Universal Recordkeeper Input Files

Confirmed Recordkeepers

• AdvisorTrust, Inc.
• John Hancock Enterprise
• Lincoln Financial
• Human Interest

Data Requirements

To get a full set of recordkeeper workpapers, we require 4-5 input reports. If you don't have all of these, that's ok--we will still generate the workpapers we are able to with the data we've received.

Note: Make sure that all required columns are mapped for each input report. If a required column is missing, create a "place holder" column to get the file validated.

The 5 sets of input reports include:

• Account Activity
  • Columns required to be mapped: 
    • Participant Name (Full Name or First Name + Last Name)
    • Participant Identifier (Protected SSN preferred or Employee ID)
    • Beginning Balance Amount
    • Ending Balance Amount
    • Money Source
  • Workpapers generated: Contribution Allocation, Rollovers, Participant Activity Detail, Plan Analytics, Trial Balance
• Contributions
  • Columns required to be mapped: 
    • Date Received By Plan
    • Money Source
    • Payroll Date
  • Workpapers generated: Contribution Timeliness

• Distributions
  • Columns required to be mapped: 
    • Participant Name (Full Name or First Name + Last Name)
    • Participant Identifier (Protected SSN preferred or Employee ID)
    • Distribution Date
    • Distribution Type
    • Gross Distribution
  • Workpapers generated: Distribution Package

• Loans
  • Columns required to be mapped: 
    • Participant Name (Full Name or First Name + Last Name)
    • Participant Identifier (Protected SSN preferred or Employee ID)
    • Ending Loan Balance
    • Loan Number
    • Original Loan Date
  • Workpapers generated: Loan Package

• Investments (note: Investments may be included with Account Activity)
  • Columns required to be mapped: 
    • Participant Name (Full Name or First Name + Last Name)
    • Participant Identifier (Protected SSN preferred or Employee ID)
    • Beginning Balance Amount
    • Ending Balance Amount
    • Investment Identifier
  • Workpapers generated: Investment Disclosure, Investment Income Allocation, PAD (By Investment Tab)
  • Note: If investment data is provided in the Account Activity file, above workpapers will still be generated.
    
    

Summary Table