Documentation, membership and meeting minutes from various Insurance & Retirement Services' Working Groups

I&RS Review Board Meeting Minutes

Subject Description Type Date

March 3, 2020 - Meeting Minutes
March 3, 2020 - Meeting Minutes
.pdf
Mar 20, 2020

February 4, 2020 - Meeting Minutes
February 4, 2020 - Meeting Minutes
.pdf
Feb 04, 2020

2019 Minutes
2019 Minutes
ZIP Archive .zip
Jan 24, 2020

January 7, 2020 - Meeting Minutes
January 7, 2020 - Meeting Minutes
.pdf
Jan 23, 2020

2018 Minutes
2018 Minutes
ZIP Archive .zip
Mar 15, 2019

2017 Minutes
2017 Minutes
ZIP Archive .zip
Mar 12, 2018

2015 Minutes
2015 Minutes
ZIP Archive .zip
Jun 27, 2017

2016 Minutes
2016 Minutes
ZIP Archive .zip
Jun 27, 2017

2014 Minutes
2014 Minutes
ZIP Archive .zip
Jan 12, 2015

2013 Minutes
2013 Minutes
ZIP Archive .zip
Dec 31, 2013

2012 Minutes
2012 Minutes
ZIP Archive .zip
Dec 06, 2012

2011 Minutes
2011 Minutes
ZIP Archive .zip
Dec 12, 2010

2010 Minutes
2010 Minutes
ZIP Archive .zip
Apr 16, 2010

2009 Minutes
2009 Minutes
ZIP Archive .zip
Mar 02, 2009

2008 Minutes
2008 Minutes
ZIP Archive .zip
Mar 12, 2008

2007 Minutes
2007 Minutes
ZIP Archive .zip
Jan 04, 2007

2006 Minutes
2006 Minutes
ZIP Archive .zip
Jan 03, 2006

Department of Labor Fiduciary Rule Work Task Force

Subject Description Type Date

Commission Schedule Transmittal (CST) Record Layouts
Commission Schedule Transmittal (CST) Record Layouts
Acrobat .pdf
Mar 14, 2017

CST Export Sample
CST Export Sample
Acrobat .pdf
Feb 23, 2017

Insurance Profile CST Export Specifications
Insurance Profile CST Export Specifications
Acrobat .pdf
Feb 23, 2017

Fee & Expense Transmittal (FET) Data Dictionary
Fee & Expense Transmittal (FET) Data Dictionary
Acrobat .pdf
Feb 21, 2017

Insurance Profile Implementation Guide
Insurance Profile Implementation Guide
.docx
Feb 21, 2017

DOL Product Fee Inventory - Industry Level - June 2016
DOL Product Fee Inventory - Industry Level - June 2016
Acrobat .pdf
Oct 31, 2016

DTCC DOL Fiduciary Rule Concept Paper
DTCC DOL Fiduciary Rule Concept Paper
Acrobat .pdf
Oct 31, 2016

Insurance Profile - Design & Requirements - June 2016
Insurance Profile - Design & Requirements - June 2016
Acrobat .pdf
Oct 31, 2016

Insurance Profile - User Interface Screen Design - October 2016
Insurance Profile - User Interface Screen Design - October 2016
Acrobat .pdf
Oct 31, 2016

I&RS DOL Fiduciary Rule Task Force Overview
I&RS DOL Fiduciary Rule Task Force Overview
Acrobat .pdf
Oct 31, 2016

Insurance Profile Implementation Roadmap
Insurance Profile Implementation Roadmap
Acrobat .pdf
Oct 31, 2016

Replacement Money Settlement

Subject Description Type Date

LOA Form
Sample Letter of Acceptance (LOA) Form
Acrobat .pdf
Dec 09, 2015

STL Record Layout
Enhance Settlement for Insurance to include replacement settlement.
Excel (.xls)
Dec 03, 2014

Carrier processing questions and responses
Review of carrier processing for replacement settlement
Acrobat .pdf
Dec 02, 2014

MSD Record Layout
Enhance Money Settlement Detail to include replacement
settlement.
Acrobat .pdf
Nov 14, 2014

