This is an extract of information relating to terminations for contracted out Schemes.
Although the Personal Investment Plan scheme is the only contracted out scheme the extract will also be required for the members in the Afterwork scheme with a deferred membership for which the previous scheme within the UK is a contracted out scheme.
This extract is available as a report under the MI Reports.
For more information, refer to
System Reports
General
In order to supply the required information in the Terminations Notices extract certain information is required to be recorded for the contracted out scheme from which members’ benefits are transferred, for the contracted out scheme to which it is being transferred and for the type of transfer.
Transferring Scheme (UK)
The following table contains the fields required for the transferring scheme and an indication of the system field in which it is to be recorded.
|
Code |
Description |
System Field |
|
ECON |
Employer’s Contracted-Out Number |
Registration Number on Participating Employer |
|
SCON |
Scheme’s Contracted-Out Number |
Registration Number for Legislative Body SCON – Scheme Contracted Out Number |
Note:
A Legislative Body with a Code of SCON and Description of Scheme Contracted Out Number has been set up in production.
Transferee Scheme
The following table contains the fields required for the transferee scheme and an indication of the system field in which it is to be recorded.
|
Code |
Description |
System Field |
|
ECON |
Employer’s Contracted-Out Number |
Employer Contracted Out No |
|
SCON |
Scheme’s Contracted-Out Number |
Scheme Contracted Out No |
|
ASCN |
Appropriate Scheme Contracted-Out Number |
Appr Scheme Contracted Out No |
The following table lists the HM Revenue & Customs (HMRC) designators that indicate the type of transfer.
These values will be displayed in the Type of Transfer field on the JU4AO Payment Allocation screen.
|
Code |
Description |
|
EL |
Applicable for a termination and change of Responsible Paying Authority (RPA) for a Contracted Out Salary Related (COSR) scheme to another COSR scheme, a Contracted Out Money Purchase (COMP) scheme, Contracted Out Money Purchase Stakeholder Pension (COMPSHP) scheme, an Appropriate Personal Pension (APP) scheme, Appropriate Personal Pension Stakeholder (APPSHP) scheme or the active COSR or COMP part of a Contracted Out Mixed Benefit (COMB) scheme. |
|
EN |
Applicable for periods of contracted-out employment which either begins before and terminates after 06/04/1997 or is entirely after 05/04/1997 and any GMP element is to be revalued by fixed or Section 148 orders. |
|
EO |
Applicable for a transfer from a COSR scheme to another COSR scheme, COMP scheme, COMPSHP scheme, APP scheme, APPSHP or the active COSR or COMP part of a COMB scheme. Used to notify periods of contracted-out employment which either begins before and terminates after 06/04/1997 or is entirely after 05/04/1997 and any GMP element is to be revalued by fixed or Section 148 orders. |
|
EP |
Applicable for a termination and change of Responsible Paying Authority (RPA) for a COMP or COMPSHP scheme to another COMP scheme, COMPSHP scheme, APP scheme, APPSHP or the active COSR or COMP part of a COMB scheme. |
|
ES |
Applicable for a transfer from a COMP or COMPSHP scheme to another COMP, COMPSHP scheme, APP scheme, APPSHP scheme or the active COSR or COMP part of a COMB scheme. Used to notify periods of contracted-out employment which either begins before and terminates after 06/04/1997 or is entirely after 05/04/1997. |
|
EV |
Applicable for a transfer of membership between the parts of a COMB scheme. |
|
EX |
Applicable for a change of Responsible Paying Authority (RPA) for a COSR scheme to another COSR scheme, a COMP scheme, COMPSHP scheme, an APP scheme, APPSHP scheme or the active COSR or COMP part of a COMB scheme. |
|
EY |
Applicable for a change of Responsible Paying Authority (RPA) for a COMP or COMPSHP scheme to another COMP scheme, COMPSHP scheme, APP scheme, APPSHP or the active COSR or COMP part of a COMB scheme. |
|
TC |
Applicable for the transfer of accrued pension rights to a COSR scheme or active COSR part of a COMB scheme, including GMP rights to be revalued using Section 148 orders. Used to notify periods of contracted out employment before 06/04/1997. |
