enhanced report format and functionality · office of the new york state comptroller thomas p....
TRANSCRIPT
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
• Location Code: 00100
• NYSLRS ID: R12345678
• Employment Instance: 1
• Job Title: Bus Driver
• Eligible Benefit Plan: A15
• Rate of Pay: $1000/month
• Standard Work Day: 8hrs/day
JOB 2
• Employers can report these two jobs separately• Different job titles• Different eligible benefit plans
• Location Code: 00100
• NYSLRS ID: R12345678
• Employment Instance: 0
• Job Title: Aide
• Eligible Benefit Plan: A15
• Rate of Pay: $800/month
• Standard Work Day: 8hrs/day
• Location Code: 00100
• NYSLRS ID: R12345678
• Employment Instance: 0
• Job Title: Secretary
• Eligible Benefit Plan: A15
• Rate of Pay: $500/month
• Standard Work Day: 8hrs/day
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
First 3 Characters of First Name
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 – Job Data
• 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
Transaction 2 – Job Data
• 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
First 3 Characters of First Name
Last 4 Digits of SSN
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
First 3 Characters of First Name
Last 4 Digits of SSN
** 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
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 .
ERS Job CodesJob Code Short Description Long Description
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.
ERS Job CodesJob Code Short Description Long Description
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.
ERS Job CodesJob Code Short Description Long Description
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.
ERS Job CodesJob Code Short Description Long Description
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".
ERS Job CodesJob Code Short Description Long Description
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.