Attachment_C_-_Document_Management_Center_Standard_Operating_Procedures_(SOP).pdf

Attachment C

PENSION BENEFIT GUARANTY CORPORATION

Document Management Center

Standard Operating

Procedures

P E N S I O N B E N E F I T G U A R A N T Y C O R P O R A T I O N

S T A N D A R D O P E R A T I N G P R O C E D U R E S

D O C U M E N T M A N A G E M E N T C E N T E R

TABLE OF CONTENTS

Scope and Application 2 Systems 2 Quality Control/Assurance 3 Courier Services 4 Incoming Correspondence Control 5 Document Preparation 7 Returned Mail 9 Address Updates 11 Postage Due Cards 12 Newsletters 14 Electronic Direct Deposit 16 Income Verification Request 17 Incoming Check Processing 20 Foreign Language Translation 21 Scanning 23 IPS DM Indexing 25 Quality Control in IPS DM 26 Advanced Function Request 28 Benefit Application Review and Analysis 30 Outbound Call Procedures 34 Remote Data Capture 35 Courier Bag 39 Inventory Supply and Requests 40 Participant Ad-Scan IPS DM 41 Plan Ad-Scan Request IPS DM 42 Document Conversion PDF Format 44 Importing Document Conversion 46

SCOPE AND APPLICATION

The purpose of this document is to provide the Standard Operating Procedures (SOP) for the Document Management Center’s (DMC) operations. The DMC’s operations are comprised of multiple task functions including the processing and commitment of accurate and quality images, providing customer record updates and providing precise information to requestors.

These are standards operating procedures which may be varied or changed as required, dependent upon site conditions, contract modifications, system upgrades or failures and limitations imposed by the procedure.

SYSTEMS

The DMC operation uses a variety of systems in processing work. The following is a list of definitions and systems and how they are utilized in the QC/CRM task function.

• IPS DM – This system is used to generate barcodes, to index, verify/QC work items in the participant ad-scan queue, to research work items to locate index (Social Security Number and plan number), to process work items returned to retrieve rescan queue for research and resolution and quality control work items processed for imaging.

• CRM – This system is used to process service requests generated through processing work items in IPS DM with particular document types, 4E “Address Change”; 4J “Electronic Direct Deposit”; 5E “Return Mail”; and 5I “Income Verification”. The CRM application is also used to create service requests and to update customer’s personal information including address, email address and other contact information.

• Spectrum– This system is used to verify pension related information, to update addresses, to update address validity and for researching participants. Additionally, this application is used to research and validate the payment information for income verification requests and payment history for check processing and verifying and analyzing other historical transactions on participant files.

• Clear (Participant Locator) – This system is used to locate participant’s last known address for return mail received.

• IPS Viewer – This system is used to research, view imaged documents for participants and plans, sub-index and perform Advanced Function requests.

Quality Control/Quality Assurance

The contract between the PBGC and ZAI states the Document Management Center is required to maintain a minimum accuracy rate of 99.95 percent. As a result of the accuracy obligation to the client, various quality control measurements are performed during the processing phases within the DMC Operations. Below you will find a list of checkpoints:

• 100% quality control on Income Verifications (1st and 2nd stages)

• 100% quality control on Indexed Participant Mail processed in IPS DM

• 100% quality control on Participant Ad-Scans processed in IPS DM

• 100% quality control on Participant Mail and Participant Ad-Scans processed and committed in the IPS DM system. (The Index Task Area performs bundle query to ensure accuracy)

Courier Services The DMC provides various courier service to the PBGC. This service is a vital function to the successful and timely processing, delegation of daily work assignments and the overall service to PBGC participants. These services include:

1. At 7:00 a.m. daily, the courier arrives at the Kingstowne Post Office to retrieves all PBGC mail that is addressed to the PBGC’s mail P.O. Box mail address. Upon receipt of the mail, the courier collects a mail distribution report from the Post Office detailing information on the groupings of mail that has been retrieved on behalf of the PBGC (i.e. Business Reply Mail, Personal Mail, Returned Mail, etc.)

2. At 9:00 a.m. daily, the courier departs the DMC Kingstowne facility to the 1200 K Street facility. The purpose of this trip is to hand deliver any and all mail received that has been identified for immediate delivery and transfer to include mail addressed to the PBGC Director, Congressional mail and legal documents.

3. At 11:00 a.m. daily, the courier arrives at the Kingstowne Post Office and retrieve all PBGC Certified and Priority Mail that has been addressed to PBGC’s mail P.O. Box mail address.

All Certified and Priority Mail received are logged for tracking purposes.

4. Any ad-hoc requests to transport personnel to 1200 K Street facility will be coordinated in advance to mitigate scheduling conflicts.

5. The courier transports packages flagged to be transported between the Kingstowne facility and the PBGC 1200 K Street headquarters and are coordinated in advance to ensure space and accommodations are in place.

