Purpose

To establish a standardized process for scheduling deconversion activities, maintaining operational calendar consistency, communicating finalized deconversion scheduling timelines and provide supporting reports to clients and stakeholders.

Scope

Applies to all deconversion cases that have been reviewed and determined to be In Good Order (IGO), including:

• Adopting Employer Transfers
• Individual Plan Transfers
• Service Provider Changes
• Plan Mergers

Step 1: Confirm Preconditions Prior to Scheduling

Before scheduling may begin, confirm:

• Deconversion Authorization Form is In Good Order (IGO)
• Required signatures have been obtained
• Deconversion method has been clearly identified
• Wire instructions are complete (if applicable)
• Any NIGO items have been resolved

Step 2: Access the Deconversion Calendar

The Deconversion Calendar can be located at:

CAPITALOperations > ClientServices > Projects > Deconversions Termination Revocation_JD > Plan Deconversion Scheduling

Step 3: Review Scheduling Guidelines

• Monday is reserved for Recordkeeping to catch up on work and should generally be avoided for scheduling.
• Up to four (4) activities of each type may be scheduled per day.

Step 4: Scheduling Timeline Standards

• Blackout date should generally be scheduled:
  • Approximately one week prior to liquidation.
• Liquidation date should generally be scheduled:
  • The business day before the wire.
• Wire date is 90 days from date completed form is received.
  • The business day following liquidation.

Step 6: Review Scheduling Considerations

When selecting dates:

• Avoid Mondays whenever possible.
• Be mindful of market holidays and early market closures.
• Tuesday through Friday are preferred scheduling days.
• The day after a holiday is generally acceptable except:
  • Day after Thanksgiving should be avoided.
• Review the BlueStar public calendar before scheduling to avoid overloading team members who may be on vacation.
• Avoid scheduling during:
  • Week of Christmas
  • First week of the New Year

Step 7: Complete Calendar Entry Procedure

When entering activities into the calendar:

1. Enter blackout date using:
   • Code “B”
   • Blue color coding
2. Enter liquidation date using:
   • Code “L”
   • Green color coding
3. Enter wire date using:
   • Code “W”
   • Red color coding
4. Verify dates align with operational timing standards
5. Confirm daily activity capacity has not been exceeded

Step 8: Complete Final Scheduling Review

Before finalizing:

• Confirm calendar entries are accurate
• Verify timeline sequencing
• Confirm operational capacity
• Save all related documentation to the appropriate client folder

Step 9: Begin Follow-Up on Completed Deconversion Form 

Recipients

Send the follow-up email to:

• Client contacts
• Individuals included on the original deconversion submission email
• Financial Advisor(s)
• Account Manager(s)
• Any other applicable internal or external stakeholders

1.  Access Email Template

The email template can be located at:

Capital Operations > Client Services > Projects > Deconversion Termination Revocation_JD > Deconversion Email Templates

Use template titled: “Follow-Up on Completed Deconversion Request”

2. Open and Prepare Email Template

The “Follow-Up on Completed Deconversion Request Form” template will automatically open in Outlook.

Update Scheduling Dates

Edit the following sections with finalized scheduled dates:

Review Transfer In-Kind (TIK) Language

If Transfer In-Kind (TIK) is NOT applicable:

• Remove the paragraph related to:
  • Transfer In-Kind requests
• Remove any ongoing TIK-related language throughout the email

Review Payroll Section

If the client has already provided the final payroll date:

• Update the payroll section to reflect the specific date provided
• Remove the sentence regarding Ameritas assumptions related to missing payroll dates

Review Year-End Language

Remove the following sentence unless the deconversion is scheduled during year-end processing periods:

“Follow-up files will take longer to send for deconversions scheduled during year-end.”

Remove Non-Applicable Highlighted Sections

• Review all highlighted portions within the template
• Remove any sections or instructions that are not applicable to the specific deconversion

Attach Required Supporting Documentation

Attach applicable supporting reports and documentation, which typically include:

• Loan Report
• Due Diligence Report
• Stable Value Account Holders Report (if applicable)
• SDBA Holders Report (if applicable)
• Census File

Complete Final Email Review

Before sending:

• Confirm dates match the deconversion calendar
• Verify all non-applicable language has been removed
• Confirm attachments are correct and included
• Verify all recipients are included
• Review email for accuracy and formatting

Submit Email and Complete Process

Process is complete once:

• Email has been sent successfully
• Attachments are included
• Communication is documented in the appropriate client records/location

Common Scheduling Issues

Common issues that may require rescheduling or escalation:

• Requested dates too close to current date
• Holiday or market closure conflicts
• Operational capacity exceeded
• Missing or incomplete wire instructions
• Outstanding NIGO items
• Vacation or staffing conflicts identified on BlueStar calendar