UIPL_13-19_Attachment_I_acc.pdf

ETA Advisory File Text

Recommended Operating Procedures For Cross -Matching Activity National and State Directories of New Hires 2019 I-2 Table of Contents 1. PURPOSE ................................ ................................ ................................ ................................ ..... I-3 2. SCOPE ................................ ................................ ................................ ................................ .......... I-3 3. RESPONSIBILITIES ................................ ................................ ................................ .................. I-3 4. RECOMMENDED OPERATING PROCED URE S ................................ ...................... I-3 I-17 4.1 EMPLOYER INPUT RECORDS 4.2 STATE INPUT RECORDS 4.3 NDNH OUTPUT RECORDS 4.4 FREQUENCY AND TIMING OF CROSS -MATCHES 4.5 USING PARAMETERS FOR WORKLOAD MANAGEMENT 4.6 KEY ACTIONS 4.7 UNDERSTANDING NEW HIRE S TIMEFRAMES 5. APPENDICES ................................ ................................ ................................ ................ A-1 - APPENDIX A - FIGURE 1 PROCESS FLOW APPENDIX B - FIGURE 2 PROCESS FLOW APPENDIX C - FIGURE 3 PROCESS FLOW APPENDIX D - FIGURE 4 PROCESS FLOW APPENDIX E - FIGURE 5 PROCESS FLOW APPENDIX F - SWA INPUT DETAIL RECORD APPENDIX G - SWA W -4 OUTPUT DETAIL RECORD APPENDIX H - SWA NOTIFY OUTPUT DETAIL RECORD I-3 1. PURPOSE These Recommended Operating Procedures ROPs for benefit cross-matching with the National Directory of New Hires NDNH and the State Directory of New Hires SDNH contain key guidelines procedures and requirements designed to successfully operate effective cross-matching programs to prevent deter and detect improper payments. The U.S. Department of Labor Department has enhanced these ROPs originally issued on June 10 2011 as an attachment to Unemployment Insurance Program Letter UIPL No. 19-11 National Effort to Reduce Improper Payments in the Unemployment Insurance UI Program to share additional effective procedures and recently updated best practices focused on targeting issues associated with states New Hires cross-matching operations. These ROPs replace the original ROPs attached to UIPL No. 19-11. A summary and reasoning for the enhanced guidelines in this document is provided in the accompanying advisory UIPL No. XX-19. The Department strongly encourages states to use the processes and procedures outlined in these ROPs when conducting NDNH and SDNH cross-matches. 2. SCOPE These ROPs are not all-inclusive of the actions and procedures that states may undertake in order to improve the efficiency and efficacy of cross-match activities. However the expectation is for states to use these recommendations provided herein a s a m o d e l for results-oriented cross-matching activities. States may add or incorporate other successful practices not covered in these ROPs. 3. RESPONSIBILITIES In most state workforce agencies SWAs the Benefit Payment Control BPC unit is generally responsible for conducting benefit payment cross-matches against data sources and are responsible for implementing procedures contained in these ROPs. States should consider the tasks contained in these ROPs and determine the appropriate BPC Benefit Accuracy Measurement BAM or other staff to carry out these tasks and functions. 4. RECOMMENDED OPERATING PROCEDURES FOR NEW HIRES CROSS- MATCHES This section outlines recommended and required actions and timelines identified as being key activities in a state s New Hires cross-matching program. Overview 4.1 Employer Input Records Provides instructions on submitting of employer New Hires W-4 information Internal Revenue Service W-4 information regarding recently hired individuals to the SDNH. 4.2 State Input Records Provides instructions on submitting state records for the purpose of New Hires cross-matching. I-4 4.3 NDNH Output Records Provides information on NDNH records that are returned to states. 4.4 Frequency and Timing of Cross-Matches Describes the frequency in which states should submit records for New Hires cross-matches. 4.5 Using Parameters for Workload Management Provides information on the effective use of parameters to organize and prioritize New Hires cross-match hits. 4.6 Key Actions Describes the key follow-up actions that states should take upon receiving NDNH and SDNH responses. 4.7 Understanding New Hires Timeframes Describes critical activities and timeframes associated with the New Hires cross- match process. I-5 Procedures 4.1 Employer Input Records The new hires employee data that employers send to the SDNH are referred to as employer input records. The employer input records contain information regarding newly hired and rehired individuals that states will submit to populate New Hires directories. Employers send a W-4 form or an equivalent form for each newly hired individual that contains required data elements to the SDNH. The W-4 form is available on the Internal Revenue Service IRS website https www.irs.gov pub irs-pdf fw4.pdf. Employer input records also include quarterly wage information that states are required to submit to NDNH. In addition to the employer input records states are required to submit Unemployment Insurance UI claims information to the NDNH. These records are all critical for state cross-matching and child support enforcement purposes. Employer input records submitted to the SDNH are subsequently submitted to the NDNH by the state agency designated to manage the SDNH and the records must be formatted properly to guarantee successful submission. The NDNH will reject individual or groups of employer input records that are formatted incorrectly and return them to the state as errors in a response file. Corrections to employer input records may require the state agency managing the SDNH process to follow-up with employers. Errors left uncorrected by states or employers can prevent the records from being included in the NDNH database and may reduce the amount of data accessible to states. UI state agencies should coordinate and direct the state agency managing the SDNH process to pursue errors made by submitting employers and the state apply corrections and resubmit records to the NDNH. Data submission requirements for employer input records are established by the Department of Health and Human Services Office of Child Support Enforcement HHS-OCSE and are described in the NDNH Guide for Data Submissions https www.acf.hhs.gov css resource ndnh-guide-for-data-submission Note Naming conventions established by HHS-OCSE may differ from those established by the Department therefore states should refer to descriptions provided by each agency for clarification . Types of data submission issues that result in errors include missing dates of hire missing employer addresses missing or partial employer or employee names missing or nonnumeric Social Security Numbers SSNs and missing Federal Employer Identification Numbers FEINs . Other data submission issues that can result in the rejection or prevention of a state s record submission to the NDNH database may include significant reductions or increases in the volume of records submitted by the state and state s internal system edits that set higher submission standards for example requiring additional data elements not required for record submission to NDNH and can prevent record submission entirely. The Department recommends that for NDNH input record submissions states Review the accompanying advisory section 5B Availability Accessibility and Quality of New Hires Data Use the HHS-OCSE s NDNH Guide for Data Submission https www.acf.hhs.gov css resource ndnh-guide-for-data-submission Review employer records to ensure they are accurate in the correct format and contain all required data elements Report all required data elements in records submitted to SDNH I-6 Perform outreach to employers that fail to submit records in the proper format apply corrections and resubmit corrected records Provide technical assistance to employers on formatting guidelines Ensure the volume of records is consistent with each submission since record volumes are compared against historic norms and Ensure that state system edits are in place to validate the data required for the NDNH submission but are not severely restrictive to prevent the submission of employer records to the SDNH. In addition to HHS-OCSE data submission guidelines there are certain reporting requirements established by the Social Security Act relative to employers submission of New Hires data to the SDNH. Each employer will furnish a report that contains the following information for the employee name address SSN and the date of hire. Although the state UI agency may not be directly involved in receiving New Hires information from the employer the UI agency should still educate employers on the requirements for New Hires reporting. To reinforce these