Gateway ERROR! Close Gateway Common errors and warnings guide
Contents Assumptions 3 Document purpose 4 Dealing with file structure errors 5 Dealing with file content errors 8 Dealing with file content warnings 16
Assumptions This guide assumes that all schemes being handled are either voluntary or auto enrolment, and that if it is an auto enrolment scheme the payroll software being used is handling the assessment of workers as per the workplace pension legislation. This document is available to all clients and therefore the errors mentioned in this guide will not all apply at the same time. This guide will be subject to periodic review. The only intention for future variance of this document is to allow for additional errors to be highlighted, or obsolete errors to be removed. All screen shots are taken from a Google Chrome browser, which NOW: Pensions highly recommends for use with the NOW: Pensions Gateway.
Document purpose The NOW: Pensions Gateway provides employers with a simple and modern interface to manage pension submissions for their employees. Data integrity is key to ensuring employees are getting the correct auto enrolment outcomes, contribution amounts are correct and communications are accurate. Gateway is designed to help you ensure the data is correct before you import it, as once it is committed to the database it cannot be changed. There are clear error messages and warnings, which alert you to exactly what the problem are. This document has been produced to provide additional information on the errors and warnings that may be displayed, and guidance on how to resolve them. Gateway user guide for employers 4
Dealing with file structure errors The that is produced from your payroll system is required to be in a specific format and should include all of the 36 columns identified in the A guide to the generic input files specification that can be located in the NOW: Pensions help centre www.nowpensions.com If the structure of the file does not meet the requirements, or certain key fields are left blank or populated with incorrect information, as laid out in the specification errors will be displayed. The first level of validation in Gateway, when uploading the file, will check the following: 1. Is the file in a csv format 2. Does the file contain all 36 columns 3. Are you uploading a file for the correct pay period (pay periods must be submitted in sequential order) 4. Have you included the correct ER code and Pay code If the file upload fails the first level of validation the following screen will be displayed. In the example below the incorrect pay period is being uploaded (error reasons highlighted will vary, depending on the reason for the upload failure): Gateway user guide for employers 5
The table below confirms the file structure error messages that can be displayed, and how to resolve them: Error message Action required File check Pension type.csv Pension format Error message File rejected Cannot parse file: The following headings are missing from the pension : NINO, STARTDATE. Please add the missing column(s) to the pension The pension must contain all 36 columns, as laid out in the A guide to generic input files. Please add the missing columns to the, and the employee data relevant to this column. We have used NINO and STARTDATE in the example error message, however if any of the columns are missing you will be asked to add them to the file before uploading. File check Pension type.csv Pension format Error message File rejected Cannot parse file: The following are not valid column headers: STARTDAT, ENROL. Please ensure the correct column headers (STARTDATE, ENROL DATE) are used in your pensions Column headings are required to exactly match the contents of the Guide to the generic input files specification, please ensure that the correct column headings (case sensitive) are included in your. Please ensure that there is no white space after the column headers (i.e. no additional spaces after the column header) as this will also result in the file being rejected due the column header not being recognized. File check Pension type.csv Pension format The file format needs to be CSV (Comma Delimited). Please ensure that the file is saved in the correct format and then re-upload the file. Error message File rejected Cannot parse file: (content_types).xml File check Pension type.csv Pension format Error message File rejected Cannot find payroll for: ABCD/P002 (ER/PAY) Please check the ER code and Payroll codes in your pension to ensure that they are correct and amend where necessary. The ER and PAY CODES relevant to you can be found in the Employer Settings page of Gateway. (ABCD/P002 are just example codes, the ones displayed to you will be different) File check Pension type.csv Pension format Error message File rejected Upload should contain only one ER CODE and PAY CODE Please check your pension for the following: 1. ER and Pay codes have been provided for all employees 2. The correct codes are being used for the payroll that you are uploading a file for 3. The same ER and Pay codes are being provided for all employees on the file This issue can also be generated if your CSV file has corrupted rows of data. The most common occurrence of this is when the CSV file will include a string of commas in the rows underneath the last line of employee data. This issue can be seen when you view the file in a notepad format. To resolve the issue delete the rows from the CSV that just include commas and then re-save the file. Gateway user guide for employers 6
