Page 90 - 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

2.11 Participant calls to the Inspected RS Call Center Review Forms for a selection of
Participant Information Center daily calls and determined that the calls were quality reviewed
(PIC) and Participant Transition for compliance with caller identity confirmation workflow,
Services (PTS) are recorded. accuracy of information communicated, and customer service
Transaction requests and account and customer satisfaction.
specific information are only Observed the system and recorded call log and listened to a
accepted and provided to
authenticated callers. Additionally, selection of recorded participant calls and determined that
callers were authenticated to the Customer Service
to review for completeness, the
details of the transaction are Representative.
verbally confirmed with the No Exceptions Noted.
authenticated caller. Daily a quality
associate performs a review. For
each review a quality review form
is completed to determine proper
authentication protocol was
followed, the accuracy of
information communicated, and
any the instructions provided on
the recorded call are compared to
processing of the transaction in the
system, and any discrepancies are
researched and resolved. (DB &
DC)

2.12 A web server interface Inspected instructions received through RetireSMARTSM,
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
data received from a participant received from participants prior to sending the information to
through RetireSMARTSM and the PRS.
RetireSMARTSM Mobile App prior
to sending the information to PRS. Observed RetireSMARTSM Mobile App system settings and
determined that the web server interface program was
This information must be corrected
prior to it being passed to PRS. configured to perform consistency checks to identify missing or
incorrectly formatted data received from participants prior to
(DB & 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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