np gateway common errors and warnings oct2020

Contents

Introduction 3

Dealing with file structure errors 4

Dealing with file content errors 7

Dealing with file content warnings 15

Gateway common errors and warnings | 3

Introduction This guide assumes that all the schemes handled by Gateway are either voluntary or auto enrolment. If it is an auto enrolment scheme, the payroll software being used should handle the assessment of employees in line with workplace pension legislation. Our guide is designed for different clients and different systems, so not all errors will apply at the same time. We update this guide periodically to ensure it remains accurate. We’ve taken all screen shots from a Google Chrome browser. We recommend all clients use Google Chrome when they’re running Gateway. Our NOW: Pensions Gateway provides employers with a simple interface to manage pension submissions for their employees. Accurate data is key to ensuring employees get:

• the correct auto enrolment outcomes • accurate contributions • relevant communications.

Gateway is designed to help you ensure the data is correct before you import it. Once data is committed to the database it can't be changed. There are clear error messages and warnings which alert you to any potential problems. This guide provides additional information on the errors and warnings that you may see and how to resolve them.


Dealing with file structure errors

The data file 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):


The table below confirms the file structure error messages that can be displayed, and how to resolve them: Error message Action required

We are unable to process your Pension Data file as it contains the following unexpected ER codes: {0} - displays each unexpected ER code

The ER code must be correct. Please check that the ER code is correct before attempting to upload the file again. The ER code can be found on your Gateway employer settings page.

We are unable to process your Pension Data file as it contains the following invalid Pay codes: {0} - displays each unexpected Pay code

The Pay code must be correct. Please check that the Pay code is correct before attempting to upload the file again. The Pay code can be found on your Gateway employer settings page.

We are unable to process your Pension Data file as there are one or more blank rows.

The Payroll file must not contain any blank rows. Please remove any blank rows, save your changes and upload the file again.

We are unable to process your Pension Data file due to it being in an invalid format. Please ensure the file format is .csv.

The Payroll file must be in a .csv format (comma delimited). Please ensure that the file is saved in the correct format and upload the file again.

We are unable to process your Pension Data file as it does not contain any information. Please upload a different file.

The Payroll file must not be empty. If you there are no contributions to submit, then it may be applicable to provide a null submission. Please refer to page 17 of the ‘Gateway employer user guide’ for more information.

We are unable to process your Pension Data file. The payment frequency is {1} we are expecting {0}. N.B. 0 and 1 will be replaced by real data in the actual error message.

The Payroll file must be for the correct Payment Frequency. Please check the pay frequency in the file to ensure it is correct for all employees.

We are unable to process your Pension Data file. The payment period is {1} we are expecting {0}. N.B. 0 and 1 will be replaced by real data in the actual error message.

The Payroll file must be for the correct Pay Period. Please check the pay period and pay period start dates provided in the Pension Data file you are trying to upload. Pension 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.


Sorry, we are still processing your last Pension Data file, please bear with us and we will be ready for more files shortly. Thank you for your patience.

Only one Pension Data file can be loaded at a time. Please wait until the first file has been uploaded before attempting to upload the second, and so on.

We are unable to process your Pension Data file as the following headings are missing {0}. Please add the missing column(s) to the file. N.B. 0 will be replaced by real data in the actual error message.

The Pension Data file must contain the expected column headings. Please refer to the ‘A guide to generic input files’ document for more information on the 36 columns which need to be in the file.

We are unable to process your Pension Data file as the following are not valid column headers: {0}. Please ensure the correct column headers {1} are included. N.B. 0 and 1 will be replaced by real data in the actual error message.

The Pension Data file must contain the correct column headings. Please refer to the ‘A guide to generic input files’ document for more information on the 36 columns which need to be in the file.


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.


The table below confirms the file content error messages that can be displayed, and how to resolve them: Error message Action required

Forename 1

Forename 1 is a mandatory field and must not be left blank

Please ensure that this field is populated in your pension data file

Forename 1 must not exceed 40 characters

Please ensure the correct data has been included in the Forename 1 column

Forename 1 must contain at least 2 characters (not initials)

Please ensure full forename is included (not just initials) in your pension data file

Forename 1 must only contain alpha characters

Please ensure the employees forename 1 does not include any full stops or numbers

Forename 2 Forename 2 must not exceed 40 characters

Please ensure the correct data has been included in the Forename 2 column

Forename 2 must only contain alpha characters

Please ensure the employees forename 2 does not include any full stops or numbers

Surname Surname is a mandatory field and must not be left blank


Surname must not exceed 40 characters

Please ensure the correct data has been included in the Surname column

Surname must contain at least 2 characters (not initials)

Please ensure full surname is included (not just initials) in your pension data file

Surname must only contain alpha characters

Please ensure the employees surname does not include any full stops or numbers

NINO NINO in invalid format, must be AA000000A

Please ensure the NINO provided is in a valid format. If NINO unknown then please leave field blank

Temporary NINO supplied, leave blank if not known

Please input the employees valid NI Number. If NI Number is not known please leave blank

Duplicate National Insurance number detected for employees {XXXX}

NINO should be unique for all employees. Please check the NINO’s being provided and amend where necessary

STARTDATE STARTDATE is a mandatory field and must not be left blank


STARTDATE in invalid format Please ensure the file contains the STARTDATE in the correct format – DD/MM/YYYY

STARTDATE of employment is after the end date of the current pay period

Employees should only be included on the pension data file when their employment has commenced. Please check employees start date and amend or remove where applicable.


