Accessing SchARP Reports To access reports in SchARP, go to the Report History page, click on an event, and open the report from the File Information tab, as demonstrated below: November 2014 Schwab Retirement Technologies Page 79 of 133

80 Payroll Plan Monitoring Report The Payroll Plan Monitoring Report indicates which Payroll Monitoring notifications have been set for a plan. Report parameters and sample follows. November 2014 Schwab Retirement Technologies Page 80 of 133

81 Payroll User Monitoring Report The Payroll User Monitoring Report shows monitoring activity sorted by user and plan. There are no workflow parameters for this report. Report sample follows. November 2014 Schwab Retirement Technologies Page 81 of 133

82 Un-Monitored Payroll Plans Report 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. Report parameters and sample appear below. November 2014 Schwab Retirement Technologies Page 82 of 133

83 Sample Past Due Funding Report 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. For details on enabling this report, see Past Due Funding Report - TDI Maintenance/C046. Report parameters and sample follows. November 2014 Schwab Retirement Technologies Page 83 of 133

84 Administering SchARP Payroll For information on configuring SchARP Payroll settings in SQL Recordkeeping, refer to Configuring SQL Recordkeeping later in this document. This section explains how SchARP payroll processing works behind the scenes, and provides procedures used by SchARP administrators to manage workflow processing. Payroll Workflow Glossary The following glossary defines terms commonly used in discussing SchARP Payroll. Workflow Business Activity Business Activity Group Event Trigger ADT ADT Template A set of activities stored as a model to describe a real world process. Work passes through the model from start to finish. Activities can be executed by people or by system functions. Workflow provides a way of describing the order of execution and dependent relationships. Once a workflow model is created, it can be used to schedule a pre-determined sequence of business activities for automated processing in SchARP. A workflow template can be used to save or modify workflow settings for further use. In SchARP, a workflow activity describes a business process. (Example: Settle Trades) Activity groups are logical groupings of business activities that are joined together to form a single process. This group can be added to a workflow in the same manner as a business activity, but the business activities of the activity group cannot be unbundled from the rest of the business activities in the activity group. (Example: Payroll workflow) An event represents a payroll cycle for a particular plan/division. The Create SchARP Events business activity creates payroll events in advance of the payroll date, based on SQL Recordkeeping settings. A plan/division can have only one active event (payroll cycle) at a given time. Triggers are conditions that must be met for a workflow to proceed to the next step of its business process. Automated Data Translation. Enables the user to import both financial and non-financial data from payroll tapes, spreadsheets, or any other system that can produce ASCII files. Templates created by the user to describe the format of participant data import files. The template is attached to the file for processing. November 2014 Schwab Retirement Technologies Page 84 of 133

85 How Payroll Workflow Works After SchARP Payroll is enabled for a plan, you can create and schedule the Create SchARP Events business activity to create a payroll event in advance of the pay date. Payroll event lead times are defined at the system level in SQL Recordkeeping (Examples: 3 days for weekly, 5 days for semimonthly, 10 days for monthly). A payroll event is created for each pay date for a plan/division, as defined by Recordkeeping Payroll by Division settings. Only one active event can exist for a plan/division at any given time. When a payroll file is uploaded and approved, the job is sent to the SchARP workflow queue. The job is attached to the Payroll business activity group and processed in ADT Update Mode. Multiple payroll events can be attached to the same Payroll business activity. Daily payroll processing is recommended. SchARP users with the appropriate access rights can use the Payroll Event History page to track the status of Payroll workflows and to handle exceptions. For information on using SchARP core functionality to design, schedule, and monitor workflow, refer to the SchARP Overview, available from the Resource Center at schwabrt.com. For information on using the Monitor Events with Notifications business activity, see SchARP Payroll Monitoring. Census and Payroll Validation Workflow The Census and Payroll Validation workflow, the basic workflow used for all SchARP Payroll processing, is a pre-defined, locked sequence of business activities that is automatically scheduled by the system based on plan-level settings. For this reason, the payroll workflow itself is not available for selection in SchARP Designer or Scheduler. The sequence of activities in the Census and Payroll Validation workflow is pictured below. November 2014 Schwab Retirement Technologies Page 85 of 133