requirements the Department highly recommends that states include in the letter notice that is sent to the employer as part of the conduct of a New Hires investigation an educational component that advises employers 1 of the definition of the date of hire 2 to report the date of hire of an individual and 3 to report individuals who have been rehired rehires . Rehires are employees who have temporarily separated from the employer for a period of 60 days or more. The date of hire is the date on which services for remuneration were first performed by the new employee. When a rehired employee returns to work the employer is required to report the employee as a new hire even if the individual is returning in the same job capacity held previously. Rehire reporting must include the date of hire the date the employee first performed services for remuneration following a break in service of 60 days or more . State UI agencies should conduct ongoing employer education and or engagement that may include using other methods of communication such as reminders on agency websites information supplied in employer guides etc. 4.2 State Input Records State input records refers to records that states send to the NDNH and SDNH to match against the information in each directory. States send a SWA Input Detail Record Appendix F to the NDNH for each claimant to generate a cross-match request. The SWA Input Detail Record layout is used to define the cross-match parameters that determine the type of information returned to states following the cross-match. Similar to the employer input records cross- match request record layouts must meet specific data submission guidelines that are defined in the SWA Input Detail Record layout. The Department advises states to follow SWA Input Detail Record layout instructions to prevent data submission issues and ensure essential information is returned. Additionally states should Submit records for cross-matching through their state designated hub so that the SWA Input Detail Records arrive at the NDNH each Friday by 3 00 p.m. Eastern Time Submit records for cross-matching each week for the NDNH I-7 Submit records for cross-matching each day for the SDNH and Ensure that record formats are correct and contain all required data elements. To run an efficient NDNH operation states need practices in place to contend with increasing workloads. States construct SWA Input Detail Records and submit them to NDNH each week to cross-match new and existing claims. Whether and when a claimant is selected for cross-matching can be determined by isolating key UI claim characteristics. To prepare records for cross-matching states should complete a record construction process using claim characteristics to determine the population of claimant records submitted to the NDNH. Record construction allows states to focus on cross-matching claimants that meet an established selection criteria and minimizes inflated NDNH workloads. The following section describes how to identify the population of claimants for cross- matching and several parameters that the state must address during record construction. A. Selection of the Claimant Population for NDNH Cross-Matching State certification policies payment lag times determination timeliness issues and the NDNH timeframes the amount of time it takes for information to populate and be available in the NDNH create the need for a reach-back period for constructing SWA Input Detail Records. The reach-back period refers to the period or days prior to the date that cross-match will be conducted. The reach-back period allows states to compare prior UI benefit weeks to the New Hires directory information submitted by employers to determine if claimants worked and earned wages during the same period that UI benefits were paid. The reach-back period is the critical component that the Department recommends states use to determine which claimants should be matched against the NDNH directory. For the reach-back period the state first determines whether a claimant has received a payment within the past 40 days. Selecting claimants that have received a payment compensated weeks within the past 40 days compared to selecting claimants who have only certified for benefit weeks within the past 40 days will help states manage workloads and prioritize hits. Filtering out claimants with no compensated weeks refines the cross-match parameters and provides a sensible approach to workload management since states are attempting to detect weeks worked and weeks paid. Matching against individuals who only certified during the 40-day period increases the number of NDNH record submissions and NDNH outcomes that require filtering to determine whether investigation is needed. If the claimant has received payment within 40 days then their name and SSN must be included with that week s submission file to the NDNH and a SWA Input Detail Record is created for that claimant. The 40-day period takes into account the timeframes allowed for the employers the SDNH and the NDNH to submit data elements that populate the NDNH. These timeframes are described in section 4.7 Understanding New Hires I-8 Timeframes . Employer data submission timeframes may vary based on state law or policy. Table 1 below provides an example of the process for selecting claimants for cross-matching while factoring in the reach-back period. As demonstrated in Table 1 states parse claimant data for cross-matching by applying certain filters. This filtering process should be automated to eliminate the need for BPC or other state staff to perform this function. This automated file construction process should include the following fields as shown in the columns in Table 1 1. Record Construct and Transmit Date This cell is the date that records are compiled for submission to the NDNH. The Department recommends that states construct their records on Thursday for transmission to the NDNH on Friday. Constructing records on Thursday takes into account state payment cycles and provides for the inclusion of benefits paid through Thursday of the week s record submission to the NDNH occurring on Friday. 2. Record Construct and Transmit Day of Week This cell reflects the day of week Thursday when records are compiled for submission to the NDNH. 3. NDNH Cross-Match Date Always Occurs on Friday This cell reflects the Friday date of the week s submission. 4. SWA Cross-Match Day of the Week This cell should always be Friday. HHS-OCSE requires the submission of records to the NDNH for cross-matching by Friday 3 00 pm Eastern Time. Records submitted to HHS-OCSE after this deadline will not be matched until the following Friday. 5. Weeks Compensated in Last 40 days Y N Did the claimant receive UI payments in the last 40 days Y for Yes or N for No. This 40-day period represents the reach-back period. 6. If Week Compensated Y for a Given SSN This cell directs the state to create a SWA Input Detail Record for claimants in receipt of UI payments in the last 40 days which is the reach-back period. 7. W-4 From Date Record Construct Date 46 Days The W-4 From Date is a field in the SWA Input Detail Record. It is used to insert the beginning period for which the cross-match should occur. W-4 From date should be 47 days prior to the cross-match date Record Construct Date minus 46 days . 8. W-4 From Date Day of the Week Benefit Week Beginning BWB Day If a state constructs their records on Thursday the W-4 From date day of the week will always be Sunday. In most states this is also the day of the week when the benefit week begins. I-9 Table 1 1. 2. 3. 4. 5. 6. 7. 