Replacement Money Settlement Requirements
Replacement Money Settlement Requirements
Acrobat .pdf
Jun 19, 2014

Carrier Business Case Analysis
Documentation Supporting Carrier Business Case
Acrobat .pdf
May 23, 2014

Replacements Working Group

Subject Description Type Date

Pilot Group Meeting Minutes
2006 Meeting Minutes
.zip
Dec 06, 2013

Pilot Group Meeting Minutes
2007 Meeting Minutes
.zip
Dec 06, 2013

Pilot Group Meeting Minutes
2008 Meeting Minutes
.zip
Dec 06, 2013

Pilot Group Meeting Minutes
2009 Meeting Minutes
.zip
Dec 06, 2013

Pilot Group Meeting Minutes
2010 Meeting Minutes
.zip
Dec 06, 2013

Replacements Documents for Participants
Best Practice - Delivering Carrier Business Edit Rejection
.Acrobat .pdf
Dec 06, 2013

Replacements Documents for Participants
Best Practice – Requirement Status and Sub Status
Acrobat .pdf
Dec 06, 2013

Replacements Documents for Participants
DTCC Replacement Participants - Ceding Carrier Information
.xls
Dec 06, 2013

Replacements Documents for Participants
DTCC Replacement Pilot Discussion Topics
.xls
Dec 06, 2013

Replacements Documents for Participants
IPS Pilot Enhancement Request Form
.doc
Dec 06, 2013

Replacements Documents for Participants
Replacement Processing Message Flow Diagram
.doc
Dec 06, 2013

Replacements Documents for Participants
Replacement Process - Transmitted to Incorrect Carrier
.doc
Dec 06, 2013

Replacements Documents for Participants
Replacement Sample Messages
.zip
Dec 06, 2013

Replacements Documents for Participants
Replacements Pilot Group Progression
.pdf
Dec 06, 2013

Replacements Documents for Participants
Replacements Use Cases
.zip
Dec 06, 2013

Replacements Documents for Participants
Requirement Information Message Choreography
Acrobat .pdf
Dec 06, 2013

Replacements Documents for Participants
White Paper
Acrobat .pdf
Dec 06, 2013

Retirement Plans Standardization Working Group

Subject Description Type Date

PRP Draft Record Layouts
PRP Draft Record Layouts
Excel .xls
Nov 14, 2014

COM Data Requirements
COM Data Requirements
MS Excel, .xlsx
Jul 25, 2014

COM Draft Record Layouts
COM Draft Record Layouts
MS Excel, .xlsx
Jul 25, 2014

FAR Data Requirements
FAR Data Requirements
MS Excel, .xlsx
Jul 25, 2014

FAR Draft Record Layouts
FAR Draft Record Layouts
MS Excel, .xlsx
Jul 25, 2014

PRP Draft Implementation Guide
PRP Draft Implementation Guide
Word .doc
Jul 25, 2014

Meeting Minutes - 2014
Meeting Minutes - 2014
.zip
Jul 16, 2014

Overview
Retirement Plan Advisory Group Overview
MS Powerpoint, .pptx
Feb 06, 2014

Proposed Data Requirements
Retirement Plans Data Requirements Proposed
MS Excel, .xlsx
Feb 06, 2014

White Paper
Improving the Retirement Plans Business with Technology & Standardization
MS Word, .docx
Feb 06, 2014

Service Feature Working Group

Subject Description Type Date

July 9, 2014 Meeting Minutes
July 9, 2014 Meeting Minutes (177KB)
Acrobat .pdf
Jul 11, 2014

July 2, 2014 Meeting Minutes
July 2, 2014 Meeting Minutes (170KB)
Acrobat .pdf
Jul 07, 2014

June 11, 2014 Meeting Minutes
June 11, 2014 Meeting Minutes (76.4KB)
Acrobat .pdf
Jun 13, 2014

June 4, 2014 Meeting Minutes
June 4, 2014 Meeting Minutes (144KB)
Acrobat .pdf
Jun 09, 2014