86 Scheduling the Creation of Payroll Events The Create SchARP Events business activity, shown below, is required to create payroll events in advance of the pay date, based on SQL Recordkeeping settings. Using SchARP Designer, you must create and save a workflow that includes the Create SchARP Events business activity and then use Scheduler to run the workflow at the appropriate time. Schwab recommends that you run this activity on a daily basis, without a defined end date. When scheduling the workflow, you must select the Payroll option on the workflow parameters window, shown below. After scheduling the Create SchARP Events activity, you can use the SchARP Monitor to track workflow activity. Monitor will show the current status of the workflow and specify how many payroll events were created in the database. November 2014 Schwab Retirement Technologies Page 86 of 133

87 SchARP File Transfer Business Activity The SchARP File Transfer business activity allows downloading of cash activity files from CSTC via SchwabLink. A different cash activity file is available for download on an hourly basis, from 7 a.m. to 7 p.m. PST. A total of 13 files are transferred daily, with or without data. The Schwab File Transfer downloads all the cash activity files that are available at the time the Schwab File Transfer business activity is scheduled to run. Cash Activity Files uses the following naming convention: Note: To optimize the file transfer process, we strongly recommend that you arrange with CSTC to receive all 13 intra-day cash activity files each day, even if some of the files are empty. Workflow Reports (SchARP Monitor) After processing is complete, the results are available for viewing in the SchARP Monitor. A sample Schwab File Transfer workflow step, with report samples, appears below: File transfer November 2014 Schwab Retirement Technologies Page 87 of 133

88 Schwab Link Output Report November 2014 Schwab Retirement Technologies Page 88 of 133

89 SchARP Generate Trade Orders Business Activity The processing logic for the Generate Trade Orders business activity accommodates the payroll match funding options in Order File Maintenance and TDI Maintenance. The business logic determines whether the status of payroll funding is Waiting for funding or No match required. The logic applies to batches with the origin of 994 and 397 that are created via SchARP Payroll. Payrolls processed via Recordkeeping ADT are not subject to the Payroll Trade Automation processing logic. For information on adding the Generate Trade Orders business activity to the payroll workflow at the plan level, see Payroll Processing Settings Tab. SchARP Payroll Match Funding Business Activity The Payroll Match Funding business activity uses the TDI Maintenance setting Payroll Match Funding Behavior to determine how or if payroll orders are matched with funding from the intraday cash activity files. The auto-matching process provides a three-way match by comparing the expected funding amount (payroll file control totals) with cash amounts from cash activity files and the sum of the payroll Trade Orders. Matching Cash Received with Payrolls The Payroll Match Funding activity can automatically perform the following types of matches: One to one A payroll s expected funding amount matches the cash amount exactly. Many to one The sum of multiple payrolls for a plan match an intra-day cash amount exactly. One to many The sum of multiple intra-day cash activity files matches a plan s payroll exactly. Many to many Multiple cash records match multiple payrolls exactly. November 2014 Schwab Retirement Technologies Page 89 of 133

90 Workflow Parameters (SchARP Scheduler) The following runtime parameters are available for selection when you schedule a Payroll Match Funding business activity. Print Last Download Information Reports Cash Activity file information to help determine whether all cash activity files were received on the last day files were downloaded. Recommendation: If Payroll Match Funding runs multiple times per day, select this option on the first run of each day. Print Unmatched Cash Information Prints a listing of cash activity records that have not been matched to a payroll. Workflow Reports (SchARP Monitor) After processing is complete, the results are available for viewing in the SchARP Monitor. A sample Payroll Match Funding workflow step, with report samples, appears below: Sample workflow reports are shown on the following pages. November 2014 Schwab Retirement Technologies Page 90 of 133

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93 Cash Deposit Reports The following Cash Deposit management reports are available to support Payroll Trade Automation feature: Cash Deposit Matching Cash Deposit by Plan The Cash Deposit Reports can be generated by either of the following methods: Generate and view using SchARP Generate Reports business activity, view in SchARP Report Center * RK SQL Report Generator/CP50 Add to database using Schwab RT Admin Report Wizard Configuration.ini button * Requires SchARP user with ReportViewer role in Schwab RT Admin Security. The following SchARP Report Event History page shows examples of both Cash Deposit Reports. To access the report, click on the row, then click the report link in the Report Event Details window. Warning: Both Cash Deposit Reports contain parameter; therefore, they cannot be scheduled to run in the same workflow. Report samples appear below: November 2014 Schwab Retirement Technologies Page 93 of 133

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95 Defining SchARP Security: Payroll Roles To access SchARP payroll functions, users must be assigned the appropriate SchARP role(s) in Schwab RT Admin Security. Available payroll-related roles in the Security User Wizard are shown below, followed by a description of the privileges associated with each role. For more details on using Schwab RT Admin Security, refer to Schwab RT Operator Security User Guide, available in the Resource Center at SchwabRT.com. November 2014 Schwab Retirement Technologies Page 95 of 133