6. The courier is responsible for the reporting and maintenance of the courier vehicle. These items include:

a. Recording daily trips on the courier log

b. Maintain and submit receipts for purchasing gas and vehicle maintenance

c. Scheduled oil change, and other maintenance as necessary

d. Report malfunctions and needed repairs

e. Keep the interior and exterior of the vehicle clean and schedule regular car washes

f. Submitting weekly electronic travel log and detail weekly courier activities

Incoming Correspondence Control

When the DMC retrieve correspondence from the Post Office it is transported to the Kingstowne facility for analyzing, processing and routed through the appropriate channels. The following activities should be taken upon receipt of daily correspondence:

Step 1.

Each piece of correspondence is sorted by type and then counted. This information is used to reconcile the report that is received from the Post Office detailing the volume received by correspondence category. The mail correspondence categories include:

1. Business Reply Mail

2. Personal Mail

3. Returned Mail

4. Postage Due Cards

5. Newsletters

6. 1099’s

Step 2.

Each piece of mail is analyzed to determine if re-routing is required for further consideration or special processing. These exception items are pulled and routed by type.

The following are transported daily to1200 K Street and hand delivered for acknowledgement of receipt:

1. Mail addressed to Director’s office

2. Congressional Mail

3. Notice of Levy

4. Court Documents (bankruptcy, subpoena, etc.)

5. Social Security Administration results

6. Page Collins Settlement

7. PBGC Forms 722 and 718

8. Questionnaires for STCD plans

The following items are extracted from the other correspondence and routed for special processing before scanning:

1. Participant Application for Benefits (Form 700) – Forwarded for application review analysis and screening

2. Returned Mail – Forwarded for research and to generate participant locator

3. Postage Due Cards and Newsletters – Forwarded to research and update participant information

4. Income Verification Requests – Forwarded for analysis and for completion of the request

5. Checks and Money Orders (personal, pension and cashier’s check) – Forwarded for research, analysis and special processing

Step 3.

Mail correspondence is assigned to DMC staff for processing. This distribution of correspondence is assigned to staff in groupings depending on the type (i.e. Regular mail, Form 700, Returned Mail, Checks, etc.).

Document Preparation

Correspondence is routed from the Incoming Correspondence Control to the DMC staff to prepare documents to be scanned and imaged into the IPS Image Viewer System. During this phase in operations, the Proof Document Handling procedures are followed to ensure the integrity of original, certified and aged documents received from the PBGC participants.

Step 1.

Open mail received and analyze to determine if routing is required for exception processing and consideration

Step 2.

Documents are enhanced for odd sized documents, for onion skin paper and to ensure legible images.

Additionally, all certified, original and aged documents are enhanced to maintain the original nature of the document at the time of receipt. Documents that may present obstruction of images due to heavy ink and bleed throughs, are copied

Note: The original documents that are enhanced are placed in the “Keep Section” and attached to the bundled and stored through the records’ lifecycle (With the exception of documents being returned to sender).

Step 3.

Any and all devices binding pages together are removed to allow pages to advance through the scanner’s automatic document feeders

Step 4.

Perform proof document handling procedures to all certified, original, and aged documents that will be returned to the sender. The proof document procedures are as follows:

• Make a copy of the proof document

• Apply the “Verified from Certified” or “Verified from Original” stamp to the bottom of the document in the available white space

• Write returned, the date being returned and initials on the document being returned

• Make a copy of the return address and attached to the document being returned

• Prepare document for mailing

Step 5.

Count the pages that will be images for each envelope and record the page count on the top of the first page on clear space

Step 6.

Place a data stamp on the bottom of the first page of each envelop in clear space

Step 7.

Insert barcodes for each envelope and between each document to be scanned

Step 8.

Assemble the documents and envelopes to be scanned and route for scanning

Returned Mail Returned Mail is received from the U.S. Postal Service (USPS) as undeliverable. When the forwarding address service has expired, the USPS will provide the forwarding address by attaching a sticker address on the envelope and return to sender. Below you will find detailed processing procedures.

Step 1.

After the initial screening process, returned mail is distributed to DMC staff for processing

Step 2.

Open, analyze and research each piece of returned mail using the PBGC systems and the participant’s information that is recorded on the mail

Step 3.

Access the clear application and generate a participant locator

Step 4.

Prepare the returned mail for scanning by copying the envelop that was returned and attaching the participant locator

Step 5.

Count the total pages for envelope and the participant locator and record on the top of the first page that will be scanned

Step 6.

Apply a date stamp on the first page of the documents to be scanned for each envelope

Step 7.

Attach all necessary barcodes, assemble the documents for scanning, bind and route for scanning

Step 8.

Documents are scanned, indexed and a quality check is performed. Once this completed the images are committed to the IPS Image Viewer System and a service request is generated in the CRM System

Step 9.

Once the service request is generated in the CRM application it is assigned to DMC staff for processing. The service request is accessed, analyzed, notes are entered into the record and reassigned to the MPOC (Mail Point of Contact) to re-mail information to the participant. The interaction is save and the call is terminated in CRM.

Step 10.

For the returned mail that the address is unable to be updated, the address is invalidated in the Spectrum application

Address Updates The DMC received address update requests from the USPS and via fax for the PBGC participants.