March 26, 2014 Meeting Minutes
March 26, 2014 Meeting Minutes (70KB)
Acrobat .pdf
Mar 31, 2014

Service Feature Working Group Examples
Service Feature Working Group Examples (20KB)
MS-Excel .xlsx
Mar 31, 2014

March 19 2014 Meeting Minutes
March 19 2014 Meeting Minutes (121KB)
Acrobat .pdf
Mar 21, 2014

March 5, 2014 Meeting Minutes
March 5, 2014 Meeting Minutes (116KB)
Acrobat .pdf
Mar 06, 2014

January 22, 2014 Meeting Minutes
January 22, 2014 Meeting Minutes (108KB)
Acrobat .pdf
Jan 22, 2014

January 15, 2014 Meeting Minutes
January 15, 2014 Meeting Minutes (97.0KB)
Acrobat .pdf
Jan 15, 2014

January 8, 2014 Meeting Minutes
January 8, 2014 Meeting Minutes (89.4KB)
Acrobat .pdf
Jan 08, 2014

December 18, 2013 Meeting Minutes
December 18, 2013 Meeting Minutes (81.1KB)
Acrobat .pdf
Dec 18, 2013

June 18, 2014 Meeting Minutes
June 18, 2014 Meeting Minutes (167 KB)
Acrobat .pdf
Dec 18, 2013

December 11, 2013 Meeting Minutes
December 11, 2013 Meeting Minutes (77KB)
Acrobat .pdf
Dec 11, 2013

November 20, 2013 Meeting Minutes
November 20, 2013 Meeting Minutes (67KB)
Acrocat .pdf
Nov 20, 2013

November 6, 2013 Meeting Minutes
November 6, 2013 Meeting Minutes (67KB)
Acrobat .pdf
Nov 06, 2013

L&A Automation Work Group

Subject Description Type Date

L&A Automation Work Group Participant List
L&A Automation Work Group Participant List
MS-Excel .xls
Dec 05, 2013

Income Products Working Group

Subject Description Type Date

RIIA Income Value Q&A
RIIA Income Value Q&A
Acrobat .pdf
Dec 05, 2013

April 17, 2013
April 17, 2013
Acrobat .pdf
Dec 05, 2013

May 3, 2013
May 3, 2013
Acrobat .pdf
Dec 05, 2013

Broker Dealer of Record Change Work Group

Subject Description Type Date

BD Change - Ceding BD Contract Information Template
BD Change - Ceding BD Contract Information Template
MS-Excel .xls
Dec 05, 2013

BD Change - Confirm Data Records and Fields
BD Change - Confirm Data Records and Fields
Acrobat .pdf
Dec 05, 2013

BD Change - Confirm Reject Reason Codes
BD Change - Confirm Reject Reason Codes
MS-Excel .xls
Dec 05, 2013

BD Change – Data Entry Fields
BD Change – Data Entry Fields
Acrobat .pdf
Dec 05, 2013

Best Practice for Transfer Initiation Form
Best Practice for Transfer Initiation Form
Acrobat .pdf
Dec 05, 2013

OMR Paperwork Agreement
OMR Paperwork Agreement
Acrobat .pdf
Dec 05, 2013

Project Scope and Process Flow
Project Scope and Process Flow
Acrobat .pdf
Dec 05, 2013

Topics Reviewed
Topics Reviewed
Acrobat .pdf
Dec 05, 2013

Non-Public Information (NPI) Working Group

Subject Description Type Date

August 9, 2012
August 9, 2012
Acrobat .pdf
Dec 05, 2013

January 17, 2013
January 17, 2013
Acrobat .pdf
Dec 05, 2013

October 18, 2012
October 18, 2012
Acrobat .pdf
Dec 05, 2013

September 20, 2012
September 20, 2012
Acrobat .pdf
Dec 05, 2013

Index Products Working Group

Subject Description Type Date

June 7, 2012
June 7, 2012
Acrobat .pdf
Dec 05, 2013

May 10, 2012
May 10, 2012
Acrobat .pdf
Dec 05, 2013

May 24, 2012
May 24, 2012
Acrobat .pdf
Dec 05, 2013

Supporting Documentation - Standard Usage - Index Products - June 7, 2012
Supporting Documentation - Standard Usage - Index Products - June 7, 2012
.xlsx
Dec 05, 2013