96 PayrollProcessor can do the following: 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 can do the following: Access the Create New Payroll option on the Payroll File Upload page. PayrollUsePreviousPayroll can do the following: Access the Use Previous Payroll option on the Payroll File Upload page. PayrollValidator can do the following: 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 can do the following: 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 can do the following: 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. PayrollMonitor can do the following: 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 can do the following: Submit Notice of Deposit to CSTC. November 2014 Schwab Retirement Technologies Page 96 of 133

97 Configuring SQL Recordkeeping This section covers Recordkeeping configuration options for all payroll functionality except Payroll Monitoring. For information on configuration options for Payroll Monitoring, see SchARP Payroll Monitoring. Defining SQL System Maintenance Options System Maintenance settings for Payroll Processing are illustrated and defined below. Payroll by Division Setting To implement SchARP Payroll, Payroll by Division must be enabled in C282/RK SQL System Maintenance >System Settings>Category 4 - General System Options. The Payroll by Division option setting (#14) is shown below. Divisions are defined in Plan Maintenance. November 2014 Schwab Retirement Technologies Page 97 of 133

98 Data Validation Testing The Data Validation window in System Maintenance includes an option to determine whether or not the selected Data Validation tests are run during Payroll Processing. November 2014 Schwab Retirement Technologies Page 98 of 133

99 SchARP Settings The SchARP Settings window appears below. The SchARP Settings window options are described below: File Extension for Output Report Master Plan Group Save Reports to Network Price Option The default file extension for SchARP report output is TXT. Alternatively you can select DOC, PDF or RTF, which applies to all report output in SchARP. Each report created in a workflow is saved as a separate entry in a SQL report table. Recordkeeping modules outside of SchARP processing continue to use RPT extensions. This is a required field, which at a system level determines the Master Plan Group baseline pricing data tied to all Plan Groups selected for SchARP processing. For SchARP Monitor's Output reports: If you wish to save your reports to the network, you must select this check box. Otherwise, the reports will be saved to the database. Select Settle Price to use the price on the settlement date. If the Settle Price option is not selected, the Trade Price is used on the trade date for these functions. The Settle Price option is used as the price on the settlement date for the Statement on Demand, dailyvest, rate of return calculation, as well as SchARP fees. November 2014 Schwab Retirement Technologies Page 99 of 133

100 Notification Window Notification parameters determine how notifications are generated and sent during SchARP processing. These settings are used in SchARP workflow processing to determine the default From and To addresses and the content of the 's Subject Line. Select the on Success check box to send notifications upon the successful completion of a workflow. November 2014 Schwab Retirement Technologies Page 100 of 133

101 Event Settings Window This Event Settings window is used to define lead time for payroll and fee processing cycles. The lead time determines how far in advance of a pay date that the payroll event is created. The lead time can be based on payroll cycle (Examples: 3 days for weekly, 5 days for semi-monthly, 10 days for monthly.) The Event Settings window options are described below: Select Lead Time for Creation of a Payroll and Fee Event Default Lead Time for All Cycles This grid displays columns for Cycles and Lead Times in Days. The lead time can be based on payroll cycle (Examples: 3 days for weekly, 5 days for semi-monthly, 10 days for monthly.) Enter the number of days to use for all cycles. When you click Apply, the default value is copied to all cycles in the grid. November 2014 Schwab Retirement Technologies Page 101 of 133

102 SchARP Settings/Payroll Settings SchARP Payroll Settings include Financial Settings, Synoptic Settings, Payroll Monitoring, and Payroll Status Codes. SchARP Financial Settings Window The Financial Settings window is used to enable SchARP Payroll at the system level and select options for loan repayment, report detail, and file generation. The Financial Settings window options are described below: Enable Payroll Processing Loan Repayments Report Detail Select this check box to activate SchARP Payroll Processing. Process Deviations Select this check box to process deviant payments. If you are processing insurance premiums, attach a premium batch file and define a premium template in addition to the template for the batch file. Use Current Date Produce Add/Update Report This report shows all data from the batch file as well as any errors detected. Depending on the size of your batch file, this report can require more time to print. Produce Loan Repay Posting Map To produce a loan repay map for each loan repayment processed, select this check box. November 2014 Schwab Retirement Technologies Page 102 of 133

