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Home » How To... » Manage Retiree Files » Upload A File

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How To Upload A File - Updated 01/31/2008

The following document describes the RDS Secure Web Site retiree file upload process and step-by-step instructions on how to upload retiree files using the RDS Secure Web Site. This document includes information about the following:

• What terminology do I need to understand to upload retiree files using the RDS Secure Web Site?
• How do I access the Upload File function on the RDS Secure Web Site?
• How do I upload a file to CMS' RDS Center using the RDS Secure Web Site?
• What if I get an error message? Do I have to send the whole file again?
• How do I download files to CMS' RDS Center using the RDS Secure Web Site?
• When should I send my first monthly add/update/delete retiree file?
• Is there a sample retiree file spreadsheet I can use as a reference?
• What if I do not have all the required information for all the qualifying covered retirees for whom I would like to request the subsidy?
• How should my retiree file look?
• What should I do if I'm having trouble uploading my retiree file?
• What should I do if my retiree's enrollment changes?

What terminology do I need to understand to upload retiree files using the RDS Secure Web Site?

Qualifying Covered Retiree - A Medicare Part D eligible individual who is: a participant or the spouse or dependent of a participant; covered under employment-based retiree health coverage that qualifies as a qualified retiree prescription drug plan; and not enrolled in a Medicare Part D plan.

Retiree File - The retiree file is a collection of data about the individual for whom you have applied for subsidy. This is a generic term used to describe the valid initial retiree list and monthly add/update/delete retiree files.

• Valid Initial Retiree List - A Retiree Drug Subsidy (RDS) application consists of both a valid initial online application and a valid initial retiree list. In order to submit a timely RDS application for a given plan year, a Plan Sponsor must submit a valid initial online application AND a valid initial retiree list by no later than 90 days prior to the beginning of the plan year, unless a 30-day application deadline extension has been requested and approved by the Centers for Medicare & Medicaid Services (CMS) prior to the expiration of the application deadline.  If a 30-day application deadline extension is approved, a Plan Sponsor must submit a valid initial online application AND a valid initial retiree list no later than 30 days after the above-mentioned application deadline.  A Plan Sponsor application that fails to meet these requirements is not timely and the Plan Sponsor will receive a notification that its application has been denied.
  
  Initially, each beneficiary (retiree or his/her dependent(s)) should have a detail record or row in this file. If a beneficiary has more than one coverage period or benefit option under your drug plan, you must send a record for each benefit option combination and coverage period. CMS' RDS Center will send the initial retiree response file using the same file format as the valid initial retiree list.
• Monthly Add/Update/Delete Retiree Files - You will submit an add/update/delete retiree file on a monthly basis. This file will be in the same format as the valid initial retiree list, but it will only include detail records of individuals for whom you would like to report a change of information. If no information has changed for a given month, you do not need to upload an add/update/delete retiree file.
• Retiree Response Files - When a Plan Sponsor submits a valid initial retiree list or monthly add/update/delete retiree file for an RDS application, the RDS Center verifies the Medicare entitlement for each retiree by checking the system of record, Medicare Beneficiary Database (MBD), for this information. Based on the information in the MBD, the RDS Center supplies Plan Sponsors corresponding response records indicating the period of time during the plan year for which the Plan Sponsor may claim the subsidy for that individual. These response records make up the retiree response file.
  
  The retiree response file will contain one record or row for each individual submitted on the valid initial retiree list or the monthly add/update/delete retiree file as applicable. The file will include the same data elements originally submitted, including covered subsidy periods and other RDS data. The retiree response file is always sent from the RDS Center using the same retiree submission method in which it was received from the Plan Sponsor.
• Weekly Notification Files – A notification is a message from the RDS Center concerning a qualifying covered retiree, and their Medicare entitlement or RDS coverage. When there is an event that may impact a Plan Sponsor's ability to receive subsidy for a beneficiary, the RDS Center is notified by Medicare. Events that may affect a Plan Sponsor's ability to receive subsidy payments for a beneficiary include, but are not limited to: a change in Medicare entitlement, the death of beneficiary, disenrollment, enrollment or attempted enrollment into a Medicare Part D plan.
  
