ROE Secure Automated Transfer (ROE SAT) 4.0 - User guide

Record of Employment (ROE) Secure Automated Transfer (SAT) is a system used by large companies, primarily Payroll Service Providers (PSPs), to send Records of Employment (ROEs) to Service Canada in a secure electronic format.

If your ROE serial numbers begin with the letter “S”, then the ROEs are submitted using this system, which has the capacity of sending large volumes of ROEs at once.

Historically ROE SAT was built with basic validation rules, with the goal of allowing PSPs and their clients to issue ROEs in an electronic format. After many years, this process has proven to be successful. As a next step in 2011, Service Canada began analyzing the quality of the ROEs produced via ROE SAT, and its impact on the processing of Employment Insurance (EI) claims.

As a result of this analysis, it was clear that the ROE SAT system required a more rigorous set of rules in order to produce better quality ROEs. In December 2011, Service Canada issued a new set of validation rules, which ROE SAT users have been mandated to introduce. The goal of this process is to pay EI claimants faster and more efficiently, and reduce the need for Service Canada to call employers for additional information.

While the validation rules are new to the ROE SAT system, all of these ROE validation rules are supported by the guidance provided in the “How to Complete the Record of Employment Form" guide.

In order for you to experience a smooth transition, we have developed this guide to assist you in completing your ROEs correctly and provide clarification of the new rules that your PSP has added in order to comply with SAT v4.0.

Interruption of Earnings and the 30 day gap rule

• The ROE SAT system has included a new validation rule aimed in particular at employees who have experienced more than 30 days of no work and no earnings – known as the 30 day gap rule.
• By issuing an ROE after there has been a break of at least 30 days, it will allow for a more accurate calculation of the employees EI claim for benefits. When we calculate an employee’s EI claim for benefits, there may be circumstances that will allow for an extension to the period for which we determine the insurable hours and/or earnings. By splitting the ROE, we have more ROE data completed in block 15C – which may reduce calls to employers for additional detailed information.

What if my employee does not work for 30 days?

• If your employee has not worked for a period of 30 days or more, an ROE should be issued;
• The Last Day for Which Paid (block 11) for that ROE should indicate the last time the employee actually worked (more than 30 days ago);
• The ROE should represent the last consecutive pay periods prior to the last day for which paid (indicated in block 11).

How do I complete the ROE?

The ROE should include the insurable earnings up to and including the last day for which the employee was paid. It should not represent the period of 30 days where there was no insurable work or earnings. There is additional information regarding special situations to the seven-day rule and for employees involving part-time and casual workers in the How to Complete the Record of Employment Form guide – When to issue an ROE.

Period of Employment

The ROE SAT system has also added a new validation rule which verifies the dates indicated as the First Day Worked, the Last Day for Which Paid and the Final Pay Period Ending date. It is important the dates indicated represent the accurate period of employment; this ensures that if the employee applies for EI benefits, Service Canada can properly assess the length of time she or he worked, and determine the period for which she or he qualifies for EI benefits.

These dates will also help determine the number of pay periods that require completion. If the dates of the period of employment are incorrect, it could affect the number of pay periods provided in block 15C – Detailed Pay Period information and in turn, may cause an error during submission.

For more information on the period of employment, please consult the How to Complete the Record of Employment Form guide - Period of Employment.

Reason for Issuing this ROE

There are codes for most situations within the new list of available reasons for separation.

Important: When these codes are selected, a comment in block 18 is not required unless the Reason for Issuing this ROE (block 16) is Code ‘K00 – Other’, or ‘K15 – Canadian Forces - Queen's Regulations/Orders.

We have expanded the codes for reasons for issuing an ROE in the ROE SAT system – which allows the user to clearly specify the reason for which the ROE is being issued, reduce the Comments in block 18 as well as reduce the number of calls from Service Canada to clarify the reason for issuing the ROE. By selecting the most specific code, the number of calls you will receive from Service Canada will be reduced.