File check Pay period X Pay period dates D/MMM D/MMM Error message File rejected This pension is for the wrong pay period. Please upload data for pay period X which starts on the D/MMM. You may need to check your pension or edit the pay period schedule Please check the pay period and pay period start dates provided in the pension you are trying to upload. Data files have to be loaded in sequential order, i.e. pay period 5, then 6, then 7 etc. If the files are not loaded in the correct order they will be rejected and you will either have to amend the dates in the file you are trying to upload or edit the payroll schedule in Gateway. File check Pay frequency Error message File rejected Wrong pay frequency. Expected XXXX but got XXXX The pay frequency provided on the pension should match the pay frequency assigned to the payroll you are uploading a file for. Please check the pay frequency in the file to ensure it is correct for all employees. Gateway user guide for employers 7
Dealing with file content errors The second level of validation within Gateway will carry out checks on the data included in the file being uploaded. The results returned will be split into errors, which will be dealt with in this section, and warnings that will be dealt in the next section of the guide. Error messages are displayed in purple and you will not be able to submit the pension data file until you have resolved all of the member level data errors. The screenshot below is an example of the page that would be displayed if a file with errors was uploaded: Immediately there is a warning showing you there is something wrong with the file. To view the errors you would need to click on the View upload details button The errors confirm that the scheme code in the file does not match any of the scheme codes associated with this employer The correct process is to Cancel and upload a new file. All errors should then be resolved in your front end systems, and in particular your payroll system, so that when you produce files for future pay periods the error is not repeated. Gateway user guide for employers 8
The table below confirms the file content error messages that can be displayed, and how to resolve them: Error message Forename 1 Forename 1 is a mandatory field and Forename 1 must not exceed 40 characters Forename 1 must contain at least 2 characters (not initials) Forename 1 must only contain alpha characters Action required Please ensure the correct data has been included in the Forename 1 column Please ensure full forename is included (not just initials) in your pension Please ensure the employees forename 1 does not include any full stops or numbers Forename 2 Forename 2 must not exceed 40 characters Forename 2 must only contain alpha characters Surname Surname is a mandatory field and must not be left blank Surname must not exceed 40 characters Surname must contain at least 2 characters (not initials) Surname must only contain alpha characters NINO NINO in invalid format, must be AA000000A Temporary NINO supplied, leave blank if not known Duplicate National Insurance number detected for employees {XXXX} STARTDATE STARTDATE is a mandatory field and STARTDATE in invalid format STARTDATE of employment is after the end date of the current pay period Please ensure the correct data has been included in the Forename 2 column Please ensure the employees forename 2 does not include any full stops or numbers Please ensure the correct data has been included in the Surname column Please ensure full surname is included (not just initials) in your pension Please ensure the employees surname does not include any full stops or numbers Please ensure the NINO provided is in a valid format. If NINO unknown then please leave field blank Please input the employees valid NI Number. If NI Number is not known please leave blank NINO should be unique for all employees. Please check the NINO s being provided and amend where necessary Please ensure the file contains the STARTDATE in the correct format DD/MM/YYYY Employees should only be included on the pension when their employment has commenced. Please check employees start date and amend or remove where applicable. Gateway user guide for employers 9
