UPCAPERSXML California PERS (CalPERS) - New XML Format UPDATE HISTORY RForbes Aug 12 2011 Original version RForbes Oct 06 2011 Improved reporting for Retirees RDepapp Jan 18 2012 Implemented the UPCAPERSXML Function to replacing UPPHF. RForbes Feb 21 2012 Added new element PERSRPT LOAN RForbes Mar 14 2012 New parameter for SIP2 File name The CalPERS organization has defined a new file format (XML) for submissions. This interface will replace that which was created by the UPCAPERS program in ePersonality. The UPCAPERS program will be deprecated and may eventually become obsolete. The UPCAPERS program can still be used to produce reports To create the new XML format, the interface creation program UPCAPERSXML will now be used to generate the CalPERS file. The IDIF definition used for the previous UPPHF-based implementation is no longer used. The amounts that will be reported must find their way into the pay components / elements that are used by this interface. This can be accomplished through CalPERS benefit plan set up, transactions being entered or UserCalcs. Nothing is recomputed by this PERS file creation program. California PERS operates a number of different retirement systems. At this time, only the Public Employees’ Retirement System (PERS) is supported. There is no support provided for Judges’ Retirement Systems (JR1 and JR2), Legislators’ Retirement System (LRS) or the Supplemental Income Plan (SIP). Benefit Plan Changes / Setup 2 Creating New Elements 2 Loading Employee Identifiers from CalPERS 4 Identifying Retired Annuitants 4 Retroactive Pay 5 Special Compensation Codes 5 Launching UPCAPERSXML 6 Special Compensation Codes Matrix 8 Sample XML Output 12

Benefit Plan Changes / Setup The Benefit Plan in is still required. Any values that are computed by the benefit plan that you want to report to CalPERS must now be stored in a pay component for the UPCAPERSMXL program to pick up. Creating New Elements To facilitate reporting through the UPCAPERSXML program, certain elements have been defined. The following elements may be defined to include the pay components that reflect the different categories of information. If you are not using one of these categories, then you do not have to set up the element. Element name Meaning PERSRPT EARNS The reportable earnings as defined by CalPERS of the member for the reported period. PERSRPT DEDN TAX The reported contribution/deduction amount paid by the member that has been taxed PERSRPT DEDN The reported contribution amount paid by the member which has not been taxed PERSRPT CONT The reported contribution amount paid by the employer which has not been taxed PERSRPT SURVIVOR The reported 1959 survivor benefit contribution amount paid by the member PERSRPT DEDN ADD This does not apply to most Employers. The “additional” contribution paid by member

This is an old program and is no longer available to new hires. Contribution can be reported in this program only if member had been contributing to it continuously from the date when they had enrolled in this program PERSRPT CONT ADD This does not apply to most Employers. The “additional” contribution paid by employer. This money is a tax deferred contribution

This is an old program and is no longer available to new hires. Contribution can be reported in this program only if employers had been contributing to it continuously PERSRPT HOURS The total number of hours that the CalPERS retiree (required) has worked during the reported period PERSRPT OPR Deduction for overpayment received PERSRPT SCP TAX Service credit purchase taxed PERSRPT SCP DEF Service credit purchase tax deferred PERSRPT SIP2 457 Plan. This Element should only be populated if the CalPERS Plan has 457 Supplemental Income associated with it PERSRPT LOAN After Tax Loan Payment

