enhanced report format and functionality · office of the new york state comptroller thomas p....

Office of the New York State Comptroller

Thomas P. DiNapoli

Enhanced Report Format and Functionality

NYSLRS Service Provider Webinar (August 2, 2018)

Agenda

• Employer Reporting Overview

• NYSLRS ID & Employment Instance

• Reporting Population

• Field by Field Review

Employer Reporting in 2019

All Reporting Through

Retirement Online

1 Employers log into

Retirement Online

2They can submit regular

reports, adjustment

reports, and enroll a

member

Enhanced Reporting File

Format

Ability to report the following:

Earnings breakdown

Job status changes

All eligible employees

Trigger automatic enrollment

Employer Reporting through Retirement Online

Registration Number Identifies a person

Location Code

Report CodeIdentifies the employer

Legacy File FormatDays

Arrears and Loans

Salary

Contributions

Employer Reporting through Retirement Online

Enhanced File Format

Four transaction types

Biographical Data

Job Data

Days & Contribution

Earnings Details

Location Code Identifies the Employer

NYSLRS ID and Employment Instance

Identifies the employee and the specific job

Pre and Post Tax Amounts

Earnings Codes In addition to earnings amounts

For Contributions and Service Credit Purchase Payments

Enhanced Report Overview

• Collect more detailed data for a larger population

• Reduces the need to request this information later from employers

• Decreases benefit calculation and service credit purchase calculation processing time

• Support automated enrollment for mandatory members

• Reduces timing issues and mandatory arrears at time of enrollment

• Ability to report job status changes such as leave of absence, return from leave, or change in job data

NEW IDENTIFIERS FOR EMPLOYEES

• The NYSLRS ID is the new unique identifier for people in the NYSLRS system

• The NYSLRS ID is replacing Registration Number

• It is a 8 digit # starting with an R (R12345678)

• Employers need to report employees using the NYSLRS ID once they transition to the Enhanced File Format

• Legacy reporters will continue to use Registration Numbers. NYSLRS will still issue Registration Numbers for this purpose.

NYSLRS ID

• Employment Instance is the unique identifier assigned by NYSLRS

• It is used to determine which job is being reported on the Enhanced File Format

• It is a sequential number based on the number of jobs an employee has held at participating employers. ERS and PFRS instances start with a different range of numbers (ERS = 00-49; PFRS = 50-99)

• This allows employers to report data for each job where an employee has two jobs for a single employer that is eligible under different benefit plans

• Employers need to report employees using the NYSLRS ID and Employment Instance once they transition to the Enhanced File Format

• NYSLRS IDs and Employment Instances for existing employees will be provided to employers as part of the gold certification process

Employment Instance

NYSLRS ID & Employment Instance

REPORT WITH ENHANCED FILE

FORMAT

REPORT WITH LEGACY FORMAT

NYSLRS ID and Employment Instance

provided prior to the start of employer training and

certification sessions

Complete Gold Certification with

Enhanced File Format test file

Continue to report using the Registration Number

• Going forward, the NYSLRS ID and Employment Instance are provided at time of enrollment

• New Hire Summary Page

• Enroll a Member Process

• Paper Registration Process

• Remember: The Employment Instance may start at a number higher than 0 if:

• The person has previously held other jobs with participating employers

• They are currently employed with two employers

• They currently hold two jobs at the same employer

NYSLRS ID & Employment Instance

Example 1 (2 Jobs)

• Location Code: 00100

• NYSLRS ID: R12345678

• Employment Instance: 0

• Job Title: Detective Investigator

• Eligible Benefit Plan: 603OR

• Rate of Pay: $1000/month

• Standard Work Day: 8hrs/day

JOB 1




• Job Title: Bus Driver

• Eligible Benefit Plan: A15



JOB 2

• Employers can report these two jobs separately• Different job titles• Different eligible benefit plans




• Job Title: Aide







• Job Title: Secretary




JOB 1 JOB 1

• Employers can report these two jobs as one job• Different job titles• Same eligible benefit plans

*Note: even with different rates of pay, this is reported as 1 job

Example 2 (1 Job)

REPORTING POPULATION

• Going forward, all individuals who are potentially eligible for NYSLRS (or already enrolled) should be included on the report

• What do we mean by ‘all eligible’?