Title Title is a mandatory field and must not be left blank


Title does not match any of the permissible options

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.

DOB DOB is a mandatory field and must not be left blank


DOB in invalid format Please ensure the file contains the DOB in the correct format – DD/MM/YYYY

Employee DOB is in the future Employees must be over 16 to be qualify for Auto enrolment. Please check the DOB being provided and amend accordingly

SEX SEX is a mandatory field and must not be left blank


SEX must be either M or F Please ensure that either M or F is provided in this field for each employee Male and Female are also acceptable.

PAYROLLNO PAYROLLNO is a mandatory field and must not be left blank


PAYROLLNO must not exceed 25 characters

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

Duplicate PAYROLLNO with the same PAY CODE and ER CODE

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 must not be left blank


PAYSTART in invalid format Please ensure the file contains the PAYSTART in the correct format – DD/MM/YYYY

PAYSTART DD/MM/YYYY: Bad PAYSTART in upload: Expected DD/MM/YYYY but found DD/MM/YYYY

Please check the PAYSTART provided in the pension data file 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.

PAYSTART should be the same for all rows in a given PAY CODE and ER CODE

The pay period start date provided on your data file 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 data file


PAYPERIOD PAYPERIOD is a mandatory field and must not be left blank


PAYPERIOD must be numeric Please check that the PAYPERIOD in the file is in the required format

PAYPERIOD must not exceed 2 digits Please check that the PAYPERIOD in the file is in the required format

PAYPERIOD should be the same for all rows in a given PAY CODE and ER CODE

The pay period provided on your data file 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 data file

PAYFREQ

PAYFREQ is a mandatory field and must not be left blank


PAYFREQ in invalid format Please ensure that the file contains one of the acceptable codes listed – Weekly, Monthly, Fortnightly, Quarterly, Four Weekly or 4 4 5

PAYFREQ should be the same for all rows in a given PAY CODE and ER CODE

The payroll frequency on your data file 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

Please ensure the file contains the ENROL DATE in the correct format – DD/MM/YYYY

ENROL DATE cannot be more than 30 days in the future

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

ENROL DATE should not be before STARTDATE

Employees cannot be enrolled before they start employment. Please amend the enrolment date so that it is after the start date of employment

ENROL DATE should be before EXIT DATE

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

ENROL DATE and OPTOUT should not be provided together for the first time

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.

ENROL DATE should not be after OPTOUT

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 for member who has not been enrolled

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 data file

Employee has been assessed as a Worker and either an ENROL DATE or POSTPONEMENT DATE has been provided

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


POSTPONEMENT DATE POSTPONEMENT DATE in invalid format

Please ensure the file contains the POSTPONEMENT DATE in the correct format – DD/MM/YYYY

POSTPONEMENT DATE should not be before STARTDATE

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

POSTPONEMENT DATE should not be after ENROL DATE, remove postponement date if enrolled

Employees cannot be postponed if they have been enrolled. If the enrolment date is correct please remove the postponement date from the employee record

Employee has been assessed as a Worker and either an ENROL DATE or POSTPONEMENT DATE has been provided

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

ASSESSMENT ASSESSMENT is a mandatory field and must not be left blank


ASSESSMENT does not match any of the permissible options

Please ensure that a valid Assessment category is provided for the employee. Valid categories are – Eligible jobholder, Non-eligible jobholder, Entitled Worker or Worker

ADDRESS AND POSTCODE ADDRESS 1 is a mandatory field and must not be left blank


POSTCODE is a mandatory field and must not be left blank


POSTCODE must not exceed 9 characters

Please amend the postcode field so that no more than 9 characters are provided

EMAIL EMAIL must not exceed 100 characters

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

EMAIL in invalid format 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

EMAIL appears to be invalid 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

SAL SACRIFICE SAL SACRIFICE is a mandatory field and must not be left blank


SAL SACRIFICE must be Y or N 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


Contributions EE CONTS must be numeric 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.

EE CONTS cannot be negative Negative contribution figures will not be accepted by Gateway. If corrections are required to employee contribution figures already submitted please contact Client Support

EE CONTS is limited to 2 decimal places

Please ensure that all contributions submitted have a maximum of 2 decimal places.

ER CONTS must be numeric 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.

ER CONTS cannot be negative Negative contribution figures will not be accepted by Gateway. If corrections are required to employer contributions figures already submitted please contact Client Support

ER CONTS is limited to 2 decimal places

Please ensure that all contributions submitted have a maximum of 2 decimal places.

AVCS must be numeric 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.

AVCS cannot be negative Negative contribution figures will not be accepted by Gateway. If corrections are required to AVC figures already submitted please contact Client Support

AVCS is limited to 2 decimal places Please ensure that all contributions submitted have a maximum of 2 decimal places.