Title Title is a mandatory field and must not be left blank Title does not match any of the permissible options DOB DOB is a mandatory field and must not be left blank DOB in invalid format Employee DOB is in the future SEX SEX is a mandatory field and must not be left blank SEX must be either M or F PAYROLLNO PAYROLLNO is a mandatory field and PAYROLLNO must not exceed 25 characters Duplicate PAYROLLNO with the same PAY CODE and ER CODE The 'Title' populated for the employee is not one of the permissible options. Please refer to Appendix 1 of the A Guide to Generic Input Files for acceptable codes. Please ensure that this field is populated in your pension Please ensure the file contains the DOB in the correct format DD/MM/YYYY Employees must be over 16 to be qualify for Auto enrolment. Please check the DOB being provided and amend accordingly Please ensure that either M or F is provided in this field for each employee Male and Female are also acceptable. Please ensure that this field is populated in your pension Please check the payroll number provided for the employee and amend where necessary. If your employees payroll number is longer than 25 characters please contact Client Support for further guidance Payroll numbers used for employees should be unique to each payroll code, i.e. you cannot have 2 employees using payroll number 1 under the same Pay code. Please check the payroll numbers being provided and amend where necessary PAYSTART PAYSTART is a mandatory field and PAYSTART in invalid format PAYSTART DD/MM/YYYY: Bad PAYSTART in upload: Expected DD/MM/YYYY but found DD/MM/YYYY PAYSTART should be the same for all rows in a given PAY CODE and ER CODE Please ensure the file contains the PAYSTART in the correct format DD/MM/YYYY Please check the PAYSTART provided in the pension against the Pay period start held in the payroll schedule within Gateway to ensure the dates match for the relevant pay period. If the dates do not match please amend the dates accordingly, so that they do match. It is important to note that payroll files need to be uploaded in sequential order, and you should be processing a file for every pay period. The pay period start date provided on your should be the same for all employees as you must process pay periods sequentially. Please ensure that the same pay period start date is being used for all employees in your Gateway user guide for employers 10
PAYPERIOD PAYPERIOD is a mandatory field and PAYPERIOD must be numeric PAYPERIOD must not exceed 2 digits PAYPERIOD should be the same for all rows in a given PAY CODE and ER CODE Please check that the PAYPERIOD in the file is in the required format Please check that the PAYPERIOD in the file is in the required format The pay period provided on your should be the same for all employees as you must process pay periods sequentially. Please ensure that the same pay period is being used for all employees in your PAYFREQ PAYFREQ is a mandatory field and PAYFREQ in invalid format PAYFREQ should be the same for all rows in a given PAY CODE and ER CODE Please ensure that the file contains one of the acceptable codes listed Weekly, Monthly, Fortnightly, Quarterly, Four Weekly or 4 4 5 The payroll frequency on your should be the same for all employees, and should match the frequency assigned to the pay code you are uploading a file for. Please ensure the correct PAYFREQ is being provided for all employees. ENROL DATE ENROL DATE in invalid format ENROL DATE cannot be more than 30 days in the future ENROL DATE should not be before STARTDATE ENROL DATE should be before EXIT DATE ENROL DATE and OPTOUT should not be provided together for the first time ENROL DATE should not be after OPTOUT Contributions for member who has not been enrolled Employee has been assessed as a Worker and either an ENROL DATE or POSTPONEMENT DATE has been provided Please ensure the file contains the ENROL DATE in the correct format DD/MM/YYYY Enrolment dates should be within the current pay period and future dates should not be used. Please ensure the enrolment date provided is within the current pay period Employees cannot be enrolled before they start employment. Please amend the enrolment date so that it is after the start date of employment Employees should not be enrolled after they have left employment. Please remove the enrolment date, or amend it so that it is before the employees exit date Employees cannot opt out until they have been enrolled and they must opt out through NOW: Pensions. Please remove the Opt out date if the employee has been enrolled, they will then be given opt out rights. Employees cannot opt out before they have been enrolled and they must opt out through NOW: Pensions. Please correct, or remove, the Opt out date on the employee s record. Contributions cannot be submitted for an employee until they have been enrolled. If contributions have been deducted please ensure that an ENROL DATE is provided in the pension Employees assessed as Workers (those under 16 or over 75) are not eligible for Auto enrolment, therefore an ENROL DATE should not be provided for them. Please remove the enrolment date from the employee record Gateway user guide for employers 11
