PBGC has streamlined the Uploading Process, and the changes that have been made are listed below:
| Current Upload Event | Upload Change |
|---|---|
| Mandatory Nodes |
This mandatory node check is now the first step of all uploads. We have consolidated the front-end schema validation for all 2014 plan years forward and created a single set of mandatory nodes which are required for any plan years you are attempting to upload. Users can then choose to proceed or exit the upload process (for example, software vendors). Due to this update, you can no longer submit filings (upload or screen prepared) with a plan year beginning before 2014.
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| Vendor Validator Tool | The Vendor Validator will continue to validate the XSD schema of any XML file, using a backward compatible schema structure. |
| Plan & Role in My PAA Account | To upload an XML, the user must have a My PAA account, the corresponding plan(s) are associated with their My PAA account, and they have Upload Preparer role for that plan. |
| In-process Filings |
If the user is attempting to upload an XML that already has a filing in-process for the same EIN/PN/PYC, the user must decide whether to override the in-process filing with the new XML or to stop uploading the XML.
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| Business (Filing) Rule Validation |
When uploading an XML, the user may receive warnings or errors before submitting the filing to PBGC. These notifications will, depending on the type of notification received, allow the user to continue (warnings) or force the user to correct the filing information (errors) before submitting the XML to PBGC. If warning messages are received the user may receive a follow up letter with further information indicating why the XML needs to be amended.
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| Payments |
Single upload only (no change).
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| Batch Uploads |
Multiple filings can be submitted to PBGC in a single upload as long as the user has a My PAA account, the corresponding plans they are uploading the filings for is associated with their My PAA account, and they have Upload Preparer role for all of the plans. Batch XML files will still be validated against the same rule set as above, which is why the Upload Preparer must have all of the plans in their account.
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| Upload Error History |
All Upload Preparers will have access to a report which details every upload attempt, no matter the outcome or if the file was eventually submitted. Any warnings and errors received during the upload will be archived so that users can refer to them later. The report will be available from the Home Page in order to accommodate batch uploads.
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For further step-by-step instructions please refer to PBGC's How to Upload & Certify Filings demo.