|
TE |
Applicable for a COMP or COMPSHP scheme or the COMP or COMSHP part of a COMB scheme for a recommencement of employment under a different Employer’s Contracting Out Number (ECON) using the same scheme. |
|
UA |
Applicable for a COMP or COMPSHP scheme for which the Protected Rights have been retained in the Scheme. |
|
UB |
Applicable for a transfer from a COMP or COMPSHP scheme to another COMP scheme, COMPSHP scheme or the active COSR or COMP part of a COMB scheme. Used to notify periods of contracted out employment entirely before 06/04/1997. |
|
UD |
Applicable for a transfer from a COMP or COMPSHP scheme to an APP scheme or APPSHP scheme if the employee is contributing to the personal pension scheme. Use to notify periods of contracted out employment entirely before 06/04/1997. |
|
VA |
Applicable for a transfer from a COSR scheme to an APP scheme or an AASHP scheme if the employee is contributing to the APP or AASHP scheme. Used to notify periods of contracted-out employment entirely before 06/04/1997. |
|
VB |
Applicable for a transfer from a COSR scheme to a COMP scheme, COMPSHP scheme or the active COMP part of a COMB scheme. Used to notify periods of contracted-out employment entirely before 06/04/1997. |
Note:
This list only contains the designators that are applicable to the UK Scheme.
These values are filtered in the Type of Transfer field drop down list to display if the value for Pension Status is CONTRACTED OUT for the Scheme for which the Benefit Payment is being processed.
Log in to the system from the Logon page.
Click system reports.
The following screen will be displayed.
From the General menu, click 
alongside Termination Notices File on the sub-menu on the left. Additional options will be displayed.
When the New menu option is selected, the Termination Notices Report screen is displayed.
When GENERATE REPORT is selected, the system will read the Notification Timestamp on the Batch Parameter REPORTS with a Parameter Sub-Type of TERMINATIONS.
For the Schemes for which the Pension Status is CONTRACTED OUT the system will find the Benefit Disposal Instructions for which the Payment Authorised Indicator is Y, the Type of Transfer is not null and the Timestamp is greater than the Batch Parameter Timestamp and the Termination Notice Timestamp is null.
For each record found, the information will be extracted as per the System Source column in the File Layout table below and the Termination Notice Timestamp will be updated with current date and time.
If there is no Notification Timestamp on the Batch Parameter REPORTS with a Parameter Sub-Type of TERMINATIONS, the system will find the Benefit Disposal Instructions for which the Payment Authorised Indicator is Y, the Type of Transfer is not null and the Termination Notice Timestamp is null. This means that the first report run will extract all of the relevant terminations processed on Vision as at the date of the report.
Note:
Where there is no Notification Timestamp on the Batch Parameter REPORTS and only the terminations processed after a specific date must be extracted, a Batch Parameter must be set up with the required date.
For the Schemes for which the Pension Status is CONTRACTED OUT, the system will find the Client Relationships of EMPLOYS with a Timestamp greater than the Batch Parameter Timestamp and for which the Registration Number for the Participating Employer is different from the Registration Number of the Previous Employer. For each record found, the information as per the System Source column in the File Layout table below will be extracted. The value for Designator must be set to TE.
For Schemes for which the Pension Status is CONTRACTED IN, the system will find the Benefit Disposal Instructions for which the Payment Authorised Indicator is Y, the Type of Transfer is not null and the Timestamp is greater than the Batch Parameter Timestamp and the Termination Notice Timestamp is null, the Member’s previous Membership Status (i.e. the Membership Status immediately prior to the Status of EXIT FINALISED) is DEFERRED, and there is a Member Values record for the Member with a Type of TRANSFER and a Sub-type of CONTRACTED OUT. For each record found as per the System Source column in the File Layout table below, the information will be extracted.
