Overview
NOTE: Please see the following topics for additional information on Service Center:
You use the Service Messages functionality within Service Center to view and respond to outbound communication from Fidelity to your firm regarding a service matter. Your response to a service message may be Required, Optional,
or Not Allowed. The messages can include associated notes and attachments.
Fidelity creates these messages in one of two ways:
- Manually: Created and sent by a Fidelity associate, perhaps regarding a trade-type error in a specific account. In this case, the service message would be account-specific.
- Automatically: Generated and sent automatically without personal intervention by one of Fidelity's internal systems, possibly as a result of an update to a compliance regulation. For this instance, the service message would be firm-directed.
When you first open the Service Messages Tab, the search settings default to retrieve all messages to which you are entitled with All Statuses that were initiated within the past seven (7) calendar days. You can
change these settings to display particular messages by creating your own search criteria and even establishing these criteria as your default view.
The period of time a service message remains in the list is a function of time and its Status.
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Filtering and Viewing Your Service Messages
NOTE:
- Select the Search button to locate any service messages that match the established search criteria. If no errors are encountered, the search results display. Error messages display if there are no matches to the criteria or if the number of matches exceeds 500 (message displays prompting you to refine your search).
- Select the Clear button to reset the search criteria to the defaults. All search criteria entered are cleared except the dates which return to their most recent default value. Category is set to All; Subcategory is cleared and disabled; Status is set to All Statuses.
- Following a successful search, the results display above the criteria chosen to perform the search. Select the Modify Search link above the results list to display the search criteria so you can specify new filtering criteria.
- Select the Print link to print the current contents of the Service Messages List.
- Select the Set as My Default Search link to specify the search criteria that you established as the default. These custom settings override the defaults that display when you open the Service Messages Tab and when you select the Use My Default button.
- Please note that the Created On and the Response Due dates are not saved to your default search.
Overview
You can search for service messages in increments of three months. For example, if you enter a date range of 04/05/2010 to 08/05/2010, an error message displays to notify you that the maximum date range size is three months. The maximum number of results
returned is 500. If your search generates more matches than the maximum, the process stops and prompts you to enter additional criteria to narrow your search. Your criteria selections remain selected for the remainder of your online session or
until you make new selections, but these settings are not persistent, meaning they are lost when you log out of the platform. However, if you wish, you can save search criteria as the default, meaning every time you access the Service Messages Tab,
the default criteria you specified displays automatically instead of the system defaults.
Message Details
You can open a message to view its details. The Message Details screen is organized into the following sections:
- Message History: Lists the historical events that occurred to the service message. You can view any associated notes or attachments by selecting the associated links in this section. When documents are attached, the number of attachments
displays in the View Attachments area to the right of Message History.
- Message Summary: Contains information about the message such as its Category, Subcategory, Status, servicing area, and tracking number.
- Message Details: Contains information concerning the processing of the message, such as whether a response is required, the date by which it is due, and whether additional action is required.
- Description: Displays text about the message entered by the initiator.
The buttons that display on the Message Details screen vary depending on whether a response or additional action is required.
Filtering and Viewing Messages
- Select Service > Service Center > Service Messages. The Service Messages Tab displays.
- Use the drop-down lists and fields to specify filtering criteria so you can locate a desired set of service message(s).
- When you finish entering your criteria, select the Search button to display a list of any service messages that match the filtering criteria. The search results display above the search criteria.
NOTE: If you are assigned to a user profile, the list contains only the service messages in the Categories and Subcategories specified in this profile.
- Based on the search results and the Status of the service message, you may add a note or attach a file to it.
NOTE: The text in the Response Due field turns red within 2 hours of a deadline and the item auto-sorts to the top of the list.
- If you wish to perform another search, select the Modify Search link above the Results List to display the search criteria so you can specify new filtering criteria.
- To save the current search criteria as the defaults you want to display every time you open the Service Messages Tab, select the Set as My Default Search link. A Default Search pop-up screen displays to confirm
that your new filtering defaults were saved successfully. Select the Close link to close the pop-up screen and return to the Service Messages Tab.
NOTE: The Created On and the Response Due dates are not saved to your default search.
