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MainePERS – EMPLOYER SELF SERVICEEmployer Self-ServiceElectronic Payroll Filing ManualVersion 01/2022
TABLE OF CONTENTSEMPLOYER SELF‐SERVICE . 1PURPOSE . 1OVERVIEW . 1LOGIN PAGE . 2MULTI‐FACTOR AUTHENTICATION . 2HOME PAGE . 3FILING REQUIREMENTS . 4DUE DATES . 5CONTACT ‐ MAINEPERS 1‐800‐451‐9800 . 5ESS‐ ELECTRONIC PAYROLL FILING PROCESS . 6ESS‐ ELECTRONIC PAYROLL FILING PROCESS CONSISTS OF THREE STEPS: IMPORT, VALIDATE, PROCESS . 6ERRORS . 6EXCEPTIONS. 6IMPORT STEP . 7VALIDATE STEP. 7PROCESS STEP . 8FILING SPECIFICATIONS . 9FILE NAMING CONVENTIONS . 9DATA FORMAT . 9FILE LAYOUT . 9RECORD SPECIFICATIONS . 10HEADER RECORD (“H” RECORD) . 11DETAIL RECORD (“D” RECORD) . 12SUMMARY RECORD (“S” RECORD) . 23APPENDICES . 31PERSONNEL STATUS CODES – TABLE #6 . 31POSITION CODES . 31PLD POSITION CLASSIFICATION CODES AND USAGE – TABLE #7 . 31NON‐TEACHER SCHOOL SUPPORT POSITION CLASSIFICATION CODES AND USAGE – TABLE #8 . 32TEACHER MEMBER CLASSIFICATION CODES AND USAGE – TABLE #9 & 10 . 34STATE OF MAINE‐ POSITION CODES . 35DATA RECORD CODE VALIDATION . 36HEADER RECORD . 36DETAIL RECORD . 36PAYBACK STATUS. 36RATE SCHEDULE NUMBER DETERMINATION CHART . 37PLAN CLASS DETERMINATION CHART FOR PARTICIPATING LOCAL DISTRICTS . 38PLAN CLASS DETERMINATION FOR TEACHER MEMBERS ONLY . 38PARTICIPATION STATUS IN RETIREMENT PLAN . 38EMPLOYER SUMMARY RECORD . 38EMPLOYER PAYROLL CYCLE . 38
Employer Self-ServicePurposeThe purpose of this document is to describe the specifications employers mustfollow when submitting Electronic Payroll Files (EPF). This document also includesdescriptions of the validations and resulting error or exception messages.OverviewUsing the Employer Self-Service (ESS) application, employers will be able tomanage their accounts by directly accessing, updating and adding information.They will also submit payroll files using the self-service application. Just as thename suggests, the Employer Self-Service application can be accessed andoperated by the authorized users who are associated with employers and havebeen given the appropriate security privileges. These users can access thewebsite using a published secure web address (https – Hypertext TransferProtocol Secure) published via a link on the MainePERS website.ESS provides employers with the following functionality:1. Profile: Maintaining employer demographics as well as adding andmaintaining users and their security2. Account: Maintaining and displaying financial information includingwork reports and payments3. Forms: Enrolling and updating employee information via the submissionof forms such as member and Group Life Insurance (GLI) applicationsas well as viewing forms already submitted to MainePERS4. Documents: Viewing Employer Monthly Statements of Account, AnnualStatements of Cost (PLD employers only) and monthly GLI Invoicesproduced before October 1, 20175. Roster: Viewing employee demographics and employment information6. EFT Payments: Maintaining bank account information in order toschedule Electronic Fund Transfer (EFT) payments7. Reports: Viewing Employer Remittance Reports, Monthly GLI Invoicesproduced after October 1, 2017 and GLI Level ReportsESS Electronic Payroll Filing ManualPage 1Revised 1/2022
Login PageTo gain access to the self-service application, a user will go to the ESS link on theMainePERS website (www.mainepers.org). If a user requires assistance with logginginto the system, they should contact the employer’s designated administrator or contactEmployer Services at 1-800-451-9800.Multi-factor AuthenticationAfter entering the correct username and password, a new screen is presented.Pressing the Call Me button will initiate the MFA verification system. The MFAverification system initiates a telephone call to the phone number, and extension ifapplicable, listed in the MFA Phone field in the user account. Upon answering thetelephone call, the MFA verification system identifies itself and provides direction onhow to authenticate.Select the phone where you would like to receive voice verification and click the CallMe button. You will not have this drop down option if you only have one contact phonenumber listed.Press 1 on the telephone keypad to authenticate and continue to the ESS system. If averification call is received outside of a login process, press 9 to indicate an improperor unauthorized use of the system. Upon pressing 1, the verification system willrespond with “Thank you. Goodbye.”Please keep your browser up to date. Google Chrome is the best to work with ESSforms. Out of date browsers will result in a warning message. Watch future EmployerUpdates or e-Blasts for information on keeping your browsers up to date.ESS Electronic Payroll Filing ManualPage 2Revised 1/2022