8. Record Construct and Transmit Date Record Construct and Transmit Day of Week NDNH Cross- Match Date Always Occurs on Friday SWA Cross- Match Day of the Week Weeks Compen- sated in Last 40 Days Y N If Week Compen- sated Y for a Given SSN W-4 From Date Record Construct Date - 46 Days W-4 From Date Day of the week BWB Day 1 10 2019 Thursday 1 11 2019 Friday Y If Y create SWA Input Detail Record 11 25 2018 Sunday 1 17 2019 Thursday 1 18 2019 Friday Y 12 2 2018 Sunday 1 24 2019 Thursday 1 25 2019 Friday Y 12 9 2018 Sunday 1 31 2019 Thursday 2 1 2019 Friday Y 12 16 2018 Sunday Each row in Table 1 represents a claimant that has received at least one UI payment within the last 40 days. The table also contains a number of dates days to consider since the NDNH process is very time sensitive. For more information about timeframes refer to section 4.7 Understanding New Hires Timeframes . B. SSN-Name Verification The SWA Input Detail Record contains several fields. Many of the fields are Optional and some are designated as Required. However a state s decision on whether to populate certain fields can have significant consequences on the information returned from NDNH. As mentioned a state constructs a SWA Input Detail Record for each claimant selected during the automated filtering process. The Optional field field name Verification Request Indicator notifies the NDNH on whether a state is requesting SSN-name verifications against the Social Security Administration SSA database. If states enter Y the SSN-name verification is requested. Any record that fails verification is eliminated from the cross-match and the verification result is returned in the Reject Code field on the SWA Notify Output Detail Record. The NDNH performs the SSA verification regardless of whether Y is entered and unverified SSN-name combinations are rejected from the cross-match. If a state selects N in the Verification Request Indicator field the state is choosing not to be notified that the records failed verification and that the records were eliminated from the cross-match. The Department advises states to select Y in the Verification Request Indicator to conduct SSN-name verifications for all BPC records. This action ensures states are notified by the NDNH of unverifiable SSN-name combinations. States should review records eliminated from the cross-match resolve the issues if possible and resubmit the record s for cross-match. For example an SSN-name combination submitted by the state could differ from the one on file with the SSA e.g. due to marriage divorce adoption or a misspelled name . Records that could not be verified may also be an indicator of identity theft or the fraudulent use of an SSN. C. Request a Match of In-State Records Another Optional field in the SWA Input Detail Record is the W-4 Same State Data Indicator. The Department suggests I-10 that states enter Y in the W-4 Same State Data Indicator field to ensure that claimant records are cross-matched against New Hires records submitted to the NDNH by its own state state employers. By selecting this option states are provided an opportunity to match against New Hires information that an employer reported late after the required reporting period or information that was resubmitted to NDNH to correct errors. Another reason to include in-state requests concerns the reach-back period for SDNH cross-matches. While there is a recommended reach-back period for the NDNH 40 days states set their own reach-back period for the SDNH. In some cases states are reaching back for a shorter duration. By requesting in-state cross-matching through NDNH states are afforded New Hires information that may not be detected during the state designated SDNH reach-back period. There is a potential that states will encounter some of the same records identified in the SDNH. However the existence of duplicates is a characteristic of the NDNH process and can occur at various stages. Duplication issues should be managed by applying an automated routine that filters out duplicate records see discussion in section 4.5 Using Parameters for Workload Management . D. W-4 From Date As discussed in section A Selection of the Claimant Population for NDNH Cross-Matching the W-4 From Date is a field that states should apply when filtering claimants for cross-matching. The W-4 From Date is an Optional field in the SWA Input Detail Record that instructs states to provide a date that will represent the beginning period to conduct the cross-match comparison. This date is one of two dates that form the critical 40-day reach-back period where the NDNH completes a comparison that identifies employer W-4 records that were processed during the period. The Department recommends that states provide a date in W-4 From Date field that designates the beginning of the 40-day reach-back period. Providing a W-4 From Date will ensure that records are matched against employer provided W-4 records that were processed starting from the W-4 From Date specified by the state. If this field is left blank or if an invalid date is provided the cross-match will be limited to comparing W-4 records from two weeks prior to the match date. E. W-4 Through Date The Optional W-4 Through Date field in the SWA Input Detail Record is the second of the two dates that form the critical 40-day reach-back period. The W-4 Through Date allows states to request for a given SSN the return of all available W-4 records processed by the NDNH for a period that begins on the W-4 From Date and ends on the W-4 Through Date. The Department recommends that states populate the W-4 Through Date with a date that is no earlier than the date of the cross-match Friday . By using the date of the cross-match states will match the most up-to-date information available. States may also leave this field blank to ensure the entire reach-back period is requested since the W-4 Through Date will default to end on the date of the cross-match Friday . 4.3 NDNH Output Records NDNH output records refer to the cross-match information records that the NDNH returns to the state in response to the request submitted in the SWA Input Detail Records. The NDNH returns two records to the state the SWA W-4 Output Detail Record described in Appendix G and the SWA Notify Output Detail I-11 Record described in Appendix H . The SWA W-4 Output Detail Record is also known as the hit file. The hit file contains the results of a state s cross-match request including SSN-name verification results and the date of hire. The date of hire is a critical element since it can assist states in organizing cross-match results and establishing parameters for prioritizing hits that require investigation. When the hit file is received states can use the date of hire as a starting point for comparing weeks compensated to narrow down the weeks affected by the hit. The date of hire can also be used to review claimant certification responses that were provided during the week the claimant was hired and subsequent to that date. Certification responses can reveal how a claimant responded to questions regarding having worked and earned wages to identify potential fraud or a claimant s failure to report earnings. If the New Hires record received from the NDNH does not contain the date of hire the W-4 From Date should be used instead to organize cross-match results. The SWA Notify Output Detail Record is used to provide states with an acknowledgement that the cross-match request was received and in the Reject Code field it notifies states of any errors that occurred. Errors occur when records contain insufficient name information the SSN was missing or invalid or the SSN-name combination submitted was unverifiable. These errors cause records to be eliminated from the match process. States should work to correct errors and resubmit records to NDNH. 4.4 Frequency and Timing of Cross-Matches SDNH input records are generally expected to be submitted on a daily basis since these files are updated daily. NDNH input records are generally expected to be submitted on a weekly basis each Friday before 3 00 pm Eastern Time . States should ensure that records are submitted to the NDNH each Friday by 3 00 pm Eastern Time because records submitted after 3 00 pm will not be processed cross-matched until the following Friday. HHS-OCSE performs the NDNH cross-match on Friday and any records submitted by states for cross- matching before Friday are not matched until that time. 4.5 Using Parameters for Workload Management Effective automation allows states to effectively manage workloads with the innovative use of parameters to perform various functions. Parameters can be used to narrow the scope of the information in the cross-match results returned by HHS-OCSE. Workload management through the effective use of parameters helps to identify duplicate records identify hits requiring investigation or prioritize the work hits by screening out matches that do not require immediate action. Many states use automated case management systems to perform these tasks thereby eliminating the need for these activities to be performed manually by BPC staff. There are different types of parameters states should apply for effective workload management Duplicate detection parameters can classify records as identical when they contain information for the same claimant i.e. duplicate claimant name and SSN who was hired by the same employer i.e. duplicate employer name employer address and FEIN and who was hired or rehired on the same date i.e. duplicate date of hire or rehire date . Dual hit records are identified when comparing newly received New Hires data to UI claims information in the UI benefits system to determine if there are I-12 any identical records that would eliminate the need to investigate the new hit due to an existing staff investigation assignment. The duplication occurs when the same claimant record is submitted for cross-matching more than once and each submission results in a cross-match hit. States should institute a process to detect duplicate records to filter out hits that have already been assigned to staff for investigation. Including this parameter prevents this type of duplication