Retrospective Contributions
For the records found for which the Type of Transfer is EL, TC, UA, UB, UD, CV, VA or VB, the system will determine if there have been any retrospective contributions received. The system will read the value for the Territory Parameter with a Territory equal to the Territory for the Scheme and with a Type of TAX YEAR END M and derive the start date of the tax year after the Member’s date of exit. The transactions in the Member’s CONTRIBUTION account will be retrieved with a Timestamp greater than the tax year start date and with a Due Date prior to the tax year start date. The transactions found will be summed.
A CSV file as per the File Layouts below will be created. When the file is created, the system will update the Value on the Global Parameter with a Parameter Type of REPORTS and a Parameter Sub-Type of TERMINATIONS with the current value plus 1 and update the Termination Notice Timestamp on each of the Disposal Instruction records.
Header Record Layout
|
Field No. |
Field |
Position |
Size |
Format |
System Source / Default Value |
|
1 |
Header Record Identifier |
1 |
1 |
N |
1 |
|
2 |
Authoriser User Number |
2-11 |
10 |
N |
Characters: 2-4 = 002 5 = 2 6 = 3 7 = 2 8-11 = 0023 |
|
3 |
User’s Name |
12-47 |
36 |
A |
Left justified, space filled First Name and Surname of Contact Person linked to the Scheme with a Role of HMRC SUBMITTER |
|
4 |
User’s Address |
48-107 |
60 |
A |
Client Address for the Contact Person linked to the Scheme with a Role of HMRC SUBMITTER. Left justified and space filled. |
|
5 |
FGN |
108-111 |
4 |
N |
Unique sequence number. Value on Global Parameter with a Parameter Type of REPORTS and a Parameter Sub-Type of TERMINATIONS plus 1. |
|
6 |
Filler |
112-300 |
189 |
|
Spaces |
Data Record Layout
|
Field No. |
Field |
Position |
Size |
Format |
System Source / Default Value |
N/A for UK |
|
1 |
Data Record Identifier |
1 |
1 |
N |
2 |
Yes |
|
2 |
Designator |
2-3 |
2 |
A |
Transfer Type on Benefit Disposal Instruction if applicable or set to TE if a change in Participating Employer. |
Yes |
|
3 |
Dual Guaranteed Minimum Pension calculation |
4 |
1 |
N |
Space |
N/A |
|
4 |
Employer’s Contracted-Out Number (ECON) |
5-13 |
9 |
A/N |
Registration Number on Participating Employer to which the Membership is linked via Pay Centre or if the Designator is TE-CA1593 then the Registration Number for the previous Participating Employer i.e. Participating Employer to which the Member was linked immediately prior to the change. |
Yes |
|
5 |
Scheme Contracted-Out Number (SCON) |
14-22 |
9 |
A/N |
Registration Number for Scheme for Legislative Body SCON |
Yes |
|
6 |
National Insurance Number (NINO) |
23-31 |
9 |
A/N |
Identity Number on Natural Person linked to Membership |
Yes |
|
7 |
Employees Full Surname |
32-57 |
26 |
A |
Surname on Natural Person linked to Membership |
Yes |
|
8 |
First and Second Initials Respectively |
58-59 |
2 |
A |
First two characters of Initials on Natural Person linked to Membership. If only one initial fill second character with space. |
Yes |
|
9 |
Pre-payment Indicator |
60 |
1 |
N |
Space |
N/A |
|
10 |
Remittance amount payable |
61-68 |
8 |
N |
Spaces |
N/A |
|
11 |
Commencement Date |
69-76 |
8 |
N |