Block 16 - Reason for Issuing this ROE codes

Code	Description
A00	Shortage of work / End of Contract or Season
A01	Employer bankruptcy or receivership	NEW
B00	Strike or lockout
D00	Illness or injury
E00	Quit
E02	Quit / Follow spouse	NEW
E03	Quit / Return to school	NEW
E04	Quit / Health reasons	NEW
E05	Quit / Voluntary retirement Use this option for voluntary retirement otherwise refer to codes G00 and G07	NEW
E06	Quit / Take another job	NEW
E09	Quit / Employer relocation	NEW
E10	Quit / Care for a dependant	NEW
E11	Quit / To become self-employed	NEW
F00	Maternity
G00	Mandatory retirement
G07	Retirement / Approved workforce reduction	NEW
H00	Work sharing
J00	Apprentice training
K00	Other
K12	Other / Change of payroll frequency	NEW
K13	Other / Change of ownership	NEW
K14	Other / Requested by Employment Insurance	NEW
K15	Other / Canadian Forces - Queen's Regulations/Orders	NEW
K16	Other / At the employee’s request	NEW
K17	Other / Change of Service Provider	NEW
M00	Dismissal
M08	Dismissal / Terminated within probationary period	NEW
N00	Leave of absence
P00	Parental
Z00	Compassionate care

Block 17 - Separation Payments

New options have been included in the ROE SAT system to expand the selections regarding reporting money paid or payable on separation. This expansion helps to ensure Service Canada has clear and sufficient information to properly assess the EI claim. The additional selections also ensure the employer is able to provide us specific types of monies paid, on or after separation. This allows Service Canada to properly allocate those earnings and to avoid follow-up calls to employers requesting clarification. It is important to always ensure the insurable money paid or payable on separation is included in the earnings reported in “15C Pay Period one”, and “15B Total Insurable Earnings”.

Block 17A – Vacation Pay

These selections are all new. Please select the appropriate type of vacation pay being paid to the employee.

• Report any vacation pay you have paid or will be paying due to the separation from employment.
• Remember to include the amount of vacation pay in pay period 1 of block 15C and block 15B.

You may select only one of the following types (you may be required to enter dates and/or amounts depending on the type selected).

Block 17A - Types of Vacation pay and fields required

Code	Description	Start Date	End Date	Amount	Insurable If yes, the amount must be included in block 15C PP1 and block 15B
1	Included with each pay	Must be blank	Must be blank	Must be blank	Yes
2	Paid because no longer working	Must be blank	Must be blank	M	Yes
3	Paid for a vacation leave period	O	O	M	Yes
4	Anniversary (Paid on a specific date each year)	O	Must be blank	M	yes
Vacation Pay Information (M – Mandatory, O – Optional, blank – not required)

Block 17B – Statutory Holidays

• Only report statutory holidays that are paid for a day after the date in block 11.
• If the separation is permanent there are no insurable hours attached. If the separation is not permanent there are insurable hours attached.
• The number of hours you report in block 15A is usually the number of hours the employee normally works. If you are not sure of the number of hours to report for a statutory holiday, contact the Canada Revenue Agency.
• Remember to include the statutory holiday pay amounts in pay period 1 of block 15C and block 15B as this money is insurable.

Block 17C – Other Monies paid or payable on separation

• Report any payments, other than regular salary, that you have paid or will pay to the employee due to the separation, such as severance pay or pay in lieu of notice.
• Remember to include all insurable payments in block 15B and 15C pay period 1.

Select from one of the following types (depending on the type selected, you may be required to enter dates and/or amounts).

Block 17C – Codes and types of Separation Monies

Code	Description	Start Date	End Date	Amount	Insurable If yes, the amount must be included in block 15C PP1 and block 15B
B05	Bonus(Holiday)	O	Must be blank	M	Yes	NEW
B06	Bonus (Production/Incentive)	O	O	M	Yes	NEW
B07	Bonus (Event)	O	Must be blank	M	Yes	NEW
B08	Bonus (Staying/Contract complete/End of season)	Must be blank	Must be blank	M	Yes	NEW
B09	Bonus (Separation or retirement)	Must be blank	Must be blank	M	Yes	NEW
B10	Bonus (Closure)	Must be blank	Must be blank	M	Yes	NEW
B11	Bonus (Other) Use this code if you used to select B-Bonus, otherwise use one of the new Bonus codes above	Must be blank	Must be blank	M	Yes	NEW
E00	Severance pay	Must be blank	Must be blank	M	No
G00	Gratuities	Must be blank	Must be blank	M	Yes
H00	Honorariums	O	O	M	No
I00	Sick leave credits	O	Must be blank	M	Yes
J00	Retroactive pay adjustment	Must be blank	Must be blank	M	Yes	NEW
O00	Other	O	O	M	Yes
Q00	Profit sharing	Must be blank	Must be blank	M	Yes
R00	Retiring allowance / Retirement leave credits	Must be blank	Must be blank	M	No
S00	Settlement pay	O	O	M	Yes
T00	Payout of banked overtime	Must be blank	Must be blank	M	Yes	NEW
U12	SUB Maternity/Parental/Compassionate care (Top up)	Must be blank	Must be blank	O	No	NEW
U13	SUB-Layoff	Must be blank	Must be blank	O	No	NEW
U14	SUB–Illness	Must be blank	Must be blank	O	No	NEW
U15	SUB–Training	Must be blank	Must be blank	O	No	NEW
Y00	Pay in lieu of notice	Must be blank	Must be blank	M	Yes
Other Monies Information (M – Mandatory, O – Optional)

