[{TableOfContents }]
!!!PRODUCE ROE FORM
For Canadian users, High Line provides capabilities to send an interface file to “Department of Employment and Social Development Canada” (ESDC) to print the Record of Employment.
In prior years, HRSDC developed the ROE Web application for employers to print ROE on the web. This ROE WEB facility is not available on the web to employers for download any more. The ROE Web facility has become obsolete as of March 31st, 2016 by the government. The ESDC has developed the ROE XML file for employers to produce the ROE information.
!ROE Web Sites
The users must refer to the following ESDC web site for government information and publication.
http://www.esdc.gc.ca/en/ei/roe/user_requirements/appendix_d.page
!!Required Set Up
!Step 1 - Define User Fields For [IEEI] Employment Screen & [IPPH] Employee Pays in [IMUF]
There are user fields on the [IEEI] Employment screen and the [IPPH] Employee Pays screen to be used by the UPROEF. If the user fields do not exist on [IMUF] screen, UPROEF program will generate the user fields automatically.
For a list of the user fields for ROE and what they are used for, review the page [ROE User Defined Fields|ROE USER DEFINED FIELDS].
If you are a first time user for UPROEF (ROE XML) or in a new database environment, please run UPROEF in Trial mode for any one employee. UPROEF will generate all user-defined fields on IMUF for ROE processing to be entered on IEEI, IPCL, IDTR, IDGR and IPPH screens.
!Step 2 - Define User Fields for ROE in [IPPH]
On the ‘Final Pay’ of the employee on IPPH screen, user can manually enter the Vacation Pay amount, Start Date, End Date, Statutory Holiday Pay and all the information that is required for Box 17, Box 19 for this pay
If the employee has no ‘Final Pay’ and the user wants to review the ROE by running UPROEF, then the most recent Pay Header that is closed will be used, Box 17 / 19 information can be entered
The default Box 17, 19 information will be derived by UPROEF using the IPPE ROE Elements for the Final Pay or the most recent Closed Pay if IPPH or IEEI UDF ROE information are not manually entered, please see below for list of ROE Elements
The Pay Header’s Group is used to retrieve the IDGR Government Registration Number (BN), the IPPH ROE UDF information will be reported under this
Defining ROE Box 17, 19 information at the Pay Header UDF level allows the user to pay and keep all related monetary amounts at the ‘Final Pay’ and to specify all DATES related to this ‘Final Pay’, e.g. Statutory Holiday Date, Special Payment Date etc
When employee is paid by Multiple Government Registration number (Group), the user can enter ROE Box 17, 19 information on Pay Header of the ‘Final Pay’ that is for a specific BN
When UPROEF is run in non-Trial mode, the UDF of this ‘Final Pay’ or the most recent Pay Header will be updated
Note: IPPH UDF ‘Prev ROE Upto’, ‘ROE 1ST Work Date’, ‘ROE Last Work Date’ are system maintained, no need to enter this
;Multiple Government Registration Examples:
An employee can be paid by more than one Government Registration Number (i.e. BN Business Number), the ‘Final Pay’ of the Pay Header will be used to retrieve ROE information
Example (1) – one Employment record on IEEI, two BN
* an employee has one IEEI employment, two IEAS Assignments belong to two Groups (Full time and Part time), each Group has different IDGR Government Registration Number
* IPPH has been paid for 2 Groups: Fulltime and Parttime
Example (2) – Multiple Employment records on IEEI, same BN
* an employee has been terminated and re-hired, multiple records on IEEI for the same BN
* IPPH has been paid for the subsequent IEEI record
* On 'Final Pay', user can enter ROE Box 17 / 19 information on Pay Header
* Employee will be reported under same BNe
!Step 3 - Define User Fields for ROE in [IEEI]
All user fields on [IEEI] screen are optional, you do not need to set up prior to running UPROEF.
NOTE: User can manually enter Box 17, Box 19 information on IPPH UDF or IEEI UDF. The IPPH UDF level will be used if it exists, otherwise the IEEI UDF level will be used.