Pension Working Group

Subject Description Type Date

Meeting Minutes - April 12, 2012
Pension Working Group Meeting Minutes - April 12, 2012
Acrobat .pdf
Dec 05, 2013

Meeting Minutes - April 19, 2012
Pension Working Group Meeting Minutes - April 19, 2012
Acrobat .pdf
Dec 05, 2013

Meeting Minutes - April 5, 2012
Pension Working Group Meeting Minutes - April 5, 2012 (Distributor Only)
Acrobat .pdf
Dec 05, 2013

Meeting Minutes - January 31, 2012
Pension Working Group Meeting Minutes - January 31, 2012
Acrobat .pdf
Dec 05, 2013

Meeting Minutes - March 15, 2012
Pension Working Group Meeting Minutes - March 15, 2012 (Distributor Only)
Acrobat .pdf
Dec 05, 2013

Meeting Minutes - March 29, 2012
Pension Working Group Meeting Minutes - March 29, 2012 (Distributor Only)
Acrobat .pdf
Dec 05, 2013

Meeting Minutes - March 8, 2012
Pension Working Group Meeting Minutes - March 8, 2012 (Distributor Only)
Acrobat .pdf
Dec 05, 2013

Producer Management Portal Pilot Group

Subject Description Type Date

Producer Management Portal B2B Schemas
Miscellaneous Documents - Producer Management Portal B2B Schemas
.mht
Dec 06, 2013

Producer Management Portal Business & Functional Overview
Miscellaneous Documents - Producer Management Portal Business & Functional Overview
Acrobat .pdf
Dec 06, 2013

Producer Management Portal Data Directory
Miscellaneous Documents - Producer Management Portal Data Directory
.xls
Dec 06, 2013

Producer Management Portal Design
Miscellaneous Documents - Producer Management Portal Design
Acrobat .pdf
Dec 06, 2013

Producer Management Portal LNA Record Layouts
Miscellaneous Documents - Producer Management Portal LNA Record Layouts
.xls
Dec 06, 2013

Producer Management Portal Use Cases
Miscellaneous Documents - Producer Management Portal Use Cases
Acrobat .pdf
Dec 06, 2013

Producer Management Portal WDSL
Miscellaneous Documents - Producer Management Portal WDSL
.wsdl
Dec 06, 2013

Producer Training Pre Paid Program
Miscellaneous Documents - Producer Training Pre Paid Program
Acrobat .pdf
Dec 06, 2013

Producer Training Pilot Minutes
Pilot Meeting Minutes - Producer Training Pilot Minutes
Acrobat .pdf
Dec 05, 2013

Producer Management Data Flow
Process and Data Flows - Producer Management Data Flow
Acrobat .pdf
Dec 05, 2013

Producer Training Authorization Flow
Process and Data Flows - Producer Training Authorization Flow
Acrobat .pdf
Dec 05, 2013

Producer Training Population Flow
Process and Data Flows - Producer Training Population Flow
Acrobat .pdf
Dec 05, 2013

Life Insurance Working Group

Subject Description Type Date

2011 Conference Call Minutes
2011 Meeting Minutes: Conference Call Minutes
.zip
Dec 06, 2013

2012 Conference Call Minutes
2012 Meeting Minutes: Conference Call Minutes
.zip
Dec 06, 2013

FAR Layouts - Life Insurance
Documents: FAR Layouts - Life Insurance
.xls
Dec 06, 2013

Life Insurance Issues Log
Documents: Life Insurance Issues Log
.xls
Dec 06, 2013

Inforce Transactions Expansion Project

Subject Description Type Date

Inforce Transactions Web Services Message Data Dictionary
Inforce Transactions Web Services Message Data Dictionary (158KB)
MS-Excel .xlsx
Apr 15, 2014