EE CONT % must be numeric Please ensure that the EE CONT % figure provided is numeric, to a maximum of 2 decimal places

EE CONT % cannot be negative Gateway will not accept negative EE CONT % figures. Please remove the negative figure from the file

EE CONT % is limited to 2 decimal places

Please ensure that EE CONT % figures have maximum of 2 decimal places

ER CONT % must be numeric Please ensure that the ER CONT % figure provided is numeric, to a maximum of 2 decimal places

ER CONT % cannot be negative Gateway will not accept negative ER CONT % figures. Please remove the negative figure from the file

ER CONT % is limited to 2 decimal places

Please ensure that ER CONT % figures have maximum of 2 decimal places

OPTIN OPTIN in invalid format Please ensure the file contains the OPTIN in the correct

format – DD/MM/YYYY OPTIN should not be before STARTDATE

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

OPTIN should not be equal to OPTOUT

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.

OPTIN should not be after EXIT DATE Employees cannot opt into the scheme once they have left employment. Please remove the Opt in date from the file.


OPTOUT

OPTOUT in invalid format Please ensure the file contains the OPTOUT in the correct format – DD/MM/YYYY

OPTOUT should not be before STARTDATE

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 data file will not be actioned.

OPTIN and OPTOUT should not both be provided in first pay period

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.

OPTIN should not be after OPTOUT in first pay period

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 places

Please ensure that GROSS PAY figures have maximum of 2 decimal places

PENSIONABLE EARNINGS must be numeric

Please ensure that the PENSIONABLE EARNINGS figure provided is numeric, to a maximum of 2 decimal places

PENSIONABLE EARNINGS cannot be negative

Gateway will not accept negative PENSIONABLE EARNINGS figures. Please remove the negative figure from the file and replace it with 0.00

PENSIONABLE EARNINGS is limited to 2 decimal places

Please ensure that PENSIIONABLE EARNINGS figures have maximum of 2 decimal places

EXIT DATE EXIT DATE in invalid format Please ensure the file contains the EXIT DATE in the

correct format – DD/MM/YYYY EXIT DATE should not be before STARTDATE

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 data file.


PAY CODE, ER CODE and SCHEME CODE PAY CODE is a mandatory field and must not be left blank


PAY CODE must be alphanumeric Please ensure that the PAY CODE in your pension data file 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

PAY CODE must not exceed 4 characters

Please ensure that the PAY CODE in your pension data file 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

Bad PAY CODE: Expected {0} The incorrect PAY CODE has been provided on your pension data file. Please ensure the correct PAY CODE is used for all employees in your pension data file. The PAY CODE can be located in the Employer settings page of your Gateway portal

ER CODE is a mandatory field and must not be left blank


ER CODE must be alphanumeric Please ensure that the ER CODE in your pension data file 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

ER CODE must not exceed 4 characters

Please ensure that the ER CODE in your pension data file 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

Bad EMPLOYER CODE: Expected {0} The incorrect ER CODE has been provided on your pension data file. Please ensure the correct ER CODE is used for all employees in your pension data file. The ER CODE can be located in the Employer settings page of your Gateway portal

SCHEME CODE does not match any of the permissible options

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 data file

SCHEME CODE provided does not match any of the active scheme tiers

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 data file


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 data file until all errors have been resolved. However warnings will not prevent you from submitting your pension data file. 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

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.

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.

DOB Employee is aged over 75 and is not subject to Auto Enrolment

Employees aged 75 or over should not be included on the pension data file as Auto Enrolment does not apply to them. Please remove the employee

Employee is aged under 16 and is not subject to Auto Enrolment

Employees aged under 16 should not be included on the pension data file as Auto Enrolment does not apply to them. Please remove the employee and add them back into the file once they have reached 16.

PAYSTART PAYSTART cannot be more than 30 days in the future

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.

ENROL DATE

Changing the ENROL DATE will start a new opt out period

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.

ENROL DATE not supplied for member who has requested to join

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.


ADDRESS ADDRESS (1 to 5) exceeds 100 characters

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

EMAIL Duplicate email address detected for employees {XXXX}. Using the same email for different employees is a security risk

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

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

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

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

OPTOUT date should not be provided if employee has not opted out through the NOW: Pensions Gateway

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.

Contributions for member who has opted out

If an employee has opted out no further contributions should be deducted or submitted, unless they are re-enrolled in the scheme at future date. Please check that the contributions are valid and remove if applicable.

OPTOUT date not supplied for member who has opted out

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

OPTOUT date {DD/MM/YYYY} in file does not match opt out request date {DD/MM/YYYY}

The employee has opted out via NOW: Pensions and your pension data file 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

EXIT DATE

EXIT DATE is after the end of the current pay period and will be ignored

Future exit date will not be processed. Gateway will store the exit date and process it once the date has been reached.

Contributions for member who has left the scheme

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.

PENSIONABLE EARNINGS PENSIONABLE EARNINGS should not exceed GROSS PAY, unless salary sacrifice is being used

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.

np gateway common errors and warnings oct2020

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