that can inflate workloads. The detection of duplicates function should also be used to ensure that records are correctly classified as duplicates. This approach to detecting duplicates is particularly helpful when states match against the SDNH and also in-state records through the NDNH. In matching against both directories it is important for the state to consider the variables that would constitute an actual duplicate record. For example a state may have records with similar characteristics with the exception of the date of hire. These characteristics may represent an individual who has different dates of hire due to different periods of employment e.g. a rehired employee . This differential would suggest that there would be an individual record for each employment period rather than one record being characterized as a duplicate and being eliminated from investigation. Identifying dates of hire within the reach back period is another parameter that states should apply when the hit record is returned. States should review the information contained in the SWA W-4 Output Record to determine whether a date of hire has been provided that falls within the reach-back period or if a W-4 was processed during the reach-back period. These date parameters manage hits by allowing states to use the date of hire or W-4 Processed Date as a starting point for comparing weeks compensated during the reach-back period to days that the claimant may have worked and simultaneously received UI benefit compensation. This comparison can assist states in determining which records require further investigation. States should also use date parameters to eliminate records from investigation when there is no indication of any days worked within the weeks compensated during the reach-back period. Other characteristics in the hit file can be used to set parameters. The Employee State of Hire can allow states to identify claimants who worked for a multi-state employer employer who has employees in two or more states if states include this field with the data elements used to conduct comparisons of cross-match and UI data to identify potential investigations. States should use the Employee State of Hire field as part of their established parameters in order to include claimants employed by multi-state employers in the population of potential investigations. There are other types of parameters that states can consider for workload management. These boundaries can help determine whether the claimant-committed fraud failed to report earnings or underreported based on state law. They can also help standardize the sequence for prioritizing hits for investigation. These types of parameters include Did the claimant have a prior fraud overpayment determination Did the claimant have a prior non-fraud overpayment determination I-13 Did the claimant previously fail to report wage information resulting in an earnings adjustment of benefit weeks paid Did the claimant previously underreport earnings resulting in earnings adjustment of benefit weeks paid What responses did the claimant provide during the continued claims process regarding whether they worked and earned wages Does the amount of the overpayment constitute fraud based on state law or policy Is the overpayment amount excessive as established by the state law or policy Is the overpayment duration excessive as established by the state law or policy The Department advises states to immediately apply parameters to cross-match results as they are received and use all available NDNH data and UI claims data to determine whether records should be eliminated or considered for potential investigation. The elimination of duplicate records selection of hits for investigation and the prioritization of investigations will allow states to focus on investigations with the most significant impact to the UI system. States are reminded that circumstances such as a minimal number of weeks overpaid e.g. 1 week or a minimal dollar amount overpaid e.g. 50 may be used to determine the priority of investigations however it should not be a determining factor for eliminating cases from investigation. Established parameters also provides states with information to determine outcomes of overpayment investigations i.e. a fraud determination a non-fraud determination or an earnings adjustment. Review section 6A New Strategies to Maximize New Hires Cross-Match Outcomes to Bring Down the UI Improper Payment Rate in the accompanying advisory for more information on the use of parameters for workload management. States are reminded that when establishing investigations it is important to assign work to staff with the skills and experience to handle these investigations and any other issues that may arise e.g. separation issues or non-separation issues . States should assign work in a manner to avoid delays in the resolution of all outstanding issues on an individual s claim and to ensure payment when due. 4.6 Key Actions States should ensure the following actions occur during New Hires cross-match operations States are encouraged to process data from the SDNH and the NDNH as soon as it is received which is daily for SDNH and weekly generally Mondays for NDNH . States should identify issues based on hit results and designate the Issue Detection Date IDD . Many state systems either are programmed to automatically identify the IDD or are programmed to allow state staff to enter the IDD manually. The IDD is the date that the state receives the hit. The IDD is not the date that an employer returns the earnings verification notice request. It is also not the date the state completes the investigation of the hit and or establishes the overpayment. See ET Handbook No. 401 5th Edition Section V-3 and ET I-14 Handbook No. 301 5th Edition Chapter V for additional information regarding IDD. As states process data they should determine the sequence of investigations begin conducting investigations and complete determinations. The Department reminds states to refer to and ensure compliance with UIPL No. 1-16 and UIPL No. 1-16 Change 1 Federal Requirements to Protect Individual Rights in State Unemployment Compensation Overpayment Prevention and Recovery Procedures and review the accompanying advisory section 6B Recommended Practices for Immediate Notification Timely Determinations and Investigation Follow-up . States are strongly encouraged to take immediate action and send a letter notice on the same day as the cross-match result is received or no later than the next business day to claimants and employers identified by the NDNH or SDNH hits. Since state laws and policies vary regarding the repercussions for committing fraud criminal prosecution etc. and the ineligibility period for failure to report or provide information states should modify the sample notice below to reflect state specific information. Sample Notice for Claimants IMPORTANT NOTICE ABOUT YOUR UNEMPLOYMENT BENEFITS Agency records indicate that you received unemployment insurance benefits for a period of time during which you may have also been employed. Employer information has been received that indicates you are working or have worked and earned wages. We are contacting this employer for a breakdown of actual wages for each week in question in order to assist this agency in determining whether a benefit payment issue exists. Such an issue exists if wages were earned during the same period week s that you received benefits. During each week that you are claiming benefits you are required to inform this agency of your employment status. If you are working you must report any and all wages earned. Please note Reporting of wages is required for the week s in which such wages are earned not delayed until the wages are paid. Working earning wages and failing to report such work and earnings while filing for unemployment insurance benefits may constitute FRAUD. Individuals may be criminally prosecuted fined and or imprisoned for committing fraud and will be required to repay any benefits determined to be overpaid. We need you to respond to this notice by insert date time . Please contact this agency by calling xxx xxx-xxxx. If you fail to respond within the required response timeframes you may be held ineligible for benefits until you respond and provide the information requested. Additionally you will be prevented from completing filing your weekly or biweekly certifications. States are strongly encouraged to notify affected claimants that they are required to report or required to contact the state UI agency preferably before the date of the next I-15 continued claim certification in order to resolve the issue. States should use the continued claims filing system to manage claimants that fail to report or contact the agency in response to the notice see section 6A New Strategies to Maximize New Hires Cross-Match Outcomes to Bring Down the UI Improper Payment Rate in the accompanying advisory. The Department recommends two practices 1. Program the continued claim filing system to allow an adjudicator or BPC staff to intervene to speak to claimants who have been identified as potentially working based on NDNH SDNH matches . 