103 Generate Files Set As Of Date to Payroll Date Processed Records Select this check box to produce an output file confirming the records that were successfully processed. Error Records Confirms the records that contain errors due to invalid information. Selected by default. Bypassed Records Select this check box to produce an output file confirming the bypassed records due to not meeting the selection criteria. If this option is selected, the As of Date is updated to the payroll date during the Release process for the payroll transactions. If the payroll date is greater than the current process date, the As of Date will be set to the current process date. If this option is not selected (default), the As of Date is not updated to the payroll date during the Release process for the payroll transactions. The As of Date will be set to the current Process Date (current behavior). November 2014 Schwab Retirement Technologies Page 103 of 133

104 SchARP Synoptic Settings Window The Synoptic Settings window displays settings for participant status, deferrals, report detail, and file generation. The Synoptic Settings window options are described below: Participant Default Primary Status Select the participant s Primary Status within the plan. Status codes organize participants into logical groupings for processing, sorting, and allocations. Flip Name Order If participant names are currently stored by first name, and you want to reverse the order, select this check box. When importing synoptic records, it is recommended that you sort participant names by last name, first name, middle initial. This applies only to new participants being added. Add Unmatched Participants This field determines if a new participant record is automatically created for each Social Security number in the batch file that does not match a Social Security number currently in the system. November 2014 Schwab Retirement Technologies Page 104 of 133

105 Deferrals Report Detail Generate Files Unmatched Participant Threshold Warning Level Percent Black Out Period for Trading Enforce Total Maximum Deferral Percentage To block source deferral percentage updates that exceed the total deferral percentage requirements defined for the plan, select this check box. To receive a warning about percentage violations, but proceed with updates to the deferral percentages, clear the check box. Enforce Deferral Suspensions Select to enforce a plan rule that requires participants who stop contributing to the plan to be suspended. Before Recordkeeping can detect a contribution break, all deferral updates for all sources must be processed in the same ADT record. Produce Add/Update Report This report shows all data from the batch file as well as any errors detected. Depending on the size of your batch file, this report can require more time to print. Processed Records Select this check box to produce an output file confirming the records that were successfully processed. Error Records Confirms the records that contain errors due to invalid information. Selected by default. Bypassed Records Select this check box to produce an output file confirming the bypassed records due to not meeting the selection criteria. Unmatched participants determine if a new participant record is automatically created for each Social Security number in the batch file that does not match a Social Security number currently in the system. If the number of records for unmatched participants exceeds the percentage level entered in this field, a warning appears to the payroll processor. Allows you to determine the start and stop time for the exclusion on trading window for SchARP Payroll. This setting prevents payroll from moving to the Invest Payroll step in the workflow. This enhancement provides a system-level setting where you control the Alarm Clock settings used by the SchARP payroll process for all plans at the same time. At the beginning of the trading blackout period, processing of payroll trades will cease automatically. Likewise, once period ends, trading continues automatically as well. Times are expressed in military time (24 hour clock) with an Exclusion Start Time and Exclusion Stop Time. For information on Payroll Monitoring settings, see System-Level Payroll Monitoring Settings. November 2014 Schwab Retirement Technologies Page 105 of 133

106 Payroll Status Codes Window The Payroll Status Codes window allows you to select which status codes represent the participants who are automatically populated when you create a new payroll from scratch in SchARP. By default, all Status Codes are turned on, except 756/QDRO, 764/Management Account, and 765/Bene, which are turned off by default. There is no plan level override. Changes made to the screen are saved automatically. November 2014 Schwab Retirement Technologies Page 106 of 133

107 ADT Error Settings ADT Error Settings grids for Financial and Synoptic processing are located under Process Setup/ADT Error Settings on two separate Financial Settings and Synoptic Settings windows. Each contains a table of error messages with a check box to designate them as critical errors that would stop the payroll workflow from going to the next business activity and create a business exception. Noncritical errors prompt only a warning message. For processing, ADT uses these settings for reports, error messages, and runtime options as long as no settings are selected in C001/Plan Maintenance, which would override these system-level settings. ADT Financial Settings Window Messages Grid A grid containing all the financial or synoptic error messages will be displayed with a check box next to it for the user to select the critical error used for ADT. The first column of the grid contains the Error number assigned to the Error Message Text. The Messages display the critical messages in alphabetical order followed by the non-critical messages in alphabetical order. Numbers in the first column are NOT in numerical order. Error message check boxes that are selected as Critical cause a business exception if those errors occur. Check boxes left as non-critical (not selected) prompt only warning messages, but allow the system to continue processing. When you edit critical errors the display order does not change until you save the information. November 2014 Schwab Retirement Technologies Page 107 of 133