• Current members of NYSLRS

• Mandatory Members

• Optional Members that have chosen to join

• Optional members that have not joined NYSLRS

• Retirees from NYS Public Retirement Systems that have returned to work (212, 211)

• Employees eligible for alternative retirement benefit programs (ie. Voluntary Defined Contribution Plan)

Who Do I Report?

• Mandatory Members

• Employees who meet NYSLRS mandatory membership criteria are automatically enrolled when included on the Enhanced File Format

• Mandatory criteria:

• Permanent, full-time employee, 12-months, of a participating employer (and not eligible to join VDC, TRS, or ORP)

• Employees eligible for alternative retirement benefit programs

• Business rules do not trigger enrollment until the required waiting period has passed; once waiting period has passed, NYSLRS reaches out to employer to determine if employee should be enrolled

• NYSLRS now has the days and earnings information if the person does not opt into the alternate program

Who Do I Report?

• Optional Members

• NYSLRS now has the days and earnings information for the optional time period

• Correspondence is sent informing them of their option to join NYSLRS for the first time the employee is reported

• Retirees that have returned to work

• Monitor earnings limit

• Eliminates the need for separate Post Retirement Reporting

Who Do I Report?

ENHANCED FORMAT FIELD BY FIELD REVIEW

Enhanced File Format

• 4 Transaction Types

• (1) Biographical Data

• (2) Job Data

• (3) Days & Contributions

• (4) Earnings Details

• Required fields on all Transactions for existing employees:

• NYSLRS ID

• Employment Instance

• Last 4 of Social Security Number

• First 3 Characters of the First Name

• The file can contain regular and adjustment transactions

Transaction 1 – Biographical Data

Complete Social Security Number

Name Prefix Country Date of Birth

UNIQUE IDENTIFIERSNAME

INFORMATION

ADDRESS

INFORMATION

OTHER

DATA

First Name

Middle Name

Last Name

Name Suffix

Address (Lines 1, 2, 3)

City

State

Zip Code

Gender

First 3 Characters of First Name

Employment Instance*

NYSLRS ID*

* Will be ‘NEW’ since employer will not have the

identifier for new hiresLast 4 Digits of SSN

• Transaction 1 is only required for a new employee*

• *Exception: during Gold Certification process, bio data will be necessary to establish identities with NYSLRS

• This information creates the person in the NYSLRS system

• Once the person is created they are assigned a NYSLRS ID

• Complete SSN is required and is used to verify if they exist or if they are new

• This transaction is not designed to be used for changes in Biographical Data, such as an address change

• Members must initiate changes in Biographical Data directly with NYSLRS

Transaction 1 – Biographical Data

Transaction 2 – Job Data

JOB INFORMATIONOTHER ENROLLMENT

FACTORS

* Will be ‘NEW’ if submitting new hire

information

** Map to NYSLRS lists –see Appendix

ADDITIONAL

IDENTIFIERS

HR Transaction Type**

Effective Date


Last 4 Digits of SSN

Job Code**

Regular/Temporary

Employee Class

Annualized Rate of Pay

Pay FrequencyEligible for

VDC/TRS/ORP

Retired from Other System

Name of Other System

Standard Work Day

UNIQUE IDENTIFIER

NYSLRS ID*

Employment Instance*

Annual Compensation Rate

Full Time/Part Time


• Transaction 2 is required for new employees (hire) or if a person has a change in their job status or job data*

• HR Transaction = Hire for a new employee

• HR Transaction = Leave of Absence, Return from Leave, Military Leave, Termination for a job status change

• HR Transaction = Data Change for a change in the job information

• *Exception: during Gold Certification process, Job Data will be necessary to establish identities with NYSLRS

• Employers can verify the new hire information with name, last 4 of SSN, the new NYSLRS ID, and Employment Instance

• Employers should store NYSLRS ID & Employment Instance


• This information creates the job record for the person in the NYSLRS system

• Once the job record is created, an Employment Instance is created for the person

• This allows reported data to be collected for that job

• Standard Work Day information is required from employers

• Any leaves of absence should also be included in the Job Data report

• Examples of Employee Class: 10-month, 12-month provisional, 12-month, seasonal

Transaction 3 – Days & Contributions

PAY PERIOD DAYS DEDUCTIONS

Reported Post Tax Service Credit

Purchase

UNIQUE IDENTIFIER

NYSLRS ID

Employment Instance

Payroll End Date

Number of Pay Cycles in Period

Regular or Adjustment Ind.