2. Program the continued claim filing system to automatically add the date of hire reported by the employer employer name address and account number to an individual s claim when they have been identified as potentially working based on NDNH SDNH matches and have the system generate a questionnaire that the claimant must complete before filing their certification. These practices allow states to conduct necessary fact-finding and resolve the issue with the claimants at the time the claimant attempts to file their next weekly or biweekly claim certification. In some cases this intervention will give states an opportunity to gather information from a claimant even earlier than the due date of the claimant response to the agency s notice letter. States are strongly encouraged to notify appropriate employers that the state is seeking earnings information and require responses within a specified period of time for example within 7 business days . The Department recommends that states use an electronic system to expedite the transmission of the earnings verification from the employer to the state. States should capture the employer provided wage information in a benefits system and run an automated program to compare claimant certified earnings to the employer reported earnings. The automated system should have the capability to calculate differences between weekly values identify weeks with differences and flag a potential overpayment or underpayment. This type of activity can be performed by a case management system see section 6A New Strategies to Maximize New Hires Cross-Match Outcomes to Bring Down the UI Improper Payment Rate in the accompanying advisory. States should make an immediate additional attempt to obtain information from any claimants or employers that fail to respond to the initial letter notice. Review section 6B Recommended Practices for Immediate Notification Timely Determinations and Investigation Follow-up in the accompanying advisory. States should conclude investigations promptly after the allotted response deadline has elapsed and issue an appropriate determination based on the responses or lack of responses. Determinations may include denials for failure to report or failure to contact the agency as required under the state s UI law lack of responses from both parties prevents a determination based on NDNH matches since these are generally needed to complete an independent verification of the NDNH data . I-16 4.7 Understanding New Hires Timeframes Activity Timeframe Employers report W-4 New Hires data to the SDNH Required to be made no later than 20 days after the date the employer hires the employee or in the case of an employer transmitting reports magnetically or electronically by 2 monthly transmissions if necessary no less than 12 days no more than 16 days apart. New Hires data received from employers entered into the SDNH Within 5 business days of receiving W-4 New Hires reports from employers states must enter these reports into the SDNH database. Timeframe For New Hires information to be available for cross-matching in the SDNH If employers and the SDNH adhere to minimum reporting timeframes New Hires data could be available in the SDNH in 20 days or earlier. However if the maximum timeframes described for SDNH are used a total of 25 days may lapse before SDNH information is available for matching. If the employer and SDNH use the maximum amount of time allotted for reporting and recording new hires a claimant may have worked between 21 and 25 days or later before New Hires information is available for matching. SDNHs transmit New Hires data to the NDNH Within 3 business days after the New Hires data is entered into the SDNH the state must furnish the New Hires data to the NDNH. New Hires data from Federal agencies and SDNHs entered into the NDNH New Hires data must be entered into the NDNH within 2 business days upon receiving the data. Timeframe For New Hires information to be available for cross-matching in the NDNH If employers Federal agencies the SDNH and the NDNH adhere to minimum reporting timeframes New Hires data could be available in the NDNH in 25 days or earlier. However if the maximum timeframes described for NDNH are used a total of 30 days may lapse before NDNH information is available for matching. If the employer Federal agencies the SDNH and the NDNH use the maximum amount of time allotted for reporting and recording new hires a claimant may have worked between 26 and 30 days or later before New Hires information is available for matching. State constructs and submits its cross-match request daily to the SDNH For BPC the Department recommends that the state requests a cross- match for all claimants who have received payment within the past 40 days. This allows for the business steps shown above and takes into consideration the weekly or biweekly certification processes and time lags associated with the claim. The 40-day reach-back period also accounts for payment delays due to other issues that result in temporary ineligibility and a claimant being paid benefits later in the benefit year. State requests the return of all new hires reported to SDNH from 47 days prior to the cross-match date for each individual SSN. State constructs and submits its cross-match request every week to the NDNH. State may transmit multiple requests input records in a week. NDNH will cross-match requests received during the prior 7 days if the state submits the request For BPC the Department recommends the state request a cross-match for all claimants who have received payment within the past 40 days. This allows for the business steps shown above and takes into consideration the weekly or biweekly certification processes and time lags associated with the claim. The 40-day reach-back period also accounts for payment delays due to other issues that result in temporary ineligibility and a claimant being paid benefits later in the benefit year. State requests the return of all new hires reported to NDNH from 47 days prior to the cross-match date for each individual SSN. I-17 Activity Timeframe before 3 00 pm Eastern time on Friday. For BAM the state requests the return of all audited claimants starting from the benefit year beginning date through 30 days after the end of the key week. At least one request must be transmitted to NDNH 30 days after the end of the key week. See UIPL No. 03-07 Change 1 for BAM cross-match parameters. NDNH returns summary and transmittal data including error reporting to the submitter NDNH sends transmittal summary and error data to the submitting Federal or state agency and or SDNH agency as appropriate within 4 business days of the system receiving the data. Report matches from the NDNH to the state NDNH matching information is transmitted to the state within 2 business days of the match. The earliest information would be available is on the following Sunday or Monday after the cross-match occurs. State processes the NDNH SDNH records that are returned State eliminates duplicate records from the dataset Same SSN employer hire date etc. on the date of receipt of the information from NDNH SDNH. State compares cross-match outcomes to compensated weeks and determines hits requiring investigation State software determines whether weeks are compensated after the hire date or W-4 From Date if hire date is not provided . If the claimant reports work in the weeks identified the state may verify earnings reported on the date of receipt of the NDNH SDNH information. State begins investigation State simultaneously sends a letter notice to the claimant and a request for earnings verification to the employer no later than the next business day following receipt of the information from the NDNH SDNH. State manages delays and nonresponsive claimants and employers If feasible the state requires the claimant to contact the agency to resolve the issue prior to the date of filing the next continued claim for benefits or to complete a questionnaire prior to filing the next continued claim. The employer is required to provide information within a specified time e.g. 7 business days preferably using an electronic system to accelerate responses. Without delay the state makes an additional attempt to nonresponsive claimants and employers to obtain needed information. State concludes investigation A written determination is made and processed promptly following the deadline for the requested information as appropriate. Appendices This section contains the appendices to the Recommended Operating Procedures for Cross- Matching Activity which include various flow