108 ADT Synoptic Settings Window November 2014 Schwab Retirement Technologies Page 108 of 133

109 Defining ADT Options From the SchARP Payroll window in C150/ADT, a SchARP Payroll Processor can assign different templates in ADT, defined by plan or division, to be processed for the payroll file, modify templates through Recordkeeping, and view template selections to ensure that all selections are correct: To assign templates to plans for SchARP Payroll Processing, do the following: 1. Select a Plan Group. List includes all Plan Groups and the ability to select All Paths. 2. Select All Plans (default) or an individual plan from the Plan field. All plans are available from the selected Plan Group as well as the ability to select All Plans. 3. Select a Cycle or you can select All cycles. 4. Select either Synoptic (default) or Financial as the Process Type. 5. Select Fixed (default) or Variable as the Template Type. 6. Select a Template based on the selected Process Type and Template Type. 7. Select Plans to Use Template for SchARP Payroll Processing contains a list of all plans and divisions for the selected Plan Group, Plan, and Cycle. Select the plans you want to assign to the selected template by selecting or clearing the check boxes as required. You can optionally select the Use as Default Template check box to make the template the default for the plan and division. 8. Click Save when your selections are complete. November 2014 Schwab Retirement Technologies Page 109 of 133

110 Defining Plan-Level Payroll Processing Options Plan Maintenance settings for Payroll Processing are illustrated and defined below. Settings can also be viewed in C071/Plan Inquiry. Payroll Cycles Tab Payroll cycles and divisions are defined on the Payroll Processing/Payroll Cycles tab. This tab displays a grid with columns displaying by Divisions, the Cycles, Start Dates, and Pay Dates. You can click the buttons below the grid to insert, edit, or delete divisions. Notes: The Payroll Cycles window also includes Payroll Monitoring settings for the division. For information on Payroll Monitoring options for plan divisions, see Plan-Level Payroll Monitoring Settings. Payroll by Division, which is required for SchARP Payroll, is enabled in C282/SQL System Maintenance>System Settings>Category 4 - General System Options. November 2014 Schwab Retirement Technologies Page 110 of 133

111 Inactivating Plan Divisions The Payroll Cycles tab (Payroll Processing window) provides options that allow you change a plan division from Active to Inactive. When the status of a division is changed to Inactive, it will be excluded from: SchARP Payroll event creation SchARP Payroll upload Division Code selection options ADT processing Plan Digest reporting Division Code selection options on the Identification window in Participant Maintenance & Inquiry Note: Inactive divisions will continue to be included in fee processing and other processes that use divisions. The following options are available on the Payroll Cycles tab: An Active option, turned on by default, that you can deselect to inactivate a division. A Show Inactive Divisions option, turned off by default, that you can use to display or suppress inactive divisions on the grid. When Show Inactive Divisions is off, only active divisions are shown in the grid. When Show Inactive Divisions is on, both active and inactive divisions are shown in the grid. November 2014 Schwab Retirement Technologies Page 111 of 133

112 To change the Active option, you must click Edit Division or Insert Division button to display the Division Settings dialog, where the Active option is available in edit mode. If you attempt to deactivate a division that is currently in use, the system will display the following message and deny the request: Division must stay active. The division is assigned to participant(s) in the plan. November 2014 Schwab Retirement Technologies Page 112 of 133

113 Payroll Processing Settings Tab The Payroll Processing Settings tab allows you to enable SchARP Payroll at the plan level and select the workflow template options and active sources for the plan. You can also use this widow to define Calculate Match and Non-Elective Allocation settings November 2014 Schwab Retirement Technologies Page 113 of 133

114 Payroll Processing Settings are described below: Enable SchARP Payroll Processing Workflow Selection Select Active Sources Use System Settings for Tax Codes Select the check box to activate payroll processing at the plan level. By default the check box is not selected. All SchARP payrolls use the Census and Payroll Validation workflow. You can choose to add a required manual approval step by selecting Approval Required. (See note below) The option Stop Payroll Validation for Critical Errors Only gives you the ability to control when the payroll validation process stops, allowing you to make the necessary corrections before the payroll file is submitted. If not selected (default), payroll validation stops for both critical errors and warnings. If selected, payroll validation stops only for critical errors but not for warnings. To add the Generate Trades Orders business activity to the workflow, select Generate Trade Orders. Allows you to select from sources in the plan that are available for use in the SchARP Payroll Process. Use the Clear All or Select All buttons to facilitate the selection process. By default, this option is selected, disabling the Tax Code Settings tab and using Tax codes defined by the System Settings in RK SQL System Maintenance/C282. If you clear the Use System Settings for Tax Codes option, the Tax Code Settings tab is enabled, allowing you to define Tax Codes at a plan/source level. Note on System Level Tax Codes: The system level Tax Code definitions are defined in RK SQL System Maintenance/C282 (System Settings/Category 4 General System Options). Tax Code definitions in Plan Maintenance will default to these settings unless they are changed for individual plans/sources. ADT and SchARP Payroll will default to the codes defined at either the plan or system level. November 2014 Schwab Retirement Technologies Page 114 of 133