If you enter any overridden information for an employee on [IEEI] user fields, then if subsequent ROE is needed, you must re-set the [IEEI] user fields, otherwise the user fields information will be re-used for the next ROE.
For ROE XML processing, some old IEEI UDF are no longer required. These UDF’s Prompts are identified with a suffix ‘-Obsolete’. These UDFs are for historical purpose and cannot be removed due to database constraint and these may have been used.
When UPROEF is run in non-Trial mode, the UDF of the 'Final Pay' (or for most recent) will be updated, however the IEEI UDF will only be udpated for the following general information:
* Prev ROE Upto
* ROE 1st Work Date
* ROE Last Work Date
* ROE Submitted 1
* ROE Submitted 2
__ROE User Defined Fields__
[{InsertPage page='ROE_USER_DEFINED_FIELDS'}]
!Step 4 - Define User Fields For Pay Calendars - Pay Period Type in [IMUF]
The user field, [ROE Pay Frequency|ROE PAY FREQUENCY (UDF)], is used for the Pay Calendars ([IPCL]) screen. If the user field does not exist on [IMUF] screen, UPROEF program will generate the user field automatically.
!Step 5 - Request For ROE in [IEEI]
You must manually request the ROE to be issued for an employee on [IEEI] screen [ROE Status|ROE_STATUS] field. You should specify '01 - ROE Required/Request' or '03 - Duplicate Requested'. If ROE Status = '00 - Not Required', employees do not need to be terminated in order to print the ROE information on UPROEF report.
!Step 6 - Define Pay Period Type For ROE in [IPCL]
ROE Pay Period Type must be one of the following codes to be reported on ROE:
||PAY PERIOD TYPE||Maximum # of Pay Periods to Include for Box 15
|B – Biweekly | Last 27
|M – Monthly | Last 13
|O - Monthly Non-Standard | Last 13
|S - Semi-Monthly | Last 25
|E - Semi-Monthly Non-Standard | Last 25
|H - Thirteen per Year | Last 14
|W – Weekly | Last 53
You may enter one of the above letters in the [ROE Pay Frequency|ROE PAY FREQUENCY (UDF)] field on [IPCL], otherwise the [IPCL] Pay Frequency description first letter will be used.
To enter this user field on [IPCL] screen, you must click the header section and then click the UDF button.
!Step 7 - Define Termination Reason Code [IDTR]
There are 3 ways in which the ROE Reason Code can be defined for employees
||Form||Column Name||Prompt||Lexicon||Length||Processing Order
|IEEI|ROE_LETTER|ROE Letter|X_ROE_LETTER|1 Digit|If populated this value will be used
|IDTR|ROE_REASON|ROE Reason Code|X_ROE_REASON|3 Digits|If the IEEI is not populated this value will be used
|IDTR|ROE_LETTER|ROE Reason|X_ROE_LETTER|1 Digit|If the IEEI and UDF are not populated this value will be used
The system will first check to see if a value has been entered into the IEEI in the ROE Letter field.
If the IEEI is not updated, the system will pull the value from the TERMINATION_REASON set up on [IDTR] and used when [IETR] is called.
On the IDTR there are 2 options for entering an ROE reason on the IETR if the IEEI ROE Reason Code is left blank.
1) The user may enter the 3 character [ROE Reason Code|ROE REASON CODE (UDF)] on [IDTR] screen for the termination code.
This UDF is linked to the lexicon [X_ROE_REASON].
To enter this user field on [IDTR] screen, you must click the header section and then click the UDF button.
Optionaly this field can also be added to the form using the IMFDH.
2) If the UDF is left blank then the value selected in the ROE_REASON field found on the IDTR can be used.
This column uses the [X_ROE_LETTER] lexicon for the ROE.
If the employee’s [IEEI] screen does not have a ROE Reason Code, then the IEEI Termination Code is used to retrieve the IDTR entry. If the IDTR entry has a UDF defined with the 3 characters, then this is used, otherwise the IDTR REASON CODE is used.
