Page 101 - NovDefComp

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
Defined Benefit and Defined Contribution

Recordkeeping Operations System

Controls Specified by
MassMutual Business Testing Performed by KPMG LLP and Results of Tests

5.10 All distributions processed Observed the processing of a transaction that failed to post to
through the TRC, the database during the nightly batch and determined that an e-
SM
RetireSMART , RetireSMART SM mail is sent to a recordkeeping operations associate notifying
Mobile App and the Participant them of the of the transaction that failed to post.
Call Center are combined with
other transactions and posted to Inspected a selection of To-Dos and system screenshots for
unposted transactions and noted that transactions were
PRS overnight.
researched and resolved.
PRS is configured to identify and No Exceptions Noted.
log transactions that cannot be
posted to the database during the
nightly batch. An e-mail with a
ToDo are sent to recordkeeping
operations associates who
follows-up and resolves unposted
transactions. (DC)

5.11 A web server interface Inspected instructions received through RetireSMART SM ,
program is configured to perform inspected system settings and determined that the web server
consistency checks to identify interface program was configured to perform consistency
missing or incorrectly formatted checks to identify missing or incorrectly formatted data received
data received from a participant from participants prior to sending the information to PRS.
through RetireSMART SM and the SM
RetireSMART SM Mobile App prior Observed RetireSMART Mobile App system settings and
determined that the web server interface program was
to sending the information to
PRS. This information must be configured to perform consistency checks to identify missing or
incorrectly formatted data received from participants prior to
corrected prior to it being passed
to PRS. (DC) sending the information to PRS. Further noted that only the
corrected data was sent to PRS.
No Exceptions Noted.

MassMutual Defined Benefit and Defined Control Objectives, Related Controls and Tests of
Contribution Recordkeeping Operations System Operating Effectiveness
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