Date contracting out commenced. DDMMCCYY Start Date on Member Values table with a Type of CONTRACTED OUT |
Yes |
|
12 |
Termination Date |
77-84 |
8 |
N |
Calculation Effective Date (Date of Exit) on Benefit Request DDMMCCYY |
Yes |
|
13 |
Employees Earnings between lower and upper earnings limits during tax year of termination |
85-90 |
6 |
N |
Spaces |
N/A |
|
14 |
Employees Earnings between lower and upper earnings limits during tax year before termination |
91-96 |
6 |
N |
Spaces |
N/A |
|
15 |
Retrospective Earnings |
97-102 |
6 |
N |
See Retrospective Contributions above. Expressed in whole pounds. |
Yes |
|
16 |
Transferred ECON |
103-111 |
9 |
A/N |
Employer Contracted Out Number on Disposal Instruction if Designator (Transfer Type) is ES or UB, else spaces |
Yes |
|
17 |
Transferred SCON |
112-120 |
9 |
A/N |
Registration Number on Disposal Instruction if Designator (Transfer Type) is ES or UB, else spaces. |
Yes |
|
18 |
Appropriate Scheme Contracted-Out Number (ASCN) |
121-129 |
9 |
A/N |
Appropriate Scheme Contracted Out Number on Disposal Instruction if Designator (Transfer Type) is ES or UD, else spaces |
Yes |
|
19 |
New ECON |
130-138 |
9 |
A/N |
Employer Contracted Out Number on Disposal Instruction if Designator (Transfer Type) is TE-CA1953, else spaces |
Yes |
|
20 |
New SCON |
139-147 |
9 |
A/N |
Registration Number on Disposal Instruction if Designator (Transfer Type) is EL, EP or EY, else spaces. |
Yes |
|
21 |
New ASCN |
148-156 |
9 |
A/N |
Appropriate Scheme Contracted Out Number on Disposal Instruction if Designator (Transfer Type) is EL, EP or EY, else spaces |
Yes |
|
22 |
New Commencement Date |
157-164 |
8 |
N |
Calculation Effective Date (Date of Exit) on Benefit Request if Designator (Transfer Type) is ES or UB, else spaces |
Yes |
|
23 |
Transfer Date |
165-172 |
8 |
N |
Spaces |
N/A |
|
24 |
Revaluation Date |
173-180 |
8 |
N |
Spaces |
N/A |
|
25 |
Revaluation Indicator |
181 |
1 |
N |
Space |
Yes |
|
26 |
Premium Liability Indicator |
182 |
1 |
N |
Space |
N/A |
|
27 |
Widow/Widowers/Surviving Civil Partners Indicator |
183 |
1 |
N |
Space |
N/A |
|
28 |
Employer’s Reference Number |
184-192 |
9 |
A/N |
Company Reference Number on Client Relationship for Membership |
Yes |
|
29 |
Change ECON (Contracted Out Money Purchase Indicator CA1953) |
193 |
1 |
N |
If the Designator is TE-CA1593 then 1 else space. |
Yes |
|
30 |
Date of Effect |
194-201 |
8 |
N |
Spaces |
N/A |
|
31 |
Method of Preservation Indicator |
202 |
1 |
N |
Space |
N/A |
|
32 |
Date of Death |
203-210 |
8 |
N |
Death Date on the Natural Person record else spaces |
Yes |
|
33 |
Widow/Widowers/Surviving Civil Partners NINO |
211-219 |
9 |
A/N |
Spaces |
N/A |
|
34 |
Widow/Widowers/Surviving Civil Partners Checkbrick |
220-224 |
5 |
A |
Spaces |
N/A |
|
35 |
Transfer of Contracted Out Mixed Benefit Scheme membership |
225 |
1 |
N |
Spaces |
N/A |
|
36 |
Filler |
226-322 |
|
|
Spaces |
Yes |
Trailer Record Layout
|
Field No. |
Field |
Position |
Size |
Format |
System Source / Default Value |
|
1 |
Record Identifier |
1 |
1 |
N |
3 |
|
2 |
Total Input Items (Type 2 records) |
2-7 |
6 |
N |
Number of entries in data file |
|
3 |
Total Remittances |
8-13 |
6 |
N |
000000 |
|
4 |
Total Amount Paid (Designator X) |
14-22 |
9 |
N |
000000000 |
|
6 |
Filler |
23-300 |
|
|
Spaces |