charts that illustrate NDNH and SNDH technical operations and tables describing record layout formats that are used for NDNH and SDNH file transfers. The flow charts and tables are provided in order to assist state technology staff with New Hires cross-match system programming and benefit system integration. Appendix A Figure 1 Process Flow State New Hires Workflow Overview This figure depicts the steps involved in New Hires operations -- beginning with states transmission of records to NDNH and SDNH through the completion of cross-matching hits investigation. Appendix B Figure 2 Process Flow New Hires Cross-match Hits Applying Parameters This figure depicts the steps involved for states to apply parameters and eliminate duplicate cross-match hits once cross-match results are received from NDNH and SDNH. Appendix C Figure 3 Process Flow Generate Claimant Letter Notice and Distribute Staff Assignments This figure depicts activities states should undertake to adjudicate overpayments selected for investigation once the claimant letter notice is generated. Appendix D Figure 4 Process Flow Generate Employer Letter Notice and Process Employer Responses This figure depicts the activities states should undertake to adjudicate overpayments selected for investigation once the employer letter notice is generated. Appendix E Figure 5 Process Flow Electronic Earnings Verification EV This figure depicts state activities that may be involved when using an electronic system to receive and verify employer wage information. Appendix F SWA Input Detail Record This table presents the record layout format used by states to submit individual claimant records to NDNH for cross-matching. Appendix G SWA W-4 Output Detail Record This table presents the record layout format used by the NDNH to return cross-match information and SSN-name verification outcomes to states. Appendix H SWA Notify Output Detail Record This table presents the record layout format used by the NDNH to provide an acknowledgement to states that the cross-match request was received and to notify the state of any errors that occurred during the NDNH process. Appendix A A-2Figure 1 Process Flow State New Hires Workflow Overview NATIO NAL N EW H IR E 3b . STA TE N EW H IR E 3a . G ene ra te In pu t Record s fo r S D NH Requ est 2a . G enera te I n put Record s f o r N DNH Requ est 2b. A uto m atic a ll y G en era te E m plo yer Lette r A tta ch E arn in gs Verif ic atio n E V F orm a n d o r t h e Pro ce ss f or E le c tr o nic E V 9. R EC EIV E C RO SS - MATC H R ESU LTS 4. A uto m atic ally G en era te C la im ant Conta c t R equir e d T o R ep ort L ette r A nd Im bed R ep ort F la g In Co ntin ued C la im Syste m 8. P ro ce ss P ap er Re sp onse s a n d In ves tig ato r Com pare s I n fo rm atio n a n d o r C om paris on Com ple te d b y C ase M an ag em ent S yste m o r s im ila r s ys te m Mak e a n a dditio nal a tte m pt t o n onre sp onsiv e cla im an ts a nd o r e m plo yers 10 . N o I s su e N o w eeks affe c te d N o o th er Is s ues N o F urth er Actio n 15 . C onduct F ra ud In ve stig atio n 12. C on cu rre n t P ro ce ssin g Sele c t D ete rm in atio n Typ e 11 . A pply V ario us Para m ete rs 5. S et I s s ue a nd G enera te Earn in gs V erif ic a tio n F orm 7. Id en tif y W eek s A ffe cte d Base d o n D ate o f H ir e 6. Id en tif y C la im ants fo r NDN H o r S D NH Cro ss-M atc h in g 1.Complete Earnings Adjustment and Send Notice to Claimant16. C onduct N on- Fra ud In ves tig atio n 13. Is su e D ete rm in atio n a nd or A dju st B ene fit s 20. N o W eeks a ffe cte d b ase d o n prio rit y p ara m ete rs EN D 19. S S N -N am e C om bin atio n Ass ig n f o r S ta ff R evie w 17. C orre c t S SN-N am e Com bin atio n E rro rs a nd Resu bm it f o r C ro ss-m atc h 18. A ddre ss F ailu re t o Rep ort o r P ro vid e In fo rm atio n 14. Appendix B A-3 Figure 2 Process Flow New Hires NH Cross-match Hits Applying Parameters NH Cross-match returns a hit to UI 1. Eliminate Record s from Investigation 6.Duplicate 4. Yes NoNo Further Action NeededApply Parameters and Detect Duplicates in UI Benefit System Using Automation 2. B 12.A 11.Concurrent Processing Information Requests 10.Incomplete Employer Address 3. Yes No Check for prior fraud or earnings related non fraud determinations 7. Check for prior earnings adjustments 8.Weeks affected 5. Yes Set Issue Type Assign to Staff Imbed Reporting Flag in Continued Claim Process 9.No Generate Claimant Letter Required to Report Notice Generate employer request notice for Earnings Verification EV or Provide Process for Electronic EV Appendix C A-4Figure 3 Process Flow Generate Claimant Letter Notice and Distribute Staff Assignments Generate claimant contact letter Required to report notice 1. Select Issue Type 3. Update Claimant Case File 4. Exceeded State Law Policy Fraud Threshold Generate Fraud Issue 10.Prior earnings adjustments 8. Contact Letter Request Due Date Elapsed 12.Prior Fraud or Earnings Related Non Fraud Determination 7. NoNo YesYes NoGenerate or continue failure to report or failure to provide information determination apply ineligibility period according to state law policy . 14.Claimant Responded 13. YesSpecial Program 5. NoYesAssign to Staff Skilled in Special Programs e.g. Trade 6. Generate Non Fraud Issue or a Potential Earnings Adjustment 11.Less Than State Law Policy Fraud Threshold 9. YesFlag Next Continued Claim e.g. via phone webpage to Direct Claimant to Appropriate Staff 2. Claimant responded 16.Adequate Information provided to resolve potential issues 17. Resolve Issues close investigation 18.YesNoA Make an additional attempt to obtain information 15. YesNoNo Appendix D A-5 Figure 4 Process Flow Generate Employer Letter Notice and Process Employer Responses Generate Electronic Earnings Verification EV Request or paper EV form 1.Employer responded 11.Yes NoB Mail out Employer Process for Electronic EV or EV form 9.SWA is Employer3. NoYesAssign EV Information to UI Supervisor 4.Potential Issues5.Close any open related assignments7.No Further Action NeededYes NoYes NoUpdate Claimant Case File10.Adequate Employer Information Provided EVF 15.Determine Request Type Response Methodology Letter Required depends if employer is machine to machine respondent based determined or other based on lookup table 2.Check for and Resolve Any Other Pending Issues as appropriate 6.Make an additional attempt to obtain information Phone or other employer request12.Special Program8.No YesProcess Employer Earning Verification Information and compare against claimant weeks 16.No Further Action NeededEmployer Responded with Adequate Information 13.Generate failure to report or failure to provide information record 14.No Yes If Sufficient Information Resolve issues and close investigation17. Appendix E A-6 Figure 5 Process Flow Electronic Earnings Verification EV Check for EV Response at Broker 1.Check for existing staff assigned issues 10.NoCurrent Open Issue assignment exist11.Yes NoGenerate Separation Issue Assign to Staff Initiate request for Separation information7.Insert Record into Earning Verification Table for comparison against claims record5.Response Completed2.Yes NoMake an additional attempt to obtain information when EV response is not completed 3. YesNotify Adjudicator of Earnings Data Arrival 15.Parse ASCII or XML File and create a Earnings verification Record for a given employer SSN and Issue 4.Sep Issue 6.Yes Generate earnings related issue attempt to resolve or assign to staff13.Exceeds State Law Policy Fraud Threshold 12.Weeks appended to issue used determine if fraud nonfraud or earnings adjustment14.Electronic comparison of earnings verification weekly values against claimant certification weeks values identify weeks at issue and generate notice of potential overpayment or underpayment 8.No weeks affected close other pending issues as appropriate update case file to reflect there is no issue9a.YesReset continued Claim process reflecting that there is no issue 9b. Federal Parent Locator Service Appendix F National Directory of New Hires SWA Input Detail Record SWA INPUT HEADER RECORD Alpha Field Name Location Length Numeric Comments Submitter Identifier 1-3 3 A N Required This field uniquely identifies the su bmitter of the request file and must contain the characters SWA . Record Identifier 4-6 3 A N Required This field must contain the characters HDR . Submitting State Code 7-8 2 A N Required for State Submitters This field must contain the 2 -digit nume ric state FIPS code of the state submitting the transaction. Date Stamp 9-16 8 A N Required This field must contain the input file transmission date. This must be in the Year 2000 -compliant format of CCYYMMDD. Filler 17 -24 8 A N This field may be us ed for future enhancements. For the current version this must be spaces. Batch Number 25 -32 8 N Optional This field may contain the unique number