- Select a column heading to sort the list based on the heading of the column. A caret displays in the column used as the sort criterion; an upward-facing caret designates ascending order and a downward-facing caret indicates descending order. Select
the sorting column a second time to reverse the order.
- Select the Tracking # link associated with a service message to display the Message Details screen that contains several sections with information about the selected message.
- To view a note, select the NOTE link (if available) in the Activity column. The View Note pop-up screen displays the text of the note and the User ID of the individual who entered this information.
When you finish reading the note, select the Close link to close the pop-up and return to the Message Details screen.
- To view an attachment, select the View Attachments link (if available) in the View Attachments area of the screen. A View Attachments pop-up screen opens with the list of attached filename(s). Select a linked filename to view the attachment.
When you finish reading the attachment(s), select the Close Window link to return to the Message Details screen.
NOTE: The attached documents that you open and view are read-only. Although you cannot make changes to an attached document, you can attach an updated version of the same document. See Attaching a File to a Service Request or a Service Message for information on performing this operation.
- If you wish to add a note or an attachment, select the Add Note/Attachments link.
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Accessing the Summary View
The Summary View link displays the total number of service messages and service requests based on their Status. This view includes items that were initiated or received by your firm and is limited by your assigned
user profile (if any).
- Select the Summary View link to display a pop-up screen that contains two sections, one for service messages and one for service requests.
- Select the Close link to close the pop-up screen and return to the Service Messages Tab.
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Adding a Note to a Service Message
- Display a desired set of service messages.
- Using the Results List section of the page, select the Tracking # link associated with a specific service message to display its Message Details page.
- The Message Details page is divided into several sections, including a Message History associated with the service message. Select the Add Note/Attachments link to add one or both items to the message using the Add Note pop-up screen.
NOTE: If you decide you no longer want to add a note or attachment, select the Cancel link to terminate the operation and close the pop-up.
- Enter the desired information in the Note section of the screen.
NOTE: The maximum length of the Note field is 1000 characters.
- If you wish to attach a file to the service message, select the Attach a file checkbox.
NOTE: See Attaching a File to a Service Request or a Service Message for information on performing this operation.
- Select the Submit button to complete the operation(s) and close the pop-up screen.
- The Message History now includes a record of the note you added. Select the NOTE link if you wish to view your input in a pop-up screen. Also, if you chose to attach a file, the Message History contains this activity and the number
in the View Attachments section is updated to reflect the file you attached to the message. Select the View Attachments link to display the associated pop-up screen containing a list of filenames that link to their respective
files; select the Close Window link to close the pop-up.
- When you finish working with the selected message, select the Return link to display the Service Messages Tab.
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Responding to a Service Message
NOTE: Select the Cancel link on the Respond screen at any time to abort your response, ignore any information you entered, and return to the Message Details screen.
If a response is Required or Optional, and if you are entitled, you may respond to a message. A priority message is indicated by an Exclamation Point icon to denote its priority Status.
If a message has a due date that is expiring within two hours, or is past due, the date and time information in the Response Due column displays in red.
- Select the number in the Tracking # column of a message with a Status of Awaiting Client Review and the response is Required or Optional.
- On the Message Details screen, select the Respond button to display the Respond screen.
- Enter your response in the Details box.
NOTE: The section label contains an asterisk, indicating entering information in this field is required.
- If you wish to attach a file, select the Attach a file checkbox before submitting your response. You are prompted to add the attachment after the response is submitted.
NOTE: See Attaching a File to a Service Request or a Service Message for information on performing this operation.
- If you are responding after the Response Due date/time, select the I acknowledge... checkbox to enable the Submit button.
- Select the Submit button. An activity is logged in Message History showing your User ID as the one that responded to the message and a Status of Responded.
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Closing a Service Message
You can close a message only when a response is Not Allowed or Optional. You cannot close a message if a response is Required or if you have already responded to the message.
Once a message is Closed (Status of Resolved), you cannot add a note or attachment to it. If you wish to do so, you must reopen the message and then respond to it.
- Select the number in the Tracking # column of a message that has the Response value of either Not Allowed or Optional.
- On the Message Details screen, select the Close button to close the selected message. An activity is logged in Message History showing your User ID as the one that closed the message and a Status of Resolved.