POSTPONEMENT DATE POSTPONEMENT DATE in invalid format POSTPONEMENT DATE should not be before STARTDATE POSTPONEMENT DATE should not be after ENROL DATE, remove postponement date if enrolled Employee has been assessed as a Worker and either an ENROL DATE or POSTPONEMENT DATE has been provided ASSESSMENT ASSESSMENT is a mandatory field and ASSESSMENT does not match any of the permissible options ADDRESS AND POSTCODE ADDRESS 1 is a mandatory field and POSTCODE is a mandatory field and POSTCODE must not exceed 9 characters Please ensure the file contains the POSTPONEMENT DATE in the correct format DD/MM/YYYY Employees cannot have a postponement date that is before their start date of employment. Please amend the POSTPONEMENT DATE date so that it is after the start date of employment, or remove from the file Employees cannot be postponed if they have been enrolled. If the enrolment date is correct please remove the postponement date from the employee record Employees assessed as Workers (those under 16 or over 75) are not eligible for Auto enrolment, therefore POSTPONEMENT DATES should not be provided for them. Please remove the postponement date from the employee record Please ensure that a valid Assessment category is provided for the employee. Valid categories are Eligible jobholder, Non-eligible jobholder, Entitled Worker or Worker Please ensure that this field is populated in your pension Please ensure that this field is populated in your pension Please amend the postcode field so that no more than 9 characters are provided EMAIL EMAIL must not exceed 100 characters EMAIL in invalid format EMAIL appears to be invalid SAL SACRIFICE SAL SACRIFICE is a mandatory field and SAL SACRIFICE must be Y or N Please check the email address that has been provided to ensure it is correct. If the correct email address does actually exceed the 100 character limit please contact Client Support to discuss Please check the email address to ensure that it is in a valid format. This error is usually displayed when the @ is missing from the address Please check the email address to ensure that it is in a valid format. This error is usually displayed when the email address is missing the.co.uk or.com for example Please check that this field is populated and that it is populated with one of the acceptable options for SAL SACRIFICE. Gateway will accept Y/Yes or N/No Gateway user guide for employers 12
Contributions EE CONTS must be numeric EE CONTS cannot be negative EE CONTS is limited to 2 decimal places ER CONTS must be numeric ER CONTS cannot be negative ER CONTS is limited to 2 decimal places AVCS must be numeric AVCS cannot be negative AVCS is limited to 2 decimal places EE CONT % must be numeric EE CONT % cannot be negative EE CONT % is limited to 2 decimal places ER CONT % must be numeric ER CONT % cannot be negative ER CONT % is limited to 2 decimal places Please ensure that this field is only populated with the contributions that should be allocated to the member records. Contributions should be in a numeric format, to 2 decimal places. Negative contribution figures will not be accepted by Gateway. If corrections are required to employee contribution figures already submitted please contact Client Support Please ensure that all contributions submitted have a maximum of 2 decimal places. Please ensure that this field is only populated with the contributions that should be allocated to the member records. Contributions should be in a numeric format, to 2 decimal places. Negative contribution figures will not be accepted by Gateway. If corrections are required to employer contributions figures already submitted please contact Client Support Please ensure that all contributions submitted have a maximum of 2 decimal places. Please ensure that this field is only populated with the contributions that should be allocated to the member records. Contributions should be in a numeric format, to 2 decimal places. Negative contribution figures will not be accepted by Gateway. If corrections are required to AVC figures already submitted please contact Client Support Please ensure that all contributions submitted have a maximum of 2 decimal places. Please ensure that the EE CONT % figure provided is numeric, to a maximum of 2 decimal places Gateway will not accept negative EE CONT % figures. Please remove the negative figure from the file Please ensure that EE CONT % figures have maximum of 2 decimal places Please ensure that the ER CONT % figure provided is numeric, to a maximum of 2 decimal places Gateway will not accept negative ER CONT % figures. Please remove the negative figure from the file Please ensure that ER CONT % figures have maximum of 2 decimal places OPTIN OPTIN in invalid format OPTIN should not be before STARTDATE OPTIN should not be equal to OPTOUT OPTIN should not be after EXIT DATE Please ensure the file contains the OPTIN in the correct format DD/MM/YYYY Employees cannot opt into the scheme before they start employment. Please amend the opt in date so it is after the STARTDATE or remove the opt in date from the file Employees opt in, and opt out dates should not be the same. The employee should either have opted in or opted out. Please remove the invalid date. Employees cannot opt into the scheme once they have left employment. Please remove the Opt in date from the file. Gateway user guide for employers 13
