EEPM1665 - Workflow Management Work Items: Scheme Level Validation Errors - PAYE & RCF Errors

If PAYE and RCF errors have occurred, the PAYE aspect of the Work Item must be cleared before you begin to work on the RCF’s Error(s). This is due to the fact that the RCF report cannot be issued until the Employer application is updated to show the correct details.

If a letter is received detailing the correct figures for the RCF’s, follow Step 14 of the RCF guidance.

The table below provides a quick reference guide to the main actions required to process this Work Item

Action	Reference
Obtain EAS Number	Step 1
Centrally Paid Employers	Step 3
Can the ER details be traced using the information from the Work Item	Step 7
PAYE Reference number traced	Step 8
PAYE cannot be traced using the Employer Application	Step 9
PAYE Reference not traced but address present	Step 10
Response received where PAYE not traced and address present	Step 12
PAYE cannot be traced and no ER address present	Step 13
Response received where PAYE not traced and the address not present	Step 15
Access NIRS2 Work Management	Step 16
View all RCF’s to confirm which can be cleared without ER contact	Step 18
RCF’s can be cleared	Step 20
Select RCF’s requiring ER contact and request schedule detailing errors	Step 22
All NIRS2 Work Items cleared	Step 23
File received from Employer Compliance from PAYE and RCF enquiry	Step 25
Employer Compliance confirm no further details	Step 26
Expired BF	Steps 27 - 30

Step 1 - Obtain Employers Annual Scheme (EAS) Number

• Further action throughout this Work Item is dependent on the EAS Number
• Within the Workflow Management Work Item Details Window this is referred to as NIRS Error Ref
• Make a note of this number for later use
• Within the Workflow Management Window also make a note of any details of the Employers Name and Address
• You will now need to access NIRS2 Work Management to clear the Work Item

Step 2 - Is the Employer a Centrally Paid Employer?

• On receipt of a Scheme Level Validation Work Item check the Employers Reference to see if the Tax District is 940 or 948.
• If the Tax District ref is 940 or 948 check the Centrally Paid Schemes list held on the Desktop.
• If the Employer is Centrally Paid follow Step 3
• If the Employer is not Centrally Paid follow Step 5

Step 3 - Centrally Paid Employers

• If the Emp Ref is held on the list E-mail the details of the case to Central Payment Section.
• E-mail address is Central Accounts, Section (NICO Contributor 4)
• The E-mail should include the Employers Reference and the Employer name

Step 4 - Record Actions and BF

• All actions undertaken in the Workflow Management system must be recorded
• ‘Access’ the Take Action section of the Work Item
• From the TAKE ACTION box ‘Select’ BFItem from the Drop Down List and ‘Click’ on the [Add] button
• ‘Enter’ 56 days in the 'BF Days' box
• In the Enter Required Information box ‘Select’ Refer to Central Payments from the Actions Field
• Any Additional information can be recorded in the 'Actions Text' box
• ‘Click’ on the [Submit] button, you will be presented with a Confirmation Window
• To complete the action ‘Click’ on the [X] button at the top right of the Window
• ‘Select’ the [Get Next Item] button to continue to the next Work Item

Step 5 - Access NIRS2 Work Management

• ‘Double Click’ on the ‘Work Management’ Icon on the Desktop
• ‘Select’ Resource Group 81113263 from the Resource Group Selection Window and ‘Click’ on OK
• From within the Work Item List Window ‘Click’ File on the Menu Bar and ‘Select’ Open MPPC Work Items
• ‘Select’ PAYE SCHEME from the Drop Down List on the Account Key field and ‘Enter’ the Employers Annual Scheme Number in the next field and ‘Click’ on OK
• The Work Item List Window will be displayed containing all of the MPPC Work Items appropriate to the Employers Annual Scheme number previously entered
• ‘Double Click’ on 96426

Step 6 - Fastpath to the Employer Application

• On the Menu Bar ‘Click’ Options and ‘Select’ Actions, this will take you to the Employer Application Scheme Details Window
• On the Menu Bar ‘Click’ Additional Scheme Details
• The Supplied Employer Address Frame should show details of the Employers Name and Address