115 Calculate Match/ Non-Elective Allocation Settings Select one or more of the following options to enable the corresponding functionality for pending SchARP Payrolls. Calculate Match for Deferral Calculate Non-Elective Allocation Create Match Comparison Report (Not available when the Calculate Match for Deferral option is selected.) The following options are Plan-level defaults for Matching Contributions (Pending)/ Notice of Deposit (NOD) by Plan Division (Pending)/C047. These settings are also be used by SchARP Payroll. Source to use for Non-Elective Allocation (Available only when the Calculate Non-Elective Allocation option is selected) Non-Elective Percentage (Available only when the Calculate Non-Elective Allocation option is selected) Salary Cap Allocation Method--Salary or Deduction Percentage (Available only when the Calculate Match for Deferral option is selected.) Note: The Match formula and Allocation formula are defined at a source level. Warning Message If you do not include the approval step for a plan that uses a TDI link with the value Do Not Match, Export Trades in the Payroll Match Funding Behavior field, the following warning appears: Warning - TDI link <link id> is set to Do Not Match, Export Trades. Selecting a workflow without Approval could cause unfunded Orders to be exported. If you receive this warning, we recommend that you change your plan setting to include the approval step. November 2014 Schwab Retirement Technologies Page 115 of 133

116 Template Settings Tab You can use the Payroll Processing/Template Settings tab to select financial and synoptic templates for a payroll division. Template Settings are described below: Division Cycle Financial Templates and Synoptic Templates This field lists all divisions for the selected plan. Once you select a division other fields on the page are populated with template information for viewing The cycle code is the code assigned to the division on the Payroll Cycles tab. Financial Templates and Synoptic Templates available for payroll processing appear in alphabetical order in the two boxes (default templates are preceded by an *.) Fixed templates are listed first and display an F and variable templates display a V. November 2014 Schwab Retirement Technologies Page 116 of 133

117 If you click the Select Payroll Templates button, the Set Templates for Payroll Processing window appears. When the window first appears it displays information based on the default Division and Financial Process Type. The Set Templates for Payroll Processing options are described below: Division Code Process Type Fixed Template Type/ Variable Template Type/ Templates Available Templates Used for Payroll Processing Save You can select a Division Code to update from this field. The division code defaults to the division code selected from the Template Settings tab. You can select Financial (default) or Synoptic to view available templates by process type. List box contains all templates that are available in ADT for the selected Process type and template type - except for templates that have been selected to be used for payroll processing. Templates display in alphabetical order. Check list boxes contain templates selected for payroll processing. Selected check boxes designate default templates. This button saves the information to the database and is available only if data on this window is modified. November 2014 Schwab Retirement Technologies Page 117 of 133

118 Undo Changes Copy to Other Divisions This button resets all fields to the values last saved for that division code. Available only if data on this window is modified. This button lets you copy data to the other divisions. Available if the data fields on this window have not been modified or have been saved. (See window below). The Copy to Other Divisions button displays the following window: The Copy Template options are described below: (Template Type) (Division Code) To Divisions OK Cancel The title bar at the top of the window includes the process type of the templates to be copied to the other divisions (Financial or Synoptic). The label following the title bar identifies the Division Code selected on the previous dialog. The To Divisions list contains all divisions for the plan except for the one displayed on the top label. You can select one or more of these divisions for copying template information. When you click OK the template information from the selected Division and process type is copied to the selected Divisions and information is saved to the database. Cancel closes the dialog without making any changes. November 2014 Schwab Retirement Technologies Page 118 of 133