  The RDS Center will convey notifications and any resulting changes in RDS coverage to Plan Sponsors via Weekly Notification Files. Only the initial Medicare Part D rejection notification will be available to view using the RDS Secure Web Site.
• Comma Separated Value (CSV) File - The Comma Separated Value (CSV) file is also referred to as a "flat file" or "comma delimited file." Computer systems use this type of file to pass information back and forth between databases. Each line represents one entry or record and a comma separates each field within a record. In this case, there will be at least one record for each beneficiary you have submitted for subsidy and a comma in-between each of the data elements. If your valid initial retiree list or the monthly add/update/delete retiree file was submitted in CSV format, via the RDS Secure Web Site, the corresponding retiree response file will be returned in the same way. You can import the CSV file using a Windows application, such as Microsoft Excel, for easy viewing.

How do I access the Upload File function on the RDS Secure Web Site?

1. After logging onto the RDS Secure Web Site select the Manage Retirees page. You may select one of the following methods for accessing the Manage Retirees page:
   • Application List page or Application Status page.
   • Application List page - find the appropriate Application Number. Select the Manage Retirees option in the Actions dropdown list and click the Go button.

     

   • Application Status page - select the Manage Retirees link.

     

2. The following Manage Retirees page displays as shown below.

   

How do I upload a file to CMS' RDS Center using the RDS Secure Web Site?

1. From the Manage Retirees page select the Upload Retiree File link. This link will be used to both upload the valid initial retiree list and subsequent monthly add/update/delete retiree files. The following page displays.

   

2. On the Upload File page, provide the full pathname of the file you would like to upload using one of the two following methods:
   • Click the Browse button to find the file on your computer. Once you have located the file, double click on the file name to select it. (This process is similar to attaching a document to an e-mail message.)

     

   • If you know the full pathname of your retiree file enter it in the File to Upload box.

     You should now see the full pathname displayed in the File to Upload box as shown below.

     

3. Click the Continue button to start the upload.
4. The following message appears at the bottom of the page while the file uploads: This process may take a while depending on the file size. Do not close your browser.

   Note: It is imperative that you do not close your browser while the file is uploading.

5. If CMS' RDS Center has problems reading your file or the format is incorrect, you will be presented with an Upload Errors page. Help understanding the error messages is included in this document.
6. If your file passes the initial validation and is formatted correctly the Upload Successful page will display as shown below.

   

7. Click the Continue button to return the Manage Retirees page.

What if I get an error message? Do I have to send the whole file again?

Yes. If you receive an error message your file has been rejected because it did not pass the initial validation you must upload the retiree file again. You will need to trouble-shoot the errors and re-submit the file. One or more of the following error messages may appear on the Upload Errors page:

How do I download a file to CMS' RDS Center using the RDS Secure Web Site?

You can access the Download Retiree Response Files and Download Weekly Notification Files processes on the Manage Retirees page the same way you accessed the Upload File function.

When should I send my first monthly add/update/delete retiree file?

The first monthly add/update/delete retiree file should be sent approximately 30 days from the date you receive and process the initial retiree response file. Response files must be processed by Plan Sponsors and subsidy periods posted in their internal systems so that the appropriate payment calculations may be performed.

Is there a sample retiree file spreadsheet I can use as a reference?

Yes. More information on using a retiree file sample spreadsheet is available. Once you have completed the spreadsheet do not forget to look for the .csv version of the file to upload. Do not send the .xls file.

What if I do not have all the required information for all the qualified covered retirees for whom I would like to request the subsidy?

Keep in mind that the valid initial retiree list should include the retiree information you have to date. If you have outstanding retiree information that prohibits you from sending an individual with the valid initial retiree list, you can send that information during the monthly add/update/delete retiree file process.

How should my retiree file look?

This is the layout for Retiree Lists from Plan Sponsors to RDS - Upload file via the RDS Secure Web Site.