OPTOUT OPTOUT in invalid format OPTOUT should not be before STARTDATE OPTIN and OPTOUT should not both be provided in first pay period OPTIN should not be after OPTOUT in first pay period Please ensure the file contains the OPTOUT in the correct format DD/MM/YYYY Employees cannot opt out of the scheme before they start employment. Please amend the Opt out date so it is after the STARTDATE or remove the Opt out date from the file. Please note that employees must Opt out through NOW: Pensions. Opt Out dates that are provided in the pension will not be actioned. Employees must opt in and out of the scheme through NOW: Pensions. This employee has not received any communications confirming their pension rights yet, as these will only be issued when they have been loaded into Gateway for the first time. Please remove the OPTIN and OPTOUT dates to enable the relevant communications to be issued. Employees must opt in and out of the scheme through NOW: Pensions. This employee has not received any communications confirming their pension rights yet, as these will only be issued when they have been loaded into Gateway for the first time. Please remove the OPTIN and OPTOUT dates to enable the relevant communications to be issued. GROSS PAY and PENSIONABLE EARNINGS GROSS PAY must be numeric Please ensure that the GROSS PAY figure provided is numeric, to a maximum of 2 decimal places GROSS PAY cannot be negative Gateway will not accept negative GROSS PAY figures. Please remove the negative figure from the file and replace it with 0.00 GROSS PAY is limited to 2 decimal Please ensure that GROSS PAY figures have maximum of 2 places decimal places PENSIONABLE EARNINGS must be Please ensure that the PENSIONABLE EARNINGS figure numeric provided is numeric, to a maximum of 2 decimal places PENSIONABLE EARNINGS cannot be negative PENSIONABLE EARNINGS is limited to 2 decimal places Gateway will not accept negative PENSIONABLE EARNINGS figures. Please remove the negative figure from the file and replace it with 0.00 Please ensure that PENSIIONABLE EARNINGS figures have maximum of 2 decimal places EXIT DATE EXIT DATE in invalid format EXIT DATE should not be before STARTDATE Please ensure the file contains the EXIT DATE in the correct format DD/MM/YYYY Employees cannot have an EXIT DATE that is before their employment start date. Please amend the exit date if incorrect, or remove it from the. Gateway user guide for employers 14
PAY CODE, ER CODE and SCHEME CODE PAY CODE is a mandatory field and PAY CODE must be alphanumeric PAY CODE must not exceed 4 characters Bad PAY CODE: Expected {0} ER CODE is a mandatory field and ER CODE must be alphanumeric ER CODE must not exceed 4 characters Bad EMPLOYER CODE: Expected {0} SCHEME CODE does not match any of the permissible options SCHEME CODE provided does not match any of the active scheme tiers Please ensure that the PAY CODE in your pension matches the PAY CODE that is assigned to the payroll you are trying to upload a file for. The PAY CODE can be located in the Employer settings page of your Gateway portal Please ensure that the PAY CODE in your pension matches the PAY CODE that is assigned to the payroll you are trying to upload a file for. The PAY CODE can be located in the Employer settings page of your Gateway portal The incorrect PAY CODE has been provided on your pension. Please ensure the correct PAY CODE is used for all employees in your pension. The PAY CODE can be located in the Employer settings page of your Gateway portal Please ensure that the ER CODE in your pension matches the ER CODE that is assigned to your Employer. The ER CODE can be located in the Employer settings page of your Gateway portal Please ensure that the ER CODE in your pension matches the ER CODE that is assigned to your Employer. The ER CODE can be located in the Employer settings page of your Gateway portal The incorrect ER CODE has been provided on your pension. Please ensure the correct ER CODE is used for all employees in your pension. The ER CODE can be located in the Employer settings page of your Gateway portal Please check the scheme tiers section (located on the Employer settings page of your Gateway portal) to view active scheme codes for your scheme. Only these codes should be used in your pension Please check the scheme tiers section (located on the Employer settings page of your Gateway portal) to view active scheme codes for your scheme. Only these codes should be used in your pension Gateway user guide for employers 15
Dealing with file content warnings Validation warnings will be displayed at the same time as the error messages, and they will be displayed in yellow. The main difference between errors and warnings is that you will not be able to submit your pension until all errors have been resolved. However warnings will not prevent you from submitting your pension. The warnings will contain important information that will relate to the employee records, and often updates will be required in your payroll system to resolve the warning being displayed. Warning message Action required NINO NINO missing and employee has been in service for more than 6 months NINO missing - only OK within 6 months of employment start This warning is to highlight that NOW: Pensions do not hold a NI Number for the employee and this should be added to a future file. The employee will need to quote their NI Number when contacting NOW: Pensions to discuss their policy so it is a key item of data. This warning is to highlight that NOW: Pensions do not hold a NI Number for the employee and this should be added to a future file. The employee