These requests include handwritten requests, requests through address change post cards, address update requests from checks, as well as others. With all address change requests, the DMC will screen the document for proper signature.

Step 1.

Address change requests are received from the USPS and via fax and assigned to DMC staff for processing

Step 2.

Document preparation is performed on request to include the page count and state stamp.

Step 3.

Attach all necessary barcodes, assemble the documents for scanning, bind and route for scanning

Step 4.

Documents are scanned, indexed and a quality check is performed. Once this completed the images are committed to the IPS Image Viewer System and a service request is generated in the CRM System

Step 5.

DMC staff is assigned service request in CRM application for analysis and update

Step 6.

Once the service request is accessed an analysis is performed to determine if request meets the established criteria for updating addresses

Step 7.

If the criteria meet requirements, address is updated and the service request is saved. If the criteria do not meet the requirements, notes are placed on the records and the service request is forwarded to the MPOC for further consideration

The interaction is saved and the call is terminated in CRM application

Postage Due Cards Postage Due Cards represents an address service update provided by the USPS. The USPS redirects the mail when they have a forwarding address on file. In addition to the forwarding service, the USPS provides the PBGC forwarding address information. The USPS provides a photocopy of the envelope in the form of a post card that bears the costs due for the service rendered.

Step 1.

Research Participant using your PBGC research databases (IPS DM, IPS Viewer, and Spectrum).

Once you have located the participant’s customer ID write it on the front of the postage due card.

Step 2.

Access the Spectrum Application

Step 3.

Retrieve participant’s file by entering Customer ID

Step 4.

Go to the payment tab to analyze the participant’s payment profile

• If participant deceased, do not change the address, invalidated address in Spectrum and forward

Postage Due Card to Document Preparation to prepare for imaging

• If participant in pay status, do not change the address, and forward Postage Due Card to

Document Preparation to prepare for imaging Note: Other than above circumstances, update the address in CRM Application

Step 5.

Document preparation is performed on request to include the page count and state stamp.

Step 6.

Attach all necessary barcodes, assemble the documents for scanning, bind and route for scanning

Step 7.

DMC staff is assigned service request in CRM application for analysis and update

Step 9.

Once the service request is accessed an analysis is performed to determine if request meets the established criteria for updating addresses

Step 10.

If the criteria meet requirements, address is updated and the service request is saved. If the criteria do not meet the requirements, notes are placed on the records and the service request is forwarded to the MPOC for further consideration

Step 11.

Newsletters When newsletters are mailed to the participant and the participant has moved, the undelivered newsletter is then returned to the PBGC. A spreadsheet is generated, based on the mailing list and made available for the DMC to assist in the research on returned newsletters. Each newsletter maintains a unique identification number (in some cases) for research purposes.

Step 1.

Research Participant using your PBGC research databases (IPS DM, IPS Viewer, and Spectrum).

Once you have located the participant’s customer ID write it on the front of the postage due card.

Step 2.

Access the Spectrum Application

Step 3.

Retrieve participant’s file by entering Customer ID

Step 4.

Go to the payment tab to analyze the participant’s payment profile

• If participant deceased, do not change the address, invalidated address in Spectrum and forward

Newsletter to Document Preparation to prepare for imaging

• If participant in pay status, do not change the address, and forward Newsletter to Document

Preparation to prepare for imaging Note: Other than above circumstances, update the address in CRM Application

Step 5.

Document preparation is performed on request to include the page count and state stamp.

Step 6.

Attach all necessary barcodes, assemble the documents for scanning, bind and route for scanning

Step 7.

Step 9.

Once the service request is accessed an analysis is performed to determine if request meets the established criteria for updating addresses

Step 10.

If the criteria meet requirements, address is updated and the service request is saved. If the criteria do not meet the requirements, notes are placed on the records and the service request is forwarded to the MPOC for further consideration

Electronic Direct Deposit The DMC receives requests to initiate and to change the Direct Deposit/ACH pay destination from the USPS and via fax. These requests include handwritten requests and request submitted on PBGC Form 710 - Electronic Direct Deposit. Each change requests received by the DMC will be analyzed and screened to verify signature.

Step 1.

Electronic Direct Deposit requests and updates are received from the USPS and via fax and assigned to DMC staff for processing

Step 2.

Document preparation is performed on request to include the page count and state stamp.

Step 3.

Attach all necessary barcodes, assemble the documents for scanning, bind and route for scanning

Step 4.

Documents are scanned, indexed and a quality check is performed. Once this completed the images are committed to the IPS Image Viewer System and a service request is generated in the CRM System

Step 5.

DMC staff is assigned service request in CRM application for analysis and update

Step 6.

Once the service request is accessed an analysis is performed to determine if request meets the established criteria for completing the request

Step 7.

If the criteria meet requirements, the payment destination is updated to enter routing number, account number and the type of account.

Step 8.

The service request is saved and if the criteria do not meet the requirements, notes are placed on the records and the service request is forwarded to the MPOC for further consideration

Step 9.

Income Verification Request Income Verifications (IV) are requests from various residential facilities and organizations requesting verification of pensions for participants. The DMC processes IV’s received from the Customer Contact Center (CCC), requests received by fax and received by mail.