Step 7 - Can the Employers details be traced using the information from the Work Item

• Use the details supplied to search for the PAYE Ref
• ‘Tab’ along to the Employer List and Selection Details Window
• In the Employer Details Frame ‘Enter’ the Employers Name (In this frame you also have the Wildcard * option)
• On the Menu Bar ‘Click’ Options and ‘Select’ Build List
• Make a note of the PAYE details supplied
• If the PAYE can be traced follow Step 8
• If the PAYE cannot be traced follow Step 9

Step 8 - PAYE Reference number Traced

• Check EBS to ensure PAYE is valid
• ‘Double Click’ on Interim Single Sign On
• ‘Click’ on CSP
• ‘Double Click’ on EBS Exceptions

The EBS Function Screen will be displayed

• ‘Double Click’ on 'View Employer Summary'

The 'Employer Reference' screen will be shown

• ‘Enter’ the employer reference e.g.989/m2989
• ‘Click’ on OK
• The Employers name, address and contact details will now be shown if the PAYE is valid
• If the Employer details do not relate follow Step 9
• If the PAYE is not valid the message "Employer not found" will be received. If Employer has already been contacted to request PAYE info, follow EEPM1635 - Step 110 of the RCF guidance and insert additional text ‘PAYE information also required’, if not follow Step 9
• ‘Click’ on the [OK] button to remove the error message Window
• Update the Employers Application

Return to NIRS2 Work Management

• ‘Double Click’ on 96426
• On the Menu Bar ‘Click’ Options and ‘Select’ Action, this will take you to the Employer Application Scheme Details Window
• In the Employer Details frame, amend the Tax District and PAYE
• On the Menu Bar ‘Click’ Options and ‘Select’ Update Scheme Details
• This action will automatically update all other associated P14s and will close the NIRS2 Work Item
• Follow EEPM1665 - Step 16

Step 9 - PAYE cannot be traced using Employer Application

• You will now need to trace details of an Employee who has worked for the Employer in the previous year. This may assist in tracing the correct PAYE Ref
• Close down the Employer Application by ‘Clicking’ on the [X} in the top right corner of the Window
• From the Work Item Details Window in NIRS2 Work Management On the Menu Bar ‘Click’ Options and ‘Select’ Action this will take you to the correct Scheme Details Window
• ‘Tab’ to the Contribution List Window to build a list of Employees
• ‘Click‘ on Posted Contributions
• ‘Click’ on Ledger Range and from the Drop Down Menu ‘Click’ on the first Range of Ledgers
• On the Menu Bar ‘Click’ Options and ‘Select’ Build List
• Once the List is available, Highlight the first employee
• On the Menu Bar ‘Click’ Options and ‘Select’ Fastpath to Class 1 Contributions Window (within Person Application)
• This takes you to the Supplied Class 1 Contributions Window
• ‘Click’ on the Tax Year Contributions Folder
• ‘Double Click’ on the line of contributions for the previous tax year, this will take you back to the Supplied Class 1 Contributions Window
• On the Menu Bar ‘Click’ Options and ‘Select’ View Class 1 Employment History, this will take to the Class 1 Employment Details Modal Window
• The PAYE Employer Details frame will display the Emp Ref and Employer Checkbrick
• If this action is unsuccessful ‘Select’ the next Employee in the list and repeat as above
• Repeat the process until the PAYE Reference Number has been successfully traced or until you have exhausted all entries on the list
• If the details can be traced follow Step 8
• If the details cannot be traced and the Employer address is present follow Step 10
• If the details cannot be traced and the Employer address is not present follow Step 13