!Step 8 - Define FolderCD User Field [IDGR]
The user may enter the following information on the [IDGR] screen for the Group code:
* [ROE FolderCD|ROE FolderCD (UDF)] - it is used to identify in which folder the ROE in the payroll extract file is to be filed
* [ROE ORGNUM|ROE ORGNUM (UDF)] - is used to identify the owner's organization number of the CRA Payroll Account Number
To enter this user field on [IDGR] screen, you must click the header section and then click the UDF button.
!Step 9 – Request for ROE [IEEI]
On the [IEEI] screen for an employee, after the Employment record is selected, the user may enter the [ROE Status|ROE_STATUS] on [IEEI] screen.
If the ROE Status = ’00 - Not Required’, employees do not need to be terminated in order to print the ROE information on the UPROEF report.
!Step 10 - Define Pay Elements For ROE Box 17 and 19 in [IPPE]
If you need to report Box 17 or Box 19 amounts, please set up the following elements on [IPPE] screen or directly enter the amounts on the [IEEI] UDF to override the [IPPE] elements.
The Element names for Box 17 and Box 19 correspond to the [IEEI] user field names.
The [IEEI] user fields will be reported with the amount on ROE if there is non-zero amount in the associated elements on the 'Final Pay' or last pay of the employee.
[{Table
||Box Number||Description ||IEEI User Field ||Element
|Box 17A| Vacation Pay Amount| ‘ROE VACN PAY’ |'ROE VACN PAY'
|Box 17B |Statutory Holiday Amount| 'ROE STATHOL1 AMT'|'ROE STATHOL1 AMT'
| |Statutory Holiday Amount| 'ROE STATHOL2 AMT '|'ROE STATHOL2 AMT'
| |Statutory Holiday Amount| 'ROE STATHOL3 AMT '|'ROE STATHOL3 AMT'
| | ….up to
| |Statutory Holiday Amount| 'ROE STATHOL10 AMT '|'ROE STATHOL10 AMT'
| | Note: 'ROE STATHOL1 DATE' is truncated to 16 characters element 'ROE STATHOL1 DAT'|< |<
|Box 17C| Other Monies| 'ROE OTHER1 AMT'|'ROE OTHER1 ANT'
| |Other Monies |'ROE OTHER2 AMT '|'ROE OTHER2 AMT'
| |Other Monies |'ROE OTHER3 AMT '|'ROE OTHER3 AMT'
|Box 19 |Special Payments | 'ROE SPEC PYMT1 '|'ROE SPEC PYMT1'
| |Special Payments | 'ROE SPEC PYMT2 '|'ROE SPEC PYMT2'
| |Special Payments | 'ROE SPEC PYMT3 '|'ROE SPEC PYMT3'
Note: Effective March 2016, ROE is reported using the XML File format. The following Elements are OBSOLETE. User may rename these Elements to correspond to the Element Names above or to remove them.
| |Oboslete Element List: | |'ROE SPEC PYMT1'
| |Special Payments ||'ROE STATHOL1 DAT'
|| ||'ROE STATHOL2 DAT'
|| | |'ROE STATHOL3 DAT'
|| | |'ROE OTHER1 DESC'
|| ||'ROE OTHER2 DESC'
|| | |'ROE OTHER3 DESC'
|| ||'ROE SICK LV DATE'
|| ||'ROE SICK LV D/W'
}]
!Step 11 - Define Interface Format in [IDIF]
Seed data script is delivered to clients to load in [IDIF] Interface Code definition:
SEED_IDIF_HL$CAN-ROE-XML.sql
This seed data script will overwrite the same Interface Form Code if it exists, which allows for the delivery of new Interface format set up for the interface file.
You should use the (Copy Definition) button to copy the [IDIF] definition to a New Interface Code and then use the New Interface Code for UPROEF reporting.
Most of the [HL$CAN-ROE-XML] set up are pre-defined, you only need to enter the company contact information on [IDIF] screen.
The file naming standard: The ROE file name must include a file prefix, a dot and an extension as follows: (e.g. CAN_ROE200_mex.BLK). The user can override this File Name in the Prompt when UPROEF is run.
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!!Processing Information
UPROEF allows you to select employees from Employment screen to generate an interface file to send to the ‘Department of Employment and Social Development Canada’ (ESDC) to print the Record of Employment.