When the DMC receives an IV, an initial screening takes place in order to identify items in which the DMC cannot process. Items that cannot be processed include missing signature authorization, IV with Power of Attorney, Guardianship and/or Conservatorship documents, and missing contact person from requesting agency. These documents are forwarded to Point of Contact (POC) for special consideration.

Step 1.

Upon receipt of the Income Verification request, the DMC staff perform an initial screening to analyze the request and to determine the processing requirements based of the request

Step 2.

Access the Spectrum application to receive and review payee’s benefit information

Step 3.

To generate Income Verification letters, access the CCS application on the Start menu and click on PBGC-Customer Correspondence System. Information provided in Spectrum will be used to generate Income Verification letters in the CCS application. There are two types of CCS letters:

• Standard Letters (520)

• Custom Letters (520S)

Step 4.

Creating Standard Letter (520)

• Selecting Authorizer, click on Setting button for My Preferences tab

• Click on Backup Authorizer and designated person

• Select template type 520 on Template Name

• Enter Customer ID

• Click Save

• Select mailing date.

• Select recipient

• Once these steps are taken, save transaction and request is routed for approval

When request is received in the approval queue, the request is analyzed for accuracy and approved for mailing

Step 6.

Creating Custom Letters: (520S)

• Click the “New” tab.

• Enter customer ID

• Select template name, 520S

• Select recipient and save

• Go to Interview

• Select Recipient Type, “customer”

• Verify payment in formation in the Spectrum Application

• Check Form of benefit to be included box

• Select CID, open request to view letter

• Save and submit for approval

Step 7.

When request is received in the approval queue, the request is analyzed for accuracy and approved for mailing

Step 8.

Once the Income Verification has been approved the copy the Income Verification request and CCS letter. All originals documents are sent to the requesting agency and/or participant via USPS (will be faxed if requested).

Step 9.

Copies and faxes are routed to be prepared for scanning

Step 10.

Step 12.

Once the service request is accessed an analysis is performed to determine to determine completeness, accuracy and are closed by DMC staff. Other income verification requests that require further consideration are reassigned to the MPOC assigned to the plan

Step 13.

Incoming Check Processing The DMC coordinates with BPD to image and process recovery of benefit overpayment, installment payments, stale-dated checks and returned pension checks that were issued to decease payees for benefits to which they were entitled. Personal checks, money orders, cashier checks and copy deposit checks from US Bank are researched for verification with emphasis on reconciling the information to account for all checks received.

Step 1.

Extensive research is performed using IPS Image Viewer, IPS DM and/or Spectrum to locate and verify participant information Note: This research is critical and could be timely as often times the check received does not have the participant’s information and could be from a beneficiary not on record.

Step 2.

Upon identification of the participant, the identifiable information is attached to the check and routed to prepare for scanning

Step 3.

Document preparation is performed on request to include the page count and state stamp.

Step 3.

Attach all necessary barcodes, assemble the documents for scanning, bind and route for scanning

Step 4.

are committed to the IPS Image Viewer System

Foreign Language Translation The DMC facilitates effective communication with customers who have difficulties in understanding the English language or expressed a preference for corresponding in another language by providing a bridge between PBGC staff and foreign language speaking customers through oral interpretation and written translation services.

Note: This section of the SOP will provide processing procedures for forwarding and translating foreign proof document/correspondence for translation into English. Outbound calls are only placed for illegible foreign proof documents received.

Step 1.

Open mail received and analyze to determine if routing is required for foreign language proof documents or correspondence

Step 2.

DMC staff will verify participant’s information from correspondence or conduct research to obtain the identifiable information

Step 3.

Once the identifiable information has been acquired, the DMC staff will prepare a PBGC Translation Request Form and attach it to the foreign language proof document/correspondence with the accompanied contents and envelope

Step 4.

Spanish proof documents and short correspondence are separated from other foreign languages and assigned to bi-lingual staff translators

Step 5.

Spanish proof documents/correspondence are translated in-house by DMC bi-lingual staff

DMC staff creates a PDF for other foreign language documents/correspondence

Step 6.

Access Outlook and forward the e-mail with delivery and read receipt of the PDF of foreign language proof document/correspondence translation request to vendor, Translations International, Inc. and OBA Foreign Language Specialist

Step 7.

Forward the foreign language proof document/correspondence with the accompanied contents and envelope to be prepped and route for scanning

Step 8.

The documents are scanned, indexed, a quality control check is performed and the images are committed to the IPS Image Viewer system.

Scanning Once the document preparation has been performed on documents, bundles are routed to scanning phase to be imaged. Scanning maintenance is scheduled and performed on each scanner a minimum of two times daily. DMC staff must ensure scanner maintenance is applied before scanning documents.

Step 1.

DMC staff performs scanner maintenance before starting the day to ensure optimal output from the scanner.

Step 2.

After the scanner is operating for three hours, scanner must be turned off and maintenance is performed.

Step 3.

During scanning peaks, the DMC staff will perform scanning maintenance more frequent to ensure optimal output from the scanner.