Inforce Transactions WSDLs and Schemas
Inforce Transactions WSDLs and Schemas (59.6KB)
.zip
Apr 09, 2014

Account Level Changes
IFT Draft Record Layouts
.xls
Dec 06, 2013

Inforce Transactions
Inforce Transactions Web Services Connectivity Guide
Acrobat .pdf
Dec 06, 2013

Inforce Transactions
Inforce Transactions Web Services Implementation Guide
Acrobat .pdf
Dec 06, 2013

Inforce Transactions
Inforce Transactions Web Services Technical Reference Guide
.Acrobat .pdf
Dec 06, 2013

POV Enhancements
POV Draft Record Layouts
.xls
Dec 06, 2013

Settlement Transactions
Settlement Implementation Guide
Acrobat .pdf
Dec 06, 2013

Settlement Transactions
Settlement Record Layout
.xls
Dec 06, 2013

Attachments/Attachments Access Working Group

Subject Description Type Date

2011 Meeting Minutes
Conference Call Minutes
.zip
Dec 06, 2013

Documents
Attachments Access Issues Log
.xls
Dec 06, 2013

Payment Exchange Working Group

Subject Description Type Date

2010 Meeting Minutes
Conference Call Minutes
.zip
Dec 06, 2013

2011 Meeting Minutes
Conference Call Minutes
.zip
Dec 06, 2013

Documents
Payment Exchange: 3 Day Flow
.doc
Dec 06, 2013

Documents
Payment Exchange: APP then Funding on Day 4
Acrobat .pdf
Dec 06, 2013

Documents
Payment Exchange Issues Log
.xlsx
Dec 06, 2013

Documents
Payment Exchange Settlement Options
.doc
Dec 06, 2013

Settlement Transaction Processing Working Group

Subject Description Type Date

Settlement Implementation Guide
Settlement Implementation Guide
Acrobat .pdf
Apr 28, 2014

Documents
Money Settlement Summary: expanded for STL
Acrobat .pdf
Dec 06, 2013

Documents
Settlement Record Layout
.xls
Dec 06, 2013

Documents
Settlement Transaction Data Elements
.xls
Dec 06, 2013

Documents
Settlement Transaction Processing: Money Settlement Detail
Acrobat .pdf
Dec 06, 2013

Documents
Settlement Transaction Processing - Settlement Types and definitions
Acrobat .pdf
Dec 06, 2013

Meeting Minutes
Conference Call
.zip
Dec 06, 2013

Documents
Settlement Processing - Payment Type Acceptable
Acrobat .pdf
Dec 06, 2013

Documents
Settlement Transaction Data Elements - Proposed
.xls
Dec 06, 2013

Documents
Settlement Transaction Processing: Settlement Type Flows
.doc
Dec 06, 2013

Use Case Scenarios
Use Case 1 – File processed successfully
Acrobat .pdf
Dec 06, 2013

Use Case Scenarios
Use Case 2 - File rejected
Acrobat .pdf
Dec 06, 2013

Use Case Scenarios
Use Case 3 – Individual Transaction Rejected
Acrobat .pdf
Dec 06, 2013

Use Case Scenarios
Use Case 4 – File processed successfully – after processing cutoff time
Acrobat .pdf
Dec 06, 2013

403(b) Information Sharing Working Group

Subject Description Type Date

Documents
Concept Paper
Acrobat .pdf
Dec 13, 2013

Documents
Client User Guide
Acrobat .pdf
Dec 06, 2013

Interest Rate Disclosure Working Group

Subject Description Type Date

Interest Rate Disclosure Documents for Participants
Interest Rate Disclosure Date Requirements Matrix
.xls
Dec 06, 2013

Interest Rate Disclosure Documents for Participants
Interest Rate Disclosure Result Info Code List
Acrobat .pdf
Dec 06, 2013

Interest Rate Disclosure Working Group Meeting Minutes
2009 Meeting Minutes
.zip
Dec 06, 2013

Interest Rate Disclosure Documents for Participants
Interest Rate Sheet - Wachovia Sample
Acrobat .pdf
Dec 06, 2013

