ARCHIVED CD 2007-008
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April 4, 2007
SUBJECT: Web-Based Record of Employment
Note: This application is available only to those departments and agencies that have implemented the Compensation Web Applications.
1.1 The purpose of this directive is to provide information concerning a new application that will allow members of the compensation community to create and transmit a Web-based Record of Employment (ROE) to Human Resources and Social Development Canada (HRSDC). This application will be available effective April 30, 2007, to compensation advisors (CA) in client departments and agencies where the Compensation Web Applications (CWA) have been deployed.
1.2 The purpose of the Web-based ROE application is to provide a fully automated and electronic process to compile ROE information from employers and to reduce the paper burden for federal departments, agencies and those responsible for the Employment Insurance (EI) program.
2.1 The Web-based ROE is a Public Works and Government Services Canada (PWGSC) initiative in partnership with HRSDC and Canada Revenue Agency (CRA) in response to a long-standing request from the compensation community to automate the ROE creation process. Client departments will benefit from accurate ROEs, a more expedient process for the creation and transmission of ROEs which will enable employees to process their claims at an earlier date, the elimination of time consuming manual processes and a reduction in the number of information requests from HRSDC.
2.2 The Web-based ROE application will be used by federal government departments, agencies and separate employers who are paid via the PWGSC Regional Pay System (RPS). The implementation of this application, with the facility to print "Finalized" ROE forms, will negate the requirement for client departments to order, stock or utilize the current three-ply ROE paper forms from HRSDC other than in exceptional circumstances.
2.3 The implementation of the Web-based ROE application will include electronic records transfer to HRSDC and eliminate the requirement for CAs to submit, via mail, paper copies of the ROE to HRSDC thus eliminating current postage and handling costs currently incurred by the clients. Paper copies of the ROE will continue to be provided to former employees.
3.1 The ROE is the single most important document for determining EI benefits. The Employment Insurance Act and its Regulations stipulate that every employer must complete an ROE when there is an interruption of earnings. An interruption of earnings occurs when a period of employment ends or when an employee takes maternity leave, leave due to injury or illness, adoption leave, or other leave without pay (LWOP). Generally, an ROE must be issued to the employee within five calendar days of the interruption of earnings or the date the employer becomes aware of the interruption. There is a requirement to retain these ROEs for a period of seven years.
The Web-based ROE application will be used by CAs serviced by the RPS. Access will be restricted to accounts for which the CA is the primary or alternate person responsible for maintaining the accounts based on their user class and profile identified in the Top Secret Security (TSS) table on the RPS database.
ROEs that have been created using the Web application will be stored in a database and retained for seven years. This database can be accessed by authorized CAs to retrieve, modify and print ROEs that have previously been created.
4.1. Access and Security
The Web-based ROE will be accessible to the members of the compensation community via the "Compensation Advisor" link found on the Compensation Sector home page. The member will then be required to select the "Compensation Tools" link. The security provisions currently in place for other pay Web applications will also be applied to the ROE application. In other words, members of the compensation community are required to have a Public Key Infrastructure (PKI) user ID and password in addition to a TSS user ID and password in order to access this site. The Web-based ROE will be added to the list of Compensation Applications.
Access to the application will be granted based on the TSS user class associated with the user ID entered. Access to specific accounts will be based on the RPS unit structure assigned to the TSS user ID. The Web-based ROE application will allow authorized users (primary and alternates) to add, amend, modify, finalize and print ROEs as well as search the database for ROEs previously created using the Web application.
The ROE will be transmitted to HRSDC via a secure file transfer process, which provides authentication and encryption. This process will be done daily after the close of business (after 6:00 P.M. Ottawa time).
4.2. Web-based ROE Application
Once the CA has logged on and selected ROE, the application will present the Welcome page which includes general information. Navigation within the application will be done using the options available in the side menu. The CA can create a new ROE by selecting "Add ROE" or amend an existing record by selecting "Search ROE" to retrieve the original ROE. The CA may also select any of the numerous links that have been included such as "HRSDC" for additional information on the completion of an ROE.