Reported DaysReported Pre Tax

Contributions

Reported Post Tax Contributions

Reported Loan Payments

Reported Pre Tax Service Credit

Purchase

ADDITIONAL

IDENTIFIERS



Transaction 3 – Days & Contributions

• Transaction 3 is required for all employees where:

• Days were worked for the Payroll Period

• Contributions were deducted for the Payroll Period

• A Loan Payment was deducted for the Payroll Period

• Service Credit Purchase Payments were deducted for the Payroll Period

• Days and Contributions are stored for the NYSLRS ID and Employment Instance

• Employers should report actual days worked

• Loan and Service Credit Purchase Payments are applied to the appropriate accounts

• Only the monies actually owed will be accepted

Transaction 4 – Earnings Details

PAY PERIOD EARNINGS INFORMATIONUNIQUE IDENTIFIER

NYSLRS ID

Employment Instance

Payroll End Date

Regular or Adjustment Ind.

Reported Earnings Amount

Reported Earnings Code**

Reported Earnings Hours

ADDITIONAL

IDENTIFIERS



** Map to NYSLRS lists –see Appendix

Transaction 4 – Earnings Details

• Transaction 4 is required for all employees who had earnings for the payroll period

• Earnings are stored for the NYSLRS ID and Employment Instance

• Multiple earnings types can be reported with separate rows (amounts) and separate associated earnings codes

• ALL earnings (pensionable and non-pensionable) should be mapped to job earnings codes and reported to NYSLRS

• NYSLRS will provide the list of acceptable earnings codes

What’s Next?

• NYSLRS is interested in piloting our enhanced reporting format with a service provider and some of its associated clients (employers) as well as an in-house IT employer

• Potential Timeline

• Enhanced Reporting File Requirements to be shared at the end of the summer 2018

• Enhanced Reporting Pilot period aimed to begin in late fall 2018 (November/December)

• Formal enhanced reporting release to small pilot group in May 2019

SUPPORT

Website Links

• Employer Learn more pagehttps://www.osc.state.ny.us/retire/retirement_online/employers.php

• Payroll Provider documenthttps://www.osc.state.ny.us/retire/retirement_online/word_and_pdf_documents/ro-payroll-providers.pdf

Retirement Online Help Desk

1-844-619-9614

[email protected]

mailto:[email protected]

APPENDIX

PLEASE NOTE THAT CONTENT IN THIS SECTION IS “FOR

DISCUSSION ONLY” AND MAY BE SUBJECT TO CHANGE

Summary of New Data for NYSLRS

• NYSLRS ID

• Employment Instance

• Eligible for VDC/TRS/ORP?

• Retired from Other System

• Name of Other System (for the retiree)

• Earnings Codes

• HR Transactions

• Effective Date of HR Transactions

• Job Codes

Earnings CodesEarnings

CodeDescription Pensionable? Billable? Additional Details

DEF Deferred Payment Yes YesExamples: Comp-Time, Deferred OT, Holiday OT, Lag

Pay, Deferred Salary

GRAGrievance/Arbitration

AwardYes Yes

Examples: Legal Settlements that require legal determination administrative leave & suspension pay

HOL Holiday Payment Yes Yes

LON Longevity Yes Yes

LSV Lump Sum Vacation No No

MNPMiscellaneous Non-

PensionableNo No

Examples: meeting, fitness, vision, medical buyout, life insurance, non cash buyout, insurance stipend,

military stipend, award days, blood days, civil service merit, flag day, Free day, senior status, shooting time

pay, volunteer Firefighter duty leave, vacation buy back,

MPEMiscellaneous Pensionable

Yes YesExamples: Kelly Days, Contract Days, Chart Days,

Code, EMT, Paramedic, Shift Diff, Night Diff, Pre-Shift, Debriefing, parity pay, check in pay, etc.

OVT Regular Overtime Yes YesExamples: beyond 40 hrs, paid in excess of straight

time, out of title overtime

Earnings CodesEarnings

CodeDescription Pensionable? Billable? Additional Details

PEO Private Entity Overtime No NoExamples: Payment for any Sick Leave days at

retirement above the unpaid Sick Leave days reported under the Unpaid Sick Leave for 341J.