Home PageWhen the user logs in the ESS Home page is displayed. The Home page containslinks to functionality within Employer Location Details. The Home page is also thelocation where a user may find FAQs and News:For additional instruction on using the ESS application, please reference detailedtraining material and the ESS User Guide available on the MainePERS website atwww.mainepers.org.Reminder: User Profile – Security Questions must be completed to allow you to unlockyour account if you have forgotten your login information.ESS Electronic Payroll Filing ManualPage 3Revised 1/2022
Filing RequirementsDetailed descriptions of the reporting requirements for individual fields andapplicable codes may be found in the section entitled “File Specifications” of thismanual and the appendices, respectively. If more information is required beyondthat available from these sources, please contact MainePERS at 1-800-451-9800.The following presents general processing requirements for employers involved inelectronic filing through ESS:1. An authorized user must be granted permission to import files. (See theESS Security Administrator at your location for access).2. Employers filing electronically must obtain a Transmitter Code fromMainePERS or associate themselves with an established Transmitter.3. Payroll filings submitted electronically must be imported within fifteen daysof the end of the filing period being reported. Each monthly payroll reportshall contain data relating to all payrolls paid during the month covered bythe filing.4. Any file submitted may contain employee data from more than oneemployer location code. However, the detail records from the differentemployer location codes must be grouped together and be accompaniedby the appropriate header and summary records.5. When a file received cannot be imported, the entire file will be rejected. Anyfiles that cannot be imported are required to be corrected and anotherimport attempt made.6. Only employees paid within the reporting period should appear in the file.7. A payroll file must have the capability to report more than one positioncode per month per employee and employer location.ESS Electronic Payroll Filing ManualPage 4Revised 1/2022
Due DatesEmployers are expected to submit or process their payroll file, and remit fullpayment to MainePERS on or before the due date. Files and payment are due onthe fifteenth day of the month following the payroll filing period beingreported, unless that day is a weekend or holiday. You can find a schedule of duedates on our website. As stated in Chapter 201 of MainePERS Rules, MainePERShas the authority to assess interest or late charges on late reports and/orpayments.Reminder: Monthly payroll files can be entered, or uploaded into the ESS system, asearly as the first day following your last pay date for the payroll month beingreported. Employers are encouraged to complete this upload as soon as possible afterthe last pay date in order to allow for adequate time to correct any issues that may arisebefore the due date.Payments should be made via electronic funds transfers (EFT). For moreinformation on EFT submission, please see the user guide “Scheduling anElectronic Funds Transfer (EFT) Payment”, available on our website, or contactMainePERS at 1-800-451-9800.Contact InformationMainePERS . 1-800-451-9800Employer ServicesEmail: employer@mainepers.orgESS Electronic Payroll Filing ManualPage 5Revised 1/2022