assigned by the submitter to identify the batch of transactions submitted. Batch numbers are not edited for uniqueness. It is the responsibility of the submitter to ensure that a unique batch number is used for each submission. Filler 33 -200 168 A N This field may be used for future enhancements. For the current version this field must be spaces. A-7 Federal Parent Locator Service Appendix F National Directory of New Hires SWA Input Detail Record A-8 SWA INPUT DETAIL RECORD Field Name Location Length Alpha Numeric Comments Submitter Identifier 1-3 3 A N Required This field uniquely identifies the submitter of the request file and must contain the characters SWA . Record Identifier 4-6 3 A N Required This field must contain the characters MCH . SSN 7-15 9 A N Required This field must contain a nine-digit Social Security number SSN . If this field is spaces contains any alphabetic characters is all zeros all sixes or all nines then the record will be eliminated from the match and notification will be returned on the Output Error Detail Record. Verification Request Indicator 16 1 A N Optional This field must contain one of the following values to indicate if the submitter is requesting verification of the person s SSN and Name combination Y SSN Name verification is requested. Verification will be performed using SSA SSN verification routines. If verification fails the record will be eliminated from the match and the verification result will be returned on the Output Error Detail Record. N SSN Name verification is not requested and the submitter is certifying that this SSN Name combination has been verified using SSA SSN verification routines prior to the match request. Default is Y . Federal Parent Locator Service Appendix F National Directory of New Hires SWA Input Detail Record A-9 SWA INPUT DETAIL RECORD Field Name Location Length Alpha Numeric Comments Person First Name 17-26 10 A Required This field must contain at least one alphabetic character or the record will be eliminated from the match and notification will be returned on the Output Error Detail Record. This field may contain hyphens. Person Middle Name 27-36 10 A Optional This field must contain alphabetic characters or spaces. This field may contain hyphens. Person Last Name 37-56 20 A Required This field must contain at least two alphabetic characters or the record will be eliminated from the match and notification will be returned on the Output Error Detail Record. This field may contain hyphens. Passback Data 57-76 20 A N Optional This field may be used by the submitter for identifying information and will be returned on the corresponding output match detail or error record. W-4 Match Indicator 77 1 A N Optional This field indicates if a state wants to match the submitted SSN to NDNH W-4 data. This field must contain a space or an N . N Do not match the submitted SSN to NDNH W-4 data. A space in this field indicates that the submitted SSN will be matched to NDNH W-4 data. Default is space. Federal Parent Locator Service Appendix F National Directory of New Hires SWA Input Detail Record A-10 SWA INPUT DETAIL RECORD Field Name Location Length Alpha Numeric Comments W-4 Same State Data Indicator 78 1 A N Optional This field indicates if the submitter is requesting W-4 data submitted to the NDNH by their state. This field must contain a space or one of the following values Y - Return matches where the submitter is the same as the W-4 submitting state. N Do not return matches where the submitter is the same as the W-4 submitting state. Default is N . W-4 From Date 79-86 8 A N Optional If this field contains a date in CCYYMMDD format match only W- 4 records processed from this date forward dependent upon the W-4 Through Date. If this field contains spaces or an invalid date match all available W- 4 records from two weeks prior to the match dependent upon the W- 4 Through Date. W-4 Through Date 87-94 8 A N Optional If this field contains a date in CCYYMMDD format and the W-4 indicator is Y match only W-4 records processed through this date dependent upon the W-4 From Date. If this field contains spaces or an invalid date match all available W- 4 records dependent upon the W-4 From Date. Federal Parent Locator Service Appendix F National Directory of New Hires SWA Input Detail Record A-11 SWA INPUT DETAIL RECORD Field Name Location Length Alpha Numeric Comments QW Match Code 95 1 A N Optional This field must contain one of the following values to indicate if the submitter is requesting QW data and the type of match requested N QW matching is not requested. R QW matching is requested based on Reporting Period. Default is N . QW Same State Data Indicator 96 1 A N Optional This field indicates if the submitter is requesting QW data submitted to the NDNH by their state. This field must contain one of the following values Y Return matches where the submitter is the same as the QW submitting state. N Do not return matches where the submitter is the same as the QW submitting state. Default is N . QW From Reporting Period 97-101 5 A N Optional If this field contains a reporting quarter in QCCYY format and the QW match code is R match only QW records containing this calendar year reporting period forward dependent upon the QW Through Reporting Period. If this field contains spaces or an invalid date and the QW Match Code is R match all available QW records dependent upon the QW Through Reporting Period. Valid quarter values Q are 1 2 3 or 4. Federal Parent Locator Service Appendix F National Directory of New Hires SWA Input Detail Record A-12 SWA INPUT DETAIL RECORD Field Name Location Length Alpha Numeric Comments QW Through Reporting Period 102-106 5 A N Optional If this field contains a reporting quarter in QCCYY format and the QW Match Code is R match only QW records up through this calendar year reporting period dependent upon the QW From Reporting Period. If this field contains spaces or an invalid date and the QW Match Code is R match all available QW records dependent upon the QW From Reporting Period. Valid quarter values Q are 1 2 3 or 4. Filler 107-200 94 A N This field must contain spaces. SWA INPUT TRAILER RECORD Field Name Location Length Alpha Numeric Comments Submitter Identifier 1-3 3 A N Required This field uniquely identifies the submitter of the request file and must contain the characters SWA . Record Identifier 4-6 3 A N Required This field must contain the characters TRL . Data Record Count 7-17 11 N Required This field must contain the number of records in the transmission including the header and trailer records. Filler 18-200 183 A N This field may be used for future enhancements. For the current version this should be spaces. Federal Parent Locator Service Appendix G National Directory of New Hires SWA W-4 Output Detail Record A-13 SWA W-4 OUTPUT DETAIL RECORD Field Name Location Length Alpha Numeric Comments Submitter Identifier 1-3 3 A N This field will contain the data submitted on the Input Detail Record. Record Identifier 4-6 3 A N This field will contain the characters W4M . SSN 7-15 9 A N This field will contain the data submitted on the Input Detail Record. Verification Request Indicator 16 1 A N This field will contain the information used in the match process. Y - SSN Name verification was performed. N SSN Name verification was not performed. Filler 17-21 5 A N This field will contain spaces. Person First Name 22-31 10 A N This field will contain the data submitted on the Input Detail Record with special characters removed. Person Middle Name 32-41 10 A N This field will contain the data submitted on the Input Detail Record with special characters removed. Person Last Name 42-61 20 A N This field will contain the data submitted on the Input Detail Record with special characters removed. Filler 62-71 10 A N This field will contain spaces. W-4 Processed Date 72-79 8 A N This field will contain the date the W-4 record was processed by OCSE in the Year 2000-compliant format of CCYYMMDD. W-4 Employee First Name 80-95 16 A N This field will contain the Employee First Name as provided on the W-4 record submitted to the NDNH. W-4 Employee Middle Name 96-111 16 A N If present this field will contain the Employee Middle Name as provided on the W-4 record submitted to the NDNH. W-4 Employee Last Name 112-141 30 A N This field will contain the Employee Last Name as provided on the W-4 record submitted to the NDNH. W-4 Employee Street Address Line 1 142-181 40 A N If present this field will contain the Employee Street Address Line 1 as provided on the W-4 record submitted to the NDNH. Federal Parent Locator Service Appendix G National Directory of New Hires SWA W-4 Output Detail Record A-14 SWA W-4 OUTPUT DETAIL RECORD Field Name Location Length Alpha Numeric Comments W-4 Employee Street Address Line 2 182-221 40 A N If present this field will contain the Employee Street Address Line 2 as provided on the