119 Parameter Settings Tab The Parameter Settings tab lets you define Financial and Synoptic parameters for the selected plan. As an alternative, you can elect to use system-level settings defined in C282/RK SQL System Maintenance>SchARP Settings>Payroll Processing. Parameter Settings are described below: Financial Settings Synoptic Settings If the Use System Level Settings check box is selected (default), all other options in the Financial Settings group are unavailable and the plan will use the settings in C282/RK SQL System Maintenance. If this option is not selected, you can set one or more of the following check box options under the Financial Settings group: - Process Deviations - Produce Add/Update Report - Produce Loan Repay Posting Map If the Use System Level Settings check box is selected (default), all other options in the Synoptic Settings group are unavailable and the plan will use the settings in C282/RK SQL System Maintenance. If this option is not selected you can set one or more of the other check box options under the Synoptic Settings group. The Default Primary Status field allows selection of a default primary status code for a participant. The Flip Name Order and Add Unmatched Participants check box options apply to the Primary Status selected. Other plan-level options: - Deferrals/Enforce Total Maximum Deferral Percentage - Deferrals/Enforce Deferral Suspensions - Report Detail/Produce Add/Update Report November 2014 Schwab Retirement Technologies Page 119 of 133

120 Notice of Deposit Settings Tab You can use NOD options in Plan Maintenance/C001 to do the following: Establish multiple NOD accounts at a plan and division level. Automatically create the NOD file during the processing of plan payrolls. Select NOD Approval Settings Select default NOD settings at a plan level. For details on Notice of Deposit functionality, refer to SchARP Payroll Funding Request and Notice of Deposit (NOD) User Guide, available from the Resource Center at SchwabRT.com. November 2014 Schwab Retirement Technologies Page 120 of 133

121 Tax Code Settings Tab You can use the Tax Code Settings page, shown below, to define Receipt, Purchase, Sales, and Disbursement Tax Codes for the selected Source. Note: To enable the Tax Codes Settings tab, you must clear the option on the Payroll Processing Setting tab. Otherwise, the Tax Codes defined in RK SQL System Maintenance/C282 (System Settings/Category 4 General System Options) will be used and the plan level settings, shown below, will be unavailable. Note: Source tax codes default to the appropriate system level tax codes based on source tax type. Tax Types 171 to 175 defaults to Company Contrib Tax Code. Tax Types 176 to 180 defaults to Match Contrib Tax Code. Tax Types 161 to 170 defaults to Post Tax Contrib Tax Code. Tax Types 150 to 160 defaults to Pre Tax Contrib Tax Code. Rollover Source Indicator is YES defaults to Rollover Contrib Tax Code. November 2014 Schwab Retirement Technologies Page 121 of 133

122 Plan Digest Plan Digest/CP07 displays a list of templates attached to the plan and indicates which templates are set up as defaults in Plan Maintenance. The report is updated to include payroll information when you choose to print the options in the Select Report Options window. Activity Tracking Activity Tracking/C076 tracks the following: Attachment of templates to a Plan/Division Changes to edit message default settings in C282/RK SQL System Maintenance Changes to payroll processing system settings in C282/RK SQL System Maintenance All plan-level changes made in C001/Plan Maintenance, including Plan Maintenance check box options associated with payroll processing. November 2014 Schwab Retirement Technologies Page 122 of 133

123 Defining TDI Maintenance Options These following TDI settings allow you to define payroll match funding behavior at the trading link level and at the plan level. Note: For information on TDI options for the Past Due Funding Report, see Past Due Funding Report (TDI Maintenance/C046) in the Payroll Monitoring chapter. TDI Maintenance, Setting Link-Level Funding Behavior The Maintain Links window in TDI Maintenance includes a Payroll Match Funding Behavior field that you use can use to indicate whether or not a TDI link will allow orders generated during SchARP payroll processing to be held until the orders are funded before being exported. The field defaults to Do Not Match, Export Trades, which reflects the behavior of the module if you are using a workflow template that requires approval. Following approval, orders and batches are generated and exported without attempting to match orders with funding. If you select one of the Auto-Match options, orders are not sent on the Trade Export file until it is determined that the funding is available. Funding is determined automatically or manually in SchARP by using the intra-day cash activity files. The only difference between the two Auto-Match options is that one requires user review of matches before export and the other does not. Maintain Links, Grid View November 2014 Schwab Retirement Technologies Page 123 of 133