will need to quote their NI Number when contacting NOW: Pensions to discuss their policy so it is a key item of data. DOB Employee is aged over 75 and is not subject to Auto Enrolment Employee is aged under 16 and is not subject to Auto Enrolment PAYSTART PAYSTART cannot be more than 30 days in the future ENROL DATE Changing the ENROL DATE will start a new opt out period ENROL DATE not supplied for member who has requested to join Employees aged 75 or over should not be included on the pension as Auto Enrolment does not apply to them. Please remove the employee Employees aged under 16 should not be included on the pension as Auto Enrolment does not apply to them. Please remove the employee and add them back into the file once they have reached 16. Pay periods should not be uploaded until you have run the payroll for that period. Please only upload the file when the pay period has been processed and any contributions due deducted. Changing an employee s ENROL DATE will create a new opt out period and generate a new enrolment notice. Please ensure that the change in enrolment date is valid, i.e. the employee has been re-enrolled having previously opted out. The employee has elected to opt into the scheme, they should therefore be enrolled in the scheme from the next available pay period and an ENROL DATE should be provided to confirm the enrolment. Gateway user guide for employers 16
ADDRESS ADDRESS (1 to 5) exceeds 100 characters EMAIL Duplicate email address detected for employees {XXXX}. Using the same email for different employees is a security risk OPTIN OPTIN date detected in your payroll file: if this employee is to be enrolled in a subsequent pay period please ensure that an ENROL DATE is provided in the relevant file We will not reject a row of data if it exceeds this limit, however only 100 characters will be held on the employee s pension record. Please amend the address field to ensure it is less than 100 characters Communications are issued by email directly to employees, if employees use the same email address they will have access to another employees communications. Ideally a unique email address should be provided for all employees, however this is not mandatory If an employee has elected to opt into the scheme an ENROL DATE should be provided in the pay period where they have been enrolled and contributions have been deducted. Please ensure the ENROL DATE is included in a future file OPTOUT OPTOUT date should not be provided unless previously enrolled OPTOUT date should not be provided if employee has not opted out through the NOW: Pensions Gateway Contributions for member who has opted out OPTOUT date not supplied for member who has opted out OPTOUT date {DD/MM/YYYY} in file does not match opt out request date {DD/MM/YYYY} EXIT DATE EXIT DATE is after the end of the current pay period and will be ignored Contributions for member who has left the scheme PENSIONABLE EARNINGS PENSIONABLE EARNINGS should not exceed GROSS PAY, unless salary sacrifice is being used Employees do not get opt out rights until they have been enrolled and an ENROL DATE has been provided to NOW: Pensions. Employees must also opt out through NOW: Pensions. Please remove opt out date from employee record Employees must opt out through NOW: Pensions, please remove the Opt out date from the employee record until they have successfully opted out via their online access to Gateway. If an employee has opted out no further contributions should be deducted or submitted, unless they are reenrolled in the scheme at future date. Please check that the contributions are valid and remove if applicable. The employee has opted out via NOW: Pensions, please download the Employee Action File from Gateway and ensure the opt out date recorded here is added to the employee payroll record The employee has opted out via NOW: Pensions and your pension contains a different date to the one we hold. Please download the Employee Action File from Gateway and ensure the opt out date recorded here is added to the employee payroll record Future exit date will not be processed. Gateway will store the exit date and process it once the date has been reached. If an employee has left employment no further contributions should be deducted or submitted, unless they have rejoined the company. Please check that the contributions are valid and remove if applicable. If the employee is using salary sacrifice please change the SAL SACRIFICE data field to Y for the employee. If they are not using salary sacrifice then the Pensionable Earnings figure should not be more than gross pay, please amend accordingly. Gateway user guide for employers 17
Please note that NOW: Pensions strongly recommend using Google Chrome to access Gateway Smarter. Simpler. Better. Information correct as at September 2017 NOW: Pensions is a UK occupational pension scheme. Membership is only available through an employer, following satisfactory checks on the employer. This is written as a general guide only. It should not be relied upon as a sustitute for specific professional advice. PB00174.1016/3 NOW: Pensions 2nd Floor 25 Christopher Street London EC2A 2BS Tel: +44 (0) 333 33 22 222 nowpensions.com