PEPPrivate Entity Overtime -

Public SafetyYes Yes

PSLPayment for Lump Sum Sick Leave (State Police)

Yes Yes

RBCRetroactive Pay/Balance

of ContractYes Yes

RBSRecurring Bonus

PaymentsYes Yes

Examples: Education, Training, Sick Incentive, Shooting, Physical Fitness, Stipend, Signing,

performance, MC etc.

REG Regular Earnings Yes Yes

Examples: regular wages, parental leave pay, on call pay, blood bank leave, sponsored function leave,

interview leave, jury duty leave, sabbatical pay, SS reimbursement, court appearance leave

RIMEmployee's Reimb for

WCNo No

USL Unpaid Sick Leave No No Reported at retirement for number of unused sick

leave days for members covered under 41J/341J. Max 165/200 days.

HR Transactions

Transaction Type Details

Hire • New employee• New job instance (see previous example slides)• Retiree that has returned to work

Termination • Terminating an employment

Data Change • If any of the employee’s job attributes change for an existing job (i.e. pay rate, full/part time status)

• If the employee has a new job, it should be reported as a hire• Opting into ORP

Leave of Absence • Any type of non-paid leave except military leave

Paid Leave of Absence • Any paid type of leave except military leave or medical leave

Medical Leave of Absence • Leave of absence for medical reasons

Military Leave • Leave of absence for military duty

Return from Leave • Return from any type of leave including military leave

Rehire • Rehired employee

Retirement with Pay • Retiree that is receiving retirement/pension payments

ERS Job CodesJob Code Short Description Long Description

00100EAdministrative Fire

OfficialElected and appointed fire officials, such as fire chiefs, who were not active

participants of firefighting activities.

00200EAdministrative Law

EnforcementElected and appointed police officials, such as chiefs or commissioners. These

officials were not active participants of police activities.

00300E Fire Commissioner This job code is specific to Nassau County.

00400E Fire MarshalThis job code is specific to Nassau County. All other employers should use the

administrative fire official job code (00100E).

00500E Police Commissioner This job code is specific to Nassau County.

00600E Accountant This job code should be used for an accountant or CPA of an organization.

00700EAdmin of Assigned

CounselThis job code should be used for an individual who assigns people legal cases

(typically a public defender).

00800EAmbulance Medical

TechnicianThis job code is specific to Nassau County.

00900E Appointed OfficeThis job code should be used for appointed management officials not on

timekeeping. This job code should also be used for members of legislatures, committees, and boards .


00950EAppointed Office

(Timekeeping)This job code should be used for individuals who submit timekeeping forms.

01200E Architect This job code should be used for any architects at an employer.

01300EReferee/Athletics

OfficialThis job code should be used for referees or athletic officials as it relates to

athletic events.

01400E Attorney/CounselThis job code should be used for attorneys, counselors, or anyone else who

provides legal advice.

01500E AuditorThis job code should be used for an individual who reviews processes and

financial records.

01600E Civil Law EnforcementThis job code should be used for law enforcement officials, such as constables

and patrolmen. This job code excludes sheriffs and policemen.

01700E CoachThis job code should be used for athletics coaches as it relates to sporting

events.

01900E ConsultantThis job code should be used for any paid professional hired to execute a

specific task.


02000E Correction OfficerThis job code should be used for an individual who works at a correction

facility as a correction officer.

02100EDep Sheriff /Court

Secty/JailorThis job code should be used for any Deputy Sheriff, court secretary, or jailor.

02500EUniform Correction

PersonnelThis job code should be used for any individual who works at a correction

facility. This job code excludes correction officers.

02600E Investigator This job code should be used for an investigator for District Attorney offices

02700E Doctor/Physician This job code should be used for any doctor or physician at the employer.

02800EEducation

AdministratorThis job code should be used for individuals in management roles that do not

have teaching credentials. This typically includes administrative positions.

02900E Elected OfficeThis job code should be used for an elected official such as senator, mayor,

governor, etc.

03200EElementary/Secondary

EducatorThis job code should be used for Elementary & High School teachers.

03300E EngineerThis job code should be used for any engineer at an employer including

Mechanical Engineer, Civil Engineer, etc.


