UPCAPERSXML - CALIFORNIA PERS (CalPERS) - NEW XML FORMAT#

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 the application. UPCAPERS will be deprecated and may eventually become obsolete. UPCAPERS can still be used to produce reports. Note Nov 2017 UPCAPERS is not longer available in version 5.04.xx

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#

The Benefit Plan is still required, any values that are computed by the benefit plan that need to report to CalPERS must now be stored in a pay component for the UPCAPERSMXL program to pick up.

Function Preference Setup#

There is a new 'Function Preference' called SCHED HRS ALIAS. By default the regular 'Scheduled Hours' is taken from IEAS. If it should be taken from DJB or DPS then this preference can have a value of exactly 'DPS' or 'DJB'.

Scheduled Full Time Hours ( <n1:ScheduledFullTimeHoursPerWeek>) is now taken from one of three new columns (depending on the Preference setup). It is taken in order by EASD.REPORT_HOURS_PER_WEEK if populated, then DPD.REPORT_HOURS_PER_WEEK, and then DJD.REPORT_HOURS_PER_WEEK. This upgrade was primarily to handle Part Time Employees properly.

Creating New Elements#

To facilitate reporting through UPCAPERSXML, certain elements have been defined. The following elements may be defined to include the pay components that reflect the different categories of information. Unless otherwise identified below, these elements must all be set up, even if they are empty.

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, it is the “additional” contribution paid by the member. This is an old program and is no longer available to new hires. Contributions can be reported in this program only if the member had been contributing to it continuously from the date when they had enrolled in the program.
PERSRPT CONT ADD	This does not apply to most employers, it is 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. Contributions 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 - This element is optional
PERSADJ RSA EE	Employee Retro Earnings Contribution
PERSADJ RSA ER	Employer Retro Earnings Contribution
PERSADJ RSC EE	Employee Retro Special Compensation Earnings Contribution
PERSADJ RSC ER	Employer Retro Special Compensation Earnings Contribution
PERSRPT EE SIP2	(Optional) SIP2 Employer Contributions.457 Plan - This element should only be populated if the CalPERS Plan has 457 Supplemental Income associated with it.
PERSRPT ER SIP2	(Optional) SIP2 Employer Contributions. 457 Plan - This element should only be populated if the CalPERS Plan has 457 Supplemental Income associated with it.
PERSRPT LN SIP2	(Optional) SIP2 Loan

Using User Defined Fields#

User-defined fields (UDFs) are utilized, at this time, for storing some CalPERS information. These UDFs are all required and UPCAPERSXML will issue error messages and terminate if any are missing.

Recent changes have allowed some of these fields to be instead referenced directly via database columns, but not all UDF's have been replaced at this time.

The following 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 pyroll.
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 is 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. This User Defined Field has been replaced by the database column POSTED_RETIREMENT as of the 4.10 release.
CALPERS_ID	EID	the CalPERS-generated unique CalPERS ID for the participant The CalPERS ID will be ten 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. This is for compatibility with prior versions of CalPERS reporting. This User Defined Field has been replaced by the database column EXTERNAL_RETIREMENT_ID as of the 4.10 release.
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 the reporting employer, Appointment ID must be provided or the payroll record will error. This User Defined Field has been replaced by the database column EXTERNAL_APPOINTMENT_ID as of the 4.10 release.
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 enrollment and will be used to identify participants when sharing data with CalPERS. This is tied to the employee on IEID.
• Appointment ID - CalPERS will generate and store Appointment ID for the participant at the time of enrollment, and this is tied to the employee’s position on IEAS.
• Beneficiary ID – CalPERS is creating a unique identifier for the beneficiaries. This is not currently used.

Support can assist 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 enrollment in a CALPERS plan. These employees will appear with a transaction type of "EPN" on the file.

Option 1 – Employment Status#

A new employment status on IDES called “PERS ANNUITANT” can be created. 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.

Semi-Monthly payrolls#

Note that for semi-monthly payrolls, the user has to run UPCAPERSXML for the SECOND period in the month. Semi-monthly payrolls are reported on a monthly basis and therefore only one out of the two pay periods are used for reporting (the second pay period in the month).

Transaction Types#

Retroactive Pay (RSA) is determined by the 'Pay Category Type' of RETRO.

If the Pay is NOT RETRO then the Pay is considered a Current Period Contribution (EPR) if the Pay is in the Current Pay Period.

If the Pay is NOT RETRO then the Pay is considered a Prior Period Contribution (PPA) if the Pay dated before the Current Pay Period.

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 has the Pay Category type of ’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. Any records that do not pertain to your operation can then be deleted. Any changes made will be kept unless that script is run 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). This must be one of ICP, EDP, PPP, SAP, SSI, SCL or UNK. If the category is not specified, the compensation 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

The table at the bottom of this page can be used 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, the UPCAPERSXML function must be launched. 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:

Report Parameters & Filters#

Report Parameters
Entity	Mandatory, LOV available One entity is allowed only per execution. Employer CalPERS ID is unique per entity.
Pay Calendar	Mandatory, LOV available This field limits the process to the pay calendar specified. Only one pay calendar (frequency) is allowed per execution.
(CPE) Pay Period	Mandatory, LOV available This identifies which Pay goes to the CPE (California Public Employees' Retirement System) Report.
Beginning Pay Period	Mandatory, LOV available This identifies the starting 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.
Ending Pay Period	Mandatory, LOV available This identifies the ending pay period of the current CalPERS Reporting Cycle. Any transactions that are dated after the Period End date of this period are considered adjustments.
Combine Start End PP	Optional If set to "Yes", report will combine Start and End Pay Periods.
Incl RSA in ADJ	Optional If set to "Yes", report will include RSA (Retroactive Salary Adjustment) in ADJ report type.
Directory Name	Mandatory, Text 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	Mandatory, Text This is 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	Optional, Text 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	Mandatory, LOV available If set to “No”, the POSTED UPCAPERS field will be updated 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.
Exception Level	Optional, Exception Level lexicon available This field defines the exception level (report messages) required. A ‘trace’ report of exception messages may be produced to assist in the testing phase. If necessary, choose from 0 – 9 (highest) level of trace. Please note that this is a voluminous report and will cause very slow performance.
User Comments	Optional, Text This field holds the user-supplied comment which will appear in the header of all pages of the report. This is useful during testing phases to identify similar reports from each other.

Report 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.

Person List Code	Optional, Multiple selections, LOV available This field limits the report to the person lists specified.
Person	Optional, Multiple selections, LOV available This field limits the report to the persons specified.
Unit	Optional, Multiple selections, LOV available This field limits the report to the units specified.
Group	Optional, Multiple selections, LOV available This field limits the report to the groups specified.
Payroll	Optional, Multiple selections, LOV available This field limits the report to the payrolls specified.
Payrun Number	Optional, Multiple selections, LOV available This field limits the report to the payrun numbers specified.
Department	Optional, Multiple selections, LOV available This field limits the report to the departments specified.
Org Level Type	Optional, Multiple selections, LOV available This field limits the report to the org level types specified.
Org Level	Optional, Multiple selections, LOV available This field limits the report to the org levels specified.
Authorization	Optional, Multiple selections, LOV available This field limits the report to the authorizations specified.
Location	Optional, Multiple selections, LOV available This field limits the report to the locations specified.
Status	Optional, Multiple selections, LOV available This field limits the report to the status specified.

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). The category must be one of ICP, EDP, PPP, SAP, SSI, SCL or UNK. If the category is not specified, the compensation 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	Re-certification 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)#

Type	Long Name	PC Code	Element Code
UNK	Unknown

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Notes#