Step 4.

Once the scanner maintenance has been completed the scanner should be turned on and staged to receive documents for imaging.

Step 5.

Log on to the IPS Scanning application from the designated scanner desktop stations

Step 6.

Perform Scanning Procedures

• Remove the keep section from the bundle

• Place the bundle face up on the scanner feeder

• The system will automatically accept all images and the entire bundle has been scanned

• Select the complete option

• Items will be routed to the Index phase in the IPS DM application

• Reassemble bundle and prepare for storage

Step 7.

Unacceptable image processing

• If the image is unacceptable a pop up message will appear, select “No”

• Once this is done, select start to resume scanning the same bundle

• If the images are acceptable, select “Yes” to accept each image

• Once you have selected the work item ID or page to be deleted right click to select the

DELETE option from the popup menu and select “Delete”

IPS DM Indexing When documents have successfully completed the scanning process, they are routed to the “Index” phase in the IPS DM application. Items are automatically assigned to the next available DMC staff to analyze the documents and assignment the necessary index information for documents received for imaging.

Step 1.

Log onto the IPS DM application and work items will automatically be pushed to next available DMC staff member for processing

Step 2.

Analyze the documents for each item to ensure documents were prepared correctly

Step 3.

Verify errors did not occur during the scanning phase and images are legible

Step 4.

Research information on the documents to identify the participant or PBGC customer’s file associated with the documents received

Step 5.

Select the plan number(s) the documents should be assigned in the PBGC system

Step 6.

Navigate through all documents and pages of documents in the work item and select the appropriate document type that should be assigned to each document

When all steps have been taken an analyzed for accuracy, select Process.

Quality Control in IPS DM When the documents have been successfully processed through the index phase, items are automatically pushed to the QC queue in the IPS DM application. The items are pushed to next available DMC staff member for a final QC check to be performed prior to the documents being committed to the IPS Image Viewer System.

Step 1.

Log onto the IPS DM application and work items will automatically be pushed to next available DMC staff member for processing

Step 2.

Analyze the documents for each item to ensure documents were prepared correctly

Step 3.

Verify errors did not occur during the scanning phase and images are legible

Step 4.

Verify that the research information on the documents to identify the participant or PBGC customer’s file associated with the documents received were selected accurately

Step 5.

Verify the correct plan number(s) the documents should be assigned in the PBGC system was selected

Step 6.

Navigate through all documents and pages and verify that the index types were assigned to each document correctly

When all steps have been taken an analyzed for accuracy, select Process.

When the documents have been processed in this phase, the images are committed to IPS Image Viewer, the official records keeping system for the PBGC

Advanced Function Requests Advanced Functions Requests (AFR) provides internal controls to prevent unauthorized access, modification, or deletion of declared agency records; and institute these internal controls to alleviate the risk of unauthorized handling to PBGC records in IPS Image Viewer. The advanced Functions that are used to access, modify, and delete IPS records will be controlled and conducted by properly trained DMC personnel.

Step 1.

Access the Advanced Functions Request inbox in Microsoft Outlook

Step 2.

Open e-mail to access the Advanced Functions Request Form attachment

Review the Advanced Functions Request Form for the following:

• Completeness (form documents correct SSN, plan number, document ID, type of request, detailed explanation and requestor’s information)

• If Advanced Functions Request Form is missing required information, call requestor and respond back to the submitter informing them of the information needed

Note: If the Advanced Functions Request is a deletion, make sure the form bares an approval signature from a federal manager. Call the requestor and respond back to the if the federal manager’s signature is not there.

Step 4.

Access IPS Image Viewer to perform requested Advanced Functions (edit, copy, delete, delete page, reorder pages and split/merge)

• The import function is performed using IPS Scan application; please see SOP for Import Functions

• If the request is for an edit (reindex) verify with requestor it a service request should be create in the CRM. These types of requests require a rescan.

• Verify the participant’s name, SSN (Customer ID), plan number, document ID and document type correspond with the information on the Advanced Functions Request form.

Step 5.

Access the Advanced Functions Request inbox in Microsoft Outlook to draft a confirmation e-mail with attached signed form to the requestor for the completed request

Benefit Application Review and Analysis The DMC identifies incomplete Participant Application Benefit (PAB) Form 700 at the first tier to mitigate application processing delays in the PVA offices. Before initiating this process, each staff member is required to have a completed understanding of established OBA policies and procedures for processing these applications.

Review and reference the following OBA Operations Manual Technical Procedures:

• Technical Procedures 20 Benefit Payments (TP20.)

1. TP 20.3 Process Applications for Annuity Benefits

2. TP 20.3A Review Annuity Benefit Application

a. Form 700 Participant Application for Pension Benefits Review Table

3. TP 20.3B Request Missing Information for Annuity Benefit Application

• Technical Procedures 4 Participant Addresses and EDD Elections (TP 4.)

1. TP 4.2 Update Participant Addresses

• Technical Procedures 44 Foreign Language Services

• Technical Procedures 57 Identity Discrepancies (TP57)

• OBA Operations Manual Appendices:

1. Appendix G Acceptable Proof of Age and Death

2. Appendix O Acceptable Proof of Marriage

I. Review and Research Individual Application and Proof Documents

Step 1.