Step 10 - PAYE Reference not traced but address present

• Issue Letter CEPTL005 to the Employer

• BF for 4 Weeks for response from the Employer

Step 11 - Record Actions and BF for response from Employer

• All actions undertaken in the Workflow Management system must be recorded
• ‘Access’ the Take Action section of the Work Item
• From the TAKE ACTION box ‘Select’ BFItem from the Drop Down List and ‘Click’ on the [Add] button
• ‘Enter’ 28 days in the 'BF Days' box
• In the Enter Required Information box ‘Select’ Request PAYE info from ER from the Actions Field
• Any additional information can be recorded in the 'Actions Text' box
• ‘Click’ on the [Submit] button, you will be presented with a Confirmation Window
• To complete the action ‘Click’ on the [X] button at the top right of the Window
• ‘Select’ the [Get Next Item] button to continue to the next Work Item

Step 12 - Response received from Employer or DLO where PAYE not traced and the address was present

• Access Workflow Management system and use search facility to trace appropriate Work Item
• If the Employer replies and gives details of a PAYE you should follow Step 8
• If the Employer replies stating they don't know the PAYE reference or PAYE cannot be traced, or response is returned DLO, the Work Item cannot be closed due to the Ratio Check Failure aspect. The file therefore should be referred to Employer Compliance by following EEPM1635 - Step 111 of the RCF guidance. Add PAYE information also required in the additional text box.

Step 13 - PAYE cannot be traced and no Employer address present

• Contact an Employee to request details of who they worked for
• Highlight an Employee from the Contribution List (see Step 9). On the Menu Bar ‘Click’ Options and ‘Select’ Fastpath to Class 1 Contribution Window to take you to the Person Application
• ‘Select’ Personal Details folder to view Employee details
• ‘Select’ Address folder to ensure address is current and not DLO
• If address is old or DLO, choose another Employee from the Contribution and repeat above action
• Issue Letter CEPTL009 to the Employee
• BF for 4 weeks for response from the Employee

Step 14 - Record Actions and BF for Response from Employee for details of Employer

• All actions undertaken in the Workflow Management system must be recorded
• ‘Access’ the Take Action section of the Work Item
• From the TAKE ACTION box ‘Select’ BFItem from the Drop Down List and ‘Click’ on the [Add] button
• ‘Enter’ 28 days in the 'BF Days' box
• In the Enter Required Information box ‘Select’ Req ER details from EE from the Actions Field
• Any additional information can be recorded in the 'Actions Text' box
• ‘Click’ on the [Submit] button you, will be presented with a Confirmation Window
• To complete the action ‘Click’ on the [X] button at the top right of the Window
• ‘Select’ the [Get Next Item] button to continue to the next Work Item

Step 15 - Response Received from Employee or DLO where PAYE not traced and the address was not present

• If Employee gives details of the Employer Follow Step 10
• If Employee does not give the Employer details, or response is returned DLO, follow Step 9 and select another Employee
• If the 2nd Employee cannot provide any further information, the Work Item cannot be closed due to the Ratio Check Failure aspect. The file therefore should be referred to Employer Compliance by following EEPM1635 - Step 111 of the RCF guidance. Add ‘PAYE information also required’ in the additional text box.

Step 16 - Access NIRS2 Work Management

• ‘Double Click’ on the ‘Work Management’ Icon on the Desktop
• ‘Select’ Resource Group 81113263 from the Resource Group Selection Window and ‘Click’ on OK
• From within the Work Item List Window, on the Menu Bar ‘Click’ File and ‘Select’ Open MPPC Work Items
• ‘Select’ PAYE SCHEME from the Drop Down List on the Account Key field and ‘Enter’ the Employers Annual Scheme Number in the next field and ‘Click’ on OK
• The Work Item List Window will be displayed containing all of the MPPC Work Items appropriate to the Employers Annual Scheme number previously entered
• ‘Double Click’ on the first RCF Work Item then ‘Select’ Work Item Details folder

Step 17 - Fastpath to NI Accounts

• On the Menu Bar ‘Click’ Options and ‘Select’ Actions, this will take you to the Supplied Class 1 Contributions Window

Step 18 - View All RCF's to confirm which can be cleared without Employer Contact

• Apply basic checks and safe initial checks to posting. See EEPM1636 - Appendix 1 for guidance and examples.