UPROEF parameter screen allows you to select employees by 'Employment Status' and 'Termination Reason'
An employee must be qualified for both the 'Employment Status' and 'Termination Reason' for the printing of ROE
An employee can be terminated through the [IETR] Termination Process.
An employee does not have to be terminated to generate an ROE.
An employee may request the ROE regardless of the employee's status, e.g. employee is on Leave, Terminated or even Active.
To request ROE for an employee, the [ROE Status|ROE_STATUS] field in the EMPLOYMENT [IEEI] screen must be one of the following:
;:01 - ROE Requested
;:03 - Duplicate Requested
You may run UPROEF with 'Exception Level = Utility Trace' to trace Box 15, 17 logic for the employee. Then after UPROEF is run, you may run [RMEX] to view the Trace statements for the execution ID of the UPROEF run.
You may generate the ROE File name with mex id by specifying the word 'mex' in the file name, e.g. ROE_file_mex.BLK, or ACME_ROE_mex.BLK.
UPROEF parameter screen allows you to select the ROE Interface Code.
!ROE Interface Code
The ROE Interface Code is mandatory, users may select either '[HL$CAN-ROE-XML]' or your own ROE Interface code.
NOTE: please copy the supplied [HL$CAN-ROE-XML] Interface code to a user defined Interface Code and use your code on UPROEF.
From this ROE Interface Code, the [IDIF] screen Form Type determines the number of pay periods to be used for the Pay Frequency.
!Box 17 Pay Period
If the employee is terminated and has been paid for final pay, the pay header that is marked with '[Final Pay Method|FINAL_PAY_METHOD]' = '01' will be used to derive Box 15, 17 and 19.
If an employee has not been paid for the 'Final Pay', the system will retrieve the most recent pay header that has the pay category marked as Regular Pay with the Pay Period Ending date on or prior to the user selected As of Date or the Assignment Detail's Leave date (whichever is earlier), this most recent pay period is used to derive Box 15, 17 and 19.
If the user has entered an overridden 'ROE Box 17 Period' on [IPPH] / [IEEI] user fields, then this overridden pay period is used for Box 17 and 19 processing.
!Update Mode
You may run UPROEF in Trial mode and verify the ROE information prior to running in Update mode.
If the 'Trial' prompt = ‘Yes’, then the EMPLOYMENT and PAY HEADER information will not be updated.
If the 'Trial' prompt = ‘No’, (i.e. in Update mode), the following EMPLOYMENT information will be updated if the [ROE Status|ROE_STATUS] = '01-ROE Required/Request', '03-Duplicate Requested'
!Maintain Employment Record [IEEI]
;[Employment screen|]
;[ROE Status|ROE_STATUS]:If the [ROE Status|ROE_STATUS] = '01', then the [ROE Status|ROE_STATUS] is updated to '02 - ROE Issued'. If the [ROE Status|ROE_STATUS] = '03 - Duplicate Requested', then update to '04 - Duplicate Issued'
;[ROE Issued|ROE_ISSUED_DATE]: Updated to the ROE Issued Date from parameter of UPROEF run
;[ROE Letter|ROE_LETTER]: Updated to the ROE Letter of the Termination Reason for the employee or the ROE reason that is overridden for this employee on [IEEI] screen user field '[ROE Reason Code|ROE REASON CODE (UDF)]'
;[Pay Header UDF and Employment UDF (User Defined Fields)|]
For a list of User Defined fields for ROE and what they are used for review the page [ROE User Defined Fields|ROE USER DEFINED FIELDS].
!Multiple Employments
If employee has multiple Employments on [IEEI] screen, please request ROE on the '[ROE Status|ROE_STATUS]' field for each of the Employment record on [IEEI] screen.
If multiple Employments belong to the same Government Registration Number, these Employments are combined together and report on one ROE.
If multiple Employments belong to different Government Registration Number, then multiple ROEs will be issued for different Government Registration numbers for the same employee.
You must pay attention to the user-defined fields for each of the Employment record prior to running UPROEF
!Multiple Government Registration Numbers (BN)
From Pay Headers Group code, it determines the Government Registration Number to be reported on ROE.