• Detail (retiree) records only (no header/trailer)
• Comma separated CSV file as generated by Excel
• Unless otherwise stated, all fields are required

Retiree Record (CSV format)

Data element	Max size	Notes
Application Number*	10	RDS Application Number under which you submitted this retiree for subsidy. This application number must match the application number EXACTLY as it appears on the RDS Secure Web Site. Plan Sponsors must make sure that the application number for the correct plan year is being used to upload a retiree file.
SSN*	09	Social Security Number for the beneficiary you are seeking RDS subsidy. This field may contain spaces if the HICN was provided. If subsidy is being requested for the spouse or dependent of a retiree, make sure the SSN provided is the spouse's or dependent's, not that of the retiree. If a retiree's SSN has a leading zero, please reformat the SSN cell to "text" (Format - Number Tab - Category:text). Remember to convert your updated Excel file into a CSV file.
HICN *	12	Medicare Health Insurance Claim Number for the beneficiary for whom you are seeking RDS subsidy. This field may contain spaces if the SSN was provided.
First name*	30	Beneficiary's First Name. If RDS subsidy is being requested for the spouse or dependent of a retiree, make sure the First Name provided in this field is the spouse's or dependent's, not that of the retiree.
Middle initial*	01	Optional field. Beneficiary's Middle Initial. If RDS subsidy is being requested for a spouse or dependent of a retiree, make sure the Middle Initial provided in this field is the spouse's or dependent's, not that of the retiree.
Last name*	40	Beneficiary's Last Name. If RDS subsidy is being requested for a spouse or dependent of a retiree, make sure the Last Name provided in this field is the spouse's or dependent's, not that of the retiree.
Date of birth*	08	CCYYMMDD. If RDS subsidy is being requested for a spouse or dependent of a retiree, make sure the Date of Birth provided in this field is the spouse's or dependent's, not that of the retiree.
Gender*	01	0=gender unknown, 1=male, 2=female.
Coverage effective date*	08	CCYYMMDD. The date the beneficiary's (retiree, spouse, or dependent) coverage under the Plan Sponsor's prescription drug benefit option begins.
Coverage termination date*	08	CCYYMMDD. The date the beneficiary's (retiree, spouse, or dependent) coverage under the Plan Sponsor's prescription drug benefit option ends.
Unique benefit option identifier	20	Unique Benefit Option Identifier (UBOI) (e.g., group number) corresponding to the benefit under which you submitted this retiree for RDS subsidy. You MUST reference the UBOI in this field exactly as it was entered on the RDS application, including any leading or trailing zeroes, spaces, punctuation, etc. Please reference the Benefit Option(s) Summary Page in the RDS Secure Web Site if you are unsure what should be entered in this field.
Relationship to retiree*	02	01=self, 02=spouse, or 03=other
Transaction type	03	ADD – Retiree has either never been submitted for the corresponding RDS Application Number, or was submitted but never accepted for a subsidy period. UPD – Retiree has been accepted for a subsidy period for the corresponding RDS application and updated information is being sent. DEL - Retiree has been accepted for a subsidy period for the corresponding RDS application and now needs to be removed. Blank - Only applicable for weekly notification files.

What should I do if I'm having trouble uploading my retiree file?

If you are having trouble uploading your valid initial retiree list or monthly add/update/delete retiree file, the RDS Center suggests that you:

1. Save your retiree file on a local drive (e.g. c:\) and not on your network. Uploading files from the network can be slow and may cause the RDS Secure Web Site to timeout.
2. If your file takes more than 5 minutes to upload, stop/cancel the upload process, and try again.
3. There is a known issue regarding file upload capabilities in Microsoft Internet Explorer version 6.0 running on Windows XP with Service Pack 2. Microsoft has posted a workaround http://support.microsoft.com/?kbid=889334. The RDS Center recommends that you work with your Technical Support Desk to install the workaround. However, due to the technical nature of the workaround we suggest that users try using another web browser (e.g. Firefox) rather than attempting Microsoft's fix. Microsoft has announced that a patch should be available later this year.
4. Contact the RDS Help Line.

What should I do if my retiree's enrollment changes?

Plan Sponsors should utilize the monthly add/update/delete retiree file to add, update, or delete subsidy periods as applicable. If the Plan Sponsor believes the beneficiary is now eligible for the subsidy, send an add record to the RDS Center with the subsidy period requested. If the Plan Sponsor believes the beneficiary coverage has changed from what was previously reported, send an update record to the RDS Center with the subsidy period requested. If the beneficiary is no longer eligible for the subsidy, send a delete record to the RDS Center. The delete record coverage dates should match those you previously submitted. This rule also applies if you want to move a beneficiary from one benefit option to another, effectively replacing the previous coverage.