- Select the Reopen button to reopen the message.
OR
Select the Return link to display the Service Messages Tab.
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Reopening a Service Message
You can only reopen a message that your firm Closed (Status of Resolved).
- Select the number in the Tracking # column of a message with a Status of Resolved.
NOTE: You also can reopen a service message immediately after closing it if you still are in the close workflow and have not returned to the Service Messages Tab.
- On the Message Details screen, select the Reopen button to reopen the selected message.
- On the Reopen screen that displays, enter text in the Note field explaining why you are reopening the message.
- If you wish to attach a file to the service message, select the Attach a file checkbox.
NOTE: See Attaching a File to a Service Request or a Service Message for information on performing this operation.
- Select the Submit button. The Status of the message automatically changes to Reopen and then changes again to Awaiting Client Review and a NOTE link displays in
the Activity column of the Message History.
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Pending a Service Message
If you want to acknowledge that you read a service message, but do not want to close it (e.g., You must attach paperwork that you do not have at this time.), you can pend the message. In order to pend a message, it must have a Status of Awaiting Client Review and either of the following conditions must be true:
- Response is Required or Optional
- Addl Action Req'd is Yes
- Select the number in the Tracking # column of a message that meets the conditions described above.
- Select the Pend button on the Message Details screen. An activity is logged in Message History showing your User ID as the one that pended the item and a Status of Pending.
- Select the Respond button to respond to the message.
OR
Select the Close button to close the message.
OR
Select the Return link to display the Service Messages Tab.
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Column Descriptions
The following table contains the descriptions of the columns in the Results List.
NOTE: Select a column heading to sort the list based on the heading of the column. A caret displays in the column used as the sort criterion; an upward-facing caret designates ascending order and a downward-facing caret indicates descending order. Select the sorting column a second time to reverse the order.
| Column |
Description |
| Account # |
Indicates the account number associated with the service message. |
| Addl Action Req'd |
Indicates whether action is required on your part regarding the service message; possible entries are No or Yes. |
| Category |
Indicates the service message Category. |
| Escalated Indicator |
An Exclamation Point icon in this column indicates the service message is flagged as high priority. |
| Response |
Indicates whether a response is required on your part regarding the service message; possible entries are Not Allowed, Optional, or Required. |
| Response Due |
If a response is required on your part regarding the service message, indicates the deadline (date and time) by which you should provide the response.
NOTE: The text in the Response Due field turns red within 2 hours of a deadline and the item auto-sorts to the top of the list. |
| Short Name/Client Name |
Indicates the Short Name or Client Name associated with the account. |
| Status |
Indicates the current state of completion of the service message. |
| Subcategory |
Indicates the service message Subcategory (service message itself). |
| Tracking # |
Indicates the work item number assigned to the service message.
NOTE: Select the Tracking # link to display the details associated with the service message. |
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Filtering Criteria
NOTE: The choices available to you in the Category and Subcategory drop-down lists are determined by your assigned user profile (if any).
The following table contains the filtering criteria available on the Service Messages Tab. You use this information to create filtering scenarios when viewing and managing your service messages.
| Criteria |
Description |
| Account # |
Enter a specific, valid account number to which you have access; you do not need to enter a dash.
NOTE: Error message displays if the account number entered does not match a valid account accessible by you. |
| Addl Action Req'd |
Using the drop-down list, choose to display messages based on whether additional action is required; options are:
- no selection (the default): Include all messages, regardless of whether additional action is required.
- Yes: Include all messages that require additional action.
- No: Include all messages that do not require additional action.
|
| Category |
Using the drop-down list, which defaults to All, select the service message Category you wish to display in the list.
NOTE: The Category selection you make determines the Subcategory options that are available. |
| Created On |
Specify a date range (up to three (3) months) in the From and To fields. By default, the date range is set to the past seven (7) calendar days.
NOTE: You may use the associated Calendar icon to assist you in completing the From and To fields.
- From: Pre-filled by default with today's date minus 7 calendar days. Must be a valid date, current date or a date in the past using the format MM/DD/YYYY (month or day may be supplied without the leading zero).