Receive applications and proof documents in DMC each day for processing

Step 2.

DMC staff will review and research each Form 700 – Participants Application for Pension Benefits and proof documents according to the designated sections for completeness.

Step 3.

The following sections of the application will be analyzed for completeness, accuracy and compliance:

Section 1 General Information – Required fields: Last name, First name, SSN, DOB (verify correct), Address information, Date you want to start your pension benefits.

Section 2 Marital Status – Required fields: Are you currently married? Spousal Info: Last name, First name, SSN, Date of birth, date of marriage.

Section 3 Election of Benefit Form – Required election of Benefit Form by selecting from the following: “My Choice” – only One election clearly marked. “Beneficiary” only One election (either spouse or another beneficiary) clearly marked.

Section 4 Spousal consent to elected form of benefit and beneficiary - If the participant is married and elects any option of benefit form other than option B, the application requires spousal consent and must be notarized.

Section 5 Designation of Beneficiary for Continuing Payments – Required to complete if participant elected benefit form D through J, in Section 3 and checked “Other Beneficiary”.

Required fields: Last name, First name, SSN, DOB.

Section 7 Method of receiving benefit payments – Provide bank information for PBGC to send payments directly to a financial institution.

Section 9 Signature – Participant is required to sign and date application.

II. Code and Route Individual Application and Proof Documents

For completed applications that meet all specified requirements, take the following steps:

1. Identify the application as complete by coding document “2C” on the top right of the form.

2. Perform a Quality Review of the application and proof documents.

3. Perform document preparation on documents received. Documents are bundled and routed for scanning.

4. Bundles are scanned, indexed, quality review is performed and images are committed to the

IPS Image Viewer system.

Step 2.

For incomplete applications that meets all specified requirements, take the following steps:

1. Identify the application as incomplete by coding document “2C1”

2. Perform a Quality Review of the application and proof documents.

3. Perform document preparation on documents received. Documents are bundled and routed for scanning.

4. Bundles are scanned, indexed, quality review is performed and images are committed to the

IPS Image Viewer system.

When the DMC receives partial application(s) and/or proof documents, the following steps are taken:

1. Upon receipt of partial application(s) or proof documents follow the procedures in section III below

2. If any documents received wee not at the request of the DMC for required information to complete an application, follow the steps in section III for incomplete applications

III. CCS Letters and Outbound Calls

If the Benefit Application is incomplete, access CCS to generate an outgoing letter to the PBGC customer

Step 2.

Create a customized 530APP Request for Additional Documentation/Information Letter

Step 3.

Return copies of highlighted incomplete sections of the application to participant and redact any Personal Identifiable Information (PII).

Step 4.

Letters must be sent within five (5) business days of receipt of application

Step 5.

Quality analysis is performed to review customized 530APP Request for Additional Documentation/Information – Benefit Application for accuracy and forwarded for approval in CCS.

Step 6.

Mail letter and include copies of highlighted incomplete sections of the application to participant and redact any PII.

Step 7.

Place outbound call to participant for incomplete applications

Create a Service Request in the CRM application and document the call in the Notes section

Outbound Call Procedures The DMC uses outbound calls to contact participants concerning return mail, incomplete benefit applications and unidentifiable documents from incoming mail such as illegible proof documents and document that require further research due to lack of PII.

Step 1.

Once items have been identified to place an outbound call to a participant a call log request is submitted

Step 2.

The request is analyzed to determine the action to be taken

Step 3.

DMC staff will research the information on the documents to locate the contact information on file. If the contact information is not current or not available on the existing documents on file, staff will perform extensive research to identify information to contact participant

Step 4.

The DMC staff will use this information to contact the participant using authorized call script and for security purposes the DMC staff will ensure the participant provides two identifiers

Once call has been made the call will do the following:

• If the call is resulting from a bad address, the address is requested and the participants address is updated in the CRM application

• If the call is resulting from missing information, the information is requested and the customer’s records is updated in the CRM application

Remote Data Capture The DMC staff assists OBA in the data capture of participant and plan source documents by travelling to the custodian of records location to secure sources, travelling to the location to pack the records and ship back to the PBGC, and imaging records that have been shipped back to the agency. participant and plan related source documents. This process is comprised of multiple task functions including the processing and commitment of accurate and quality images, providing customer record updates, collaborative communication with PBGC staff, coordination with the PBGC staff and the point of contact with the prior plan sponsor or representative and providing precise information to requestors.

I. Remote Data Capture

Step 1.

The DMC staff will attend a strategy meeting to discuss the requirements and the initial logistics of records location and facility

Step 2.

A member of the DMC management team will conduct a site visit to recommend the data capture strategy (The step takes place for plan with unique conditions and high volumes)

Step 3.

The DMC collaborate with the plan point of contact to establish dates of travel and strategies

Step 4.

Travel arrangements are made to secure travel, housing and transportation (the DMC will drive to locations within a 500 mile radius)

Step 5.