Step 19 - Can any RCF's be cleared using Safe Checks?

• If YES follow Step 20
• If NO follow Step 22

Step 20 - RCF's can be cleared

• Figures can be re-posted
• ‘Double Click’ on the line of contributions that need amending
• This will take you to the Individual Supplied Class 1 Contribution Details Modal Window
• Record the correct contributions and change the status to Valid
• ‘Click’ OK, this will take you back to the Supplied Class 1 Contributions Window
• On the Menu Bar ‘Click’ Options and ‘Select’ Update Contributions this allows NIRS2 to validate the changes
• Return to Work Management Work Item Details folder
• ‘Click’ on the Drop Down Arrow at the Status field and ‘Select’ Closed
• ‘Click’ on the Drop Down Arrow at the PA Reason field and ‘Select’ Completed
• On the Menu Bar ‘Click’ Options and ‘Select’ Update Work Item Details to close the Work Item
• Repeat the above action, re-posting any items that pass safe checks

Step 21 - Are all Work Items cleared?

• If YES follow Step 24
• If NO follow Step 22

Step 22 - Select the RCFs that require ER contact and requests schedule detailing all errors

• Issue Letter CEPTL005 detailing the correct PAYE reference number

• In NIRS2 Work management ‘Double Click’ on the relevant Work Item in the Work Item List Window
• This will take you to the Work Item Details Window
• In the Status field there are 2 new states:

• ‘Select’ Issue to Employer and on the Menu Bar ‘Click’ Options and ‘Select' Update Work Item Details
• Once all RCF Work Items that require Employer contact have a status of 'Issue to Employer' go to the Work Item List folder
• On the Menu Bar ‘Click’ Options’ and ‘Select’ the required Option from the Menu Bar (see below for details)

• Link the CEPTL005 with the RCF report and issue to Employer.

Step 23 - Record Actions and BF for Response from Employer with details of RCF

• All actions undertaken in the Workflow Management system must be recorded
• ‘Access’ the Take Action section of the Work Item
• From the TAKE ACTION box ‘Select’ BFItem from the Drop Down List and ‘Click’ on the [Add] button
• ‘Enter’ 42 days in the 'BF Days' box
• In the Enter Required Information box ‘Select’ RCF Report issued, PAYE No Corrected and Correct PAYE issued to ER from the Actions Field
• Any additional information can be recorded in the 'Actions Text' box
• ‘Click’ on the [Submit] button, you will be presented with a Confirmation Window
• To complete the action ‘Click’ on the [X] at the top right of the Window
• ‘Select’ the [Get Next Item] button to continue to the next Work Item

Step 24 - All NIRS2 Work Items are cleared. Record actions and Close Work Item

• Issue Letter CEPTL005 to Employer to confirm correct PAYE

• Return to the Workflow Management system to Record Actions and Close the Workflow Management Work Item
• All actions undertaken in the Workflow Management system must be recorded
• ‘Access‘ the Take Action section of the Work Item
• From the TAKE ACTION box ‘Select’ CompleteItem from the Drop Down List and ’Click’ on the [Add] button
• In the 'Enter Required Information' box ‘Select’ RCFs cleared clerically, PAYE No Corrected and Correct PAYE issued to ER from the Actions Field
• Any additional information can be recorded in the 'Actions Text' box
• ‘Click’ on the [Submit] button, you will be presented with a Confirmation Window
• To complete the action ‘Click’ on the [X] at the top right of the Window
• ‘Select’ the [Get Next Item] button to continue to the next Work Item

Step 25 - File received from Employer Compliance from PAYE & RCF enquiry

• If Employer Compliance confirm that they cannot provide any details to trace the PAYE, follow Step 26
• If Employer Compliance confirm PAYE details, follow Step 8 to update PAYE.
• Follow EEPM1635 - Step 15 of the RCF Guidance.