Codes which were removed and no longer available:

A - Anniversary payout – this should be reported in block 17A, using the new selection Anniversary (paid on a specific day each year)

C - Salary Continuance – if you have previously used this code to report a salary continuance, the proper guidance is not to produce the ROE until the end of the salary continuance (since no interruption of earnings has occurred in this situation).

W – Provincial Payment/Preventative Withdrawal: this type of money does not need to be reported for EI purposes.

For a more detailed description of each type of monies paid or payable on separation, please refer to the guidance provided in the “How to Complete the Record of Employment Form" guide.

Block 18 – Comments

The purpose of expanding the reason codes in block 16, as well as the options under block 17 is to reduce the comments repeated in block 18.

• When comments are provided, the ROE is removed from the automated processing system and a Service Canada agent must manually review the ROE.
• In order to facilitate the automated process and expedite benefits to client, we are trying to deter the use of the Comment field for redundant information.
• Comments may be provided to communicate details about exceptional circumstances to help clarify the information on the ROE.
• Comments that re-iterate information already contained elsewhere on the ROE should be avoided.

Block 19 - Paid Sick, Maternity, Parental, or Compassionate Care Leave or Group Wage Loss Indemnity Payments

Clarifications and new selections have also been added to the Special Payments section of the ROE. There is now a differentiation made (for reporting purposes) between an insurable and a non-insurable Wage Loss Indemnity payment. It is understood that the person issuing the ROE may or may not know the specific information surrounding these payments (for example, if paid by a third party) and therefore in most instances, the information is optional. However, it provides an opportunity for the person issuing the ROE to indicate as much information as possible, such as if the employee is receiving a wage loss indemnity or not. If you are unsure about the insurability of your wage loss insurance plan, contact the Canada Revenue Agency.

The information in block 19 is used to help us determine:

• When we can start a claim for EI benefits;
• If we can waive the waiting period;
• If the employee is or will be in receipt of other money (i.e. Wage Loss Insurance) after their last day of work.

If the reason for separation is illness, maternity or parental leave or compassionate care and:

• the employee received paid sick leave on or after their last day of work, the waiting period may be waived; or
• the employee most recently received wage loss insurance (WLI), the start date of the claim may be backdated by two weeks so the last 2 weeks of WLI falls within the waiting period (as WLI is not considered earnings during the waiting period).

Paid sick, maternity, parental and compassionate care leave

• The payment start date is the first day for which you paid sick, maternity, parental or compassionate care pay;
• The last day of the paid leave should equal the date in block 11;
• If the amount varies, enter an average.

Insurable wage loss insurance

• The payment start date is the first day for which you paid wage loss insurance. The start date may be before, equal to or after the last day for which paid in block 11;
• The payment end date of the wage loss insurance should be equal to or later than the start date;
• If the amount varies, enter an average.

Non insurable wage loss insurance

• The payment start date is the first day of wage loss insurance. This date will be after the last day for which paid entered in block 11.

Select from one of the following types (depending on the type, you may be required to provide an amount; dates are always optional and can be provided if known):

Block 19 - Special Payment Types

Code	Description	Start Date	End Date	Amount	Period
PSL01	Paid sick leave	O	O	M	O
WLI01	Wage loss indemnity (NOT EI insurable)	O	O	O	O
WLI02	Wage loss indemnity (EI insurable)	O	O	O	O	NEW
MAT01	Maternity, Parental, Compassionate care leave (Not top-up)	O	O	M	O
Special Payments Information: M = Mandatory, O = Optional

What if I’ve issued an ROE in a previous version of ROE SAT?

If you need to amend an ROE that was created prior to the release of ROE SAT 4.0, given the differences between versions, it is possible that some of information on the original ROE issued may now not pass the new validation rules when it is being amended. To assist in amending the ROE, please refer to the information provided above, as well as the How to Complete the Record of Employment Form guide, to ensure all information entered into the ROE is correct.

If you continue to have difficulty issuing your amended ROE, please contact either your service provider for assistance with your software or the Employer Contact Centre. Should you have a question related to how to complete the ROE, please contact the Employer Contact Centre at 1-800-367-5693 (TTY: 1-855-881-9874).