ESS - Electronic Payroll Filing ProcessESS - Electronic Payroll Filing process consists of three steps:1. The “Import” step is the act of selecting the file to be brought into the ESSapplication. At “Import” the system checks for file level errors, mostly fileformat (e.g. expected alpha or numeric data) and reconciliation ofheader/summary to detail records (e.g. transaction code does not matchthe summary record). If errors are encountered during the Import step, thefile will be rejected and automatically void (these files cannot be changedor deleted) and the Status will be Loaded with Errors. If no errors areencountered the file is loaded into a staging area for validation.2. The “Validate” step is performed after the “Import” step is executedsuccessfully. At “validate” the system will perform edit checks on the detailrecords to ensure the appropriate values are included. Depending upon theanomaly encountered, when applicable, the Status will be either Validatedwith Errors and/or Validated with Exceptions. (see edit explanationbelow)3. The “Process” step is performed after the file has been ValidatedSuccessfully or a Status of Validated with Exceptions (reviewed andagreeing with the data), now with the intent of loading the reported data intoemployer and member accounts. Once ‘processed’ the file cannot bechanged, any information needing to be updated will require the adjustmentform process to be completed.Errors – Validated with ErrorsThe term Errors is used to describe Severe/Fatal conditions that result in a failureof a file or a record. At the “Import” step, error conditions will stop the importprocess and the file will not be loaded into the work area. At the “Validate” stepindividual rows (member records) will be flagged with error conditions that wouldprevent the whole file from being moved from the staging area and released intothe employer and member accounts. Errors must be manually fixed within ESS ora new corrected file uploaded.Exceptions - Validated with ExceptionsExceptions are data anomalies, detected during the “Validate” step (not the importstep) and generally result in a message that must be reviewed and correctionsmade if needed. Exceptions do not stop a file from being processed and releasedinto employer and member accounts.ESS Electronic Payroll Filing ManualPage 6Revised 1/2022
Import StepThe Import step will allow the user to select a file to import and then automaticallyvalidate that the file meets certain basic requirements for format and content. FileLevel Edits are performed during this function.File Level EditsFile Level Edits are performed on the payroll file upon selecting the “New” buttonduring the Import step. This type of error can include file or data format edits orfield content requirements. Additionally, file consistency is reviewed; such asrequiring data on header, detail and/or summary rows. When file level errors areencountered, they generally result in the rejection of the file, also known as‘Loaded with Errors’. In some cases edits occur after the file has been loaded intothe staging tables. If an error occurs at this stage, the file may need to be voidedand no further processing will be allowed on the file. Corrections can be made tothe EPF data in the users system and re-imported into the ESS system.Validate StepThe types of edits performed during the Validate function are listed below:Individual Field EditsColumns on the detail and summary records will be edited for format andcontent. In some cases, there will be no edit requirements for a column.Consistency EditsConsistency edits will compare fields on the payroll file to other fields on thepayroll file. These comparisons may occur within one record type or acrossrecord types.Business Rule EditsBusiness Rule Edits are more complex edits that are performed if the datapasses minimum requirements as specified for Individual Field Edits orConsistency Edits. For example, if a valid employer code is found then editsagainst that employer and its participation could be performed. The majorBusiness Rule edits that will be performed during the Validate function include:1. Validating an employee’s payroll filing record against the employee’smembership information.2. Editing the position code reported against valid position codes for theemployer location or plan.ESS Electronic Payroll Filing ManualPage 7Revised 1/2022