Prior to travelling the DMC will submit a cost estimate and the Data Capture Recommendation to the DMC COR for approval

Step 6.

Equipment and supplies are prepared and shipped to the location. This information is communicated directly with the prior plan administrator or their representative

The DMC arrives at the location to begin the Data Capture efforts and activities

The supplies and equipment are retrieved and prepared for scanning

Step 9.

According to the established collection strategy, the DMC assist in the capture activities and perform document preparation activities and route for scanning

Step 10.

Records are scanned and saved on a thumb drive and secured daily

Step 11.

Records are re-assembled into each participant’s folder in its original order and folders are returned to their assigned filing location

Step 12.

Equipment is disassembled and re-packed. In parallel, the DMC will arrange a pick-up time and location for the equipment to be returned to the PBGC.

Step 13.

Upon the travel team’s return to the DMC, plan and participant’s records are uploaded to the IPS DM application for index and verification

Step 14.

Files are reviewed for accuracy, processed and committed to the IPS Images View system for viewing and reference.

II. Data Collection Pack & Go

The DMC staff will attend a strategy meeting to discuss the requirements and the initial logistics of records location and facility

Step 2.

A member of the DMC management team will conduct a site visit to recommend the data capture strategy (The step takes place for plan with unique conditions and high volumes)

The DMC collaborate with the plan point of contact to establish dates of travel and strategies

Step 4.

Travel arrangements are made to secure travel, housing and transportation (the DMC will drive to locations within a 500 mile radius)

Step 5.

Prior to travelling the DMC will submit a cost estimate and the Data Capture Recommendation to the DMC COR for approval

Step 6.

Supplies are prepared and shipped to the location. This information is communicated directly with the prior plan administrator or their representative

Step 7.

The DMC arrives at the location to begin the Data Collection activities by identifying the records, taking inventory and packing the records for shipped back to the PBGC.

Step 8.

A pick-up is scheduled with agencies designated company and boxes are prepared and moved to a location for shipment and pick-up

Step 9.

When boxes are received at the PBGC, please follow the steps for the In-House Scanning Project in Section III.

III. In-House Scanning Project

Step 1.

OBA staff sends an e-mail to the DMC requesting UPS return labels to have participant and plan files (boxes) shipped to the DMC Kingstowne location for processing

Step 2.

Once the participant and plan files (boxes) have been received, an e-mail notification is sent to the OBA notifying them the total boxes received and to request a visit to review files

Once instructions have been provided from the OBA, the documents are processed accordingly and prepared for scanning.

Step 4.

Documents are scanned, indexed and a qualify check is performed to ensure accuracy and processed.

Records are transitioned to chron area and stored through the retention period

Courier Bag The DMC provides various courier service to the PBGC. This service is a vital function to the successful and timely processing, delegation of daily work assignments and the overall service to PBGC participants. The courier transports various time sensitive documents to the PBGC Headquarters that are secured in a locked courier bag and hand delivers to the DMC staff assigned to the Service Window.

Step 1.

The DMC staff will retrieve the bag from the courier each day at the PBGC’s loading dock

Step 2.

Upon receipt of the bag, the DMC staff will return to the DMC suite to unlock bag and analyze the documents and instructions that have been provided

Step 3.

Each request is sorted and logged to verify receipt and the transfer of custody

Step 4.

According to established procedures, DMC staff will place documents/mail in the appropriate mail slots for the various OBA departments

Step 5.

According to established procedures, DMC staff will hand deliver the “Check Bag” to the BPD staff for processing. A signed acknowledgement of receipt and transfer of custody is completed for tracking and traceability

Step 6.

According to established procedures, DMC staff will hand deliver “Exception” mail items to the Director’s Office, OGC and other offices as specified in Incoming Correspondence Control Procedures.

Inventory Supply and Requests The DMC is the designated custodian of several OBA supplies including several types of toner for printers and various types of envelopes. Requests for supplies are received via email and through the DMC service window. Inventory management and supply requests are tracked and monitored using the Inventory Database.

Step 1.

A supply Request Form is submitted by OBA staff through the DMC Service Window or via email

Step 2.

The request is reviewed for completeness and accuracy and to determine requested supplies are offered through the DMC services

Step 3.

The DMC Inventory Database is accessed to create the new order request and to verify supply is in stock

Step 4.

An Order Number is automatically created in the DMC Inventory Database and is used for tracking and reporting inventory related activities

Step 5.

The DMC staff will fill the request by retrieving the supplies from the storage room, in a FIFO (First In First Out) order.

Step 6.

The DMC Inventory Database is updated to document the transaction

Step 7.

If the request is from a FBA office or from the PVA, the DMC staff will prepare for shipment and transition package to the loading dock for scheduled pick-up

The requestor is delivered the supplies and the supply request is closed

Participant Ad-Scan IPS DM Scanning Requests are submitted through the DMC Service Window to add additional documents to a participant’s file. A request form is submitted for each request by submitting the form through the DMC Service Window or via email to the DMC. These requests will be processed through the “Participant Ad-Scan” workflow, unlike incoming participant mail.

Step 1.