Pre-Replacements Working Group

Subject Description Type Date

Conference Call Minutes
Conference Call Minutes
Acrobat .pdf
Dec 06, 2013

Pre-Replacements White Paper
Pre-Replacements White Paper
.doc
Dec 06, 2013

IFT Fund Transfers Advisory Group

Subject Description Type Date

Current Fund Transfer Requirement Documents
DTCC Fund Transfers Schemas
.zip
Dec 06, 2013

Current Fund Transfer Requirement Documents
Fund Transfer Industry Recommendation Paper
.doc
Dec 06, 2013

Current Fund Transfer Requirement Documents
Fund Transfers Use Cases
.doc
Dec 06, 2013

Current Fund Transfer Requirement Documents
Fund Transfers XML Samples
Acrobat .pdf
Dec 06, 2013

Current Fund Transfer Requirement Documents
Fund Transfer UML Diagrams
Acrobat .pdf
Dec 06, 2013

Current Fund Transfer Requirement Documents
Sample Fund Transfers Selling Agreement Addendum - Long Version
Acrobat .pdf
Dec 06, 2013

Current Fund Transfer Requirement Documents
Sample Fund Transfers Selling Agreement Addendum - Short Version
acrobat .pdf
Dec 06, 2013

Meeting Minutes
2006 Pilot Group Minutes
.zip
Dec 06, 2013

Meeting Minutes
2007 Business Advisory Group Minute
.zip
Dec 06, 2013

Meeting Minutes
2007 Pilot Group Minutes
.zip
Dec 06, 2013

Meeting Minutes
2008 Pilot Group Minutes
.zip
Dec 06, 2013

Meeting Minutes
2009 Pilot Group Minutes
.zip
Dec 06, 2013

Attachments Working Group

Subject Description Type Date

Meeting Minutes
2007 Meeting Minutes
.zip
Dec 07, 2013

Meeting Minutes
2008 Meeting Minutes
.zip
Dec 07, 2013

Meeting Minutes
2008 Meeting Minutes
.zip
Dec 07, 2013

Documents
Attachments Technical Reference Guide
MS-Word, .doc
Dec 07, 2013

Documents
Attachments Group
Acrobat .pdf
Dec 07, 2013

Documents
Attachments Implementation Guide
MS-Word, .doc
Dec 07, 2013

Documents
Attachments Process Flow
MS-Word, .doc
Dec 07, 2013

Documents
Attachments Process Flow Additional Usage
MS-Visio, .vsd
Dec 07, 2013

Documents
Attachments Process Flow In Force
MS-Visio, .vsd
Dec 07, 2013

Documents
Attachments Process Flow L&A
MS-Visio, .vsd
Dec 07, 2013

Documents
Attachments Process Flow New Business
MS-Visio, .vsd
Dec 07, 2013

Documents
Attachments Project Plan
Acrobat .pdf
Dec 07, 2013

Documents
Attachments Sub Groups
MS-Excel, .xls
Dec 07, 2013

Documents
Attachments Transaction Business Types
MS-Excel, .xls
Dec 07, 2013

Documents
Attachments UML
Acrobat .pdf
Dec 07, 2013

Documents
Attachments Use Cases
MS-Word, .doc
Dec 07, 2013

Documents
Attachments WSDLs and Schemas
.zip
Dec 07, 2013

Documents
Attachments XML Samples
.zip
Dec 07, 2013

Documents
Schemas - HTML
.zip
Dec 07, 2013

LNA Access Working Group

Subject Description Type Date

LNA Access Working Group
LNA Access Business Proposal
MS-Word, .doc
Dec 07, 2013

LNA Access Working Group
LNA Import Layout Draft
MS-Excel, .xls
Dec 07, 2013

Retirement Income Working Group

Subject Description Type Date

Meeting Minues
Conference Call
.zip
Dec 07, 2013

Standard Usage
Hartford SPIA Payout Examples
MS-Excel, .xls
Dec 07, 2013

Standard Usage
POV Standard Usage for Retirement Income
MS-Excel, .xls
Dec 07, 2013