Step 26 - Employer compliance confirm no further details

• If the PAYE Reference cannot be traced the NIRS2 Work Item will need to be clerically closed.
• Access the NIRS2 Work Management Application by ‘Double Clicking’ on the Work Management Icon on the Desktop
• ‘Select’ Resource Group 81113263 from the Resource Group Selection Window and ‘Click’ on OK
• From within the Work Item List Window ‘Click’ File on the Menu Bar and ‘Select’ Open MPPC Work Items
• ‘Select’ PAYE SCHEME from the Drop Down List on the Account Key field and ‘Enter’ the Employers Annual Scheme Number in the next field and ‘Click’ on OK
• The Work Item List Window will be displayed containing all of the MPPC Work Items appropriate to the Employers Annual Scheme number previously entered
• ‘Double Click’ on 96426
• The Work Item Details folder will now be shown
• ‘Click’ on the Drop Down Arrow at the Status field and ‘Select’ Closed
• ‘Click’ on the Drop Down List at the PA Reason field and ‘Select’ Completed
• On the Menu Bar ‘Click’ Options and ‘Select’ Update Work Item Details
• As the PAYE cannot be traced, the RCF Report cannot be issued. The RCF’s should be cleared by referring to EEPM1637 - Appendix 2. The action ‘PAYE No corrected’ should be added with the additional text ‘Correct PAYE cannot be traced’

Expired BF

Step 27 - Confirm the reason for the Expiry of the BF.

• If the BF related to no response to the CEPTL005/ CEPTL009 issued for additional information on the PAYE, follow Step 28
• If the BF relates to the RCF errors, the PAYE aspect has been cleared
• Follow the guidance detailed at EEPM1635 - RCF Expired BF - Step 56

Step 28 - No response after First BF to PAYE enquiry

• If the Work Item is presented at BF for the first time
• Check any unactioned post
• If there is post confirming the PAYE Reference Number follow EEPM1665 - Step 8
• If there is no unactioned post, and the original letter was issued to the Employer, repeat EEPM1665 - Step 10
• If there is no unactioned post, and the original letter was issued to the Employee, repeat EEPM1665 - Step 13 but ‘Select’ (as per Step 9) a different Employee

Step 29 - No response after Second BF

• If the Work Item is presented for a second time contact either the Employer or Employee by telephone.
• If a PAYE number is supplied by Employer follow EEPM1665 - Step 8
• If further information is provided from the Employer follow EEPM1665 - Step 7-9. If at Step 9, the trace is still unsuccessful, there is no further action that can be taken on the PAYE and the RCF report cannot be issued to the Employer. Refer file to Employer Compliance by following EEPM1635 - Step 111 of the RCF guidance. Add ‘PAYE information also required’ in the additional text box.
• If further information on the Employer is provided from the Employee, follow EEPM1665 - Step 10
• If no contact has been made, there is no further action that can be taken on the PAYE and the RCF report cannot be issued to the Employer. Refer file to Employer Compliance by following EEPM1635 - Step 111 of the RCF guidance. Add ‘PAYE information also required’ in the additional text box.

RCF Information received from Employer/Employer Compliance

• This will be in response to contact with the Employer as described in Step 22. The Employer should complete Amended P14s and, where appropriate, P35 and return them to their relevant Local Office.
• It is possible however that the Employer will reply direct to CEPT with a letter detailing correct figures. If the Employer does send in revised figures, follow EEPM1635 - Step 14 onwards of the RCF Guidance.
• However, if Employers follow previous protocols and send in wage records, CEPT should send Letter CEPTL007 detailing the fact that the Employer is requested to send in corrections via amended returns.

• The Work Item should be updated to state that a CEPTL007 has been issued.

Step 30 - Correspondence Returned

• If DLO follow EEPM1635 - Step 17 of the RCF Guidance
• If not DLO and the correspondence confirms the Employer is Insolvent follow EEPM1635 – Step 22 of the RCF Guidance
• If not DLO and the correspondence confirms revised figures from the Employer, follow EEPM1635 - Step 37 of the RCF Guidance
• If a file is received from Employer Compliance, follow EEPM1635 - Step 25 of the RCF Guidance.