W-4 record submitted to the NDNH. W-4 Employee Street Address Line 3 222-261 40 A N If present this field will contain the Employee Street Address Line 3 as provided on the W-4 record submitted to the NDNH. W-4 Employee City 262-286 25 A N If present this field will contain the Employee City as provided on the W-4 record submitted to the NDNH. W-4 Employee State 287-288 2 A N If present this field will contain the Employee State as provided on the W-4 record submitted to the NDNH. W-4 Employee Zip Code 289-293 5 A N If present this field will contain the Employee Zip Code as provided on the W-4 record submitted to the NDNH. W-4 Employee Zip Code Extension 294-297 4 A N If present this field will contain the Employee Zip Code Extension as provided on the W-4 record submitted to the NDNH. Employee Foreign Country Code 298-299 2 A N If present this field will contain the Employee Foreign Country Code as provided on the W-4 record submitted to the NDNH. Employee Foreign Country Name 300-324 25 A N If present this field will contain the Employee Foreign Country Name as provided on the W-4 record submitted to the NDNH. Employee Foreign Zip Code 325-339 15 A N If present this field will contain the Employee Foreign Zip Code as provided on the W-4 record submitted to the NDNH. Employee Date of Hire 340-347 8 A N If present this field will contain the Employee Date of Hire as provided on the W-4 record submitted to the NDNH. Employee State of Hire 348-349 2 A If present this field will contain the Employee State of Hire as provided on the W-4 record submitted to the NDNH. Federal Parent Locator Service Appendix G National Directory of New Hires SWA W-4 Output Detail Record A-15 SWA W-4 OUTPUT DETAIL RECORD Field Name Location Length Alpha Numeric Comments Federal EIN 350-358 9 A N If present this field will contain the Federal Employer Identification Number FEIN as reported on the NDNH W-4 record. Values are 000000001 through 999999999 or spaces. State EIN 359-370 12 A N If present this field will contain the state Employer Identification Number EIN as reported on the NDNH W-4 record. Values are A through Z 0 through 9 or spaces. Department of Defense Code DOD 371 1 A N DOD only If present this field will contain the information on the record submitted. The valid values are A Active duty employees C Civilian employees P Pension Retired employees R Reserve employees Employer Name 372-416 45 A N If present this field will contain the Employer Name as provided on the W-4 record submitted to the NDNH. Employer Street Address Line 1 417-456 40 A N If present this field will contain the Employer Street Address Line 1 as provided on the W-4 record submitted to the NDNH. Employer Street Address Line 2 457-496 40 A N If present this field will contain the Employer Street Address Line 2 as provided on the W-4 record submitted to the NDNH. Employer Street Address Line 3 497-536 40 A N If present this field will contain the Employer Street Address Line 3 as provided on the W-4 record submitted to the NDNH. Federal Parent Locator Service Appendix G National Directory of New Hires SWA W-4 Output Detail Record A-16 SWA W-4 OUTPUT DETAIL RECORD Field Name Location Length Alpha Numeric Comments Employer City 537-561 25 A N If present this field will contain the Employer City as provided on the W-4 record submitted to the NDNH. Employer State 562-563 2 A N If present this field will contain the Employer State as provided on the W-4 record submitted to the NDNH. Employer Zip Code 564-568 5 A N If present this field will contain the Employer Zip Code as provided on the W-4 record submitted to the NDNH. Employer Zip Code Extension 569-572 4 A N If present this field will contain the Employer Zip Code Extension as provided on the W-4 record submitted to the NDNH. Employer Foreign Country Code 573-574 2 A N If present this field will contain the Employer Foreign Country Code as provided on the W-4 record submitted to the NDNH. Employer Foreign Country Name 575-599 25 A N If present this field will contain the Employer Foreign Country Name as provided on the W-4 record submitted to the NDNH. Employer Foreign Zip Code 600-614 15 A N If present this field will contain the Employer Foreign Zip Code as provided on the W-4 record submitted to the NDNH. Employer Optional Street Address Line 1 615-654 40 A N If present this is the address where an employer receives child support wage withholding orders. This is a number street name rural route or post office box city state and zip code. This may be a foreign address. Employer Optional Street Address Line 2 655-694 40 A N Employer Optional Street Address Line 3 695-734 40 A N Employer Optional City 735-759 25 A N Employer Optional State 760-761 2 A N Employer Optional Zip Code 762-766 5 A N Federal Parent Locator Service Appendix G National Directory of New Hires SWA W-4 Output Detail Record A-17 SWA W-4 OUTPUT DETAIL RECORD Field Name Location Length Alpha Numeric Comments Employer Optional Zip Code Extension 767-770 4 A N Employer Optional Foreign Country Code 771-772 2 A N Employer Optional Foreign Country Name 773-797 25 A N Employer Optional Foreign Zip Code 798-812 15 A N Filler 813-814 2 A N This field will contain spaces. Passback Data 815-834 20 A N This field will contain the data submitted on the Input Detail Record. W-4 Match Indicator 835 1 A N This field will contain information that was used in the match. Y - W-4 match was performed. W-4 Same State Data Indicator 836 1 A N This field will contain information that was used in the match. Y - Return matches where the submitter is the same as the W-4 submitting state. N Do not return matches where the submitter is the same as the W-4 submitting state. Federal Parent Locator Service Appendix G National Directory of New Hires SWA W-4 Output Detail Record A-18 SWA W-4 OUTPUT DETAIL RECORD Field Name Location Length Alpha Numeric Comments W-4 From Date 837-844 8 A N This field will contain the date in CCYYMMDD format that was used as the beginning process date for the W-4 match process. This field will contain spaces when the match was performed using the earliest available data from the NDNH. W-4 Through Date 845-852 8 A N This field will contain the date in CCYYMMDD format that was used as the ending process date for the W-4 match process. This field will contain spaces when the match was performed using the most recent available data on the NDNH. Filler 853-908 56 A N This field will contain spaces. Transmitter Agency Code 909-917 9 A N If the submitter of the W-4 record was a federal agency this field will contain the Federal Employer Identification Number FEIN or the FIPS code of the Federal agency that submitted the data to the NDNH. Valid values are the FEIN or the letter A followed by a valid four-digit FIPS code. Transmitter State Code 918-919 2 A N If the submitter of the W-4 record was a state or territory this field will contain the state or territory that transmitted the data to the NDNH. Valid values are the numeric FIPS code of the state or territory or spaces. Transmitter State or Agency Name 920-977 58 A N This field will contain the descriptive name of the Federal agency or state that submitted the data to the NDNH. Filler 978-1000 23 A N This field will contain spaces. Federal Parent Locator Service Appendix H National Directory of New Hires SWA Notify Output Detail Record A-19 SWA NOTIFY OUTPUT DETAIL RECORD Field Name Location Length Alpha Numeric Comments Submitter Identifier 1-3 3 A N This field will contain the data submitted on the Input Detail Record. Record Identifier 4-6 3 A N This field will contain the characters ERM . SSN 7-15 9 A N This field will contain the data submitted on the Input Detail Record. Verification Request Indicator 16 1 A N This field will contain the information used in the match process. Y SSN Name verification was performed. N SSN Name verification was not requested. Person First Name 17-26 10 A N This field will contain the data submitted on the Input Detail Record with special characters removed. Person Middle Name 27-36 10 A N This field will contain the data submitted on the Input Detail Record with special characters removed. Person Last Name 37-56 20 A N This field will contain the data submitted on the Input Detail Record with special characters removed. Passback Data 57-76 20 A N This field will contain the data submitted on the Input Detail Record. Filler 77-150 74 A N This field will contain spaces. Reject Code 151 1 A N This field will contain one of the following values N - the Input Detail Record contained insufficient name information. The record was eliminated from the match. S - the SSN was missing or invalid. The record was eliminated from the match. U - the SSN Name combination submitted did not verify using SSA SSN verification routines. The record was eliminated from the match. Filler 152-1000 849 A N This field will contain spaces.