Process StepThe file “Process” function performs three major functions: it determines if theprocess function can be run, performs all the edits conducted by the “Validate”function, and adds payroll filing data to employer and member accounts.1. Determine if Process function can be run.a. If the Validate function has not been run, then the Process function will notbe allowed.b. If the Validate function has been run and any of the rows have a status of‘Validated with Errors’, then the Process function will not be allowed.2. Validate the payroll file againa. All edits performed during the Validate function will be performedagain during the Process function.3. Post data to Accountsa. The payroll filing detail and summary information will be posted intothe employer and member account.Original Submission (File Type “O”)The first payroll submitted by an employer location for a payroll filing period is theoriginal submission. If subsequent files are submitted as original submissions forthe same employer location and payroll filing period, they would be rejected.ESS Electronic Payroll Filing ManualPage 8Revised 1/2022
Filing SpecificationsFile Naming ConventionsThe ASCII file name format will be EEEEEEMMYYX.EEEEE, or EEEEEE Employer code assigned by MainePERS. The employer code assigned byMainePERS may be either a five or six character code.MMYYXEmployer reporting month.Employer reporting year.“O” for an original filingTable #1 - File Naming ConventionExample:TCMAY1017O. – The first file submitted by the Mayberry School Department in Octoberof 2017.Data FormatThe data must be recorded in ASCII format, and shall be unblocked, fixed length,256 character records, with a CR/LF termination for each record for a total lengthof 258 characters per record. The fields within the record shall NOT be delimitedby commas or anything else.File LayoutThe payroll file contains three distinct types of records: Header, Detail andSummary. Each employer location on a payroll file will have one header row, oneor more detail rows and one summary row. Normally, each reporting employerlocation is required to submit a separate file for each employer location code. Thefollowing describes the scenario of one file containing a single employer location.Single employer: EL1Header row for EL1Detail row for EL1 member 1Detail row for EL1 member 2Etc. Summary row for EL1ESS Electronic Payroll Filing ManualPage 9Revised 1/2022
Record SpecificationsThe following rules apply to all fields regardless of the record type:1. The term “Optional” (Opt) is used to mean only that failure to have an entryin the given field will not cause the file to be rejected in the import and/orprocessing mode. Its use must not be confused with the fact thatcompliance with the rules and terms of MainePERS membership and/orreporting requirements are not ‘optional’. Similarly, the term “Required”(Req) is used to mean that failure to have a valid entry in the given field willcause the file to be rejected in the import mode.2. All required fields must have data present. Optional fields may be blank orzero filled depending on field type, contingent upon the data being reportedand the instructions provided in the field description column.3. All fields that are not applicable to an employee must be initialized (i.e.numeric fields must be padded with zeros and alphanumeric fields filled withspaces).4. Numerical data must be unsigned to report a positive value. Please refer toadditional notes provided within the record layout to determine if a negativevalue is allowed for any given data element. To report a negative value, thenegative symbol (-) must be entered in the left most space of the field andzero filled. The decimal is implicit in all fields reporting numeric values. Avalue of 00012345 would be entered in an eight character, numeric field torepresent a dollar value of 123.45. A value of -0012345 would be enteredin an eight character numeric field to represent a dollar value of (- 123.45).5. Data contained in alphanumeric fields (i.e. those with an A in the “DataType” column) must be in upper case and be left justified.Legend for Validations:Red - Error at ImportOrange - Error at ValidationBlue - Exception (warning)ESS Electronic Payroll Filing ManualPage 10Revised 1/2022
