Employee-Plan Specialties 

            Employee-plan services are so central to what we do that we're often referred to as "The Employee Plan People." Services fall roughly into two main groups: Corporate events, as characterized by proxy contests, tender offers and other corporate actions, and more day-to-day tools, characterized by pass-through proxy voting and telephone and Internet self-service facilities for plan enrollments and other employee communications. 

         Corporate events call for our close coordination with record-keepers, proxy solicitors, trustees and plan administrators. Our role as independent tabulator is not just to capture participant instructions and deliver a tally. It's to contribute in whatever way we can to ensure that the whole process, in the way it's set up and carried out, is not only scrupulously fair but reduces the potential for error.

             We've a significant contribution to make in project planning and forms development. A client who might be facing a Dutch auction for the first time, say, quickly profits from the multiple times we've been through that process before. Another payoff comes from our ability, based on experience, to get off the mark quickly in situations where time, typically, is critically short.

              Practices we've honed over the years help streamline processing and also reduce confusion among participants - our methodology for handling tender revocations, for example. In knowing exactly what it takes, in processing terms, to deal with the fundamental difference between plan shares and other types of shares, we've helped avert many a crisis at expiration time.
           For the most part our plan services fall into four broad categories:

1. Independent tabulation, including:
  • Confidential pass-through proxy voting.
  • Proxy contests, often tabulate both sides.
  • Corporate Actions - tender offers, exchanges, Dutch auctions and more.
  • Cumulative voting & short slates. 
  • Procedure planning & organization.
  • Data reconciliation/scrubbing. 
  • Forms development/typesetting. 
  • Printing & Mailing.


2. Telephone (IVR) & Internet employee self-service facilities, with interactive features, multi-lingual options and online, real-time tabulations and reports.  These may be used either in conjunction with tabulation or separately in a wide range of independent applications. They include:

  • Plan enrollments & benefit updates.
  • Beneficiary designations & changes.
  • Investment, contribution and deferral elections.
  • Grant option acceptances.
  • Fund transfers & re-allocations.              

3. Paper Integration.

         We began tabulation services before the telephone and Internet offered viable alternatives to data delivery by mail. From the outset, we established methodical and efficient procedures for dealing with paper – very often in large volumes. What’s often referred to nowadays as classic data entry is a core capability we’ve kept alive.  Even though electronic data capture facilities have stolen the limelight, we’ve preserved the capacity to cope with paper in a secure way that also provides an audit trail. We're in an ideal position to integrate, as we often do, all three methods of data delivery – mail, telephone and Internet.


4. Data conversion/reformatting.


         For many years we’ve specialized in reformatting data - helping it migrate from one record-keeping system to another or from one application to another. It’s a task we accomplish programmatically or through a combination of programming and conventional data capture. Sometimes an electronic file is so faulty in its basic structure that re-creating it from hard copy is the most cost-effective way of getting it into a new format. We deal with both PC and mainframe files in a variety of different formats, and return data to clients in whatever format they specify.



Famous last words:
"It's only the plan,
we can think
about that later..."

...In the heat of 
a corporate action
make sure your
employee plans
aren't left out
in the cold.