- To: Pre-filled by default with current date. Must be a valid date in format MM/DD/YYYY (month or day may be supplied without the leading zero) and greater than or equal to the From date.
To view message sent since a particular date (not to exceed a 90 calendar day period), enter that date in the From field and leave the To field in its default (current date).
To view messages sent on a particular date, enter that same date in the From and To fields.
To view messages sent over a date range (up to three months), enter the beginning date of the range in the From field and the ending date in the To field.
|
| Due Date |
Enter a date by which service message responses are due.
NOTE: You may use the associated Calendar icon to assist you in specifying the Due Date. This field is used in conjunction with the Response field. |
| Last Name |
Enter the full or partial Last Name of the primary account holder.
NOTE: Error messages display if you try to enter more than 25 characters or try to perform the search with less than 2 characters in the field. |
| Responding User ID |
Enter the User ID of a specific individual who responded to the service messages.
NOTE: An error message displays if you enter less than 10 numbers. |
| Response |
Using the drop-down list, specify if you wish to display service messages based on the type of response that is needed; options are no selection (the default), Required, Optional, or Not Allowed.
|
| SSN/TIN |
Enter the Social Security Number or Tax Identification Number of the primary account holder.
NOTE: Use 9 numeric digits and two dashes; an error message displays if this is not the case. |
| Status |
Using the drop-down list, which defaults to All Statuses, choose to display service messages based on their state of completion. |
| Subcategory |
Using the drop-down list, which defaults to All, select the service message Subcategory you wish to display in the list. Select an entry to make a selection. You can choose up to three
entries by holding down the Ctrl key and selecting additional selections.
NOTE: The Subcategory options that display are dependent upon your Category selection. |
| Tracking # |
Enter 15 characters in this field to display a specific service message based on its a work item number.
NOTE: You must enter 15 characters using the following format: W######-DDMMMYY, where MMM represents the alphabetic abbreviation for the month value (JAN, FEB, MAR, etc.). |
NOTE: If you are assigned to a user profile, your search results contain only the service messages in the Categories and Subcategories specified in this profile. Even if you do not specify any filtering criteria, searching only yields results on the user profile-defined service message Categories and Subcategories.
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Statuses
The following tables contain descriptions of the Statuses that may be associated with your service messages as they are processed.
NOTE: All service messages are stored indefinitely by Fidelity. However, based on their Status, they may not be accessible online past a set period of time.
- Messages that do not require a response and remain in Pending Status are purged on day 91 (90 calendar days following the last update).
- Messages that do not require a response and are not read (remain in a Status of Awaiting Client Review) are purged after 31 days (30 calendar days following the last update).
- Messages that have a response timeframe less than 30 calendar days from their create date and are not read (Status of Awaiting Client Review) are purged after 31 days (30 calendar days following the last update).
- Closed messages are visible for 90 days after the close date and are purged on day 91 (90 calendar days following the last update).
- Messages that are not updated for one year (365 days) are purged on day 366.
- For assistance or access to service requests that are no longer available for viewing, please contact your dedicated service team.
Open Statuses
| Status |
Description |
| Awaiting Client Review |
A response is required for the given service message, but neither you nor someone from your firm has reviewed it yet. |
| Not In Good Order (NIGO) |
Fidelity received your or your firm's response to the service message, but deemed it is not in good order (NIGO). Additional information must be provided in order for Fidelity to process it. |
| Pending |
Either you or someone in your firm pended the message before responding to it or taking additional action. |
| Responded |
Either you or someone in your firm sent a response to the message to Fidelity. |
| |
| NOTE: The following statuses only apply to a limited number of users. |
| Approved HO |
Service message was approved for processing by the home office. |
| Not In Good Order (NIGO) HO |
The home office received the message, but deemed it not in good order. Additional information must be provided by the client in order to process it. |
| Pending HO Approval |
The home office received the message, but it is not yet approved. |
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Closed Statuses
| Status |
Description |
| Resolved |
Either you or someone in your firm closed the message and Fidelity deemed it is in good order (IGO). |
| |
| NOTE: The following statuses only apply to a limited number of users. |
| Rejected HO |
Service message was rejected by the home office. |
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