Using User Defined Fields User Defined Fields are utilized, at this time, for storing some CalPERS information. These User Fields are all required and UPCAPERSXML will issue error messages and terminate if any are missing. The following User Defined Fields (UDFs) are required for operation of this XML interface and need to be defined on IMUF, as character fields: User Field Table Alias Meaning CALPERS_INTERFACE_TYPE DED This CalPERS ID is a new unique identifier, created by the new system. The CalPERS XML Schema names this item ‘Interface Type’ and most likely should contain ‘10006’ for regular Payroll. CALPERS_BP_ID DED If you are reporting your own payroll files the Business Partner ID is the same as the Employer CalPERS ID. If you use a third-party vendor then CalPERS will assign a unique identifier number once the third-party becomes an approved business partner CALPERS_EMPLOYER_ID DED This CalPERS ID is a new unique identifier, created by the new system. This replaces the CalPERS Employer Code and Unit Code used today. This CalPERS ID of the Employer who is submitting the payroll on behalf of all the employees in the file. This may be the Employer where all the employees are working, but it may also be the Employer who is authorized to send payroll for other Employers’ employees POSTED UPCAPERS PPH A flag that is used to indicate if the pay header has been posted to CalPERS or not. A value of “Y” means that it has, and it will not be processed by subsequent UPCAPERSXML runs. A value of “N” or null means that it has not yet been processed and is eligible to be picked up.

Note that this UDF has a space in the name not an underscore. This is for compatibility with prior versions of CalPERS reporting.

CALPERS_ID EID CalPERS-generated unique CalPERS ID for Participant

• The CalPERS ID will be 10 digits in length and used in place of a Social Security Number in contribution files. Prior to system “go-live”, CalPERS will send employers a file with the CalPERS ID for each of their existing employees APPOINTMENT_ID EASD The code representing the appointment into which the Employee has been hired

• Prior to system implementation, CalPERS will provide Employers a list of their member’s Appointment IDs. After system implementation Employers can run a report online to generate a list of Appointment IDs • If multiple appointments exists with reporting employer, Appointment ID must be provided or the payroll record will error PERS_MEMO EASD This memo line can be provided by the employer as a reference field. CalPERS will store this information and provide it back to the employer on a download of FTP response. PERSRPT SIP Type DUD This line reads from the Lexicon X_PERSRPT_SIP (created above) to return one of four values PERSRPT SIP1, PERSRPT SIP2, PERSRPT SIP3 or PERSRPT SIP4. Currently only PERSRPT SIP2 is supported for SIP reporting. Pers SIP Plan Id DUD Pers SIP Plan Id is the plan identification number supplied by CALPERS for the Unit that is being reported. Loading Employee Identifiers from CalPERS CalPERS provides a spreadsheet of employee identifiers. There are actually three different identifiers in this spreadsheet: • CalPERS ID –The CalPERS ID is a new unique identifier, which will be created by the new system during enrolment and will be used to identify participants when sharing data with CalPERS. This is tied to the employee on the IEID screen. • Appointment ID - CalPERS will generate and store Appointment ID for the Participant at the time of enrolment, and this is tied to the employee’s position on the IEAS screen • Beneficiary ID – CalPERS is creating a unique identifier for the beneficiaries. This is not currently used. High Line can assist you in loading this data into the User Defined fields noted above, if desired. Identifying Retired Annuitants Retired Annuitants may be identified either through their Employment Status (on IEAS) or via enrolment in a CALPERS plan. Option 1 – Employment Status You can create a new employment status on IDES called “PERS ANNUITANT” as shown here. Any employee who has this assignment status will be considered a Retiree Annuitant. Option 2 – Retiree Plan Coverage You can create a new coverage level for your CAPERS benefit plan and include the word “RETIREE” in the Policy Number (this is not case sensitive). Employees who are enrolled in this description will be considered a Retiree Annuitant. An employee may only be enrolled in one plan of type = CAPERS. The actual plan code does not matter. Retroactive Pay My|CalPERS requires that any Retroactive Pay be reported in separate ‘Transaction Types’. To accommodate this, Retroactive Pay must be created with UPRETRO and be stored into a Pay Category that is Pay Category type ’07-Reto Pay’. Special Compensation Codes A user-defined lexicon (CALPERS_SC) has been created to cross-reference the CalPERS Special Compensation Codes, their categories and the Pay Components or Elements that reflect the value for that special compensation. If you will use Special Compensation codes, you must run the script create_CALPERS_SC_lexicon.sql which is included with the 4.10 Backend release. This will create the structure as noted below. You can then delete any records that do not pertain to your operation. Any changes you make, will be kept unless you run that script again. The lexicon is CALPERS_SC and has the following structure in IMLN: SAVED VALUE Special Compensation Type - which is a value from the List provided by the CalPERS agency e.g. DST - Dictation/Shorthand/typing Premium e.g. PFP - Physical Fitness Program DISPLAYED_VALUE This is the Pay Component Code or Element name (if it starts with E- (eg E-EARNS23)) that contains the value for the special compensation MEANING This is the Compensation Category (from CalPERS Agency) - must be one of ICP, EDP, PPP, SAP, SSI, SCL or UNK. if not specified will be lumped in with UNK ICP - Incentive Pay EDP - Educational Pay PPP - Premium Pay SAP - Special Assignment Pay SSI - Statutory Items UNK - Unknown SCL - Sp Comp Legacy