03500E Equipment Operator This job code should be used for any drivers, forklift operators, etc.

03600E General EmployeeThis job code should only be used if the employer cannot identify any other

job code.

03800EHigher Education

InstructorThis job code should be used for college-level Instructors, Graduate

Assistants, Adjunct Professors, etc.

04000E Arbitrator/Negotiator This job code should be used for any labor negotiator.

04100ELabor Relations

SpecialistThis job code should be used for contract and labor negotiators.

04200E Laborer This job code should be used for individuals who perform manual labor.

04300E Management This job code should be used for any supervisors, policymakers, etc.

04400E Medical Support StaffThis job code should be used for individuals who hold a medical title such as

nurses and lab technicians. This job code excludes doctors.

04500E Office StaffThis job code should be used for individuals who work in an office, such as

clerical staff.


04600E Paramedic This job code is specific to Nassau County employers.

04700E Paraprofessional/AideThis job code should be used for teacher aides who are not a part of the

teaching staff.

04800EParaprofessional/Parale

galThis job code should be used for any Paralegal at the employer.

05000EPeace/Probation

OfficerThis job code should be used for any civil law enforcement such as uniformed

court officers and probation officers.

05200E Police Cadet/RecruitThis job code should be used for any recruits or academy attendees who do

not qualify to be an officer yet (for ERS employers).

05600E Programmer/Technician This job code should be used for any technology staff at the employer.

06000E Safety OfficerThis job code should be used for any officers who are not law enforcement,

such as Hall Monitors and School Security.

06100E Safety SecurityThis job code should be used for any safety security officer (state agencies

only).

06300ESec Hospital Treatment

Asst (State only)This job code should be used for individuals who perform correction officer-

like duties, but do not hold the title of "correction officer".


06400E Sheriff This job code should be used for elected or appointed sheriffs.

06500E Deputy Sheriff - Civil This job code is specific to Rockland County.

06700E Treasurer/Tax CollectorThis job code should be used for people who are authorized to collect

payment, usually in the form of taxes.

07100ESuperior Correction

OfficerThis job code should be used for correction officers who hold the title of

Lieutenant or Captain.

07200EUnified Court Peace Officer (State only)

This job code should be used for people who work solely for Office of Courts Administration, such as bailiffs.

07300ECorrections

Superintendent (State only)

This job code should be used for a superintendent of a corrections facility in New York State.

07400E Park Police/Ranger This job code is specific to Suffolk County.

08300E Traffic Officer This job code should be used for any traffic officers.

PFRS Job CodesJob Code Short Description Long Description

00100PAdministrative Fire

Official

This job code should be used for elected and appointed fire officials, such as fire chiefs, who were previously active participants of firefighting activities,

but no longer are.

00200PAdministrative Law

Enforcement

This job code should be used for elected and appointed police officials, such as chiefs or commissioners. These officials were active participants of police

activities, but no longer are.

01400PAttorney/Counsel

(State Only)This job code should be used for attorneys for the New York State Police

Department.

05200P Police Cadet/RecruitThis job code should be used for any recruits or academy attendees who do

not qualify to be an officer yet (for PFRS employers).

07300P Fire Fighter This job code should be used for a firefighter.

07400PForest Ranger (State

Only)This job code should be used for a Forest Ranger that is part of a state agency.

07500PSUNY Police (State

Only)This job code should be used for any SUNY Police officer.

00300P Police Commissioner This job code should be used for any police commissioners.

00500P Fire Commissioner This job code should be used for any fire commissioners.

PFRS Job CodesJob Code Short Description Long Description

07600PPark Police

Officer(State Only)This job code should be used for any Park Police officer that is part of a state

agency.

07700PENCON Police (State

Only)This job code should be used for any ENCON Police officer.

07900P State Police (State Only) This job code should be used for any State Police officer.

08000P Police/Patrol Officer This job code should be used for armed police force employees.

08100P Superior Fire FighterThis job code should be used for captain/lieutenants/chiefs/assistant chiefs

who receive uniform allowances in a fire department.

08200P Superior Police OfficerThis job code should be used for captain/lieutenants/chiefs/assistant chiefs

who receive uniform allowances in a police department.

enhanced report format and functionality · office of the new york state comptroller thomas p....

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