4.2.1. Add ROE
To add an ROE the CA will need to enter the employee's Personal Record Identifier (PRI). The application will validate the PRI and verify that the CA is authorized to work on this account and that the account is inactive. The application will validate the information and the CA will then be directed to the first Web page. The ROE consists of three Web pages: the Web ROE details page, the Insurable totals and other pay information page and the Miscellaneous information page.
The process of creating an ROE will require data input by the CA in various blocks in accordance with HRSDC requirements. If the required data is resident on PWGSC Compensation data repositories and is available to the Web application, such data will be prefilled and displayed according to HRSDC requirements. Some of the prefilled data elements will be protected (i.e. not modifiable by the CA). Where applicable, a drop-down menu will be displayed providing the CA with a choice of information to be entered in the block.
Information entered or modified by the CA will be validated by the Web application whenever he clicks the "Next" button to proceed to the following page. If erroneous information is entered in one of the blocks, a message will be produced and displayed at the top of the page in a yellow frame.
Additional information for each block is available by selecting on the block number. A general Help page is also available by selecting the "?" icon in the top right corner. This Help page will identify the characteristics of each block to be completed as well as general information about the application.
The CA will be responsible to verify the prefilled information and make modifications where applicable.
22.214.171.124 On the Web-based ROE details page the employer address and postal code will be completed by the CA. Once entered and saved, the application will automatically display this information on all subsequent records for the same department and the same CA. The CA will also complete the employee's first name and address as well as the recall code and expected date of recall if applicable. The employee's occupation will be prefilled with his Bargaining Unit Designator (BUD) code description and can be modified by the CA.
126.96.36.199 On the Insurable totals and other pay information page data will be prefilled based on the data available in the Register database. The CA can select the "+" symbol next to any of the pay period numbers to view the entitlement codes and amounts included in the insurable earnings and hours reflected for a specific pay period. These amounts can be modified by removing the earnings or hours amount that appear for a specific pay period and entering a new value. The total insurable earnings will be prefilled and protected based on the information entered in the other blocks such as the pay period information, vacation pay and other monies, and will be updated to reflect any modifications made by the CA when the "recalculate" button is selected.
188.8.131.52 On the Miscellaneous information page the CA will be required to enter the reason for issuing the ROE, the contact information, the issuer information, the language preference, the paid leave information and comments, if required. The contact information as well as the language preference, once entered on the first record, will be prefilled on subsequent records but can be modified at any time.
The CA can save the ROE in draft status at any time. This draft can then be retrieved using the search function and once retrieved, it can be modified and/or finalized prior to transmitting it to HRSDC. A draft ROE will be retained on the database for 15 calendar days from the most recent date when it was saved after which it will be automatically deleted if it has not been modified or finalized.
If the CA selects to print the draft version of the ROE, the PRI will appear after Block 6 rather than the social insurance number (SIN) and the paper copy will include a "Draft" watermark.
4.2.2. Final ROE
Once the CA has verified all of the information he should save the record as Final. All information that appears on the record will be subjected to validation edits. These edits have been created based on the instructions for completing an ROE and consultations with HRSDC. When the record passes validation and is in Final status it will be assigned a serial number.
The CA will be able to print the ROE in the Portable Document Format (PDF) version in the language of his choice and provide the employee with a paper copy. The ROE will be printed on plain bond paper at the local printer. The PDF printed version of the ROE will include the SIN instead of the employee's PRI. The SIN will not be visible to the CA on the Web version of the ROE.
ROE serial numbers will be automatically assigned during the final validation process of the Web-based ROE application.
4.2.3. Transmitting the ROE
Records in Final status will be extracted five times per week and transmitted to HRSDC. The transmitted records will include the SIN rather than the PRI for the account. If the record results in a processing error with HRSDC, it will be returned and the status of the record will be changed to "Rejected". Pay Web Maintenance will notify the contacts identified on the ROEs by e-mail or by telephone of all rejected records. Rejected records may be corrected and saved as final; corrected and saved as draft; or removed. If action is not taken on the rejected ROE within 30 calendar days from the issue date, it will automatically be deleted from the database. If there are no processing errors on the ROE the status will be changed to "Transmitted".