If employee has been paid by different Group codes, either by multiple Employments or Assignments, then the employee can be paid by one or multiple Government Registration Numbers.
When UPROEF is run, you may request to run for one or multiple Government Registration Numbers.
The design of the ROE Web Training environment only allows HRSDC to create one unique CRA BN for each employer. However, ROE Web Production allows you to create as many BNs as the employer requests/uses. Although you cannot test the multiple BNs in training
environment, this is normal business practice for many Canadian employers so this will be seamless in the production environment.
As well in production, HRSDC have a feature called the "ROE Overlap rule" that enables employers to issue multiple ROEs to the same employee for same periods of employment under different BNs. This must be requested by the employer when they register for ROE Web at a local HRSDC office.
When reporting for multiple Government Registration Numbers for one employee, the employee's most recent pay period that is paid is used to report on multiple ROEs.
!Amend / Replace ROE
If an ROE needs to be replaced or amended to correct information on the ROE form, the following steps need to be followed:
* Make the necessary changes to the employee’s records
** On IEEI 'ROE Status' field – change to ‘ROE Required/Request’
** On IEEI User Field – ‘Prev ROE Upto’ – remove the value in this field
** On IEEI User Field – ‘ROE Amend/Replace Serial#’ – specify the Serial Number of the ROE that is being amended or replaced. This value will be put into Box 2 of the ROE.
** On IPPH User Field – ‘Prev ROE Upto’ – remove the value in this field
\\ \\
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!!Report Parameters & Filters
||Report Parameters||
|Entity |You must enter one entity. (Mandatory)
|Federal Regist Set| Enter one or more Federal Registration Sets. (Optional)
|Federal Regist Number| Enter one or more Federal Registration Numbers. (Optional)
|ROE Status| This field indicates the ROE Statuses to be processed from Employments. (Mandatory) Lexicon [X_ROE_STATUS]. This allows users to select to print '01 - ROE Required/Request' or '03 - Duplicate Requested' independently. If '00 - Not Required' is selected, employees do not need to be terminated, you can request sample ROE report prior to the employee's termination. If this parameter is not specified, all qualified Employments will be processed including to the previously issued ROE.
|As of Date| This date is used to retrieve employee demographic information if necessary. Also to retrieve the closed pays with the pay issue date up to this date.
|ROE Issue Date| This date will be printed on ROE as the ROE issued date.
|ROE Status| This indicates the ROE Statuses to be processed from Employments. This allows user to select to print ‘01 – ROE Required/Request’ or ‘03 – Duplicate Requested’ independently. If ‘00 – Not Required’ is selected, employees do not need to be terminated, the user can request sample ROE report prior to employee’s termination. If this parameter is not specified, all qualified Employments will be processed including to the previously issued ROE.
|Sort Employees By |You should sort employees by Last Name/First Name, however you may sort by employee's pay destination for distribution or sort by Person code. Lexicon [X_PERSON_SORT]
|Sort by Active/Inactive| Check this toggle to sort inactive employees first for mailing purpose
|ROE Interface Code| '[HL$CAN-ROE-XML]' or your Interface Code (Mandatory). NOTE – copy the High Line supplied HL$CAN-ROE-XML Interface code to a user defined Interface Code and use your code on UPROEF
|Directory Name |Enter a valid directory name.
|File Name| Enter a file name or use the default file name from [IDIF]. ROE Web interface file naming convention: File name is maximum of 32 alphanumeric, file extension must be 'BLK' e.g. ACME_ROE200.BLK
|Exception Level| You should always run with Exception level only unless for tracing
|Trial| Allows you to run UPROEF in Trial mode for testing and update mode to update the Employment ROE information (Optional)
|ER Addr Location |Allows you to enter an overridden Location to retrieve the Employer Address (Optional) If this is not specified, the entity's location address is used.
|ROE Process Method| Indicates the ROE Processing method on the ROE Web interface file. (Optional) Lexicon [X_ROE_PROC_METH]. This allows you to select to print Draft or Actual ROE for each UPROEF run.