You can use the table at the end of this document to aid in filling out this lexicon value set. If you are not using a particular special compensation code, you can leave it with its initial value or delete the record from IMLN. Launching UPCAPERSXML To create the CalPERS file, you must launch the UPCAPERSXML function. This is a batch process that could be scheduled as well. The following parameters have significance for the purposes of the CalPERS interface file generation: Entity Code One Entity is allowed only per execution. Employer CalPERS ID is unique per Entity Pay Calendar Only one Pay Calendar (Frequency) per execution Pay Period This identifies the Pay Period of the current CalPERS Reporting Cycle. Any transactions that are dated previous to the Period Begin Date of this period are considered adjustments. Directory Name This is the directory on the data base server that you want to have the file created in. This must be a directory (or directory object) that is write-enabled for the data base process. CPE File Name The name of the actual file you want created, for Payroll & Retirement submission. Note that CalPERS expects files that will be submitted to be in a specific naming format. SP2 File Name The name of the actual file you want created, for SIP2 submission. If this file name is provided AND there are SIP2 entries to be made, they will be written to this file, instead of the CPE file. Note that this file name is optional. Test Report If set to “No” will update the POSTED UPCAPERS field with a “Y” so the pay header being processed does not get picked up again in a subsequent run. The generated XML file will be marked as a valid file. If set to “Yes” the generated XML file will be marked as a ‘Test Run’ and the POSTED UPCAPERS field will not be updated. Filters These filters can be used to further narrow down the list of pay headers that you wish to process. Typically Entity, Payroll and Pay Run Number are used to filter to a specific pay run, or Person may be used to run tests against a subset of employees. Note that the PAY RUN NUMBER filter will only show pay runs that are for the pay period selected in the report parameters section. The “Report List” will indicate all the Pays, as seen on IPPH that will be processed by the UPCAPERSXML program. Special Compensation Codes Matrix SAVED VALUE Special Compensation Type - which is a value from the List provided by the CalPERS agency e.g. DST - Dictation/Shorthand/typing Premium e.g. PFP - Physical Fitness Program DISPLAYED_VALUE This is the Pay Component Code or Element name (if it starts with E- (eg E-EARNS23)) that contains the value for the special compensation For example, if for Educational Incentive Pay (EEI) you are computing/entering this in pay component 6543, you would update the displayed value for the EEI entry from PC or E-Element to 6543. For example, if you had an element called EDUC_INCENT which contained all the pay components going into this special compensation category, you would update the displayed value from PC or E-Element to E-EDUC_INCENT – the E- at the beginning is the trigger to identify the value as an element MEANING This is the Compensation Category (from CalPERS Agency) - must be one of ICP, EDP, PPP, SAP, SSI, SCL or UNK. if not specified will be lumped in with UNK ICP - Incentive Pay EDP - Educational Pay PPP - Premium Pay SAP - Special Assignment Pay SSI - Statutory Items UNK - Unknown SCL - Sp Comp Legacy