Header Record (“H” Record)This record defines information that remains consistent for all detail records that follow.There can only be one of these records for each employer location code contained in thefile and it must appear before the first detail record in the file.NOTE: All fields no decimals; dollar and cents 100.50 field is 8 spaces 00010050DataElementFieldNum1.DataData StartElementReq’d Length Type ColField Name5ReqTransmitterCodeA1EndCol5Field Description /ValidationsThis field must contain a valid transmittercode and is used to identify the facility thatcreates the file.Import Error: H1.1 - Transmitter CodemissingThis field must contain the transmitter name.2.Employer NameReq20A6253.EmployerAddressReq50A26754.Contact PersonReq20A76955.TelephoneNumberReq10N966.Run DateReq8N1067.Filing TypeReqA114105 This field must contain the telephonenumber at which the person listed abovemay be contacted.113 This field contains the date the file wascreated. The required format isMMDDYYYY (2-digit month, 2-digit day, 4digit year).114 This field must contain one valid code asfollows: O-Original Filing1This field must contain the address to whichcorrespondence would be sent regarding thefile.This field must contain the name of theperson responsible for providing the file tothe MainePERS.Import Error: H7.1 - Header Filing Typecontains invalid code.Validation Error: H7.3 - Second originalsubmission submitted; only one is valid.126 This indicates the start of the file identificationsection and must contain a value “FILEVERSION”. (upper case)8.File VersionReq12A1159.FileIdentificationReq8A127134 This field indicates the type of data containedin the file and must be “EPF”.10.Filing FormatReq3N135137 This field contains the filing format versionnumber by which data is recorded. Theversion number must be set to 004.The format of this field is 99911.Filler-118-138255 This field is unused.12.Record TypeReq1A256256 This field contains an H, identifying it as theHeader Record.Import Error: H12.1- First record is not aheader record.Table #3 - Header Record Descriptions and LayoutESS Electronic Payroll Filing ManualPage 11Revised 1/2022
Detail Record (“D” Record) FieldNumReports payroll data for an employee.Normally one detail record per employee. However, sometimes multiplerecords may reflect multiple payroll transactions.Each detail record must contain all the required fields.Each record reported must represent pension contributions for anactive member or retiree, or represent the earnable compensation of amember who has retired and returned to work.Field NameReq’dData StartLength Type ColEndColField DescriptionValidations1.Transmitter CodeReq5A15See Transmitter Code definition in headerrecord. Must have a matching header andsummary record.Import Error: D1.1- Detail TransmitterCode does not match Header.2.Employer LocationCodeReq6A611This field must contain the EmployerCode of the employer being reported, asprovided by the MainePERS.Import Error: D2.1- Detail EmployerLocation Code does not match Summary.3.ReportingMonth/YearReq6N1217This field must contain the month and yearof the payroll that is being reported in thefile. For each detail record, this must beon or after the employee start month. Theformat of the date is MMYYYY (2-digitmonth and 4-digit year).Import Error: D3.1- Detail ReportingMonth/Year format is invalid.Import Error: D3.2- Detail ReportingMonth/Year does not match Summary.Validation Error: D3.6- The ReportingMonth/Year is prior to the member contractstart date for SSN ssn .Validate Exception: D3.7- The ReportingMonth/Year is after the member contractstop date threshold for SSN ssn .4.Employee SocialSecurity NumberReq9N1826This field must contain the employee'sSocial Security Number. The SSN mustmatch a member record on file at theMainePERS for this employer.The format of this field is 9(9)Import Error: D4.1- SSN ssn format isinvalid.Validate Error: D4.3- SSN ssn is not aparticipant.Validate Error: D4.4- SSN ssn participant employment not valid for thisemployer.ESS Electronic Payroll Filing ManualPage 12Revised 1/2022