124 The Payroll Match Funding Behavior options are defined below: Do Not Match, Export Trades Auto-Match The system defaults to this option, which follows current TDI behavior if you are using a workflow template with an approval step (recommended). Orders are flagged Ready Send, Match with Funding not required and sent via TDI Export file. Select one of the Auto-Match options to wait until orders generated during SchARP payroll processing are funded before exporting them. With Auto- Match options, SchARP payroll does not require approval before orders are generated. The orders are flagged Pending - Waiting for Funding and not exported until it is determined that the funding is available, based on the cash activity files. Once the funding is matched to a payroll, the orders are flagged Ready Send, Auto-Matched with Funding (or Ready Send, Manually Matched with Funding ) and sent on the appropriate TDI Export Trade file. Auto-Match, Review Matching on Trades Select this option to require user review of any orders that are auto-matched by the system before export. Auto-matches are reviewed via the Payroll Event History page. Auto-Match, Export Matched Trades Select this option to export matched trades without requiring user review before export. Note: Only SchARP users with the PayrollMatcher role can manually fund payrolls using options on the Payroll Event History page. Warning Message If the Do Not Match, Export Trades funding behavior is selected, and there is a plan linked to the TDI setting that is using a payroll workflow without the approval step, the following warning appears: Warning Changing the TDI link <link id> to Do Not Match, Export Trades may cause the following plans to export Orders that are not funded. These plans process payrolls with a workflow without Approval step <list plan id, plan name>. If you receive this warning, we recommend that you change the plan to use a payroll workflow that includes the approval step. November 2014 Schwab Retirement Technologies Page 124 of 133

125 The same Payroll Match Funding Behavior options are available from the edit view of the Maintain Links page, shown below. You can access this window by clicking Maintain Link or by double-clicking on a row of the grid. Maintain Links, Edit View November 2014 Schwab Retirement Technologies Page 125 of 133

126 TDI Maintenance, Setting Plan-Level Funding Behavior Once the Auto-Match Payroll funding behavior is defined at the link level and saved on the Maintain Links window, you can use the Maintain Records window to turn the setting on and off for individual plans. The plan level option is available for selection only if one of the Auto-Match options is set for the link. The option is disabled if the funding behavior option is set to Do Not Match, Export Trades. The plan-level funding match setting is shown below. Warning Message If you clear the plan-level Do Payroll Match Funding option, and the plan is using a payroll workflow without the approval step, the following warning appears: Warning This plan processes payrolls using a workflow without Approval step. Turning off Match Funding for the plan may allow Orders to be exported that are not funded. If you receive this warning, we recommend that you change the plan to use a payroll workflow that includes the approval step. November 2014 Schwab Retirement Technologies Page 126 of 133

127 The same plan-level Payroll Match Funding option can be set for multiple plans on the View Records window, shown below, which displays plan/link information based on specified search criteria. For example, you could search for all plans that use Link 40 and then set the Payroll Match Funding option for individual plans or for all plans by right-clicking and selecting Check All. If the Payroll Match Funding option is selected here, the current Auto-Match setting defined at the link level will be used for that plan. November 2014 Schwab Retirement Technologies Page 127 of 133

128 Defining Order File Maintenance, Search Options Order File Maintenance/C110 provides options that you can use to search, view, and maintain order records based on order processing status, funding status, and related variables. The options allow the Recordkeeper or SchARP user to determine whether orders have been funded for a payroll, and to easily locate all orders for the same payroll. Search Criteria November 2014 Schwab Retirement Technologies Page 128 of 133

129 The highlighted Search Criteria fields are defined below: Order Processing Status Order Funding Status (payroll) Link ID The current status or the selected order. Available options: All Not Sent Sent but not Received Received but not Settled Settle but not Released Released The current funding status of the order in SchARP Payroll. Available Options: Pending, Waiting for Funding Ready Send, Match with Funding Not Required Ready Send, Auto Matched with Funding Ready Send, Manually Matched with Funding A listing of all Trade Links or, if a plan is selected, only the links with a trade relationship with the plan. If a Link ID is selected, then all orders whose plan is attached to the selected link are returned in the search. November 2014 Schwab Retirement Technologies Page 129 of 133

130 Maintain Records Note: The Funding Match Status and Funding Date fields are disabled and cannot be used for payrolls uploaded after March 23, 2010; however, the fields will remain active for the life cycle of any payrolls uploaded prior to March 23, In a future release, after all Phase 1 payrolls are completed, these fields will be removed. Field Definitions The highlighted Maintain Records fields are defined below: Funding Match Status Funding Date The current funding status of the order in SchARP Payroll. Available Options: Pending, Waiting for Funding Ready Send, Match with Funding Not Required Ready Send, Auto Matched with Funding Ready Send, Manually Matched with Funding The date when the payroll order was funded. Plan/Link Acct Field 1 The Plan ID and Account Number, as defined in Account Field 1 in TDI Maintenance. SchARP Workflow ID The ID of the SchARP workflow used for Payroll Processing. November 2014 Schwab Retirement Technologies Page 130 of 133

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