|User Comment| Allows entry of user comments to be printed on report (Optional)
||Report Filters||
|Payroll| Enter one or more Payroll Codes (Optional)
|Department| Enter one or more Department Codes (Optional)
|Org Level Type| Enter one or more Org Level Types (Optional)
|Org Level |Enter one or more Org Level within Org Level Types (Optional)
|Authorization| Enter one or more Authorization Areas (Optional)
|Location |Enter one or more Location codes (Optional)
|Unit| Enter one or more Unit codes (Optional)
|Group |Enter one or more Group codes (Optional)
|People List Code| Please specify if People list is to be used (Optional)
|Person Code |Enter one or more Person Codes (Optional)
|Employment Status| Enter one or more Employment Statuses (Optional)
|Termination Reason |Enter one or more Termination Reasons (Optional)
!!!ROE XML FILE VALIDATION
!!ROE XML Schema
• ROE government website is: http://www.esdc.gc.ca/en/ei/roe/user_requirements/appendix_d.page
• The user should download and save the following PayrollExtractXmlV2.xsd (20kb) file into your own directory in order to validate the payroll extract file structure before transferring the file using ROE Web. To perform this kind of validation, you need a tool that is capable of validating an XML schema.
• The ‘2016 XMLSPY software’ is used in the following example to perform the ROE XML Validation with the ROE XML Schema
!!ROE XML Validation
• After UPROEF is run, the user can open the ROE XML file that is generated by UPROEF with XMLSpy
• Then click ‘DTD/Schema’ to ‘Assign Schema’ and select PayrollExtractXmlV2.xsd (20kb) that you have saved before
• Then click the ‘Yellow Tick’ to check the ROE XML file is well-formed
• Then click the ‘Green Tick’ to validate the ROE XML file with the XML Schema
• If there is no issues, then it will display the xml is valid and this file is ready to transmit to the government ROEWEB
[{Image src='UPROEF-1.JPG' width='500' align='center' link='attach/UPROEF-1.JPG'}]
!!ROE XML File Error
• Although the ROE XML file is always well-formed, but the XML Schema may have some dependency fields that are causing the XML file invalid and thus will be rejected by the government.
• When there are errors with the ROE XML file, the file is displayed as ‘xml is not valid’ in XMLSPY
• Then click the incorrect ‘Element’ to go to the Error location, and you can click the link to the government website to cross reference the incorrect Tag to find out what causes the problem
• In this error below, Box 17A Vacation Amount requires a mandatory Vacation Code and therefore the xml file is invalid
[{Image src='UPROEF-2.JPG' width='500' align='center' link='attach/UPROEF-2.JPG'}]
- User must enter the Vacation Code on IEEI UDF [ROE VACN CODE (UDF)] and re-run UPROEF
- If this [ROE VACN CODE (UDF)] UDF is not set up, then IDIF screen HL$CAN-ROE-XML ‘Vacation Pay Code’ derivation expression will default to Code ‘2-Paid – no longer working’
[{Image src='UPROEF-3.JPG' width='500' align='center' link='attach/UPROEF-3.JPG'}]
- If Box 17C Other Money Amount is not zero, it requires a mandatory Other Money Code
- The user must enter the Other Monies Code on IEEI UDF [ROE OTHER1 CODE (UDF)] for UPROEF, otherwise the xml file is invalid
- If this {ROE OTHER1 CODE (UDF)] UDF is not set up, then IDIF screen HL$CAN-ROE-XML ‘Other Monies Code 1’ derivation expression will default to Code ‘O00 – Other’
[{Image src='UPROEF-4.JPG' width='500' align='center' link='attach/UPROEF-4.JPG'}]
- UPROEF report will issue the following Warning messages when an amount is on the xml file and the code is missing.
- Users should manually enter the appropriate codes on IEEI UDF and then re-run UPROEF.
[{Image src='UPROEF-5.JPG' width='750' align='center' link='attach/UPROEF-5.JPG'}]
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![Notes|Edit:Internal.UPROEF]
[{InsertPage page='Internal.UPROEF' default}]