FieldNumField NameReq’dData StartLength Type ColEndColField DescriptionValidations5.Employee NameReq30A2756This field must contain the employee'sname with the last name listed first,followed by the first name and middleinitial. The last and first names must beseparated by a comma followed by aspace. The middle initial may follow thefirst name with no comma. Any suffix mustfollow the last name with no comma orperiod:(for example, Smith Jr, John H)Validate Error: D5.1- SSN ssn hasinvalid employee name format.6.*FTE AnnualContracted Amountor StipendOpt9N5765This field must contain the *Full-TimeEquivalent of the position’s annual contractamount or activity stipend. This amountshould not be pro-rated for part-timeemployees or partial year employees.*see QuickReferences locatedwith ESS Manuals inthe ESSKnowledgebaseLibraryREPORTING EXCEPTIONS:For time Unit “C”, Contract:1) Amount should be equal to or greaterthan prior period amount reported minus 100, where prior period amount exist.2) Amount should be no more than 10%greater than prior amount reported.Amount should be between 30,000. And 200,000 inclusive, excluding extracurricular positions codes.4) For an original submission, amountshould be greater than zero.Invisible decimals –precede with zeros.For example: 1,111.00 should bereported as:000111100The format of this field is 9(7)v99.Import Error: D6.1- SSN ssn FTEAnnual Contract Amount or Stipend isinvalid format.Validate Exception: D6.3- SSN ssn FTE Annual Contracted Amount or Stipendis outside prior period threshold.Validate Exception: D6.4- SSN ssn FTE Annual Contracted Amount or Stipendis greater than the prior period percentthreshold by 10%.Validate Exception: D6.5- SSN ssn FTE Annual Contracted Amount or Stipendis outside amount threshold.Validate Error: D6.6- SSN ssn FTEAnnual Contracted Amount or Stipendshould be greater than zero.ESS Electronic Payroll Filing ManualPage 13Revised 1/2022
FieldNumField Name7.Filler8.Date of BirthReq’dData StartLength Type ColEndColField DescriptionValidations-11A6676Blank fill.Req8N7784This field must contain the employee's dateof birth and must be reported inMMDDYYYY format (2-digit month, 2-digitday, 4-digit year).Member is expected to be between 12 and99 years of age.Import Error: D8.1- SSN ssn DOBformat is invalidValidate Error: D8.4- SSN ssn does notmatch V3 participant’s DOB.9.Personnel StatusCode (PSC)Req2A8586This field must contain a valid PersonnelStatus Code for the employee. A tablecontaining valid codes and instructions forselecting the appropriate code is providedin the appendix.Table 6 (pg 32)Validate Error: D9.2- SSN ssn PSC isinvalid.Validate Error: D9.5- SSN ssn contributions submitted for PSC 53(RRTW)Validate Error: D9.8- SSN ssn RateSchedule not 53 or 96, but PSC is 53(RRTW).Validate Error: D9.10- SSN ssn RateSchedule equal 53 or 96, but PSC is not 53(RRTW).Validate Error: D9.11- SSN ssn Personnel Status Code does not matchmember contract.Validate Error: D9.13- SSN ssn PSC is53 RRTW but Retirement PlanParticipation is not A.10.Bargaining UnitCodeOpt2A8788For State employees only.This field contains the Bargaining UnitCode.ESS Electronic Payroll Filing ManualPage 14Revised 1/2022
FieldNum11.Field NamePositionClassificationCodeReq’dReqData StartLength Type Col10A89EndCol98Field DescriptionValidationsThis field must contain a valid positioncode for the employee relative to theemployer type (i.e. Teacher, PLD, etc.) andplan. Extra-Curricular positions must havea current contract recorded at MainePERS.If the Position Classification Code requiresauthorization, such as position codesY1001, Y0408, Y5555, Y0210 & Y0209 theposition code should exist on membercontract.See tables 7, 8, 9, 10 (pgs 32-36)Validate Error: D11.2- SSN ssn positioncode invalid for employer type.Validate Error: D11.4- SSN ssn preauthorized position code positionClassification Code is not on membercontract.Validate Error: D11.6- SSN ssn positioncode not valid for reported plan.Validate Error: D11.8- SSN ssn positioncode is different than member contract.Validate Error: D11.9- SSN ssn extracurricular position with no basis foremployment.12.Filler-1A999913.Filler-1A100100 Blank fill.14.Payback StatusOpt1A101101 When filled in, this field indicates the typeof deduction provided in the field“Employee Retirement Contributions Additional.” When a code exists in thisfield a value must exist in the “EmployeeRetirement Contributions - Additional” field.(SCP)Blank fill.The valid payback code is “P” forPayback. Eligibilit
ESS Electronic Payroll Filing Manual Page 5 Revised 1/2022 Due Dates Employers are expected to submit or process their payroll file, and remit full payment to MainePERS on or before t he due date. Files and payment are due on the fifteenth day of the month following the payroll filing period being reported, unless that day is a weekend or .