Requestor submits the documents to be added to the participant’s file and attach to the IPS Scanning Request Form

Step 2.

The form is reviewed by DMC staff for completeness and accuracy. The following information is provided on the form:

• Participant’s name

• Plan number to scan the documents

• Total number of pages to be scanned for each request

• Document type the documents should be filed in participants electronic folder

Request is assigned to DMC staff and prepare for scanning. This preparation includes creating barcodes, enhancing documents, inserting barcodes and removing anything this is binding pages and documents together. Documents are assembled, bundled and routed to the next stage for scanning

Step 4.

Documents are scanning and automatically routed to the Participant Ad-Scan queue in the IPS DM application, verification/quality check is performed and items are processed.

Step 5.

When items are processed in the queue, images are committed to the IPS Image Viewer System and made available for viewing and reference

Plan Ad-Scan Request IPS DM Scanning Requests are submitted through the DMC Service Window to add additional documents to the electron plan file on IPS Image Viewer. A request form is submitted for each request by submitting the form through the DMC Service Window or via email to the DMC. These requests will be processed through the “Plan Ad-Scan” workflow.

Step 1.

Requestor submits the documents to be added to the electronic plan file on IPS Image Viewer and attach to the IPS Scanning Request Form

Step 2.

• Submitters information (Name, Division, Contact Number)

• The date must be on the request form for tracking purposes

• Plan number to scan the documents

• Total number of pages to be scanned for each request

• Document type the documents should be filed in participants electronic folder

• Special imaging instructions, if applicable

The DMC staff will date stamp the IPS Scanning Request Form and verify a Work Item has been created. If a Work Item has not been created, the DMC staff will create the work item. If the Work Item has already been created.

Step 4.

Request is assigned to DMC staff and prepare for scanning. This preparation includes creating barcodes, enhancing documents, inserting barcodes and removing anything this is binding pages and documents together. Documents are assembled, bundled and routed to the next stage for scanning

Step 5.

Documents are scanning and automatically routed to the Plan Ad-Scan queue in the IPS DM application, verification/quality check is performed and items are processed.

made available for viewing and reference

Step 7.

After documents are scanned the DMC staff will make a copy of the Scanning Request Form and place a copy in the Department’s inbox. This copy is used as verification that plan documents have been imaged, indexed to the electronic plan file and made available for viewing and reference.

Document Conversion PDF Format Document conversion requests to PDF Format are submitted through the DMC Service Window to add additional documents to a participant’s file and to the electronic plan file in the IPS Image Viewer System. A request form is submitted for each request by submitting the form through the DMC Service Window to the DMC.

Step 1.

Requestor submits the documents to be added to the participant and/or electronic plan file on IPS Image Viewer and attach to the PDF Request Form

Step 2.

• Submitters information (Name, Division, Contact Number)

• The date must be on the request form for tracking purposes

• Participant and/or plan information to image the documents

• Total number of pages to be converted for each request

• Document type the documents should be filed in electronic folder

• Special imaging instructions, if applicable

Request is assigned to DMC staff and prepare for scanning. This preparation includes creating barcodes, enhancing documents, inserting barcodes and removing anything this is binding pages and documents together. Documents are assembled, bundled and routed to the next stage for scanning

Step 4.

The scan application is launched through the IPS application. The Scan Technician selects the PDF option and performs all scanning functions

Step 5.

Images are reviewed for legibility, the documents are analyzed to determine the index specifications and a quality check in performed to ensure correctness and accuracy and saved.

made available for viewing and reference

Step 7.

After documents are scanned the DMC staff will make a copy of the Scanning Request Form and place a copy in the Department’s inbox. This copy is used as verification that documents have been imaged, indexed to the electronic file and made available for viewing and reference.

Importing Document Conversion Importing Document conversion requests are submitted through the DMC via email to add additional documents to a participant’s file and to the electronic plan file in the IPS Image Viewer System. A request form is submitted for each request by sending an email to DMC.

Step 1.

The DMC receives the electronic documents via email or through the DMC Service Window when discs are submitted

Step 2.

Access the PBGC Image Viewer System and go to the Import Documents section

Step 3.

From the Import Documents Section of the application locate the desired place for documents to be imported

Step 4.

The following steps should be followed to import documents and convert from email and/or disc to IPS Image Viewer System:

• Open PBGC Image Viewer application.

• Select “Plan or Participant”

• Select “Import Documents”

• Select the "Browse” button to locate the document for import

• If the document is a Plan enter case number, if it is a Participant document, enter the SSN

• Enter Document Type (example 1X or 12D1)

• Select the “Import File” button at the bottom of page

• It will take to information box containing the Document ID. Write it down

• If there is an error message, the document may be encrypted and therefore cannot be imported into

PBGC Image Viewer. In order to import this document, print the document from the email, scan it into a PDF, and then follow the steps above

• To search for the document, select “Plan Document Search” or “Participant Document Search”, enter the Document ID

• Click the display button

• Complete a 100% quality control check. If the document has not been properly imported complete the steps again

Once the document conversion is completed, the requestor is contact to provide an update of the…