Incentive Pay (ICP) Type Long Name PC Code Element Code BON Bonus DST Dictation/Shorthand/typing Premium LLP Longevity Pay MIP Management Incentive Pay MKP Marksmanship Pay MPO Master Police Officer PFP Physical Fitness Program VEP Value of Employer Paid Member Contributions OSP Off-Salary-Schedule Pay

Educational Pay (EDP) Type Long Name PC Code Element Code AAD Applicator’s Differential CPA Certified Public Accountant Incentive EEI Educational Incentive EMT Emergency Medical Technician Pay ERP Engineering Registration Premium GAR Government Agency Required Licenses ICB International Conference of Building Officials Certificate MPP Mechanical Premium NAS National Institute of Automotive Service Excellence Certificate NPP Notary Pay PPP Paramedic Pay POS Peace Officer Standard Training (POST) Certificate Pay RSP Reading Specialist Premium RRB Recertification Bonus SCD Special Class Driver’s License Pay UGD Undergraduate/Graduate/Doctoral Credit

Premium Pay (PPP) Type Long Name PC Code Element Code TUP Temporary Upgrade Pay

Special Assignment Pay (SAP) Type Long Name PC Code Element Code AAP Accountant Premium ASP Administrative Secretary Premium APP Aircraft/Helicopter Pilot Premium AWP Asphalt Work Premium AVP Audio Visual Premium APR Auditorium Preparation Premium BBP Bilingual Premium BAP Branch Assignment Premium COA Canine Officer/Animal Premium CFP Cement Finisher Premium CLP Circulation Librarian Premium COP Computer Operations Premium CCP Confidential Premium CAC Contract Administrator Coordinator Premium CSI Crime Scene Investigator Premium CCD Critical Care Differential Premium DAP D.A.R.E. Premium DSP Detention Services Premium DDP Detective Division Premium DTO DUI Traffic Officer Premium EOP Extradition Officer Premium FIP Fire Inspector Premium FIN Fire Investigator Premium FPA Fire Protection Assignment Premium FSP Fire Staff Premium FTP Flight Time Premium FDP Float Differential Premium FDA Front Desk Assignment (Jail) FOP Fugitive Officer Premium GDA Gang Detail Assignment Premium GAP Grading Assignment Premium HZP Hazard Premium HSE Heavy/Special Equipment Operator HHP Height Premium HSP Housing Specialist Premium JOP Juvenile Officer Premium LWP Lead Worker/Supervisor Premium LRD Library Reference Desk Premium GMP Gas Maintenance Premium PIS Plumber Irrigation System Premium RCP Refuse Collector Premium SLR Street Lamp Replacement Premium MCI MCO Instructor Premium MOP Motorcycle Patrol Premium MMP Mounted Patrol Premium NDP Narcotic Division Premium PCP Paramedic Coordinator Premium PPC Park Construction Premium PMM Park Maintenance/Equipment Manager Premium PCC Parking Citation Premium PAP Patrol Premium PAO Police Administrative Officer PIP Police Investigator Premium PLP Police Liaison Premium PPO Police Polygraph Officer PRA Police Records Assignment Premium RMP Range master Premium RAC Refugee Arrival Cleanup Premium SOT Safety Officer Training/Coordinator Premium SPP Sandblasting Premium SYP School Yard Premium SEP Search Pay Premium SDP Severely Disabled Premium SCP Sewer Crew Premium SDD Shift Differential SSP Solo Patrol Premium SBP Sprinkler and Backflow Premium TIP Tiller Premium TTP Tire Technician Premium TDP Traffic Detail Premium TPP Training Premium TCP Tree Crew Premium USO Utility Systems Operation Premium WCP Water Certification Premium

Statutory Items (SSI) Type Long Name PC Code Element Code FLS Fair Labor Standards Act (FLSA) HPP Holiday Pay UAA Uniform Allowance

Unknown (UNK) UNK Unknown