4.2.4. Search for a Particular ROE
A saved ROE can be retrieved by using the Search function in the Web application. When using the Search function, the CA is required to enter one of three types of information. The first type is the unit identification which consists of the pay office number, the department and the paylist. The second type requires the PRI and the third requires the serial number. The ROE status may also be entered to streamline the search results. The search results will display the records that match the criteria entered. The CA can reorganize the information on the search results page by selecting one of the headings appearing before the results. He can also view the details of a specific ROE by selecting the employee's PRI. The ROE status will be displayed on the details page after Block 3.
Finalized ROEs will be retained in the database for seven years and can be retrieved at any time with the use of the search function in the Web application.
4.2.5. Amending an ROE
Various options will be available to the CA on the display page based on the status of the ROE. An ROE that has already been transmitted can be amended and resaved as Final in order for the amendment to be transmitted to HRSDC. The amended ROE will be prefilled with the serial number of the original record and will include the serial number for the amendment once it is saved as Final. When an ROE has been amended, the original record will be in view status only and no further modifications to the original version will be accepted. Any additional modifications will be made to the amended ROE.
4.2.6. Special Instructions
184.108.40.206 Maternity or Parental Benefits for Quebec Residents
There is a legal requirement to issue a second ROE for Quebec residents on leave without pay (LWOP) and change their LWOP code to maternity leave or parental leave so that they may apply for maternity or parental benefits under the Quebec Parental Insurance Plan (QPIP). For employees in this situation, the CA will be required to include the insurable hours and earnings of the last 52 weeks in Block 18 - "Comments". This will not be part of the functionality of the Web-based ROE; therefore, CAs will be required to complete the second ROE manually.
For BUD codes 20902, 41401, 41404, 41403 and 99700, the ROE will only import the "insurable earnings" data. However, according to EI regulations the CA will have to manually apply the averaging formula used for teachers. The CA must also indicate in Block 18 - "Comments", that this averaging formula has been used.
220.127.116.11 Leave With Income Averaging (LIA)
Insurable earnings and hours must be calculated differently for employees that have taken a period of LIA within the period of employment covered by the ROE. During this type of leave the employee is not entitled to receive EI benefits. For the period of active employment the insurable earnings must display the employee's basic salary and insurable allowances not the employee's reduced salary and insurable allowances. For the period of LWOP the insurable hours and earnings must display 0.00. Additionally, the CA must manually enter in Block 18 - "Comments" that the employee was on LIA.
18.104.22.168. Pre-retirement Transition Leave (PRL)
Insurable hours must be calculated differently for an employee on PRL. The CA must manually reduce the number of hours paid by the number of LWOP hours taken per week by the employee. The insurable hours for each of the affected pay periods are to be reduced on the ROE.
22.214.171.124. Standby Hours
Standby hours are not hours worked and are generally not considered to be insurable. However, these hours are considered insurable if they are paid at a rate equal to or higher than the employee's regular rate of pay; or if the employer requires the employee to be on site at the workplace in case his services are needed, provided the employee is remunerated, regardless of the rate of pay. Since there is no way to determine whether the standby entitlement codes meet the above requirements as this information is not stored in the RPS, it has been determined that these amounts will be included in the insurable hours and earnings which can then be modified by the CA if required.
126.96.36.199. Housing, Board and Lodging Benefits and Allowances
Housing, board and lodging benefits and allowances are not insurable unless they are paid with salary. It has been decided that these entitlements will be treated as insurable regardless of whether they were paid with or without salary. If they are not paid with salary the CA will need to amend the insurable earnings for the appropriate pay period.
For employees that have been transferred from one department to another and an ROE is required from the first department, the application will retrieve the records from the Register database up to and including the last pay period paid. This may result in earnings and hours being reflected on the ROE beyond the official date of transfer. As these earnings and hours are required by HRSDC they must be included in the ROE.
5.1 Any inquiries on the information contained in this document should be addressed to your PWGSC Compensation Services Office.
Original Signed by
Acting Director General
Accounting, Banking and Compensation
Reference(s): CR P0338
- Date modified: