UIPL_17_10_Chg2.pdf

ETA Advisory File Text

UNEMPLOYMENT INSURANCE DATA VALIDATION HANDBOOK Benefits O FFICE OF U NEMPLOYMENT INSURANCE D EPARTMENT OF LABOR M AY 2013 OMB No 1205-0431 OMB Expiration Date May 31 2016 Estimated Average Response Time 573 hours. OMB Approval. The reporting requirements for ETA Handbook 361 are approved by OMB according to the Paperwork Reduction Act of 1995 under OMB No. 1205-0431 to expire May 31 2016. The respondents obligation to comply with the reporting requirements is required to obtain or retain benefits Section 303 a 6 SSA . Persons are not required to respond to this collection of information unless it displays a currently valid OMB control number. Burden Disclosure. SWA response time for this collection of information is estimated to average 573 hours per response this is the average of a full validation every third year with an estimated burden of 900 hours and partial validations in the two intervening years including the time for reviewing instructions searching existing data sources gathering and maintaining the data needed and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information including suggestions for reducing this burden to the U. S. Department of Labor Employment and Training Administration Office of Workforce Security Attn Burman Skrable 200 Constitution Avenue NW Room S-4522 Washington D.C. 20210 Paperwork Reduction Project 1205-0431 . TABLE OF CONTENTS INTRODUCTION A. Purpose .................................................................................................................................................. 1 B. Data Errors Identified Through Validation ............................................................................................. 3 C. Data Sources for Federal Reporting and Validation ............................................................................... 3 D. Basic Validation Approach .................................................................................................................... 6 E. Reconstructing Federal Report Items ..................................................................................................... 6 F. Validation Techniques and Sources ........................................................................................................ 9 G. Handbook Overview ............................................................................................................................ 10 H. Overview of the Data Validation Methodology ................................................................................... 11 MODULE 1 REPORT VALIDATION A. Purpose ................................................................................................................................................ 1.1 B. Methodology ....................................................................................................................................... 1.2 C. Overview of Module 1......................................................................................................................... 1.4 MODULE 2 DATA ELEMENT VALIDATION A. Purpose ................................................................................................................................................ 2.1 B. Methodology ....................................................................................................................................... 2.1 C. Overview of Module 2......................................................................................................................... 2.4 MODULE 3 DATA ELEMENT VALIDATION STATE SPECIFIC INSTRUCTIONS A. Purpose ................................................................................................................................................ 3.1 B. Methodology ....................................................................................................................................... 3.1 MODULE 4 QUALITY SAMPLE VALIDATION A. Purpose ................................................................................................................................................ 4.1 B. SAMPLE SIZE ........................................................................................................................................ 4.1 C. Sample Selection ................................................................................................................................. 4.2 D. SAMPLE UNIVERSE ............................................................................................................................... 4.2 E. Sample Validation ............................................................................................................................... 4.3 F. Results .................................................................................................................................................. 4.6 Appendix A Subpopulation Specifications Appendix B Sample Specifications Appendix C Interstate Filed from Agent Records Appendix D Combined Wage Claims and Payments INTRODUCTION UI DV HANDBOOK BENEFITS 1 M AY 2013 A. Purpose States report Unemployment Insurance UI data to the U.S. Department of Labor DOL on a monthly and quarterly basis under the Unemployment Insurance Required Reports UIRR system. The UIRR data are used for gathering economic statistics allocating UI administrative funding measuring state performance and accounting for fund utilization. Therefore it is important that states report UIRR data accurately and uniformly. The purpose of the Data Validation DV program is to verify the accuracy of the UIRR data. This handbook covers the part of the program that validates benefits data. In the DV program the states validate their data and report the results of the validation to the Employment Training Administration ETA . This handbook provides general instructions on how to validate the data as well as individual instructions for each state referred to as Module 3 . States use the DV software provided by DOL to conduct the validation and submit results. Table A shows the general types of UIRR data to be validated the Federal ETA reports on which the data appear and the areas where the data are used. States are required to validate reported data every third year except for data elements used to calculate Government Performance and Results Act GPRA measures which must be validated annually. Items that do not pass validation must be revalidated the following year. The validation year coincides with the State Quality Service Plan SQSP performance year. It covers data of any reporting period during the twelve months beginning April 1 and ending March 31. Results must be submitted to the National Office by June 10 which allows sufficient time for data validation results to be included in the SQSP process. States that fail DV or do not submit their DV results by the established deadline must address these deficiencies through the SQSP. INTRODUCTION UI DV HANDBOOK BENEFITS 2 M AY 2013 Table A General Types of Data to be Validated Data Type ET A Report s Economic Statistics Funding Allocation Workload Performance Claimant Eligibility Monitor Trust Fund Activity Weeks Claimed 5159 X X Final Payments 5159 218 X Claims and Claims Status a 5159 218 586 X X X X Payments 5159 586 9050 9051 X X Nonmonetary Determinations Redeterminations 207 9052 X X X Appeals 5130 9054 9055 X X X Overpayme nts 227 X X a The ETA 539 Weekly Claims Activity Report is not validated. However states are strongly encouraged to compare the total claims reported on the 539 to the 5159 report for the same period to determine whether the counts reported are the same or within 2 . If the counts differ by more than 2 then the state should investigate and advise its Federal regional office of its findings and what it is doing to reconcile the differences. INTRODUCTION UI DV HANDBOOK BENEFITS 3 M AY 2013 B. Data Errors Identified Through Validation Systematic and random errors are the two major types of data errors that can occur in Federal UIRR reports. Systematic errors involve faulty design or execution of reporting programs. Random errors involve judgment and input errors. Reporting system errors are always systematic while errors stemming from human judgment can be either systematic or random. The DV program attempts to identify both types of errors. Systematic errors are addressed through validation of the reporting programs that states use to create Federal reports. These errors tend to be constant and fall into one of three categories 1 too many transactions overcounts 2 too few transactions undercounts or 3 transactions which are misclassified. Systematic human errors occur when staff is using incorrect definitions or procedures. For example a reporting unit may establish its own definition for a data element that deliberately or inadvertently conflicts with the Federal definition. Systematic errors are the most serious because they occur repeatedly but they are the easiest to detect and correct. In most cases systematic errors do not need to be assessed very frequently. Random errors are addressed through validation of a random sample of transactions by evaluating the accuracy of data elements stored in the database. Random errors tend to be sporadic and are caused by human judgment. They fall into one of three categories 1 input errors 2 judgment errors as in nonmonetary determinations status determinations and appeals or 3 inconsistent application of state definitions or procedures. Consistent and accurate reporting requires both good systems and good data hence the validation objective has not been achieved unless systems and data have both been validated. C. Data Sources for Federal Reporting and Validation Some states produce the Federal reports directly from the state database. Computer programs scan the entire database to select classify and count transactions. Other states produce a database extract or flat file as transactions are processed essentially keeping a running count of items to be tabulated for the Federal reports. Still other states use a combination of these methods. Although states use different methods to prepare Federal reports the validation approach is the same in all cases states support their reported figures by reconstructing the reported transactions. The validation methodology is flexible in accommodating the different systems that states use. However validation is most effective when validation data are extracted directly from the state benefits database. For cost reasons and to minimize changes in data over time some states prefer to use daily weekly or monthly flat files instead. When flat files are used system errors may occur reportable transactions may be improperly excluded from the master file or the flat file may contain corrupt data. The only way to identify these problems is to independently reconstruct or query the master database. States that prepare validation files from the same files used to produce the UIRR rather than directly from the INTRODUCTION UI DV HANDBOOK BENEFITS 4 M AY 2013 database must ensure that these files contain all the appropriate transactions by recreating the logic used to produce the Federal reports. Table B outlines variations in the validation methodology based on typical state approaches to reporting and data validation. To determine the specific validation methodology to be implemented the validator should identify the state s reporting and validation sources for each population. INTRODUCTION UI DV HANDBOOK BENEFITS 5 M AY 2013 Table B Variations in Validation Methodologies Based on State Approaches to Reporting and Reconstruction Benefits UIRR Reports Data Validation Scenario Transactions Overwritten on Database Program T yp e Source Timing Program T yp e Source Timing Source Documentation Review Required Comments 1 No Count Database Snapshot a Extract File b Database Snapshot No Best scenario because comparing snapshots eliminates timing discrepancies 2 No Count Flat file c Daily Extract File Database Snapshot No Database is only reconstruction source. There could be changes in transaction characteristics but will find all transactions . 3 No Extract File Database Snapshot Extract File Database Snapshot No Reporting and validation are the same program. 4 No Extract File Flat file Daily Extract File Flat file Daily Yes Since transactions are not overwritten states should be able to do Scenario 2 instead. 5 Yes Extract File Flat file Daily Extract File Flat file Daily NA No alternative validation source. Cannot reconstruct from the database. Not thorough validation. 6 Yes Count Flat file Daily Must create a daily extract NA NA NA Cannot reconstruct from database. Must change reporting process to Scenario 5. a All records in the database on last day of reporting period b File constructed directly from database c File with accumulated records used for ETA reports INTRODUCTION UI DV HANDBOOK BENEFITS 6 M AY 2013 D. Basic Validation Approach The data validation methodology outlined in this handbook minimizes validation time and burden. The methodology is highly automated and complements existing quality components such as the nonmonetary determinations quality review . The methodology involves reconstructing the count of transactions reported during a specific period for each Federal report item to be validated. The validation specifications for reconstructing reported transactions provide a blueprint of the criteria that states should use in their Federal reporting. This handbook therefore has two uses 1. To provide technical assistance with Federal reporting requirements 2. To guide states through the data validation process. The reconstruction files provide an audit trail to support the counts and classifications of reported transactions. Validation of reported counts referred to as report validation or RV is accomplished when all the transactions reported for a Federal report item have been reconstructed. For example if a state reports 5 000 first payments during a month then the state must produce a file containing the 5 000 first payments including relevant characteristics of the transaction such as the Social Security Number SSN the program type code and the mail date. The DV software then sorts the payments into groups that are used to reconstruct the counts for the appropriate items of the ETA 5159 and 9050 reports. Report validation is discussed in detail in Module 1. The DV software also draws samples of transactions from the reconstruction file and displays them on worksheets to facilitate their validation. Validators then subject the sampled transactions to a series of logic tests state-specific rules described in Module 3 using the most definitive source documentation such as database screens to test the accuracy of the data. This validation of the characteristics of reported transactions is known as Data Element Validation DEV and is described in detail in Module 2. Data that passes RV and DEV are considered accurate. E. Reconstructing Federal Report Items Given that there are 11 UIRR benefits reports to validate with over 1 000 report items validation could be a laborious process to both design and implement. A single UI benefits transaction--for example a payment a nonmonetary determination or an appeal--can be reported in numerous Federal report items. As an example a first payment for a week of total unemployment for an interstate claim with both UI and Unemployment Compensation for Federal Employees UCFE wages is reported in eight items of the ETA 5159 report as well as in one item of the ETA 9050 report. A general principle of the validation design is to streamline the validation process as much as possible. Transactions are analyzed only once even if they appear in multiple items. The streamlining is accomplished by classifying the transactions into mutually exclusive groups INTRODUCTION UI DV HANDBOOK BENEFITS 7 M AY 2013 referred to as populations which match to one or more items on the Federal reports. Specifically there are 16 benefits populations which are composed of 410 mutually exclusive groups referred to as subpopulations . Each subpopulation represents a unique set of data elements or characteristics. The first column of Table C lists each population. The second column identifies the ETA reports on which the transactions in each population are reported. The Reconstruction Period third column describes the time parameter that the programmer uses to select the transactions to be extracted. When the reports are monthly the reconstruction can be for a single month to match the reported counts. When the reports are quarterly or both monthly and quarterly reports are produced for the same type of transaction for example claims are reported on both the ETA 5159 a monthly report and the ETA 218 a quarterly report the reconstruction is for a quarter. The Number of Report Items fourth column indicates the total number of items on each ETA report that is validated by each transaction population. The Number of Subpopulations fifth column refers to the number of subpopulations into which the population is divided for validation purposes. INTRODUCTION UI DV HANDBOOK BENEFITS 8 M AY 2013 Table C Population Coverage Population ETA Report Reconstruction Period Number of Report Items Number of Subpopulations 1 Weeks Claimed 5159 Month 9 9 2 Final Payments 5159 218 Quarter 3 12 4 3 3a Claims and Claims Status a nd Monetary Determinations 5159 218 586 Quarter 19 16 4 52 4 Payments 5159 9050 9051 Month 14 12 12 51 586 Quarter 10 5 Nonmonetary Determinations and Redeterminations 207 9052 Quarter 36 14 70 6 Appeals Filed Lower Authority 5130 Month 2 2 7 Appeals Filed Higher Authority 5130 Month 2 2 8 Appeals Decisions Lower Authority 5130 9054 Month 18 2 55 9 Appeals Decisions Higher Authority 5130 9054 Month 10 2 23 10 Appeals Case Aging Lower Authority 9055 Month 3 7 11 Appeals Case Ag ing Higher Authority 9055 Month 3 6 12 Overpayments Established by Cause 227 Quarter 63 27 13 Overpayment Reconciliation Activities 227 Quarter 57 57 14 Age of Overpayments 227 Quarter 24 24 15 Overpayments Established by Method 227 Quarter 36 21 TOTA L 383 410 Notes When populations relate to both monthly and quarterly reports populations 2 3 4 it is preferable to reconstruct all the counts for a quarter. It is easier and more accurate to add three monthly counts to create a quarterly total for monthly reports than to rerun the quarterly reports to obtain a month of data. The software is not designed to validate nor is it a Federal requirement to validate extended benefits and disaster unemployment. INTRODUCTION UI DV HANDBOOK BENEFITS 9 M AY 2013 F. Validation Techniques and Sources Validating the counts of specific types of transactions rather than validating report items eliminates duplication of effort when the identical transaction is reported in more than one report item. In addition the DV software processes validation files and generates all validation worksheets and reports. Table D summarizes the DEV techniques used for each population of transactions. The Review History Screens column indicates when the validator will refer to computer- generated history screens to make an assessment of error. The Review Source Documentation column indicates when the validator will refer to source documentation such as adjudication notes adjudication notices appeals decisions or overpayment records. This documentation may come from paper files microfilm computer records or images. Source documentation is important for identifying human errors involving interpretational and input errors. Table D Validation Techniques by Population Population Review History Screens Review Source Documentation 1 Weeks Claimed X 2 Final Payments X 3 3a Claims Claims Status and Monetary Determinations X 4 Payments X 5 Nonmonetary Determinations and Redeterminations X Xa 6 Appeals Filed Lower Authority X 7 Appeals Filed Higher Authority X 8 Appeals Decisions Lower Authority X X 9 Appeals Decisions Higher Authority X X 10 Appeals Case Aging Lower Authority X 11 Appeals Case Aging Higher Authority X 12 Ove rpayments Established by Cause X X 13 Overpayment Reconciliation Transactions X X 14 Age of Overpayments X 15 Overpayments Established by Method X X a Examination of nonmonetary determination folders is accomplished through the quality review process. INTRODUCTION UI DV HANDBOOK BENEFITS 10 M AY 2013 G. Handbook Overview To achieve the data validation goal of determining the extent to which reported data are accurate and meet Federal reporting definitions four separate validation processes or modules have been developed. These modules include various tools to validate the quantity and quality of Federally reported data. The modules and accompanying appendices are outlined below. Module 1 Report Validation RV Module 1 describes the procedures for validating that the state reporting programs that create the Federal reports are functioning correctly i.e. that transactions are being counted accurately. The DV software processes the validation files and generates the reconstructed counts for Federal report items from the subpopulations. It then compares the reconstructed counts with the corresponding counts reported by the state. If transactions in the validation file were rejected by the software as invalid the validator needs to determine whether it is necessary to regenerate or reload the validation files. If the reconstructed and reported counts don t differ by more than the tolerance rates established then it is assumed that the state s reporting system is accurate. Module 2 Data Element Validation DEV Module 2 validates that the data elements transactions used in report validation were classified correctly according the Federal definitions. While RV verifies that all transactions were counted DEV verifies that the right transactions were counted. The validator examines samples of transactions to determine their accuracy. The software produces an automated worksheet containing the relevant data elements for each selected transaction. The validator reviews the sampled transactions using the state- specific data values and instructions in Module 3 which point the validator to the appropriate supporting documentation benefits history screens and or paper files . The validator uses this documentation to validate that the data elements are accurate and that the transactions are assigned to the appropriate subpopulations. Module 3 State-Specific Data Element Validation Instructions Only an introduction of Module 3 is included in this handbook. Each state maintains its module and is responsible for updating and revising it. Module 3 provides the actual state-specific set of instructions that the validator uses in data element validation. It lists the state system screens or documents that contain the data to be validated as well as the rules to validate them. State definitions or procedures which impact validation are also documented to help state and Federal staffs interpret the validation results and improve procedures. Module 4 Quality Sample Validation Module 4 has instructions for verifying that the samples selected for nonmonetary determinations and lower authority appeals quality have been randomly selected from the correctly defined universe. It is important to review and check the quality sampling INTRODUCTION UI DV HANDBOOK BENEFITS 11 M AY 2013 methodology used by the state. The quality reviews are a key indicator of the state s performance and the results must be statistically valid. Appendix A RV Subpopulation Specification Appendix A includes specifications for each subpopulation by population. This appendix should be used when constructing the DV extract files. It indicates the data values that are valid for each type of transaction or subpopulation. It also maps each subpopulation to the corresponding Federal report line item s and vice versa. Appendix B DEV Sampling Specifications Appendix B includes the specifications used by the software to select samples of transactions for data element validation. Appendix C LADT Appendix C contains instructions on how to validate Interstate Filed from Agent records received through the Liable Agent Data Transfer LADT System for Populations 1 and 3. Appendix D - CWC Technical Guidance Appendix D provides instructions on how to validate combined wage claims CWC in Populations 3 and 4. H. Overview of the Data Validation Methodology This section gives an example using Population 4 of the steps to follow in the data validation process. Each step references the handbook module in which that aspect of the data validation process is described. Readers should review the referenced modules for further information. Step 1 Generate and submit ETA report The state generates and submits ETA 9050. The report item shown in the upper-left- hand corner represents the count of UI intrastate first payments that the state reported on the ETA 9050. Step 2 Generate extract file The state extracts detailed records of transactions from their benefits database into a text formatted file following the specifications on the record layout for Population 4 and the definitions in Module 3. See Module 1 Module 3 and ETA Operations Guide 411 Step 3 Load extract file into software The extract file generated in Step 2 is loaded into the DV software. The software rejects invalid transactions. The validator reviews the rejected records and if necessary fixes INTRODUCTION UI DV HANDBOOK BENEFITS 12 M AY 2013 the errors in extract file and reloads it into the software. This process is repeated until the extract file has no errors. See Module 1 Step 4 Validate counts Report Validation The DV software compares the reconstructed counts from the validation extract file with the reported counts. See Module 1 Step 5 Generate samples The DV software selects a sample of transactions following the sample specifications in Appendix B and displays them on a sample validation screen. See Module 2 Step 6 Refer to Module 3 The validator looks at the first field of the first record displayed on the first row of the sample validation screen. The column header for that field refers to the step in Module 3 that the validator needs to validate the field in this case Step 10A. Step 7 Lookup screen in state database The validator calls up or prints out the Claims Inquiry screen from the state s benefits database. See Modules 2 and 3. Step 8 Validate samples Data Element Validation The validator follows the instructions in the rules for Step 10A First Payments . The rules for Step 10A require the validator to 1 check for a payment indicator payment code is 07 or 08 2 check that the week reported as the first compensable week was not a waiting week payment code is not 02 03 or 04 and 3 check that the week was the first week in the benefit year after the waiting week without excessive earnings earnings for the week ending 2 10 are less than or equal to 120 percent of the WBA and thus not excessive and there are no earlier weeks other than the waiting week present on the payments history file . The validator then places a check on the worksheet to show that the transaction was a valid first payment. See Modules 2 and 3 Steps 6 through 8 are repeated for each field in the first record and the rest of the sampled records are validated in the same manner. All samples for the population should be validated following the same steps. Step 9 Submit results to the National Office After all samples are completed the validator accesses the Population Scores screen and submits the validation results to the National Office. Step 10 Save validation documents After results are submitted to the National Office states should save all documents supporting their validation results and retain them for three years. This includes all sample validation worksheets any notes documenting errors extract files a reference to the version of Module 3 that was used screen shots of the submitted RV results and any other supporting documentation such as benefit system screen shots and or paper files . INTRODUCTION UI DV HANDBOOK BENEFITS 13 M AY 2013 Figure A Overview of Data Validation Methodology GU O O O O OOG Sample Portion of UIRR ETA 9050 Intrastate UI UCFE Firs t Payments ETA 9 050 6 2 Benefits Database Sample Screen from State Database Claims InquirySS NProgramAge n t State WBA 1 23UISame 120 Payments History Pa yme n t DateWk. End Amo un t STS Earnings 2 3 0W 0 2 122 10 120A 0 2 192 17 120A 0 Mi nnesot a Step Validation Module 3 1 7 2 4 5 6 3 Data Validation Software Data Validation Extract File Sample Validation Screen Report Validation Screen Code Validation Benefits Database Screen MODULE 1 Benefits REPORT V ALIDATION R EPORT V ALIDATION M ODULE 1 UI DV HANDBOOK BENEFITS 1.1 M AY 2013 A. Purpose The report validation process is used to determine the accuracy of counts reported on UIRR benefits reports. Sixteen validation extract files are constructed according to specifications in the DV ETA Operations Guide 411 and Appendix A. These files are used to reconstruct counts for 16 types of UI benefits transaction populations. The 16 report validation population files are listed in Table 1.1. Table 1.1 Populations Population Population Description 1 Weeks Claimed 2 Final Payments 3 Claims and Claim Status and Original Monetary Determinations 3a Additional Claims 4 Payments Weeks Compensated 5 Nonmon etary Determinations and Redeterminations 6 Appeals Filed Lower Authority 7 Appeals Filed Higher Authority 8 Appeals Decisions Lower Authority 9 Appeals Decisions Higher Authority 10 Pending Appeals Lower Authority 11 Pending Appeals Higher Authority 12 Overpayments Established by Cause 13 Overpayment Reconciliation Transactions 14 Aged Overpayments 15 Overpayments Established by Method REPORT VALIDATION M ODULE 1 UI DV HANDBOOK BENEFITS 1.2 M AY 2013 B. Methodology Step 1 Produce Report Validation Extract Files State staff produces 16 report validation extract files based on the record layout specifications in the ETA Operations Guide 411. There is one extract file for each of the 16 populations of UI benefit transactions and statuses such as payments claims age of overpayments etc. . Claims are divided into two separate populations Populations 3 and 3a. See Figure 1.1 for an example of a record layout . The extract file type is ASCII comma delimited. Data must be in the order listed in the record layouts. The Data Type Format column on the layouts indicates the generic values for text fields. The generic values must be followed by a dash and the state-specific value. See Figure 1.2 for an example of a sample extract file. It is best to generate the validation files at the same time as the Federal reporting programs to eliminate differences in data caused by changes in the database over time. Because the UIRR reports provide a snapshot of transactions during a specific time period the validation is intended to verify the transaction data at the time the report was run even if data later changed. It is less efficient to compare a set of transactions captured at one point in time with a set of transactions captured at another point in time because many discrepancies will represent legitimate changes in a dynamic database rather than systems errors or faulty data. For example claims can legitimately change from interstate to intrastate and program type can change from Federal to combined UI- Federal if UI wages are added to a claim. Step 2 Import Extract Files The extract files are imported into the DV software following the instructions in the ETA Operations Guide 411. The software processes each extract file and builds the subpopulations as specified in Appendix A. For example Population 4 payments and weeks compensated includes all payments made during the month. The software assigns each transaction record to a subpopulation based on unique combinations of payments and weeks compensated including characteristics such as first payments continued payments partial payments and program type. See Figure 1.3 for a sample of a validation file imported into the software. Step 3 Examine Error Reports and Reload Extracts if Necessary When an extract file is loaded the DV software reads each record to ensure that values in all fields are valid. Any records with invalid data missing mandatory data or records which appear to be duplicates are rejected and an error report is produced. The record layouts in the ETA Operations Guide 411 specify the valid data formats for each field and the population tables in Appendix A specify the valid values. The software REPORT VALIDATION M ODULE 1 UI DV HANDBOOK BENEFITS 1.3 M AY 2013 uses the duplicate detection criteria in the ETA Operations Guide 411 to reject invalid duplicate records. After reviewing any error reports that are generated state staff should determine if the extracts are correct or whether they need to be regenerated or reformatted and reloaded into the DV software. This process should be repeated until the extract files have no errors. See Figure 1.4 for an example of an error report. Step 4 Report Validation The DV software automatically retrieves and loads the reported counts from the national UI reports database. The software then calculates the difference between the validation and reported counts and calculates an error rate. The software counts all transactions within a subpopulation and combines subpopulations into corresponding report cells. The validation counts are compared with the reported counts and the reported counts are considered valid if they fall within the established tolerance 1 for groups that include data used in Government Performance and Results Act GPRA measures and 2 for all other groups . Data used for the GPRA measure for timely first payments are validated in Populations 4 and data used for Detection of Overpayments are validated in Population 12. The groups including these data are held to a 1 tolerance and the populations must be validated annually. Benefits DV validates also data used in UI Performs Core Measures for first payment timeliness nonmonetary determinations timeliness average age of pending appeals and detection of overpayments as well as measures of payment and appeals timeliness used to implement UI Secretary s Standards These data are held to the 2 tolerance for report validation except for the data used for the Secretary s Standard measure for 14 21-day timeliness of intrastate payments because it is also used as the GPRA measure. The software then produces a summary that provides error rates for groups of report cells and a pass or fail score for the population. REPORT VALIDATION M ODULE 1 UI DV HANDBOOK BENEFITS 1.4 M AY 2013 C. Overview of Module 1 Table 1.2 and Figure 1.1 show an overview of Module 2 methodology. Table 1.2 Overview of Module 1 Step Descri ption of Step 1A 1D Analyze the validation program specifications including 1A. Record Layouts ETA Operations Guide 411 contains specifications to build the validation extract files 1B. Data Element Validation State Specific Instructions Module 3 Includes instructions and state s specific screen names element names and value codes for validating each data element. 1C. Duplicate Detection Criteria ETA Operations Guide 411 contains the criteria that the software uses to detect duplicates. 1D. Subpopulation Specifications Appendix A contains reporting and sampling specifications for each population. 2 Extract transaction records from the state database s including all of the data elements specified in the record layouts. The extract process should include a routine to ensure that invalid duplicates are excluded from the file as specified in the duplicate detection criteria in the ETA Operations Guide 411 . 3 Import the validation files into the DV software which processes the files and assigns transactions to the subpopulations specified in Appendix A. 4 The RV screen compares the validation counts to the reported counts and displays the error rates and a pass fail population score. REPORT VALIDATION M ODULE 1 UI DV HANDBOOK BENEFITS 1.5 M AY 2013 Figure 1.1 Overview of Module 1 Record Layouts DV Operations Guide Data Element Validation State Specific Instructions Module 3 Analyze program specifications and develop extract files Import extract file into DV software Detailed Record Extract FileRun extract programs Validation counts automatically transferred toRV Summary RV Summary Counts and Dollars UI Required Report cell totals from sun-based system to RV Summary 1A 1B 2 3 3 4 3 3 Duplicate Detection Criteria DV Operations Guide 1C Subpopulation Specifications Appendix A 1D The following figures are examples of 1. Population 10 Record Layout Figure 1.2 2. Population 10 Sample Extract File Figure 1.3 3. Population 10 Validation File after Processed through DV Software Figure 1.4 4. Population 10 RV Summary Figure 1.5 REPORT VALIDATION M ODULE 1 UI DV HANDBOOK BENEFITS 1.6 M AY 2013 Figure 1.2 Population 10 Record Layout This record layout provides the format for the validation extract file. The extract file type must be ASCII comma delimited columns. Data must be in the order listed in the record layout. The Data Format column indicates the generic values for text fields. These must be followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are documented. Example If the state -specific code f or Lower Authority Appeal is 100 then the data format would be LOW ER -100. No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint 1 OBS State assigned sequential unique identifier for each record in the extract file. Numbe r - 00000000 Required INTEGER NOT NULL 2 SSN Step 1E - Rule1 Social Security Number Number - 000000000 Required CHAR 9 NOT NULL 3 Docket Number Unique ID Step 1E - Rule 2 The Docket Number or other unique number assigned to the appeal. Number - 000 0000000 Required CHAR 30 NOT NULL 4 Appeal Level Step 24A - Rule 1 The appeal was a lower authority appeal. Text - Lower Required CHAR 20 NOT NULL 5 Appeal Pending Step 30B - Rule 1 No decision has been made on an appeal. Text - No Decision Opti onal CHAR 30 6 Filed Date Step 32 - Rule 1 The date on which the appeal was filed. Date - MM DD YYYY Required DATE NOT NULL 7 User User defined field. Can be used for any additional data element. Not mandatory. Text Optional CHAR 100 REPORT VALIDATION M ODULE 1 UI DV HANDBOOK BENEFITS 1.7 M AY 2013 Figure 1.3 Population 10 Extract File 1 123456789 1 LOWER-AP NO DECISION-NO MAIL DATE 03 22 2006 10.1 2 123456791 2 LOWER-AP NO DECISION-NO MAIL DATE 03 01 2006 10.2 3 123456792 3 LOWER-AP NO DECISION-NO MAIL DATE 01 03 2006 10.3 4 123456793 4 LOWER-AP NO DECISION-NO MAIL DATE 12 29 2005 10.4 5 123456794 5 LOWER-AP NO DECISION-NO MAIL DATE 10 11 2005 10.5 6 123456795 6 LOWER-AP NO DECISION-NO MAIL DATE 05 16 2005 10.6 7 123456796 7 LOWER-AP NO DECISION-NO MAIL DATE 02 08 2005 10.7 8 123400008 18 LOWER-AP No Decision 03 31 2006 10.1 9 123400009 19 lower NO DECISION 03 18 2006 10.1 10 123400010 20 lower-1 no decision-1 03 06 2006 10.1 11 123400011 21 Lower 03 05 2006 10.2 12 123400012 22 LoWeR No Decision 02 26 2006 10.2 13 123400013 23 LOWER-AP NO DECISION 02 19 2006 10.2 14 123400014 24 lower no decision-2 02 18 2006 10.3 15 123400015 25 lower-2 01 25 2006 10.3 16 123400016 26 Lower No Decision 12 31 2005 10.3 17 123400017 27 LoWeR NO DECISION 12 30 2005 10.4 18 123400018 28 LOWER-AP no decision-3 12 16 2005 10.4 19 123400019 29 lower 12 01 2005 10.4 20 123400020 30 lower-3 No Decision 11 30 2005 10.5 21 123400021 31 Lower NO DECISION 11 01 2005 10.5 22 123400022 32 LoWeR no decision-4 10 02 2005 10.5 23 123400023 33 LOWER-AP 10 01 2005 10.6 24 123400024 34 lower No Decision 08 03 2005 10.6 25 123400025 35 lower-4 NO DECISION 06 04 2005 10.6 26 123400026 36 Lower no decision-5 04 05 2005 10.6 27 123400027 37 LoWeR 04 04 2005 10.7 28 123400028 38 LOWER-AP No Decision 11 16 2004 10.7 29 123400029 39 Lower NO DECISION 07 05 2003 10.7 REPORT VALIDATION M ODULE 1 UI DV HANDBOOK BENEFITS 1.8 M AY 2013 Figure 1.4 Population 10 Validation File After Processed by DV Software REPORT VALIDATION M ODULE 1 UI DV HANDBOOK BENEFITS 1.9 M AY 2013 Figure 1.5 Population 10 RV Screen MODULE 2 Benefits D ATA ELEMENT V ALIDATION D ATA E LEMENT V ALIDATION M ODULE 2 UI DV HANDBOOK BENEFITS 2.1 M AY 2013 A. Purpose One of the goals of the validation process is to determine how accurately individual benefits transactions have been reported on the UIRR. After the report validation files have been built and each transaction has been assigned to a specific subpopulation the key question is whether the data in each transaction record are correct. For example if a claim is classified as UCFE do the base period wages match the Federal criteria for a UCFE claim This process is called data element validation DEV . In DEV each data element used in the report validation file is closely examined in a small sample of transactions. Data element validation uses random and supplemental samples to address different types of Federal report errors and different requirements for accuracy. Samples were designed considering the importance of the type of transaction and the type of error prone to be found in certain data. The samples enable the validator to find systems logic and data quality errors. There are four types of samples used in the DV program 1. Random samples Supplemental Samples 2. Missing subpopulations samples 3. Outliers Samples 4. Minimum samples Each of these sample types is described in detail in Appendix B. In particular random samples are used for the most important performance and reporting data elements. Depending on the type of random sample the DV software selects either 100 or 200 cases at random to be validated. Validators may need to review only the first 30 or 60 cases in a random sample if the findings show that the error rate is conclusively below five percent zero errors or above five percent. B. Methodology Step 1 Software generates samples After extract files are loaded into the DV software the software automatically selects samples and displays the sampled data on a screen. Step 2 Print sample worksheets From the sample validation screen the validator can print worksheets for each record which contain all data to be validated. These worksheets facilitate the validation process and provide an audit trail. DATA ELEMENT VALIDATION M ODULE 2 UI DV HANDBOOK BENEFITS 2.2 M AY 2013 Step 3 Data Element Validation To validate the sample the validator goes to the Sample Validation screen and validates each field in each record using the instructions on Module 3 for that particular field. A record passes validation if all its fields pass. A random sample passes validation if the sample results indicate that no more than five percent of the records from which the sample was drawn contain errors. On the Sample Validation screen records are displayed in rows. Columns headers display the step in Module 3 that the validator has to follow to validate each field. Fields have a drop-down menu next to them with the values PASS and FAIL so that the validator can indicate whether the value in that field passes validation. In some instances there will not be a value for a particular data element. This can happen whenever a data element is either optional or not applicable. The validator should select PASS when there is no value in a field because a data element is either not applicable or optional. At the bottom of the sample screen a row displays the total number of errors and the sample s score. Refer to the ETA Operations Guide 411 for other functionality available from the Sample Validation screen. To validate a field the state validator compares it to the source documentation to verify that it agrees with state practices and Federal definitions. Module 3 provides state- specific instructions on how to validate each data element using information from the state s database or paper files. This validation verifies that the state s reporting programs are functioning correctly and benefits data are being classified correctly. Although the validation instructions in Module 3 are state-specific all states use the same Federal reporting guidelines to validate data. This ensures uniform and consistent validation and reporting practices across all states. The instructions include sections for recording comments and definitional problems that enable states to track Federal report and data validation issues. This is important for documenting issues that may affect validation in the future and for explaining inconsistencies. Each random sample is scored separately and their results need to be submitted to the National Office as part of determining whether a population passes or fails. Supplemental samples however are only used as diagnostic tools and the results are not submitted. Nevertheless if errors are found in the supplemental samples validators need to investigate these and correct their systems accordingly. Step 4 DEV Reports The software generates DEV reports that summarize the type and number of errors found for each sample. It also displays the error rate and the scores for random samples. This report is not submitted to the National Office. States are advised to print this report for their records. DATA ELEMENT VALIDATION M ODULE 2 UI DV HANDBOOK BENEFITS 2.3 M AY 2013 Step 5 Send validation results to National Office After all random sample validations in a population are completed the validator can submit results along with RV results to the National Office through the Population Scores screen in the software refer to the ETA Operations Guide 411 for details . If a population fails RV or DEV the population must be revalidated within a year. When a population passes validation results are considered valid for three years except for Populations 4 and 12 which contain GPRA elements and need to be validated every year. States that make changes to their reporting system need to conduct data validation of the affected populations as soon as possible after changes are implemented. Step 6 Correcting Validation Errors If validation identifies reporting errors the state should correct the errors as soon as possible. To document the steps required to correct errors and the timetable for completion the state must address the problem to its ETA Regional Office in accordance with the annual State Quality Service Plan SQSP . This will be in either the SQSP narrative or as part of a DV Corrective Action Plan CAP . The narrative or CAP should contain the following information on every validated report element that failed validation Report item s in error. Magnitude of error found. Status Plan Schedule for correcting. Note If reporting errors were corrected in the course of the first validation the report should simply note corrected during validation. Validation of the affected transactions should occur immediately after these corrections have been made. Timing of CAP or Narrative. The plan for correcting the errors should be submitted within the established deadlines of the SQSP. Revalidation. Populations that failed any validation item must be revalidated the following year. A revalidation should confirm the success of the corrective action or if the state has not completed corrective action identify the current extent of the error. Errors Discovered Outside the Validation Process. During the validation process errors in reporting may be identified that are outside the scope of the validation program. Such errors should be included in the comments section of the state s Data Validation Summary Analytical Report and included in the CAP or narrative if warranted. A CAP is also required for any state that fails to conduct data validation. D ATA E LEMENT V ALIDATION M ODULE 2 UI DV HANDBOOK BENEFITS 2.4 M AY 2013 C. Overview of Module 2 Table 2.1 and Figure 2.1 show an overview of Module 2 methodology. Table 2.1 Overview of Module 2 Step Step Description 1 The validator uses the column headers on the sample screen to locate steps in Module 3. Fields for data that are not relevant to a particular transaction will be blank and the validator should click PASS . In Figure 2.1 for the first sampled transaction the value of the fifth data element is UI-0. The column header directs the validator to go to Step 4 in Module 3. 2 The validator turns to the corresponding step in Module 3. Steps can have different sub steps and each sub step can have one or more rules listed. In addition each step includes the Federal Definition from the ETA 401 a Definitional Issues section that is used to document instances where state regulations or practices conflict with the Federal definitions and a State Comments section where validator can write comments that may be helpful for future validations. In Figure 2.1 the validator looks up Step 4 and then selects the sub step that corresponds to the field value. In this case the value is UI so the corresponding sub step is A. 3 The validator locates each source Document listed under each rule. The document is the source used to compare the data on the sample screen with t he data residing in the state database or state files. W hen all of the data elements have been included on the sample screen it will not be necessary to pull any additional documents. In other instances it will be necessary for the validator to refer to screens and or case files. 4 The validator determines if the data element being validated passes the Validation using the required Documents . 5 If the validated element fails any of the rules for the step then the validator clicks the FAIL check box on the worksheet for that element . 6 If the data element passes all of the rules then the validator clicks the PASS check box on the worksheet for that step. 7 The validator proceeds through each of the steps for each sampled transaction i n the same manner. After each of the steps has been validated for every sampled transaction required t he software calculates the error rate and score for the sample . DATA ELEMENT VALIDATION M ODULE 2 UI DV HANDBOOK BENEFITS 2.5 M AY 2013 Figure 2.1 Overview of Module 2 Validator locates validation Instructions in Module 3 - Looks up first step number on worksheet Step 4A Obtain necessary screens documents StateModule 3 Step 4 Program Type Sub Step A UI Instructions - Rule 1 Document 1 Validation Document 2 Validation Rule 2 Document 1 Validation Federal Definition State Definitional Problems State Comments UI Ben Validation Handbook 12 August 12 2009 Example of Module 3 step Determine if data element passes all validation rules using 1 Worksheet 2 Step in Module 3 3 Screens Documents Does data element pass all rules YesNo PASS Click the box to select PASS FAIL Click the box to select FAIL Software calculates sample s error rate and score Section of Sample Screen 1 2 3 4 6 5 7 MODULE 3 Benefits D ATA ELEMENT V ALIDATION S TATE SPECIFIC INSTRUCTIONS DEV STATE SPECIFIC INSTRUCTIONS M ODULE 3 UI DV HANDBOOK BENEFITS 3.1 M AY 2013 A. Purpose Module 3 provides the actual state-specific set of instructions that the validator uses in data element validation. It lists the state system screens or documents that contain the data to be validated as well as the rules to validate them. State definitions or procedures which impact validation are also documented to help state and Federal staffs interpret the validation results and improve procedures. Module 3 is not included in this handbook. It is maintained in a database that contains data for every state. Since these instructions are state-specific each state is responsible for reviewing and updating its Module 3 regularly. Every year between April 10 and June 10 states need to certify that they have reviewed their Module 3 and that it s up to date. B. Methodology Table 3.1 outlines each step and substep in the Module 3 that validators need to follow for validating samples. Table 3.2 indicates the combination of validation steps required to validate each population. The column headers on the sample screens in the DV software display the steps that are used to validate each data element i.e. the values for the relevant field of each sampled record. The validator begins the validation by looking at the first record first row on the Sample Validation screen for the given population and then locates the first step number e.g. Step 1 listed in the first column header of the screen. The validator then turns to this step number in Module 3. If there are substeps and the substep is not specified in the column heading the first page for the step number in Module 3 will direct the validator to the appropriate substep e.g. 4A UI program type 4B UCFE program type 4C UCX Program type . After following all of the rules listed for this step the validator should proceed to the second column on the worksheet and locate the next step to be validated in Module 3. The validator continues validating each step listed on the worksheet for each element in the record and then continues to the next sampled record. This process is repeated until all necessary records are validated. The inclusion of state-specific information in this module is not to be deemed a finding that such information is in compliance with Federal reporting data definitions. DEV STATE SPECIFIC INSTRUCTIONS M ODULE 3 UI DV HANDBOOK BENEFITS 3.2 M AY 2013 Table 3.1 Data Element Validation Steps and Substeps Step Substep A Substep B Substep C Substep D Substep E Substep F Substep G Substep H Substep I Substep J 1 Matching Sampled Trans action to Benefits History Screen s Week Claimed Claims Payments Nonmonetary Determinations and Redeterminations Appeals - Lower Appeals - Higher Overpayments Overpayment Reconciliation Activities 2 Type of UI Program Regular Unemployment Insurance Workshare Extended Benefits Disaster Unemployment Assistance DUA 3 3a Type of Claim New Claim Additional Claims Reopened Claims Transitional Claims Entering Self - Employment Program 4 Program Type UI UCFE or UCFE UCX UCX Joi nt UI Federal Self - Employment Program Extended Benefits 5 Intrastate or Interstate Claim Intrastate Interstate Received as Liable State Interstate Taken as Agent State Interstate Filed from Agent State Intrastate CWC Interstate CWC 6 Claim Status Monetary Determination Within Quarter No Monetary Determination Sufficient Wages to Qualify for Benefits Insufficient Wages to Qualify for Benefits 7 Maximum Weekly Benefit 8 Potential Weeks of Duration Potent ial Weeks of Duration Maximum Potential Weeks of Duration 9 Actual Weeks of Duration Actual Weeks of Duration Maximum Actual Weeks Less than Maximum Actual Weeks 10 Types of Compensation First Payment Continued Weeks Payment Final Payment Partial Part- Total Payment Total Payment Adjusted Payments Prior Weeks Compensated 11 Weeks Claimed 12 Amount Compensated UI Amount Compensated UCFE Amount Compensated UCX Amount Compensated CWC Amount Compensated Self - Employment Amount Compensated 13 Week Ending Date of Week Paid 14 Payment Mail or Deposit Date DEV STATE SPECIFIC INSTRUCTIONS M ODULE 3 UI DV HANDBOOK BENEFITS 3.3 M AY 2013 Step Substep A Substep B Substep C Substep D Substep E Substep F Substep G Substep H Substep I Substep J 15 Payments Time Lapse NOT APPLICABLE. THIS STEP IS NOT MANUALLY VALIDATED. 16 Nonmonetary Determination Redetermination Nonmonetary Determination Nonmonetary Redetermination 17 Type of Determination Single Claimant Multiclaimant 18 Determination Issues Voluntary Quit Misconduct Ot her Separation Issues Able and Available To Work Deductible Income Suitable Work Refusal Reporting Requirements Profiling Other Nonseparation Issues Labor Dispute Substep K Other Multiclaimant Issues 19 First Week Affected by a Determination 20 Issue Detection Date 21 Notice Date 22 Nonmonetary Determination Time Lapse Detection Date to Notice Date First Week Affected to Detection Date NOT APPLICABLE. THIS STEP IS NOT MANUALLY VALIDATED. 23 Outcome of Determination Determination to Allow or Affirmed Determination or Redetermination to Deny 24 Appeal Level Lower Authority Appeal Higher Authority Appeal 25 Type of Appeal Singl e Claimant Multiclaimant 26 Appellant Claimant Employer Other than Claimant or Employer 27 Outcome of Decision In Favor of Appellant Not in Favor of Appellant 28 Appeal Decision Date 29 Appeal Time Lapse Appeal Time Lapse Appeal Case Age Calculation NOT APPLICABLE. THIS STEP IS NOT MANUALLY VALIDATED. 30 Appeal Disposition Disposed of by Decision Not Disposed of 31 Appeal Issues Voluntary Quit Misconduct Suitable Work Refusals Able and Available To Work Other Issues Labor Dispute 32 Appeal Filed Date 33 Type of Overpayments Fraud Overpayment Nonfraud Penalty DEV STATE SPECIFIC INSTRUCTIONS M ODULE 3 UI DV HANDBOOK BENEFITS 3.4 M AY 2013 Step Substep A Substep B Substep C Substep D Substep E Substep F Substep G Substep H Substep I Substep J 34 Cause of Overpayments Multi -Claimant Schemes Reversal JAVA State Agency Error Employer Error Claimant Error Other Cause Penalty Single Claimant Agency Employee Benefits Fraud 35 Overpayment Detection Activities Wage Benefit Crossmatch IB Crossmatch State Directory of New Hires Multi -Claimant Scheme Systems Special Project Other Controllable Overpayment Detection Activities Non - controllable Overpayment Detection Activities National Directory of New Hires 36 Established Date 37 Amount of Overpayment UI Federal 38 Overpayment Reconciliation Activities Recovered Cash Recovered Offset State Income Tax Offset By Other States Other Waived Written-Off Additions Subtractions 39 Overpayment Reconciliation Activity Date 40 Amount of Overpayments Reconciliation Activity UI Federal Extended Benefits 41 Outstanding Overpayment NOT APPLICABLE. THIS STEP IS NO LONGER VALIDATED. 42 Balance of Overpayment UI Federal Extended Benefits 43 Overpayment Aging Calculation and Interva ls NOT APPLICABLE. THIS STEP IS NOT MANUALLY VALIDATED 44 Active Collection Yes or Blank No - Not in Active Collection Dropped 45 Accumulated Overpayment Amount UI Federal Extended Benefits 46 Overpayment Established by Investigation Step numbers 15 22 29 41 and 43 are no longer used but have been retained in Module 3 as placeholders. All steps but step 41 correspond to time lapse calculations that are now automatically validated by the software. Step 41 is no longer validated. DEV STATE SPECIFIC INSTRUCTIONS M ODULE 3 UI DV HANDBOOK BENEFITS 3.5 M AY 2013 Table 3.2 Relevant Data Element Validation Steps By Population Population Relevant Module 3 Data Element Validation Steps 1 - Weeks Claimed 1 2 4 5 11 2 - Final Payments 1 2 4 7 9 10 3 3a - Claims 1 2 3 4 5 6 7 8 4 - Pa yments 1 2 4 5 10 12 13 14 5 - Nonmonetary Determinations Redeterminations 1 2 4 5 16 17 18 19 20 21 23 6 - Appeals Filed Lower Authority 1 24 25 32 7 - Appeals Filed Higher Authority 1 24 25 32 8 - Appeals Decisions Lower A uthority 1 2 4 5 24 25 26 27 28 30 31 32 9 - Appeals Decisions Higher Authority 1 2 4 5 24 25 26 27 28 30 32 10 - Appeals Pending Lower Authority 1 24 30 32 11 - Appeals Pending Higher Authority 1 24 30 32 12 - Overpayment s Established by Cause 1 4 33 34 36 37 45 13 - Overpayment Reconciliation 1 4 33 38 39 40 14 - Overpayment Case Aging 1 4 33 36 42 44 15 - Overpayments Established by Method 1 33 35 36 37 46 The appropriate substeps for each population are specified on the population tables in Appendix A. MODULE 4 Benefits Q UALITY SAMPLE VALIDATION Q UALITY SAMPLE V ALIDATION M ODULE 4 UI DV HANDBOOK BENEFITS 4.1 M AY 2013 A. Purpose This module provides instructions for validating Benefits Timeliness and Quality BTQ nonmonetary determinations samples--which comprise separate samples for separations and non-separations--and lower authority appeals samples. These samples can be validated for any quarter that falls within the validation year. They must be validated every three years unless the size of the universe from which the sample is drawn is not within 2 of the ETA 9052 or the ETA 9054L benchmark counts. In such case the validation must be repeated the following year. A properly selected sample is a of the correct size b randomly selected and c drawn from the correct universe. The validator must check the size and randomness of the sample as soon as the sample is drawn because the quality review can only proceed for a randomly drawn sample of the correct size. If the sample is not of the correct size or is not random a new sample must be selected as many times as needed until the draw is random and of the right size. The universe should be checked as soon as the report counts are available. State staff needs to validate separations and non-separations samples separately for nonmonetary determinations and the lower authority sample. Nonmonetary determinations counts are validated in Population 5 and lower authority appeals counts in Population 8 so it is desirable to validate these two populations before using the ETA 9052 and ETA 9054L counts as benchmark when validating the universes of the samples. B. Sample Size Sample sizes are set based on the volume of nonmonetary determinations and lower authority appeals decisions reported in the preceding calendar year. Sample sizes for nonmonetary determinations are based on total counts reported on the ETA 9052 report and are of size 100 50 separations and 50 non-separations for states that reported 100 000 or more nonmonetary determinations and 60 30 separations and 30 non- separations for states that reported less than 100 000. However the sample size for nonmonetary determinations may be increased in any given quarter to make up for cases discarded in the previous quarter. For example if the assigned sample size is 100 and in the previous quarter 2 non-separation cases could not be reviewed because the case material was not found the sample size for the quarter must be equal to 102 50 separations and 52 non- separations. Sample sizes for lower authority appeals decisions are based on total counts reported on the ETA 9054L report and are of size 40 for states that reported 40 000 or more appeals and 20 for states that reported less than 40 000. If a sample is determined to have an incorrect sample size it must be drawn again with the correct size before the quality review can proceed. QUALITY SAMPLE VALIDATION M ODULE 4 UI DV HANDBOOK BENEFITS 4.2 M AY 2013 C. Sample Selection Different methods can be used to select the quality samples. For example states can use balanced systematic selection as described in Handbook 301 Appendix A pp. A-4 to A-6 systematic random sampling or use a utility that randomizes the file. In systematic random sampling a starting point is selected at random from the sampling universe and thereafter observations are selected at regular intervals. The size of the population is divided by the desired size of the sample and rounded to the nearest integer to get the sample interval i which is then used to select every i th observation from a file containing all records in the universe. For example if a sample of 30 cases is wanted from a universe of 300 records then the sample interval is 300 30 10 and every 10 th observation is selected. To determine the starting point--i.e. the first case to be selected--the validator multiplies a random number between 0 and 1 supplied by the National Office or generated by a random number generator utility by the sample interval and rounds it to the closest integer. In the previous example if the random number is 0.2354 then 0.2354 x 10 2.354 2 so the observations selected are 2 12 22 etc. To validate that the sample selection was random when systematic random sampling is used the validator needs to check that the sample interval and the starting point were calculated correctly and that the observations were selected accordingly. When a sampling utility is used usually the sample frame is randomized and the first x observations are selected where x is the desired size of the sample in the previous example the first 30 observations . This method is somewhat more difficult to validate because it could involve reviewing the sample against the source file or reviewing the utility specifications. If the sample selection procedure is random the sample can proceed to the quality review. Otherwise the sampling procedure must be fixed and the sample redrawn until it is randomly selected. D. Sample Universe The number of observations in the sample universe for nonmonetary determinations must be equal to the sum of all total counts in the ETA 9052 for the reporting quarter being validated. Before these numbers are compared Populations 5 should pass report validation to make sure that the reported counts are accurate. If the number of observations in the universe is within 2 of the reported counts then the sample universe passes validation and results are valid for three years. Otherwise the state needs to revalidate the sample the following year. The number of observations in the sample universe for lower authority appeals must be equal to the sum of all total counts in the ETA 9054L for the reporting quarter being validated. Before these numbers are compared Populations 8 should pass report validation to make sure that the reported counts are accurate. If the number of observations in the QUALITY SAMPLE VALIDATION M ODULE 4 UI DV HANDBOOK BENEFITS 4.3 M AY 2013 universe is within 2 of the reported counts then universe passes validation and results are valid for three years. Otherwise the state needs to revalidate the sample the following year. If ETA 9052 or ETA 9054L reported counts are not available when the quality samples are drawn comparing the sampling universe with the reported counts can be performed later to ensure that the validation process does not delay the quality review process. E. Sample Validation To validate the quality samples the validator must complete the following steps Step 1 Select reporting period Obtain a copy of the quality sample for the reporting period you want to validate and for the previous quarter. Verify that all transactions in the universe are for the indicated reporting period and that the reporting period to be validated falls within April 1 st of the previous year and March 31 st of the current year. Step 2 Validate the sample size Check that the sample size is in accordance with the number of transactions reported in the previous year. For nonmonetary determinations the sample size should be 100 50 separations and 50 non-separations plus the make-up cases if any for states that reported 100 000 or more nonmonetary determinations and 60 30 separations and 30 non-separations plus make-up cases for states that reported less than 100 000 nonmonetary determinations. For lower authority appeals the sample size should be 40 for states that reported 40 000 or more appeals and 20 for less than 40 000. If the sample size is not correct the sample fails validation. Do not proceed any further. The sample needs to be redrawn and validated again until it is of the correct size. Step 3 Validate that the sample selection was random Determine which method was used to select the sample. If balanced systematic selection was used verify that all steps were followed as described in Handbook 301 Appendix A pp. A-4 to A-6. this instruction applies to both nonmonetary determinations and lower authority appeals . Handbook 301 also references the PICKNUMB sampling routine and refers the reader to Appendix A of Handbook 401. The current 2007 version of Handbook 401 no longer contains Appendix A. Readers needing guidance with the PICKNUMB program should contact the National Office or obtain versions of Handbook 401 dated 2000 or earlier. If systematic random sampling was used then Obtain a copy of the sample universe. QUALITY SAMPLE VALIDATION M ODULE 4 UI DV HANDBOOK BENEFITS 4.4 M AY 2013 Check that the sample interval used to select the sample is equal to the number of cases in the universe divided by the sample size. size samplesize universe Round interval Remember that for nonmonetary determinations the sample size must include additional cases for any cases that were discarded in the previous quarter. Check that the starting point first case selected is equal to the random start number supplied by the National Office multiplied by the sample interval rounded to the nearest integer. interval sample number randomndRou point starting Check that the proper subsequent cases were selected. For example if the random start was 10 and the interval was every 40 th case check that 50 90 130 and so on were selected. If a sampling utility was used then If the sample was drawn from a randomized file determine how the file was randomized and print out the file to check that it was not ordered by date local office number or other nonrandom means. Compare this order with the way the file was ordered prior to randomization to ensure that the file was randomly reordered. Check that the first n cases were selected where n equals the sample size. If it is determined that the sample was not randomly selected the sample fails the validation. Do not proceed any further. The sample needs to be redrawn and validated again until it is randomly selected. Step 4 Validate the sample universe This step should be performed when the ETA 9052 or the ETA 9054L counts are available. For nonmonetary determinations check that the total number of determinations in the sample universe is equal to or within 2 of the sum of all the total counts reported on the ETA 9052 for the quarter being validated. This should be validated after Population 5 passes report validation. For lower authority appeals check that the total number of appeals in the sample universe is equal to or within 2 of the sum of all the total counts reported on the ETA 9054L for the quarter being validated. This should be validated after Population 8 passes report validation. Whereas the 9054 counts include both monetary and nonmonetary appeals the 9057 sample universe may include only nonmonetary appeals. Further this universe should not include appeals decided but for which no hearing materials were available to review--decisions representing withdrawals dismissals and no- shows. If the universe was built by excluding monetary and non-reviewable appeals then it should be smaller than the count reported on the ETA 9054L reports. To compare this universe with the 9054L count add in the number of excluded appeals as in the example below. If the sum of the two groups is within QUALITY SAMPLE VALIDATION M ODULE 4 UI DV HANDBOOK BENEFITS 4.5 M AY 2013 2 of the count reported on the ETA 9054L report for the quarter then the universe passes validation. Alternatively the sample cases may be drawn from a universe that includes all appeals in which a flag distinguishes the reviewable nonmonetary appeals from others.. In such a case compare the size of the universe file directly with the 9054L count. Example 4.1 shows an example of adjustments made to enable a proper comparison of the two universes. Example 4.1 Lower Authority Appeals Quality Sample Benefits Population 8 Step Validation Item Appeals Pass Fail 1 Reporting period Year Quarter 2009 1 PASS 2 Sample size 20 PASS Universe a Number of records in universe 2 298 b ETA 9054L Counts 2 268 c Difference a - b 30 3 d Difference c b x 100 1.32 PASS 4 Random sampling method Interval PASS Score PASS Problems C omments The sample was drawn from the Appeals database. The totals are consistent with the reports that are run from the data warehouse . Universe File 1 663 Withdrawn Cases 124 Dismissed Cases 477 Monetary Cases 2 Program type U8 32 Universe Total 2 298 If the universe fails the validation the sample has to be validated again by the next validation year. Otherwise it must be validated again in three years. QUALITY SAMPLE VALIDATION M ODULE 4 UI DV HANDBOOK BENEFITS 4.6 M AY 2013 F. Results The software does not include a screen for forwarding the results of the quality reviews to the National Office. These should be documented in a Microsoft Word file using the format below and sent via email to the National Office to dvrpts uis.doleta.gov. The template can be downloaded from the DV Web site at http www.ows.doleta.gov dv . You can document any validation problems in the Problems Comments field. Template 4.1 Nonmonetary Determinations Quality Sample Benefits Population 5 STATE VY Nonmonetary Determinat ions Quality Sample Benefits Population 5 Step Validation Item Separations Pass Fail Non - Separations Pass Fail 1 Reporting period Year Quarter 2 Sample size Universe a Number of records in universe b ETA 9052 Counts c Difference a - b 3 d Difference c b x 100 4 Random sampling method Score Score Problems Comments Template 4.1 Nonmonetary Determinations Quality Sample Benefits Population 5 STATE VY Lower Authority Appeals Quality Sample Benefits Population 8 Step Validation Item Appeals Pass Fail 1 Reporting period Year Quarter 2 Sample size Universe a Number o f records in universe b ETA 9054L Counts c Difference a - b 3 d Difference c b x 100 4 Random sampling method Score Problems Comments QUALITY SAMPLE VALIDATION M ODULE 4 UI DV HANDBOOK BENEFITS 4.7 M AY 2013 Example 4.2 Nonmonetary Determinations Quality Sample Benefits Population 5 STATE ST Validation Year 2009 Nonmonetary Determinations Quality Sample Benefits Population 5 Step Validation Item Separations Pass Fail Non - Separations Pass Fail 1 Reporting period Year Quarter 2009 2 PAS S 2009 2 PASS 2 Sample size 50 PASS 50 PASS Universe a Number of records in universe 5 629 1 236 b ETA 9052 Counts 5 520 1 235 c Difference a - b 109 1 3 d Difference c b x 100 1.97 PASS 0.08 PASS 4 Random sampling method Utility PASS Utility PASS Score PASS Score PASS Problems Comments Where Step Passing Criteria 1 Is the reporting period within the validation year Are all transactions included in the universe within the indicated reporting period 2 Is the sample size proportional to the volume of transactions of the previous year In the case of non-monetaries does it include make-up cases to compensate for cases that couldn t be reviewed in the pre vious quarter 3 Is the difference 2 or less 4 Was the sample randomly selected Score If all steps passed then the score is PASS otherwise FAIL . APPENDIX A Benefits SUBPOPULATION SPECIFICATIONS TABLE OF CONTENTS A. Purpose ................................................................................................................................................... A.1 B. SUBPOPULATION SPECIFICATIONS BY POPULATION ......................................................... A.1 Population 1 ............................................................................................................................................ A.3 Population 2 ............................................................................................................................................ A.5 Populations 3 and3a ................................................................................................................................ A.8 Population 4 .......................................................................................................................................... A.22 Population 5 ............................................................................................................ A.32 Populations 6 and 7 ............................................................................................................................... A.44 Population 8 .......................................................................................................................................... A.47 Population 9 .......................................................................................................................................... A.57 Populations 10 and 11 ........................................................................................................................... A.63 Population 12 ........................................................................................................................................ A.67 Population 13 ........................................................................................................................................ A.74 Population 14 ........................................................................................................................................ A.82 Population 15 ....................................................................................................................................... A.87 SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.1 M AY 2013 A. Purpose This appendix includes specifications for each subpopulation by population. The software uses these specifications to parse records in the extract files into subpopulations that are then used to reconstruct counts for specific report cells. This appendix also maps each subpopulation to the corresponding Federal report line item s and vice versa. The specifications in this appendix should be used in conjunction with the record layouts in ETA Operations Guide 411 and the state s Module 3 when constructing the DV extract files. They indicate the data values that are valid for each type of transaction or subpopulation. Any transaction included in a population extract file must fit the description of one subpopulation in the population otherwise it will be rejected by the software as an invalid transaction. B. Subpopulation Specifications by Population The following pages contain the subpopulation specifications tables mapping tables of report cells to subpopulations and notes for each of the 16 benefits populations. In the specification tables for each subpopulation the corresponding report cells are indicated and the possible values for all fields in a transaction. The fields can have a specific text value or a format requirement. The following describes the different kinds of field formats. 1. Text. These fields must contain text values such as UI Intrastate VL etc. The allowable text values for each field are listed in the record layout. The text values must be followed by a dash and the corresponding state-specific value for example UI-503 where 503 is a state code used for UI claims. 2. Required. These fields cannot be blank. For example they may be mandatory dates or dollar values. 3. Optional these fields are shaded in gray . The software does not check these fields. Any values can be entered in these fields or they can be left blank. 4. Must be blank. These are text or date fields that must be left blank. The software will reject any records with values in any field that must be left blank such as monetary date for a claim with no monetary determination or a UCFE amount for a UI only payment . 5. Must be blank or 0. These are numeric fields that should have the value 0 or be left blank. The software will reject any records where these fields have a value other than 0 or blank. The column headers on the specifications tables indicate the field and the related step and rule in Module 3. When constructing the extract file Federal definitions for some fields can be found in Module 3 using these references as well as valid state codes. For most steps SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.2 M AY 2013 Rule 1 asks the state extract file programmer to build this element by accessing an indicator in the state system and instructs the validator to check for this indicator during data element validation. However if a state does not maintain the indicator specified in Rule 1 then the programmer must review the other rules in that step in order to develop the required validation logic to build the element. For each map of report cells to subpopulations the subpopulations are referred only by the number and not the population to be concise. For example subpopulation 5.12 is referred to only as 12 in the Population 5 map table. Notes for each population contain relevant information that states should referred to when constructing their extract files. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.3 M AY 2013 Table A.1.1 Population 1 Subpopulations Weeks Claimed - Week was claimed during reporting validation period Sub pop Report Line and Column 2 Step 1A Rule 2 Claim Week- Ending Date 3 Step 1A Rule 1 SSN 4 Step 2A Rule 1 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 11 Rule 1 Date Week Claimed 8 Step 11 Rule 2 Monetarily Eligible or Pending 9 Step 11 Rule 3 Earnings 10 Step 11 Rule 3 WBA INTRASTATE WEEKS CLAIMED 1.1 through 1.3 1 Random sample 60 or 200 1.1 5159A -201 -10 Required Required Regular UI UI Intrastate Required Required Require d 1.2 5159A -202 -10 Required Required Regular UI UCFE Intrastate Required Required Required 1.3 5159A -203 -10 Required Required Regular UI UCX Intrastate Required Required Required INTERSTATE WEEKS CLAIMED RECEIVED AS LIABLE STATE 1.4 through 1.6 1 Random sample 30 or 100 1.4 5159A-201-12 Required Required Regular UI UI Interstate Received as Liable State Required Required Required 1.5 5159A-202-12 Required Required Regular UI UCFE Interstate Received as Liable State Required Required Required 1.6 5159A-203-12 Required Required Regular UI UCX Interstate Received as Liable State Required Required Required INTERSTATE WEEKS CLAIMED FILED FROM AGENT STATE 1.7 through 1.9 1 Minimum Sample First two cases 1.7 5159A-201-11 Required Required Regular UI UI Interstate Filed from Agent State Required Optional 1.8 5159A-202-11 Required Required Regular UI UCFE Interstate Filed from Agent State Required Optional 1.9 5159A-203-11 Required Required Regular UI UCX Interstate Filed from Agent S tate Required Optional These values are abbreviated in the record layout data format specifications see Appendix A of ETA Operations Guide 411 but are shown here in their entirety for informational purposes . SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.4 M AY 2013 Table A.1.2 Relationship between ETA 5159A Report Cells and Weeks Claimed Subpopulations in Population 1 Continued Weeks Claimed Intrastate 10 Interstate Filed from Agent State 11 Interstate Received as Liable State 12 State UI 201 1 7 4 UCFE No UI 202 2 8 5 UCX Only 203 3 9 6 Population 1 Notes 1. Population 1 includes the date of the week being claimed and the date the week was claimed A Column 2 Step 1A Week Claimed is the benefit week ending BWE date of the week being claimed. B Column 7 Step 11 Date Week Claimed is the date that the state processes the weekly certification. 2. Column 8 Step 11 Rule 2 is an optional field for the extract file. It is included to ensure that the week claimed was valid based on monetary entitlement. Programmers may be able to populate this field with data to show that the week was countable by including data that shows that the claim was eligible or pending that an appeal of an ineligible monetary had been filed and not decided or that the appeal period for an ineligible monetary determination had not expired. Regardless of whether programmers provide data in Column 8 validators will check this information for sampled cases as part of the data element validation process. 3. Subpopulations 1.7 1.9 This information comes from the LADT claimant records. Instructions for including data from these records for populations 1 and 3 can be found in the LADT Information section of Appendix B Technical Guidance. 4. Column 10 Step 11 Rule 3 WBA Use the Weekly Benefits Allowance WBA that is in effect during the week claimed for this population. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.5 M AY 2013 Table A.2.1 Population 2 Subpopulations Final Payments Subpop Report Line and Column 2 Step 1C Rule 1 SSN 3 Step 1C Rule 2 Check Number Uniq ue ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 9A Step 9B Rule 1 MBA 7 Step 7 Rules 1 2 WBA 8 Step 9A Actual Weeks of Duration 9 Step 9B Step 9C Maximum Weeks of Duration 10 Step 10C Rule 3 Mail Date of Final Payment 11 Step 10C Rule 2 Balance FINAL PAYMENTS 2.1 through 2.4 1 Random sample 30 or 100 2.1 5159B -303 -26 218B-104 14 19 Required Required Regular UI UI 0 0 25 Y Required Must be 0 2.2 5159B -303 -26 218B -102 8 -13 Required Required Regular UI UI 0 0 Required a N Required Must be 0 2.3 5159B -303 -27 Required Required Regular UI UCFE 0 0 Required Must be 0 2.4 5159B -303 -28 Required Required Regular UI UCX 0 0 Required Must be 0 aThere are states where the actual weeks of duration may be more than 25 weeks and less than the state s maximum weeks of duration due to state unemployment regulations. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.6 M AY 2013 Table A.2.2 Relationship between ETA 218B Report and Final Payments Subpopulations in Population 2 SECTION B. ACTUAL DURATION FOR CLAIMANTS WHO RECEIVED FINAL PAYMENTS LINE NO. ITEM LESS THAN MAXIMUM WEEKS OF DURATION Less than 26 Weeks 8-13 102 Actual 2 MAXIMUM WEEKS OF DURATION Number at Maximum Duration 19 Average Weeks Duration 20 26-27 Weeks 14 104 Actual 1 1 Average Calculation from Total Column for Subpopulations 1 and 2 Table A.2.3 Relationship between ETA 5159B Report and Final Payments Subpopulations in Population 2 Final Payments for All Unemployment State UI Program UCFE UCX Programs Total 26 UCFE No UI 27 UCX Only 28 Number 303 1 and 2 3 4 Population 2 Notes 1. This population validates two reports for different time periods A The 5159 which is a monthly report and B The 218 which is a quarterly report Validate a quarter by taking all records that should have been reported in ETA 218 for a given quarter and the corresponding records of three 5159 monthly reports for that same reporting period. There may be some dynamic data values that change during the time period . Therefore the reported counts and validation counts may not match exactly. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.7 M AY 2013 2. Columns 6 and 7 Step 7 WBA and MBA Use the final MBA and WBA on the claim for this population. 3. Column 8 Step 9A Actual Weeks of Duration Divide the final MBA by the final WBA and round to the next highest whole number. The number of actual weeks of duration is unrelated to the number of weeks compensated. If the claim included partial payments there will be more weeks compensated than actual weeks of duration. For example if the final MBA is 5 200.00 and the final WBA is 200.00 the actual weeks of duration are 26. This claimant however may have been compensated for 30 weeks if partial payments were made on the claim. 4. The balance on the claim may not be zero if the state retains the balance for disqualified weeks on its database. For example the final MBA is 5 200.00 the final WBA is 200.00 but 13 weeks were disqualified. The disqualified portion of 2 600.00 should be removed from the final MBA before loading the file into the software. Therefore the final MBA will be 2 600.00 and the actual weeks of duration will be 13. 5. The range of duration breakouts is not validated. Only the totals are validated. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.8 M AY 2013 Table A.3.1 Population 3 Subpopulations Claims Claimant Eligibility Claim Filed Date or Original Monetary Determination Date For Claim Falls within Reporting Validation Period Sub pop Report Line and Column 2 Step 1B SSN 3 Step 3A Rules 1 6 Step 3C Rule 1 Date Claim Filed IB-4 Sent 4 Step 2A Rule 1 Type of UI Program 5 Step 3 Type of Claim 6 Step 4 Program Type 7 Step 5 Intrastate Interstate 8 Step 6A Step 6B Date of Original Monetarya 9 Step 6C Step 6D Sufficient Insufficient Combined Wages 10 Step 7 WBA 11 Step 8A Step 8B MBA 12 Step 8A Potential Weeks of Duration b 13 Step 8B Potential Weeks Maximum Duration NEW UI CLAIMS 3.1 through 3.14 1 Random sample 60 or 200 2 Supplemental sample--missing strata 3.1 5159A-101-2 218A -100 -2 Required Within Quarter Regular UI New UI Intrastate Within Quarter Insufficient Must be blank Must be blank or 0 Must be blank or 0 Must be blank 3.2 5159A-101-2 218A-100 3-6 218B-103 14 19 Required Within Quarter Regular UI New UI Intrastate Within Quarter Sufficient New BY Maximum 0 0 Y 3.3 5159A-101-2 218A-100 3-5 218B-101 8-13 Required Within Quarter Regular UI New UI Intrastate Within Quarter Sufficient New BY Maximum 0 0 N 3.4 5159A-101-2 218A-100 3-4 218B -103 14 19 Required Within Quarter Regular UI New UI Intrastate Within Quarter Sufficient New BY Less than Maximum 0 0 Y 3.5 5159A-101-2 218A-100 3-4 218B -101 8 -13 Required Within Quarter Regular UI New UI Intrastate Within Quarter Sufficient New BY Less than Maximum 0 0 N 3.6 5159A-101-2 218A -100 -3 Required Within Quarter Regular UI New UI Intrastate Within Quarter Sufficient No BY c Must be blank Must be blank or 0 Must be blank or 0 Must be blank 3.7 5159A-101-2 Required Within Quarter Regular UI New UI Intrastate Must be blank Must be blank Must be blank Must be blank or 0 Must be blank or 0 Must be blank 3.8 5159A-101-7 218A-100-2 Required Within Quarter Regular UI New UI Interstate Received as Liable State Within Quarter Insufficient Must be blank Must be blank or 0 Must be blank or 0 Must be blank SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.9 M AY 2013 Sub pop Report Line and Column 2 Step 1B SSN 3 Step 3A Rules 1 6 Step 3C Rule 1 Date Claim Filed IB-4 Sent 4 Step 2A Rule 1 Type of UI Program 5 Step 3 Type of Claim 6 Step 4 Program Type 7 Step 5 Intrastate Interstate 8 Step 6A Step 6B Date of Original Monetarya 9 Step 6C Step 6D Sufficient Insufficient Combined Wages 10 Step 7 WBA 11 Step 8A Step 8B MBA 12 Step 8A Potential Weeks of Duration b 13 Step 8B Potential Weeks Maximum Duration 3.9 5159A-101-7 218A-100 3-6 218B -103 14 19 Required Within Quarter Regular UI New UI Interstate Received as Liable State Within Quarter Sufficient New BY Maximum 0 0 Y 3.10 5159A-101-7 218A-100 3-5 218B-101 8-13 Required Within Quarter Regular UI New UI Interstate Received as Liable State Within Quarter Sufficient New BY Maximum 0 0 N 3.11 5159A-101-7 218A-100 3-4 218B -103 14 19 Required Within Quarter Regular UI New UI Interstate Received as Liable State Within Quarter Sufficient New BY Less than Maximum 0 0 Y 3.12 5159A-101-7 218A-100 3-4 218B -101 8 -13 Required Within Quarter Regular UI New UI Interstate Received as Liable State Within Quarter Sufficient New BY Less than Maximum 0 0 N 3.13 5159A-101-7 218A-100-3 Required Within Quarter Regular UI New UI Interstate Received as Liable State Within Quarter Sufficient No BY c Must be blank Must be blank or 0 Must be blank or 0 Must be blank 3.14 5159A-101-7 Required Within Quarter Regular UI New UI Interstate Received as Liable State Must be blank Must be blank Must be blank Must be blank or 0 Must be blank or 0 Must be blank NEW UCFE UCX CLAIMS 3.15 through 3.18 1 Minimum sample First two cases from each subpopulation 3.15 5159A-102-2 Required Within Quarter Regular UI New UCFE Intrastate 3.16 5159A-103-2 Required Within Quarter Regular UI New UCX Intrastate 3.17 5159A-102-7 Required Within Quarter Regular UI New UCFE Interstate Received as Liable State 3.18 5159A-103-7 Required Within Quarter Regular UI New UCX Interstate Received as Liable State SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.10 M AY 2013 Sub pop Report Line and Column 2 Step 1B SSN 3 Step 3A Rules 1 6 Step 3C Rule 1 Date Claim Filed IB-4 Sent 4 Step 2A Rule 1 Type of UI Program 5 Step 3 Type of Claim 6 Step 4 Program Type 7 Step 5 Intrastate Interstate 8 Step 6A Step 6B Date of Original Monetarya 9 Step 6C Step 6D Sufficient Insufficient Combined Wages 10 Step 7 WBA 11 Step 8A Step 8B MBA 12 Step 8A Potential Weeks of Duration b 13 Step 8B Potential Weeks Maximum Duration INTERSTATE FILED FROM AGENT STATE CLAIMS 3.19 through 3.21 1 Minimum sample First two cases from each subpopulation 3.19 5159A-101-4 Required Within Quarter Regular UI New Transitional Additional Reopened UI Interstate Filed from Agent State 3.20 5159A-102-4 Required Within Quarter Regular UI New Transitional Additional Reopened UCFE Interstate Filed from Agent State 3.21 5159A-103-4 Required Within Quarter Regular UI New Transitional Additional Reopened UCX Interstate Filed from Agent State INTERSTATE CLAIMS TAKEN AS AGENT STATE 3.22 through 3.24 1 Minimum sample First two cases from each subpopulation 3.22 5159A-101 4 5 Required Within Quarter Regular UI New Transitional Additional Reopened UI Interstate Taken as Agent State 3.23 5159A-102 4 5 Required Within Quarter Regular UI New Transitional Additional Reopened UCFE Interstate Taken as Agent State 3.24 5159A-103 4 5 Required Within Quarter Regular UI New Transitional Additional Reopened UCX Interstate Taken as Agent State INTRASTATE AND INTERSTATE TRANSITIONAL CLAIMS 3.25 through 3.33 1 Random sample 30 or 100 3.25 5159A-101-6 218A -100 -2 Required Within Quarter Regular UI Transitional UI Within Quarter Insufficient Must be blank Must be blank or 0 Must be blank or 0 Must be blank SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.11 M AY 2013 Sub pop Report Line and Column 2 Step 1B SSN 3 Step 3A Rules 1 6 Step 3C Rule 1 Date Claim Filed IB-4 Sent 4 Step 2A Rule 1 Type of UI Program 5 Step 3 Type of Claim 6 Step 4 Program Type 7 Step 5 Intrastate Interstate 8 Step 6A Step 6B Date of Original Monetarya 9 Step 6C Step 6D Sufficient Insufficient Combined Wages 10 Step 7 WBA 11 Step 8A Step 8B MBA 12 Step 8A Potential Weeks of Duration b 13 Step 8B Potential Weeks Maximum Duration 3.26 5159A-101-6 218A-100 3-6 218B -103 14 19 Required Within Quarter Regular UI Transitional UI Within Quarter Sufficient New BY Maximum 0 0 Y 3.27 5159A-101-6 218A-100 3-5 218B-101 8-13 Required Within Quarter Regular UI Transitional UI Within Quarter Sufficient New BY Maximum 0 0 N 3.28 5159A-101-6 218A-100 3-4 218B -103 14 19 Required Within Quarter Regular UI Transitional UI Within Quarter Sufficient New BY Less than Maximum 0 0 Y 3.29 5159A-101-6 218A-100 3-4 218B -101 8 -13 Required Within Quarter Regular UI Transitional UI Within Quarter Sufficient New BY Less than Maximum 0 0 N 3.30 5159A-101-6 218A-100-3 Required Within Quarter Regular UI Transitional UI Within Quarter Sufficient No BY c Must be blank Must be blank or 0 Must be blank or 0 Must be blank 3.31 5159A-101-6 Required Within Quarter Regular UI Transitional UI Must be blank Must be blank Must be blank Must be blank or 0 Must be blank or 0 Must be blank 3.32 5159A-102-6 Required Within Quarter Regular UI Transitional UCFE 3.33 5159A-103-6 Required Within Quarter Regular UI Transitional UCX CWC CLAIMS 3.34 through 3.39 1 Random sample 30 or 100 2 Supplemental sample--missing strata 3.34 586A-101-1 Required Within Quarter Regular UI CWC New CWC Intrastate Must be blank Insufficient Wages Not Combined Must be blank Must be blank or 0 Must be blank or 0 Must be blank 3.35 586A-101 1-2 Required Within Quarter Regular UI CWC New CWC Intrastate Within Quarter Sufficient New CWC BY 3.36 586A-102-1 Required Within Quarter Regular UI CWC New CWC Interstate Must be blank Insufficient Wages Not Combined Must be blank Must be blank or 0 Must be blank or 0 Must be blank SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.12 M AY 2013 Sub pop Report Line and Column 2 Step 1B SSN 3 Step 3A Rules 1 6 Step 3C Rule 1 Date Claim Filed IB-4 Sent 4 Step 2A Rule 1 Type of UI Program 5 Step 3 Type of Claim 6 Step 4 Program Type 7 Step 5 Intrastate Interstate 8 Step 6A Step 6B Date of Original Monetarya 9 Step 6C Step 6D Sufficient Insufficient Combined Wages 10 Step 7 WBA 11 Step 8A Step 8B MBA 12 Step 8A Potential Weeks of Duration b 13 Step 8B Potential Weeks Maximum Duration 3.37 586A-102 1-2 Required Within Quarter Regular UI CWC New CWC Interstate Within Quarter Sufficient New CWC BY 3.38 586A-101-2 Required A Prior Quarter Regular UI New CWC BY for CWC Claim Filed in Prior Quarter CWC Intrastate Within Quarter Sufficient New CWC BY 3.39 586A-102-2 Required A Prior Quarter Regular UI New CWC BY for CWC Claim Filed in Prior Quarter CWC Interstate Within Quarter Sufficient New CWC BY NEW CLAIMS FILED IN THE PRIOR QUARTER 3.40 through 3.45 d 1 Random sample 30 or 100 2 Supplemental sample --missing strata 3.40 218A-100-2 Required A Prior Quarter Regular UI New Claim Filed in Prior Quarter UI Within Quarter Insufficient Must be blank Must be blank or 0 Must be blank or 0 Must be blank 3.41 218A-100 3-6 218B-103 14 19 Required A Prior Quarter Regular UI New Claim Filed in Prior Quarter UI Within Quarter Sufficient New BY Maximum 0 0 Y 3.42 218A-100 3-5 218B-101 8-13 Required A Prior Quarter Regular UI New Claim Filed in Prior Quarter UI Within Quarter Sufficient New BY Maximum 0 0 N 3.43 218A-100 3-4 218B-103 14 19 Required A Prior Quarter Regular UI New Claim Filed in Prior Quarter UI Within Quarter Sufficient New BY Less than Maximum 0 0 Y 3.44 218A-100 3-4 218B-101 8-13 Required A Prior Quarter Regular UI New Claim Filed in Prior Quarter UI Within Quarter Sufficient New BY Less than Maximum 0 0 N 3.45 218A-100-3 Required A Prior Quarter Regular UI New Claim Filed in Prior Quarter UI Within Quarter Sufficient No BY c Must be blank Must be blank or 0 Must be blank or 0 Must be blank ENTERING SELF-EMPLOYMENT PROGRAM 3.46 1 Minimum sample First two cases SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.13 M AY 2013 Sub pop Report Line and Column 2 Step 1B SSN 3 Step 3A Rules 1 6 Step 3C Rule 1 Date Claim Filed IB-4 Sent 4 Step 2A Rule 1 Type of UI Program 5 Step 3 Type of Claim 6 Step 4 Program Type 7 Step 5 Intrastate Interstate 8 Step 6A Step 6B Date of Original Monetarya 9 Step 6C Step 6D Sufficient Insufficient Combined Wages 10 Step 7 WBA 11 Step 8A Step 8B MBA 12 Step 8A Potential Weeks of Duration b 13 Step 8B Potential Weeks Maximum Duration 3.46 5159A-201-13 Required Within Quarter Regular UI Entering Self- Employment These values are abbreviated in the record layout data format specifications see Appendix A of ETA Operations Guide 411 but are shown here in their entirety for informational purposes. a For subpopulations 3.34 through 3.39 original monetary refers to the first monetary determination redetermination using wages from more than one state. bObservations reported in all populations which require the number of weeks of potential duration will be sorted by the number of weeks and subtotaled by the range of weeks. cThis situation will only occur when the State does not automatically establish a new benefit year for claimants who are monetarily eligible for benefits. dThese are new or transitional claims filed in a prior quarter. States should use the same Federal generic value of Prior Qtr New Claim for either type in the Population 3 extract file. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.14 M AY 2013 Table A.3.2 Population 3A Subpopulations Claims Claimant Eligibility Claim Filed Date or Original Monetary Determination Date For Claim Falls within Reporting Validation Period Subpop Report Line and Column 2 Step 1B SSN 3 Step 3B Rule 1 Date Claim Filed 4 Step 2A Type of UI Program 5 Step 3B Rule 2 Type of Claim 6 Step 4 Program Type 7 Step 5 Intrastate Interstate 8 Step 3B Rule 3 Unclaimed Week 9 Step 3B Rule 4 Separation Date 10 Step 3B Rule 5 Last Employer 11 Step 3B Rule 6 Separation Reason ADDITIONAL CLAIMS 3a.1 through 3a.6 1 Random sample 60 or 200 3a.1 5159A-101-3 Required Required Regular UI Additional UI Intrastate Required Required Required 3a.2 5159A-102-3 Required Required Regular UI Additional UCFE Intrastate Required Required Required 3a.3 5159A-103-3 Required Required Regular UI Additional UCX Intrastate Required Required Required 3a.4 5159A-101-7 Required Required Regular UI Additional UI Interstate Received as Liable State Required Required Required 3a.5 5159A-102-7 Required Required Regular UI Additional UCFE Interstate Received as Liable State Required Required Required 3a.6 5159A-103-7 Required Required Regular UI Additional UCX Interstate Received as Liable State Required Required Required These values are abbreviated in the record layout data format specifications see Appendix A of ETA Operations Guide 411 but are shown here in their entirety for informational purposes. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.15 M AY 2013 Table A.3.3 Relationship between ETA 5159A and 586A Reports and Claims Subpopulations in Population 3 Line No. Initial Claims Program New Intrastate Excluding Transitional 2 Additional Intrastate 3 Interstate Filed from Agent State 4 Interstate Taken as Agent State 5 Transitional 6 Interstate Received as Liable State 7 Entering Self-employment All Programs 13 State UI 101 1-7 3a.1 19 and 22 22 25-31 8-14 and 3a.4 UCFE No UI 102 15 3a.2 20 and 23 23 32 17 and 3a.5 UCX Only 103 16 3a.3 21 and 24 24 33 18 and 3a.6 State UI 201 46 State UI Line No. New Claims 1 Persons Establishing Benefit Years 2 Intrastate 101 34 and 35 35 and 38 Interstate Recvd. as Paying State 102 36 and 37 37 and 39 SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.16 M AY 2013 Table A.3.4 Relationship between ETA 218 Reports and New UI Claims Subpopulations in Population 3 SECTION A. MONETARY DETERMINATIONS DETERMINATIONS NUMBER OF CLAIMANTS ESTABLISHING BENEFIT YEARS LINE NO. Insufficient Wage Credits 2 Sufficient Wage Credits 3 Total 4 Maximum Weekly Benefit 5 Maximum Benefit Duration 6 100 1 8 25 40 2-6 9-13 26-30 41 -45 2-5 9-12 26-29 41 -44 2-3 9-10 26-27 41 -42 2 9 26 41 SECTION B. POTENTIAL DURATION FOR DETERMINATIONS ESTABLISHING BENEFIT YEARS LINE NO. ITEM LESS THAN MAXIMUM WEEKS OF DURATIO N Less than 26 Weeks 8-13 101 Potential 3 5 10 12 27 29 42 44 MAXIMUM WEEKS OF DURATION Number at Maximum Duration 19 Average W eeks Duration a 20 26-27 Weeks 14 103 Potential 2 4 9 11 26 28 41 43 2 4 9 11 26 28 41 43 Average Calculation from Total Column for Subpopulations 2-5 9-12 26-29 and 41 -44 SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.17 M AY 2013 Population 3 3a Notes 1. Overview Population 3 includes new transitional and CWC claims. Population 3a includes additional claims. The only additional and reopened claims reported in Population 3 are interstate filed from agent state claims from the LADT report or interstate taken as agent state claims. New and transitional UI claims are reported on the 5159 and the monetary determinations associated with these claims are reported on the ETA 218. For new and transitional UI claims states are required to produce a single record showing the claim and monetary. This is the only way to ensure that each claim is reported once and only once on the ETA 218. Validation of New and Transitional UI claims validates two Federal reports ETA 218 New and transitional UI claims where the original monetary determination was issued during the quarter. The claims will match three months of the ETA 5159 report and their most recent monetary determinations will match the quarterly ETA 218 report see the tables on the previous page for the relationship between claims populations and cells on the ETA 5159 and ETA 218 reports . CWC claims are extracted processed and reported using completely separate logic from that used to extract process and report non-CWC claims. In fact each CWC claim is reported twice once as a CWC claim and once as a regular claim. The CWC technical assistance guide in Appendix C provides instructions for extracting and labeling CWC claims. 2. Monetary Determinations Many states generate a monetary determination automatically when a claim is filed even when a wage request is pending. For these states the counts of new and transitional UI claims on the 5159 will match the counts of original monetary determinations on the ETA 218. Some states do not automatically generate a monetary determination when a claim is filed. For these states the counts on the two reports may differ when a claim is filed in one quarter but the original monetary determination for that claim is generated in the following quarter. The validation methodology handles these situations as follows ETA 5159 All claims filed established during the report validation quarter. UCFE and UCX claims are included only on the ETA 5159 report and not on the ETA 218 report. Therefore columns 8 through 13 are optional for UCFE and UCX claims. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.18 M AY 2013 A When no original monetary determination was sent during the quarter being validated SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.19 MAY 2013 in which the new claim was filed the claim will be reported on the ETA 5159 but there will be no monetary status reported on the ETA 218 for the quarter being validated. These claims are assigned to subpopulations 3.7 new intrastate 3.14 new interstate and 3.31 transitional . B When the original monetary determination was sent during the quarter being validated but the claim was filed during the previous quarter the monetary status will be reported on the ETA 218 but there will be no claim reported on the ETA 5159 for the quarter being validated. These monetary determinations are assigned to subpopulations 3.40 through 3.45 depending on their monetary status. 3. Reporting Criteria The ETA 5159 report criteria and procedures for building claims extract files are as follows The date the claim was filed or processed determines the reporting on the 5159. Assign a claim type category new transitional or additional and sort into the categories in Column 4. Assign an intrastate or interstate category based on the liable and agent state s and sort into the categories in Column 7. Assign a program type UI UCFE or UCX based on the wages present on the most recent monetary determination at the time the report program is run and sort into the categories in Column 6. If no wages were found assign the program type based on the type of claim filed. Follow the current program type hierarchy any UI wages are UI any UCFE wages without UI are UCFE and UCX wages are only UCX . The following table shows how various types of claims are assigned to the reporting categories on the 5159 report based on the type of claim and the intra interstate type. Table A.3.5 Mapping of Claim Types to ETA 5159 Report Items New Intrastate Excluding Transitional Additional Intrastate Interstate Filed from Agent State Interstate Taken as Agent State Transitional Interstate Received as Liable State Type of Claim 2 3 4 5 6 7 New X X X X Transitional X X X Additional X X X X Reopen X X SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.20 M AY 2013 The ETA 218 report criteria and procedures for extracting information from monetary determinations are as follows The date of the original monetary determination determines the reporting on the ETA 218. Based on the most recent monetary determination WBA at the time the report is run assign a monetary determination status and sort into the categories in Column 9. Column 7 Lines 101 103 Interstate Additional Claims When both Populations 3 and 3a are loaded the software transfers the count of any interstate additional claims from Population 3a to Population 3. Thus the validation counts for Lines 101 103 7 in Population 3 may be higher after Population 3a is loaded. The count of UI interstate additional claims on the RV Summary will be the sum of 3.8 3.14 plus 3a.4. The count of UCFE interstate additional claims on the RV Summary will be the sum of 3.17 and 3a.5. The count of UCX interstate additional claims on the RV Summary will be the sum of 3.18 and 3a.6. 4. Summary of Subpopulations 3.1 These records represent insufficient monetary determinations ineligible claims . 3.2 3.5 These records represent sufficient monetary determinations eligible claims with a new benefit year established. These records include monetary information in columns 8 13 Date of the Original Monetary Sufficient Insufficient WBA MBA Potential Weeks of Duration and Potential Weeks of Maximum Duration . 3.6 These records represent sufficient monetary determinations with no new benefit year established. This applies to states where a new benefit year is not established at the same time that the claim is filed. 3.7 These records represent new claims filed where no monetary determination was issued. 3.8 3.14 These records represent interstate received as liable claims and are assigned to subpopulations using the same logic as subpopulations 3.1 3.7. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.21 M AY 2013 3.15 3.18 These records represent new UCFE UCX claims. The monetary information columns 8 13 Date of the Original Monetary Sufficient Insufficient WBA MBA Potential Weeks of Duration and Potential Weeks of Maximum Duration are not required because these claims are not reported on the ETA 218. You may leave data in these fields in the extract file. The software will ignore them. 3.19 3.21 These records represent interstate filed from agent state claims. This information comes from the LADT claimant records. Instructions for building the records to be added to the extract file from the LADT detail records can be found in Appendix C Technical Guidance. 3.22 3.24 These records represent interstate taken as agent state claims. These are claims against other states that are filed in your state agency. 3.25 3.33 These records represent transitional claims UI UCFE UCX . Transitional UI claims are reported on the ETA 5159 and the ETA 218. 3.34 3.37 These records represent new CWC claims. Procedures for validating CWC claims and payments are found in Appendix C. A new CWC claim occurs when the first IB4 request to transfer wages is sent to another state for a claim. If the first IB4 for a claim is sent during a quarter and a monetary determination or redetermination is issued using wages from more than one state during that quarter it constitutes a new CWC claim and a new CWC benefit year. These records are assigned to subpopulations 3.35 for intrastate and 3.37 for interstate . If the first IB4 for a claim is sent during a quarter but no monetary determination or redetermination using wages from more than one state is issued during that quarter then this constitutes an insufficient CWC claim no new benefit year is established and these transactions are assigned to subpopulations 3.34 for intrastate and 3.36 for interstate . There are several reasons why a monetary determination using wages from more than one state may not be issued in the quarter in which the initial IB-4 was sent for a claim 1 Wages were not found in the other state 2 Wages were found in the other state but not used SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.22 M AY 2013 3 Wages were found but used in a subsequent quarter 3.38 3.39 These transactions represent new CWC benefit years where the new CWC claim was filed in a prior quarter. This occurs when the first monetary determination or redetermination using wages from more than one state was issued during the quarter but the initial IB4 was sent during a previous quarter. 3.40 3.45 These transactions represent new UI claims filed in a quarter prior to the quarter being validated when the initial monetary determination or redetermination was issued during the quarter being validated. 3.46 These transactions represent claims filed under the entering self-employment program. 3a.1 3a.6 These transactions represent intrastate and interstate additional claims UI UCFE UCX . 5. Commuter Claim If a claimant commuted from the claimant s residence in another state to a job in your the liable state and that person filed directly with your the liable state the claim is reported as an intrastate claim. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.23 M AY 2013 Table A.4.1 Population 4 Subpopulations Payments Weeks Compensated Payment Mail Date Falls within Reporting Validation Period Sub pop Report Line and Column 2 Step 1C Rule 1 SSN 3 Step 1C Rule 2 Check Number Unique ID 4 Step 2A Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 10A Step 10B Step 10F Step 10G Type of Compensa- tion 8 Step 10D Step 10E Partial Total Weeks of Unemploy-ment 9 Step 10D Rule 2 Step 10E Rule 2 Earnings 10 Step 10D Rule 3 Step 10E Rule 3 WBA 11 Step 12A UI Amount 12 Step 12B UCFE Amount 13 Step 12C UCX Amount 14 Step 12D CWC Amount 15 Step 12E Self- Employ-ment Amount 16 Step 13 Week Ending Date 17 Step 14 Mail Date FIRST PAYMENTS 4.1 through 4.16 1 Random sample 60 or 200 2 Supplemental sample --missing strata 3 Supplemental sample --outliers 4.1 5159B-301 14-15 5159B-302 14-15 9050 -All-C2 Required Required Regular UI UI Only Intrastate First Payment Total 0 0 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Required Required 4.2 5159B-301 14-16 5159B-302 14-16 9050-All-C6 Required Required Regular UI UI Only Interstate First Payment Total 0 0 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Required Required 4.3 5159B-301 14 15 17 5159B-302 14 15 17 9050 -All-C2 Required Required Regular UI Joint UI Federal Intrastate First Payment Total 0 0 0 0 if Col. 12 0a 0 if Col. 11 0a Must be blank or 0 Must be blank or 0 Required Required 4.4 5159B-301 14-17 5159B-302 14-17 9050 -All-C6 Required Required Regular UI Joint UI Federal Interstate First Payment Total 0 0 0 0 if Col. 12 0a 0 if Col. 11 0a Must be blank or 0 Must be blank or 0 Required Required 4.5 5159B-301 17-18 5159B-302 17-18 9050-All-C3 Required Required Regular UI UCFE Only or UCFE UCX Intrastate First Payment Total 0 0 Must be blank or 0 0 0 for UCFE only 0 for UCFE UCX Must be blank or 0 Must be blank or 0 Required Required 4.6 5159B-301 17-18 5159B-302 17-18 9050-All-C7 Required Required Regular UI UCFE Only or UCFE UCX Interstate First Payment Total 0 0 Must be blank or 0 0 0 for UCFE only 0 for UCFE UCX Must be blank or 0 Must be blank or 0 Required Required SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.24 M AY 2013 Sub pop Report Line and Column 2 Step 1C Rule 1 SSN 3 Step 1C Rule 2 Check Number Unique ID 4 Step 2A Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 10A Step 10B Step 10F Step 10G Type of Compensa- tion 8 Step 10D Step 10E Partial Total Weeks of Unemploy-ment 9 Step 10D Rule 2 Step 10E Rule 2 Earnings 10 Step 10D Rule 3 Step 10E Rule 3 WBA 11 Step 12A UI Amount 12 Step 12B UCFE Amount 13 Step 12C UCX Amount 14 Step 12D CWC Amount 15 Step 12E Self- Employ-ment Amount 16 Step 13 Week Ending Date 17 Step 14 Mail Date 4.7 5159B-301 17 19 5159B-302 17 19 9050-All-C4 Required Required Regular UI UCX Only Intrastate First Payment Total 0 0 Must be blank or 0 Must be blank or 0 0 Must be blank or 0 Must be blank or 0 Required Required 4.8 5159B-301 17 19 5159B-302 17 19 9050-All-C8 Required Required Regular UI UCX Only Interstate First Payment Total 0 0 Must be blank or 0 Must be blank or 0 0 Must be blank or 0 Must be blank or 0 Required Required 4.9 5159B-301-14 5159B-302-14 9050-All-C2 9050-Part-C2 Required Required Regular UI UI Only Intrastate First Payment Partial 0 0 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Required Required 4.10 5159B-301 14 16 5159B-302 14 16 9050 -Part -C6 Required Required Regular UI UI Only Interstate First Payment Partial 0 0 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Required Required 4.11 5159B-301 14 17 5159B-302 14 17 9050-All-C2 9050 -Part -C2 Required Required Regular UI Joint UI Federal Intrastate First Payment Partial 0 0 0 0 if Col. 12 0 a 0 if Col. 11 0 a Must be blank or 0 Must be blank or 0 Required Required 4.12 5159B-301 14 16 17 5159B-302 14 16 17 9050-Part-C6 Required Required Regular UI Joint UI Federal Interstate First Payment Partial 0 0 0 0 if Col. 12 0 a 0 if Col. 11 0a Must be blank or 0 Must be blank or 0 Required Required 4.13 5159B-301 17-18 5159B-302 17-18 9050-Part-C3 Required Required Regular UI UCFE Only or UCFE UCX Intrastate First Payment Partial 0 0 Must be blank or 0 0 0 for UCFE only 0 for UCFE UCX Must be blank or 0 Must be blank or 0 Required Required 4.14 5159B-301 17-18 5159B-302 17-18 9050-Part-C7 Required Required Regular UI UCFE Only or UCFE UCX Interstate First Payment Partial 0 0 Must be blank or 0 0 0 for UCFE only 0 for UCFE UCX Must be blank or 0 Must be blank or 0 Required Required SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.25 M AY 2013 Sub pop Report Line and Column 2 Step 1C Rule 1 SSN 3 Step 1C Rule 2 Check Number Unique ID 4 Step 2A Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 10A Step 10B Step 10F Step 10G Type of Compensa- tion 8 Step 10D Step 10E Partial Total Weeks of Unemploy-ment 9 Step 10D Rule 2 Step 10E Rule 2 Earnings 10 Step 10D Rule 3 Step 10E Rule 3 WBA 11 Step 12A UI Amount 12 Step 12B UCFE Amount 13 Step 12C UCX Amount 14 Step 12D CWC Amount 15 Step 12E Self- Employ-ment Amount 16 Step 13 Week Ending Date 17 Step 14 Mail Date 4.15 5159B-301 17 19 5159B-302 17 19 9050-Part-C4 Required Required Regular UI UCX Only Intrastate First Payment Partial 0 0 Must be blank or 0 Must be blank or 0 0 Must be blank or 0 Must be blank or 0 Required Required 4.16 5159B-301 17 19 5159B-302 17 19 9050-Part-C8 Required Required Regular UI UCX Only Interstate First Payment Partial 0 0 Must be blank or 0 Must be blank or 0 0 Must be blank or 0 Must be blank or 0 Required Required CONTINUED TOTAL PAYMENTS 4.17 through 4.24 1 Supplementa l sample --outliers 4.17 5159B-301 14-15 5159B-302 14-15 9051 -All-C2 Required Required Regular UI UI Only Intrastate Continued Payment Total 0 0 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Required Required 4.18 5159B-301 14-16 5159B-302 14-16 9051-All-C6 Required Required Regular UI UI Only Interstate Continued Payment Total 0 0 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Required Required 4.19 5159B-301 14 15 17 5159B-302 14 15 17 9051-All-C2 Required Required Regular UI Joint UI Federal Intrastate Continued Payment Total 0 0 0 0 if Col. 12 0 a 0 if Col. 11 0 a Must be blank or 0 Must be blank or 0 Required Required 4.20 5159B-301 14-17 5159B-302 14-17 9051 -All-C6 Required Required Regular UI Joint UI Federal Interstate Continued Payment Total 0 0 0 0 if Col. 12 0a 0 if Col. 11 0a Must be blank or 0 Must be blank or 0 Required Required 4.21 5159B-301 17-18 5159B-302 17-18 9051-All-C3 Required Required Regular UI UCFE Only or UCFE UCX Intrastate Continued Payment Total 0 0 Must be blank or 0 0 0 for UCFE only 0 for UCFE UCX Must be blank or 0 Must be blank or 0 Required Required 4.22 5159B-301 17-18 5159B-302 17-18 9051-All-C7 Required Required Regular UI UCFE Only or UCFE UCX Interstate Continued Payment Total 0 0 Must be blank or 0 0 0 for UCFE only 0 for UCFE UCX Must be blank or 0 Must be blank or 0 Required Required SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.26 M AY 2013 Sub pop Report Line and Column 2 Step 1C Rule 1 SSN 3 Step 1C Rule 2 Check Number Unique ID 4 Step 2A Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 10A Step 10B Step 10F Step 10G Type of Compensa- tion 8 Step 10D Step 10E Partial Total Weeks of Unemploy-ment 9 Step 10D Rule 2 Step 10E Rule 2 Earnings 10 Step 10D Rule 3 Step 10E Rule 3 WBA 11 Step 12A UI Amount 12 Step 12B UCFE Amount 13 Step 12C UCX Amount 14 Step 12D CWC Amount 15 Step 12E Self- Employ-ment Amount 16 Step 13 Week Ending Date 17 Step 14 Mail Date 4.23 5159B-301 17 19 5159B-302 17 19 9051-All-C4 Required Required Regular UI UCX Only Intrastate Continued Payment Total 0 0 Must be blank or 0 Must be blank or 0 0 Must be blank or 0 Must be blank or 0 Required Required 4.24 5159B-301 17 19 5159B-302 17 19 9051-All-C8 Required Required Regular UI UCX Only Interstate Continued Payment Total 0 0 Must be blank or 0 Must be blank or 0 0 Must be blank or 0 Must be blank or 0 Required Required CONTINUED PARTIAL PAYMENTS 4.25 through 4.32 1 Random sample 30 or 100 4.25 5159B-301-14 5159B-302-14 9051 -Part -C2 Required Required Regular UI UI Only Intrastate Continued Payment Partial 0 0 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Required Required 4.26 5159B-301 14 16 5159B-302 14 16 9051-Part-C6 Required Required Regular UI UI Only Interstate Continued Payment Partial 0 0 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Required Required 4.27 5159B-301 14 17 5159B-302 14 17 9051 -Part -C2 Required Required Regular UI Joint UI Federal Intrastate Continued Payment Partial 0 0 0 0 if Col. 12 0a 0 if Col. 11 0a Must be blank or 0 Must be blank or 0 Required Required 4.28 5159B-301 14 16 17 5159B-302 14 16 17 9051 -Part -C6 Required Required Regular UI Joint UI Federal Interstate Continued Payment Partial 0 0 0 0 if Col. 12 0a 0 if Col. 11 0a Must be blank or 0 Must be blank or 0 Required Required 4.29 5159B-301 17-18 5159B-302 17-18 9051-Part-C3 Required Required Regular UI UCFE Only or UCFE UCX Intrastate Continued Payment Partial 0 0 Must be blank or 0 0 0 for UCFE only 0 for UCFE UCX Must be blank or 0 Must be blank or 0 Required Required 4.30 5159B-301 17-18 5159B-302 17-18 9051-Part-C7 Required Required Regular UI UCFE Only or UCFE UCX Interstate Continued Payment Partial 0 0 Must be blank or 0 0 0 for UCFE only 0 for UCFE UCX Must be blank or 0 Must be blank or 0 Required Required SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.27 M AY 2013 Sub pop Report Line and Column 2 Step 1C Rule 1 SSN 3 Step 1C Rule 2 Check Number Unique ID 4 Step 2A Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 10A Step 10B Step 10F Step 10G Type of Compensa- tion 8 Step 10D Step 10E Partial Total Weeks of Unemploy-ment 9 Step 10D Rule 2 Step 10E Rule 2 Earnings 10 Step 10D Rule 3 Step 10E Rule 3 WBA 11 Step 12A UI Amount 12 Step 12B UCFE Amount 13 Step 12C UCX Amount 14 Step 12D CWC Amount 15 Step 12E Self- Employ-ment Amount 16 Step 13 Week Ending Date 17 Step 14 Mail Date 4.31 5159B-301 17 19 5159B-302 17 19 9051-Part-C4 Required Required Regular UI UCX Only Intrastate Continued Payment Partial 0 0 Must be blank or 0 Must be blank or 0 0 Must be blank or 0 Must be blank or 0 Required Required 4.32 5159B-301 17 19 5159B-302 17 19 9051-Part-C8 Required Required Regular UI UCX Only Interstate Continued Payment Partial 0 0 Must be blank or 0 Must be blank or 0 0 Must be blank or 0 Must be blank or 0 Required Required ADJUSTED PAYMENTS 4.33 through 4.42 1 Supplemental sample --outliers by dollars 4.33 5159B-302 14-15 Required Required Regular UI UI Only Intrastate Adjustment Total 0 0 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Required 4.34 5159B-302 14-16 Required Required Regular UI UI Only Interstate Adjustment Total 0 0 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Required 4.35 5159B-302 14 15 17 Required Required Regular UI Joint UI Federal Intrastate Adjustment Total 0 0 0 0 if Col. 12 0a 0 if Col. 11 0a Must be blank or 0 Must be blank or 0 Required 4.36 5159B-302 14-17 Required Required Regular UI Joint UI Federal Interstate Adjustment Total 0 0 0 0 if Col. 12 0a 0 if Col. 11 0a Must be blank or 0 Must be blank or 0 Required 4.37 5159B-302 17-18 Required Required Regular UI UCFE Only or UCFE UCX Adjustment Must be blank or 0 0 0 for UCFE only 0 for UCFE UCX Must be blank or 0 Must be blank or 0 Required 4.38 5159B-302 17 19 Required Required Regular UI UCX Only Adjustment Must be blank or 0 Must be blank or 0 0 Must be blank or 0 Must be blank or 0 Required SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.28 M AY 2013 Sub pop Report Line and Column 2 Step 1C Rule 1 SSN 3 Step 1C Rule 2 Check Number Unique ID 4 Step 2A Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 10A Step 10B Step 10F Step 10G Type of Compensa- tion 8 Step 10D Step 10E Partial Total Weeks of Unemploy-ment 9 Step 10D Rule 2 Step 10E Rule 2 Earnings 10 Step 10D Rule 3 Step 10E Rule 3 WBA 11 Step 12A UI Amount 12 Step 12B UCFE Amount 13 Step 12C UCX Amount 14 Step 12D CWC Amount 15 Step 12E Self- Employ-ment Amount 16 Step 13 Week Ending Date 17 Step 14 Mail Date 4.39 5159B-302-14 Required Required Regular UI UI Only Intrastate Adjustment Partial 0 0 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Required 4.40 5159B-302 14 16 Required Required Regular UI UI Only Interstate Adjustment Partial 0 0 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 Required 4.41 5159B-302 14 17 Required Required Regular UI Joint UI Federal Intrastate Adjustment Partial 0 0 0 0 if Col. 12 0a 0 if Col. 11 0a Must be blank or 0 Must be blank or 0 Required 4.42 5159B-302 14 16 17 Required Required Regular UI Joint UI Federal Interstate Adjustment Partial 0 0 0 0 if Col. 12 0a 0 if Col. 11 0a Must be blank or 0 Must be blank or 0 Required SELF-EMPLOYMENT PAYMENTS 4.43 1 Minimum sample First two cases 4.43 5159B-301-20 5159B-302-20 Required Required Regular UI Self- employ Intrastate or Interstate Self- Employment Must be blank or 0 Must be blank or 0 Must be blank or 0 Must be blank or 0 0 Required CWC FIRST PAYMENTS 4.44 through 4.45 1 Random sample 30 or 100 4.44 586A-101 4-5 586B Column 8 Total Required Required Regular UI Intrastate CWC First Payment Must be blank or 0 Must be blank or 0 Must be blank or 0 0 Must be blank or 0 Required Required 4.45 586A-102 4-5 586B Column 9 Total Required Required Regular UI Interstate CWC First Payment Must be blank or 0 Must be blank or 0 Must be blank or 0 0 Must be blank or 0 Required Required SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.29 M AY 2013 Sub pop Report Line and Column 2 Step 1C Rule 1 SSN 3 Step 1C Rule 2 Check Number Unique ID 4 Step 2A Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 10A Step 10B Step 10F Step 10G Type of Compensa- tion 8 Step 10D Step 10E Partial Total Weeks of Unemploy-ment 9 Step 10D Rule 2 Step 10E Rule 2 Earnings 10 Step 10D Rule 3 Step 10E Rule 3 WBA 11 Step 12A UI Amount 12 Step 12B UCFE Amount 13 Step 12C UCX Amount 14 Step 12D CWC Amount 15 Step 12E Self- Employ-ment Amount 16 Step 13 Week Ending Date 17 Step 14 Mail Date CWC WEEKS COMPENSATED NOT FIRST PAYMENTS 4.46 through 4.47 1 Minimum sample First two cases from each subpopulation 4.46 586A-101 4 5 Required Required Regular UI Intrastate CWC Weeks Compensated Not First Payments Must be blank or 0 Must be blank or 0 Must be blank or 0 0 Must be blank or 0 Required 4.47 586A-102 4-5 Required Required Regular UI Interstate CWC Weeks Compensated Not First Payments Must be blank or 0 Must be blank or 0 Must be blank or 0 0 Must be blank or 0 Required CWC ADJUSTED PAYMENTS 4.48 through 4.49 1 Minimum sample First two cases from each subpopulation 4.48 586A-101-5 Required Required Regular UI Intrastate CWC Adjustment Must be blank or 0 Must be blank or 0 Must be blank or 0 0 Must be blank or 0 Required 4.49 586A-102-5 Required Required Regular UI Interstate CWC Adjustment Must be blank or 0 Must be blank or 0 Must be blank or 0 0 Must be blank or 0 Required CWC PRIOR QUARTER 4.48 through 4.49 1 Minimum sample First two cases from each subpopulation 4.50 586A-101 6-7 Required Required Regular UI Intrastate CWC Prior Weeks Compensate d Must be blank or 0 Must be blank or 0 Must be blank or 0 0 Must be blank or 0 Required 4.51 586A-102 6-7 Required Required Regular UI Interstate CWC Prior Weeks Compensate d Must be blank or 0 Must be blank or 0 Must be blank or 0 0 Must be blank or 0 Required These values are abbreviated in the record layout data format specifications see Appendix A of ETA Operations Guide 411 but are shown here in their entirety for informational purposes. They are referred to as Continued Payment in the record layout. aEither the UCFE or UCX amount or both must be entered. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.30 M AY 2013 NOTE For Joint Claims Column 11 represents the UI portion of the payment and Columns 12 and 13 represent the Federal portion of the payment. The term supplement includes supplemental payments partial offset payments and negative adjustments. Observations reported in all populations of first and continued payments Column 3 will be sorted by time lapse days in ascending order and subtotaled by time lapse categories. Observations reported in all populations of supplemental payments will be sorted by SSN. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.31 M AY 2013 Table A.4.2 Relationship between ETA 9050 ETA 9051 and ETA 586B Payments Time Lapse and Subpopulations in Population 4 Intrastate Interstate UI C2 UCFE C3 UCX C4 586B- TOTAL CW C 8 UI C6 UCFE C7 UCX C8 586B- TOTAL CW C 9 All First Payments 9050 All 1 3 9 and 11 5 and 13 7 and 15 44 2 4 10 and 12 6 and 14 8 and 16 45 Partial First Payments 9050 Part 9 and 11 13 15 10 and 12 14 16 All Continued Payments 9051 All 17 19 25 and 27 21 and 29 23 and 31 18 20 26 and 28 22 and 30 24 and 32 Partial Continued Payments 9051 Part 25 and 27 29 31 26 and 28 30 32 Table A.4.3 Relationship between ETA 5159B Weeks Compensated and Subpopulations in Population 4 State UI Program a UCFE and UCX Programs Self-employment All Programs 20 5159 Section B All W eeks Compensated 14 Total Unemployment 15 Interstate 16 Total 17 UCFE - No UI 18 UCX Only 19 Number 301 1 - 4 9 - 12 17 - 20 25 - 28 1 - 4 17 - 20 2 4 10 12 18 20 26 28 5 - 8 13 - 16 21 - 24 29 - 32 5 - 6 13 - 14 21 - 22 29 - 30 7 - 8 15 - 16 23 - 24 31 - 32 43 Amount 302 Column 10 1 - 4 9 - 12 17 - 20 25 - 28 33 - 36 39 - 42 Column 10 1 - 4 17 - 20 33 - 36 Column 10 2 4 10 12 18 20 26 28 34 36 40 42 Columns 11 12 3 - 8 11 - 16 19 - 24 27 - 32 35 - 38 41 - 42 Columns 11 12 b 5 - 6 13 - 14 21 - 22 29 - 30 37 Column 12 c 7 - 8 15 - 16 23 - 24 31 - 32 38 43 aIf joint claim then only includes the UI share of the payment. bIncludes all payments from UCFE and the UCX portion of UCFE UCX funds. cIncludes all payments from UCX funds. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.32 M AY 2013 Table A.4.4 Relationship between ETA 586A Payment Activity and Subpopulations in Population 4 State UI Line No. Weeks Compensated 4 Benefits Paid 5 Prior Weeks Compensated 6 Prior Benefits Paid 7 Intrastate 101 44 46 44 46 48 50 50 Interstate Received as Paying State 102 45 47 45 47 49 51 51 SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.33 M AY 2013 Population 4 Notes 1. The First Payment time lapse performance measure as reported on the ETA 9050 report uses a different definition of first payment than the definition of first payment used on the ETA 5159 report. The measure in the ETA 9050 uses the first compensable week rather than the first week compensated. First payments are payments for the first compensable week in the benefit year after the waiting week where there were no excessive earnings. Because it is determined by the week paid it is possible that the first payment date could fall after other payments have been made on the claim. The ETA 5159 counts which are not currently validated use the first week compensated i.e. the earliest payment date on the claim. 2. Adjusted Payments Subpopulations 4.33 4.42 These are payments for weeks that have previously been compensated. The initial payment for the week is counted as a week compensated and only additional payments for the same week are considered adjustments. These are reported on row 302 section B of the ETA 5159 only. Only dollar amounts are included. These payments are not counted as weeks compensated in row 301 section B of the ETA 5159 nor are they included on the ETA 9050 or ETA 9051 reports. 3. Self-employment These payments are reported twice. They are reported as self- employment and also as part of the regular program therefore they must be extracted twice. 4. CWC prior weeks compensated Subpopulations 4.50 4.51 The software allows the state to check the integrity of the files by using date ranges. For example the ETA 5159 is a monthly report and the dates must be within the month being validated. CWC prior weeks compensated payment dates will not fall during the same month being validated but the software will accept and count these in subpopulations 4.50 and 4.51. 5. Joint Payments In situations where a payment for a joint claim is made that does not use funds from more than one program that payment is not considered joint and should be reported as UI UCFE or UCX. 6. Timing The extract file must be built with a quarter s worth of CWC data Subpopulations 4.44 to 4.51 to validate the quarterly CWC ETA 586 report. The other payments data subpopulations 4.1 4.50 to validate counts and dollars on the monthly 5159 9050 and 9051 reports must be for the last month of the quarter. When loading the file use the period Start and End dates for the quarter to allow the validation counts to match the ETA 586 report. The software will retrieve the monthly counts for the last month of the quarter. Records labeled CWC Prior Weeks Compensated subpopulations 4.50 and 4.51 will have payment dates prior to the quarter but the software will allow those to import. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.34 M AY 2013 Table A.5.1 Population 5 Subpopulations Nonmometary Determinations and Redeterminations Notice Date Falls within Reporting Validation Period Sub pop Report Line and Column 2 Step 1D Rule 1 SSN 3 Step 1D Rule 2 Issue Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 16 Determination Redetermination 8 Step 17 Type of Determination 9 Step 18 Issue Types 10 Step 19 First Week Affected 11 Step 20 Detection Date 12 Step 21 Notice Date 13 Step 23 Allow a or Deny SINGLE CLAIMANT NON-MONETARY DETERMINATIONS 5.1 through 5.60 1 Random sample 30 or 100 2 Supplemental sample--missing strata 3 Supplemental sample--outliers 5.1 207 A 101-2 B 201-8 9052A-C2 Required Required if State maintains a unique ID Regular UI or Workshare UI Intrastate Determination Single VL Required Required Allow 5.2 207 A 101-2 B 201-9 9052A-C2 Required Required if State maintains a unique ID Regular UI or Workshare UI Intrastate Determination Single MC Required Required Allow 5.3 207 A 101-2 B 201-10 9052A-C2 Required Required if State maintains a unique ID Regular UI or Workshare UI Intrastate Determination Single Sep Other Required Required Allow 5.4 207 A 101-2 C 301-12 9052B -C98 Required Required if State maintains a unique ID Regular UI or Workshare UI Intrastate Determination Single A A Required Required Allow 5.5 207 A 101-2 C 301-13 9052B -C98 Required Required if State maintains a unique ID Regular UI or Workshare UI Intrastate Determination Single Ded. Income Required Required Allow 5.6 207 A 101-2 C 301-14 9052B -C98 Required Required if State maintains a unique ID Regular UI or Workshare UI Intrastate Determination Single Suitable Work Required Required Allow 5.7 207 A 101-2 C 301-15 9052B -C98 Required Required if State maintains a unique ID Regular UI or Wor kshare UI Intrastate Determination Single Reporting Required Required Allow SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.35 M AY 2013 Sub pop Report Line and Column 2 Step 1D Rule 1 SSN 3 Step 1D Rule 2 Issue Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 16 Determination Redetermination 8 Step 17 Type of Determination 9 Step 18 Issue Types 10 Step 19 First Week Affected 11 Step 20 Detection Date 12 Step 21 Notice Date 13 Step 23 Allow a or Deny 5.8 207 A 101-2 C 301-16 9052B-C98 Required Required if State maintains a unique ID Regular UI or Workshare UI Intrastate Determination Single Profiling Required Required Allow 5.9 207 A 101-2 C 301-17 9052B-C98 Required Required if State maintains a unique ID Regular UI or Workshare UI Intrastate Determination Single Other Nonsep Required Required Allow 5.10 207 A 101-2 B 201-8 9052A-C6 Required Required if State maintains a unique ID Regular UI or Workshare UI Interstate Determination Single VL Required Required Allow 5.11 207 A 101-2 B 201-9 9052A-C6 Required Required if State maintains a unique ID Regular UI or Workshare UI Interstate Determination Single MC Required Required Allow 5.12 207 A 101-2 B 201-10 9052A -C6 Required Required if State maintains a unique ID Regular UI or Workshare UI Interstate Determination Single Sep Other Required Required Allow 5.13 207 A 101-2 C 301-12 9052B -C102 Required Required if State maintains a unique ID Regular UI or Workshare UI Interstate Determination Single A A Required Required Allow 5.14 207 A 101-2 C 301-13 9052B -C102 Required Required if State maintains a unique ID Regular UI or Workshare UI Interstate Determination Single Ded. Income Required Required Allow 5.15 207 A 101-2 C 301-14 9052B -C102 Required Required if State maintains a unique ID Regular UI or Workshare UI Interstate Determination Single Suitable Work Required Required Allow 5.16 207 A 101-2 C 301-15 9052B-C102 Required Required if State maintains a unique ID Regular UI or Workshare UI Interstate Determination Single Reporting Required Required Allow 5.17 207 A 101-2 C 301-16 9052B -C102 Required Required if State maintains a unique ID Regular UI or Workshare UI Interstate Determination Single Profiling Required Required Allow SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.36 M AY 2013 Sub pop Report Line and Column 2 Step 1D Rule 1 SSN 3 Step 1D Rule 2 Issue Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 16 Determination Redetermination 8 Step 17 Type of Determination 9 Step 18 Issue Types 10 Step 19 First Week Affected 11 Step 20 Detection Date 12 Step 21 Notice Date 13 Step 23 Allow a or Deny 5.18 207 A 101-2 C 301-17 9052B-C102 Required Required if State maintains a unique ID Regular UI or Workshare UI Interstate Determination Single Other Nonsep Required Required Allow 5.19 207A 101-2 102-2 207B 201-8 202-8 9052A -C2 Required Required if State maintains a unique ID Regular UI or Workshare UI Intrastate Determination Single VL Required Required Deny 5.20 207A 101-2 102-2 207B 201-9 202-9 9052A -C2 Required Required if State maintains a unique ID Regular UI or Workshare UI Intrastate Determination Single MC Required Required Deny 5.21 207A 101-2 102-2 207B 201-10 202-10 9052A -C2 Required Required if State maintains a unique ID Regular UI or Workshare UI Intrastate Determination Single Sep Other Required Required Deny 5.22 207A 101-2 102-2 207C 301-12 302-12 9052B -C98 Required Required if State maintains a unique ID Regular UI or Workshare UI Intrastate Determination Single A A Required Required Deny 5.23 207A 101-2 102-2 207C 301-13 302-13 9052B-C98 Required Required if State maintains a unique ID Regular UI or Workshare UI Intrastate Determination Single Ded. Income Required Required Deny 5.24 207A 101-2 102-2 207C 301-14 302-14 9052B -C98 Required Required if State maintains a unique ID Regular UI or Workshare UI Intrastate Determination Single Suitable Work Required Required Deny SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.37 M AY 2013 Sub pop Report Line and Column 2 Step 1D Rule 1 SSN 3 Step 1D Rule 2 Issue Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 16 Determination Redetermination 8 Step 17 Type of Determination 9 Step 18 Issue Types 10 Step 19 First Week Affected 11 Step 20 Detection Date 12 Step 21 Notice Date 13 Step 23 Allow a or Deny 5.25 207A 101-2 102-2 207C 301-15 302-15 9052B -C98 Required Required if State maintains a unique ID Regular UI or Workshare UI Intrastate Determination Single Reporting Required Required Deny 5.26 207A 101-2 102-2 207C 301-16 302-16 9052B-C98 Required Required if State maintains a unique ID Regular UI or Workshare UI Intrastate Determination Single Profiling Required Required Deny 5.27 207A 101-2 102-2 207C 301-17 302-17 9052B -C98 Required Required if State maintains a unique ID Regular UI or Workshare UI Intrastate Determination Single Other Nonsep Required Required Deny 5.28 207A 101-2 102-2 207B 201-8 202-8 9052A -C6 Required Required if State maintains a unique ID Regular UI or Workshare UI Interstate Determination Single VL Required Required Deny 5.29 207A 101-2 102-2 207B 201-9 202-9 9052A-C6 Required Required if State maintains a unique ID Regular UI or Workshare UI Interstate Determination Single MC Required Required Deny 5.30 207A 101-2 102-2 207B 201-10 202-10 9052A -C6 Required Required if State maintains a unique ID Regular UI or Workshare UI Interstate Determination Single Sep Other Required Required Deny SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.38 M AY 2013 Sub pop Report Line and Column 2 Step 1D Rule 1 SSN 3 Step 1D Rule 2 Issue Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 16 Determination Redetermination 8 Step 17 Type of Determination 9 Step 18 Issue Types 10 Step 19 First Week Affected 11 Step 20 Detection Date 12 Step 21 Notice Date 13 Step 23 Allow a or Deny 5.31 207A 101-2 102-2 207C 301-12 302-12 9052B -C102 Required Required if State maintains a unique ID Regular UI or Workshare UI Interstate Determination Single A A Required Required Deny 5.32 207A 101-2 102-2 207C 301-13 302-13 9052B-C102 Required Required if State maintains a unique ID Regular UI or Workshare UI Interstate Determination Single Ded. Income Required Required Deny 5.33 207A 101-2 102-2 207C 301-14 302-14 9052B -C102 Required Required if State maintains a unique ID Regular UI or Workshare UI Interstate Determination Single Suitable Work Required Required Deny 5.34 207A 101-2 102-2 207C 301-15 302-15 9052B -C102 Required Required if State maintains a unique ID Regular UI or Workshare UI Interstate Determination Single Reporting Required Required Deny 5.35 207A 101-2 102-2 207C 301-16 302-16 9052B-C102 Required Required if State maintains a unique ID Regular UI or Workshare UI Interstate Determination Single Profiling Required Required Deny 5.36 207A 101-2 102-2 207C 301-17 302-17 9052B -C102 Required Required if State maintains a unique ID Regular UI or Workshare UI Interstate Determination Single Other Nonsep Required Required Deny 5.37 207 A 103-1 B 203-8 9052A -C3 Required Required if State maintains a unique ID Regular UI or Workshare UCFE Intrastate Determination Single VL Required Required Allow SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.39 M AY 2013 Sub pop Report Line and Column 2 Step 1D Rule 1 SSN 3 Step 1D Rule 2 Issue Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 16 Determination Redetermination 8 Step 17 Type of Determination 9 Step 18 Issue Types 10 Step 19 First Week Affected 11 Step 20 Detection Date 12 Step 21 Notice Date 13 Step 23 Allow a or Deny 5.38 207 A 103-1 B 203-9 9052A -C3 Required Required if State maintains a unique ID Regular UI or Worksh are UCFE Intrastate Determination Single MC Required Required Allow 5.39 207 A 103-1 B 203-10 9052A -C3 Required Required if State maintains a unique ID Regular UI or Workshare UCFE Intrastate Determination Single Sep Other Required Required Allow 5.40 207A -103-1 9052B-C99 Required Required if State maintains a unique ID Regular UI or Workshare UCFE Intrastate Determination Single Nonsep Required Required Allow 5.41 207 A 103-1 B 203-8 9052A -C7 Required Required if State maintains a unique ID Regular UI or Workshare UCFE Interstate Determination Single VL Required Required Allow 5.42 207 A 103-1 B 203-9 9052A -C7 Required Required if State maintains a unique ID Regular UI or Worksha re UCFE Interstate Determination Single MC Required Required Allow 5.43 207 A 103-1 B 203-10 9052A-C7 Required Required if State maintains a unique ID Regular UI or Workshare UCFE Interstate Determination Single Sep Other Required Required Allow 5.44 207A -103-1 9052B-C103 Required Required if State maintains a unique ID Regular UI or Workshare UCFE Interstate Determination Single Nonsep Required Required Allow 5.45 207A 103-1 104-1 207B 203-8 204-8 9052A-C3 Required Required if State maintains a unique ID Regular UI or Workshare UCFE Intrastate Determination Single VL Required Required Deny 5.46 207A 103-1 104-1 207B 203-9 204-9 9052A -C3 Required Required if State maintains a unique ID Regular UI or Workshare UCFE Intrastate Determination Single MC Required Required Deny SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.40 M AY 2013 Sub pop Report Line and Column 2 Step 1D Rule 1 SSN 3 Step 1D Rule 2 Issue Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 16 Determination Redetermination 8 Step 17 Type of Determination 9 Step 18 Issue Types 10 Step 19 First Week Affected 11 Step 20 Detection Date 12 Step 21 Notice Date 13 Step 23 Allow a or Deny 5.47 207A 103-1 104-1 207B 203-10 204-10 9052A -C3 Required Required if State maintains a unique ID Regular UI or Workshare UCFE Intrastate Determination Single Sep Other Required Required Deny 5.48 207A 103-1 104-1 9052B -C99 Required Required if State maintains a unique ID Regular UI or Workshare UCFE Intrastate Determination Single Nonsep Required Required Deny 5.49 207A 103-1 104-1 207B 203-8 204-8 9052A -C7 Required Required if State maintains a unique ID Regular UI or Workshare UCFE Interstate Determination Single VL Required Required Deny 5.50 207A 103-1 104-1 207B 203-9 204-9 9052A-C7 Required Required if State maintains a unique ID Regular UI or Workshare UCFE Interstate Determination Single MC Required Required Deny 5.51 207A 103-1 104-1 207B 203-10 204-10 9052A -C7 Required Required if State maintains a unique ID Regular UI or Workshare UCFE Interstate Determination Single Sep Other Required Required Deny 5.52 207A 103-1 104-1 9052B -C103 Required Required if State maintains a unique ID Regular UI or Workshare UCFE Interstate Determination Single Nonsep Required Required Deny 5.53 207A -105-1 9052A-C4 Required Required if State maintains a unique ID Regular UI or Workshare UCX Intrastate Determination Single Sep Required Required Allow 5.54 207A -105-1 9052B-C100 Required Required if State maintains a unique ID Regular UI or Workshare UCX Intrastate Determination Single Nonsep Required Required Allow SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.41 M AY 2013 Sub pop Report Line and Column 2 Step 1D Rule 1 SSN 3 Step 1D Rule 2 Issue Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 16 Determination Redetermination 8 Step 17 Type of Determination 9 Step 18 Issue Types 10 Step 19 First Week Affected 11 Step 20 Detection Date 12 Step 21 Notice Date 13 Step 23 Allow a or Deny 5.55 207A -105-1 9052A-C8 Required Required if State maintains a unique ID Regular UI or Workshare UCX Interstate Determination Single Sep Required Required Allow 5.56 207A -105-1 9052B-C104 Required Required if State maintains a unique ID Regular UI or Workshare UCX Interstate Determination Single Nonsep Required Required Allow 5.57 207A 105-1 106-1 9052A-C4 Required Required if State maintains a unique ID Regular UI or Workshare UCX Intrastate Determination Single Sep Required Required Deny 5.58 207A 105-1 106-1 9052B -C100 Required Required if State maintains a unique ID Regular UI or Workshare UCX Intrastate Determination Single Nonsep Required Required Deny 5.59 207A 105-1 106-1 9052A-C8 Required Required if State maintains a unique ID Regular UI or Workshare UCX Interstate Determination Single Sep Required Required Deny 5.60 207A 105-1 106-1 9052B-C104 Required Required if State maintains a unique ID Regular UI or Workshare UCX Interstate Determination Single Nonsep Required Required Deny MULTI-CLAIMANT NON-MONETARY DETERMINATIONS 5.61 through 5.64 1 Minimum Sample First two cases from each subpopulation 5.61 207A -101-5 9052C-C194 Required Required if State maintains a unique ID Regular UI or Workshare Determination Multi Labor Dispute Required Required Allow 5.62 207A 101-5 102-5 9052C -C194 Required Required if State maintains a unique ID Regular UI or Workshare Determination Multi Labor Dispute Required Required Deny 5.63 207A -101-6 9052C-C195 Required Required if State maintains a unique ID Regular UI or Workshare Determination Multi Other Multiclaim ant Required Required Allow SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.42 M AY 2013 Sub pop Report Line and Column 2 Step 1D Rule 1 SSN 3 Step 1D Rule 2 Issue Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 16 Determination Redetermination 8 Step 17 Type of Determination 9 Step 18 Issue Types 10 Step 19 First Week Affected 11 Step 20 Detection Date 12 Step 21 Notice Date 13 Step 23 Allow a or Deny 5.64 207A 101-6 102-6 9052C-C195 Required Required if State maintains a unique ID Regular UI or Workshare Determination Multi Other Multiclaimant Required Required Deny REDETERMINATIONS 5.65 through 5.70 1 Random Sample 30 or 100 5.65 207A -101-3 Required Required if State maintains a unique ID Regular UI or Workshare UI Intrastate or Interstate Redetermination Single Required Required Allow 5.66 207A 101-3 102-3 Required Required if State maintains a unique ID Regular UI or Workshare UI Intrastate or Interstate Redetermination Single Required Required Deny 5.67 207A -103-1 Required Required if State maintains a unique ID Regular UI or Workshare UCFE Intrastate or Interstate Redetermination Single Required Required Allow 5.68 207A 103-1 104-1 Required Required if State maintains a unique ID Regular UI or Workshare UCFE Intrastate or Interstate Redetermination Single Required Required Deny 5.69 207A-105-1 Required Required if State maintains a unique ID Regular UI or Workshare UCX Intrasta te or Interstate Redetermination Single Required Required Allow 5.70 207A 105-1 106-1 Required Required if State maintains a unique ID Regular UI or Workshare UCX Intrastate or Interstate Redetermination Single Required Required Deny aAllow or affirmed SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.43 M AY 2013 Table A.5.2 Relationship between ETA 207Reporting Cells and Subpopulations in Population 5 207 SECTION A Total Determinations and Redeterminations 1 Determinations 2 Redeterminations 3 Multi-labor 5 Multi-other 6 UI Dets 101 1-36 65-66 61-62 63-64 UI Denials 102 19-36 66 62 64 UCFE Dets 103 37- 52 67-68 UCFE Denials 104 45-52 68 UCX Dets 105 53-60 69-70 UCX Denials 106 57-60 70 207 SECTION B Total Seps 7 VL 8 MC 9 Other Separations 10 UI Dets 201 1 10 19 28 2 11 20 29 3 12 21 30 UI Denials 202 19 28 20 29 21 30 UCFE Dets 203 37 41 45 49 38 42 46 50 39 43 47 51 UCFE Denials 204 45 49 46 50 47 51 207 SECTION C Total Nonseps 11 A A 12 Ded. Income 13 Suit. Work 14 Reporting 15 Profiling 16 Other 17 UI Dets 301 4 13 22 31 5 14 23 32 6 15 24 33 7 16 25 34 8 17 26 35 9 18 27 36 UI Denials 302 22 31 23 32 24 33 25 34 26 35 27 36 aAdd the number of multiclaimants involved. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.44 M AY 2013 Table A.5.3 Relationship between ETA 9052 Adjudications Time Lapse and Subpopulations in Population 5 Separation 9052A Non -Separation 9052B Labor Dispute C194 Other C195 Intrastate Interstate Intr astate Interstate UI C2 UCFE C3 UCX C4 UI C6 UCFE C7 UCX C8 UI C98 UCFE C99 UCX C100 UI C102 UCFE C103 UCX C104 Single Claimant 9052 1-3 19-21 37-39 45-47 53 57 10-12 28-30 41-43 49-51 55 59 4-9 22-27 40 48 54 58 13-18 31-36 44 52 56 60 Multi - claimant 9052C 61 62 63 64 NOTE There are 11 time lapse categories in each of these table cells. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.45 M AY 2013 Population 5 Notes 1. For states that require a week to be claimed in order to count non-monetary determinations use the transaction date of the non-monetary determination when the mail date precedes the week claimed date. For example if a determination is mailed in December and the week is claimed in January the state enters the transaction or countable date in January to signify that this non-monetary determination is countable for Federal reporting purposes. 2. This population includes non-monetary determinations for Short Time Compensation STC Program workshare claims. These records should be labeled as Workshare for Type of UI Program. See the software record layouts for more details. 3. Multiclaimant Nonmonetary Determinations are counted in two ways on the ETA 207 report. Section A 101 6 counts the number of multiclaimant determinations affirmed plus denied . Section A 102 6 counts the number of claimants affected by denial determinations. Currently the software cannot distinguish between the number of claimants affected and the number of denial determinations because the Population 5 record lacks a key field. If a single record for each denial determination is created the count of determinations will be correct however the count of claimants involved in denials will be understated. Alternatively if a record for each denied claimant is created the count of claimants involved in denials will be correct however but the count of determinations will be overstated. The extract file and software will be revised in the future so that both the number of multiclaimant determinations and the number of claimants denied will be captured in the same way that is currently done for all multiclaimant appeal decisions reported on the ETA 5130 Populations 8 and 9 . In the meantime when building the Population 5 extract file create a record for each multiclaimant determination to deny benefits as well as to affirm benefits. This can be done by creating a record for one claimant out of each multiclaimant denial determination as representative of that determination. The validation count for the number of multiclaimant determinations thus will be correct and the reported counts of the UI multiclaimant determinations on the ETA 207 Group 5.04 and on the ETA 9052 reports Group 5.10 will be properly validated. These are Pass Fail groups because they are part of important workload items. However the number of claimants denied on line 102 of the ETA 207 will be incorrect. These are not Pass Fail items. Indicate in the comments field of the RV screen that the discrepancy is due to a software limitation and is not a state error. DATA ELEMENT VALIDATION A PPENDIX A UI DV HANDBOOK BENEFITS A.46 M AY 2013 Table A.6.1 Population 6 Subpopulations Claimants involved in State UI Appeals Filed - Lower Subpop ETA ar5130B Line and Column 2 Step 1E Rule 1 SSN 3 Step 1E Rule 2 Docket Number Unique ID 4 Step 24A Appeal Level 5 Step 25A Rule 1 Step 25B Rule 1 Type of Appeal Single or Multiclaimant 6 Step 25B Rules 3 6 Number of Claimants 7 Step 32 Filed Date LOWER AUTHORITY APPEALS FILED 6.1 through 6.2 1 Minimum sample First two cases from each s ubpopulation 6.1 200-8 Required Required Lower S Required 6.2 a 200-10 Required Required Lower M 1 Required aStates can list each claimant involved in multiclaimant appeals or just provide the number of claimants based on how the files are stored in the system . Table A.6.2 Relationship between ETA AR5130B Report Cells and Subpopulations in Population 6 SECTION B Claimants Involved in State UI Appeals Cases by Status of Appeals Line No. Status of Appeals Single -Claimant Appeals Multi -Claimant Appeals Lower Authority 8 Lower Authority 10 200 Filed During Month 1 2 DATA ELEMENT VALIDATION A PPENDIX A UI DV HANDBOOK BENEFITS A.47 M AY 2013 Table A.7.1 Population 7 Subpopulations Claimants involved in State UI Appeals Filed Higher Subpop ETA ar5130B Line and Column 2 Step 1F Rule 1 SSN 3 Step 1F Rule 2 Docket Number Unique ID 4 Step 24B Appeal Level 5 Step 25A Rule 1 Step 25B Rule 1 Type of Appeal Single or Multiclaimant 6 Step 25B Rules 3 6 Number of Claimants 7 Step 32 Filed Date HIGHER AUTHORITY APPEALS FILED 7.1 through 7.2 1 Minimum sample First two cases from each subpopulation 7.1 200-9 Required Required Higher S Required 7.2 a 200-11 Required Required Higher M 1 Required aStates can list each claimant involved in multiclaimant appeals or just provide the number of claimants based on how the files are stored in the system . Table A.7.2 Relationship between ETA AR5130B Report Cells and Subpopulations in Population 7 SECTION B Claimants Involved in State UI A ppeals Cases by Status of Appeals Line No. Status of Appeals Single -Claimant Appeals Multi -Claimant Appeals Higher Authority 9 Higher Authority 11 200 Filed During Month 1 2 DATA ELEMENT VALIDATION A PPENDIX A UI DV HANDBOOK BENEFITS A.48 M AY 2013 Population 6 and 7 Notes 1. Appeal Filed Date If a state experiences delays in mailed appeals it can use the received date rather than the postmark date to ensure that all appeals are counted. The received date can be used because there is no time lapse for these populations. This would help in those situations where appeals are received after the ETA 5130 report has been run for the previous month. For example an appeal with a postmark of 3 31 02 that is received on 4 10 02 in a state where the ETA 5130 was run on 4 7 02 would be reported as having been filed in April rather than in March. 2. Subpopulations 6.2 and 7.2 Number of Claimants Involved in Multi-Claimant Appeal States will either store an individual record for each claimant involved in the appeal or one record with the number of claimants. The software will count the number of records or add the number of claimants in Column 6 to derive the number of claimants involved in multi-claimant appeals filed. DATA ELEMENT VALIDATION A PPENDIX A UI DV HANDBOOK BENEFITS A.49 M AY 2013 Table A.8.1 Population 8 Subpopulations Lower Authority Appeals Decisions Decision Date Falls within Reporting Validation Period Sort in Ascending Order by Time Lapsed Days Subpop Report Line and Column 2 Step 1E Rule 1 SSN 3 Step 1E Rule 2 Docket Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 24A Rule 1 Appeal Level 8 Step 25A Step 25B Type of Appeal Single or Multiclaimant 9 Step 25B Number of Claimants in Multiclaimant Appeal 10 Step 26 Appellant 11 Step 27A Step 27B In Favor of Appellant 12 Step 32 Filed Date 13 Step 28 Decision Date 14 Step 30A Step 30B Disposed of by Decision 15 Step 31 Issue Code SINGLE CLAIMANT LOWER AUTHORITY APPEALS DECISIONS 8.1 through 8.44 1 Random sample 60 or 200 includes review of folders 2 Supplemental sample--missing strata 8.33 through 8.40 only 3 Supplemental sample--outliers 8.1 ar5130 A-100 -1 B 210-8 ar5130C 300-14 310-14 ar5130D-400-21 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower S Must be blank or 0 Claimant Y Required Required VL 8.2 ar5130 A 100 -1 B 210-8 ar5130C 300-16 310-16 ar5130D-400-21 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower S Must be blank o r 0 Employer Y Required Required VL 8.3 ar5130 A 100 -1 B 210-8 ar5130 C 300-14 D 400-21 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower S Must be blank or 0 Claimant N Required Required VL 8.4 ar5130 A 100 -1 B 210-8 ar5130 C 300-16 D 400-21 9054A-C2 Required Required Regular UI or Workshare UI Intrastate Lower S Must be blank or 0 Employer N Required Required VL 8.5 ar5130 A 100 -1 B 210-8 ar5130C 300-14 310-14 ar5130D-400-21 9054A-C3 Required Required Regular UI or Workshare UI Interstate Lower S Must be blank or 0 Claimant Y Required Required VL DATA ELEMENT VALIDATION A PPENDIX A UI DV HANDBOOK BENEFITS A.50 M AY 2013 Subpop Report Line and Column 2 Step 1E Rule 1 SSN 3 Step 1E Rule 2 Docket Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 24A Rule 1 Appeal Level 8 Step 25A Step 25B Type of Appeal Single or Multiclaimant 9 Step 25B Number of Claimants in Multiclaimant Appeal 10 Step 26 Appellant 11 Step 27A Step 27B In Favor of Appellant 12 Step 32 Filed Date 13 Step 28 Decision Date 14 Step 30A Step 30B Disposed of by Decision 15 Step 31 Issue Code 8.6 ar5130 A 100 -1 B 210-8 ar5130C 300-16 310-16 ar5130D-400-21 9054A -C3 Required Required Regular UI or Workshare UI Interstate Lower S Must be blank or 0 Employer Y Required Required VL 8.7 ar5130 A 100 -1 B 210-8 ar5130 C 300-14 D 400-21 9054A -C3 Required Required Regular UI or Workshare UI Interstate Lower S Must be blank or 0 Claimant N Required Required VL 8.8 ar5130 A 100 -1 B 210-8 ar5130 C 300-16 D 400-21 9054A -C3 Required Required Regular UI or Workshare UI Interstate Lower S Must be blank or 0 Employer N Required Required VL 8.9 ar5130 A 100 -1 B 210-8 ar5130C 300-14 310-14 ar5130D-400-22 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower S Must be blank or 0 Claimant Y Required Required MC 8.10 ar5130 A 100 -1 B 210-8 ar5130C 300-16 310-16 ar5130D-400-22 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower S Must be blank or 0 Employer Y Required Required MC 8.11 ar5130 A 100 -1 B 210-8 ar5130 C 300-14 D 400-22 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower S Must be blank or 0 Claimant N Required Required MC 8.12 ar5130 A 100 -1 B 210-8 ar5130 C 300-16 D 400-22 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower S Must be blank or 0 Employer N Required Required MC DATA ELEMENT VALIDATION A PPENDIX A UI DV HANDBOOK BENEFITS A.51 M AY 2013 Subpop Report Line and Column 2 Step 1E Rule 1 SSN 3 Step 1E Rule 2 Docket Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 24A Rule 1 Appeal Level 8 Step 25A Step 25B Type of Appeal Single or Multiclaimant 9 Step 25B Number of Claimants in Multiclaimant Appeal 10 Step 26 Appellant 11 Step 27A Step 27B In Favor of Appellant 12 Step 32 Filed Date 13 Step 28 Decision Date 14 Step 30A Step 30B Disposed of by Decision 15 Step 31 Issue Code 8.13 ar5130 A 100 -1 B 210-8 ar5130C 300-14 310-14 ar5130D-400-22 9054A -C3 Required Required Regular UI or Workshare UI Interstate Lower S Must be blank or 0 Claimant Y Required Required MC 8.14 ar5130 A 100 -1 B 210-8 ar5130C 300-16 310-16 ar5130D-400-22 9054A -C3 Required Required Regular UI or Workshare UI Interstate Lower S Must be blank or 0 Employer Y Required Required MC 8.15 ar5130 A 100 -1 B 210-8 ar5130 C 300-14 D 400-22 9054A -C3 Required Required Regular UI or Workshare UI Interstate Lower S Must be blank or 0 Claimant N Required Required MC 8.16 ar5130 A 100 -1 B 210-8 ar5130 C 300-16 D 400-22 9054A -C3 Required Required Regular UI or Workshare UI Interstate Lower S Must be blank or 0 Employer N Required Required MC 8.17 ar5130 A 100 -1 B 210-8 ar5130C 300-14 310-14 ar5130D-400-23 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower S Must be blank or 0 Claimant Y Required Required Suit 8.18 ar5130 A 100 -1 B 210-8 ar5130C 300-16 310-16 ar5130D-400-23 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower S Must be blank or 0 Employer Y Required Required Suit 8.19 ar5130 A 10 0-1 B 210-8 ar5130 C 300-14 D 400-23 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower S Must be blank or 0 Claimant N Required Required Suit DATA ELEMENT VALIDATION A PPENDIX A UI DV HANDBOOK BENEFITS A.52 M AY 2013 Subpop Report Line and Column 2 Step 1E Rule 1 SSN 3 Step 1E Rule 2 Docket Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 24A Rule 1 Appeal Level 8 Step 25A Step 25B Type of Appeal Single or Multiclaimant 9 Step 25B Number of Claimants in Multiclaimant Appeal 10 Step 26 Appellant 11 Step 27A Step 27B In Favor of Appellant 12 Step 32 Filed Date 13 Step 28 Decision Date 14 Step 30A Step 30B Disposed of by Decision 15 Step 31 Issue Code 8.20 ar5130 A 100 -1 B 210-8 ar5130 C 300-16 D 400-23 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower S Must be blank or 0 Employer N Required Required Suit 8.21 ar5130 A 100 -1 B 210-8 ar5130C 300-14 310-14 ar5130D-400-23 9054A -C3 Required Required Regular UI or Workshare UI Interstate Lower S Must be blank or 0 Claimant Y Required Required Suit 8.22 ar5130 A 100 -1 B 210-8 ar5130C 300-16 310-16 ar5130D-400-23 9054A -C3 Required Required Regular UI or Workshare UI Interstate Lower S Must be blank or 0 Employer Y Required Required Suit 8.23 ar5130 A 100 -1 B 210-8 ar5130 C 300-14 D 400-23 9054A -C3 Required Required Regular UI or Workshare UI Interstate Lower S Must be blank or 0 Claimant N Required Required Suit 8.24 ar5130 A 10 0-1 B 210-8 ar5130 C 300-16 D 400-23 9054A -C3 Required Required Regular UI or Workshare UI Interstate Lower S Must be blank or 0 Employer N Required Required Suit 8.25 ar5130 A 100 -1 B 210-8 ar5130C 300-14 310-14 ar5130D-400-24 9054 A-C2 Required Required Regular UI or Workshare UI Intrastate Lower S Must be blank or 0 Claimant Y Required Required A A 8.26 ar5130 A 100 -1 B 210-8 ar5130C 300-16 310-16 ar5130D-400-24 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower S Must be blank or 0 Employer Y Required Required A A DATA ELEMENT VALIDATION A PPENDIX A UI DV HANDBOOK BENEFITS A.53 M AY 2013 Subpop Report Line and Column 2 Step 1E Rule 1 SSN 3 Step 1E Rule 2 Docket Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 24A Rule 1 Appeal Level 8 Step 25A Step 25B Type of Appeal Single or Multiclaimant 9 Step 25B Number of Claimants in Multiclaimant Appeal 10 Step 26 Appellant 11 Step 27A Step 27B In Favor of Appellant 12 Step 32 Filed Date 13 Step 28 Decision Date 14 Step 30A Step 30B Disposed of by Decision 15 Step 31 Issue Code 8.27 ar5130 A 100 -1 B 210-8 ar5130 C 300-14 D 400-24 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower S Must be blank or 0 Claimant N Required Required A A 8.28 ar5130 A 100 -1 B 210-8 ar5130 C 300-16 D 400-24 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower S Must be blank or 0 Employer N Required Required A A 8.29 ar5130 A 100 -1 B 210-8 ar5130C 300-14 310-14 ar5130D-400-24 9054A -C3 Required Required Regular UI or Workshare UI Interstate Lower S Must be blank or 0 Claimant Y Required Required A A 8.30 ar5130 A 100 -1 B 210-8 ar5130C 300-16 310-16 ar5130D-400-24 9054A -C3 Required Required Regular UI or Workshare UI Interstate Lower S Must be blank or 0 Employer Y Required Required A A 8.31 ar5130 A 100 -1 B 210-8 ar5130 C 300-14 D 400-24 9054A -C3 Required Required Regular UI or Workshare UI Interstate Lower S Must be blank or 0 Claimant N Required Required A A 8.32 ar5130 A 100 -1 B 210-8 ar5130 C 300-16 D 400-24 9054A-C3 Required Required Regular UI or Workshare UI Interstate Lower S Must be blank or 0 Employer N Required Required A A 8.33 ar5130 A 100 -1 B 210-8 ar5130C 300-14 310-14 ar5130D-400-26 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower S Must be blank or 0 Claimant Y Required Required Other DATA ELEMENT VALIDATION A PPENDIX A UI DV HANDBOOK BENEFITS A.54 M AY 2013 Subpop Report Line and Column 2 Step 1E Rule 1 SSN 3 Step 1E Rule 2 Docket Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 24A Rule 1 Appeal Level 8 Step 25A Step 25B Type of Appeal Single or Multiclaimant 9 Step 25B Number of Claimants in Multiclaimant Appeal 10 Step 26 Appellant 11 Step 27A Step 27B In Favor of Appellant 12 Step 32 Filed Date 13 Step 28 Decision Date 14 Step 30A Step 30B Disposed of by Decision 15 Step 31 Issue Code 8.34 ar5130 A 100 -1 B 210-8 ar5130C 300-16 310-16 ar5130D-400-26 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower S Must be blank or 0 Employer Y Required Required Other 8.35 ar5130 A 100 -1 B 210-8 ar5130 C 300-14 D 400-26 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower S Must be blank or 0 Claimant N Required Required Other 8.36 ar5130 A 100 -1 B 210-8 ar5130 C 300-16 D 400-26 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower S Must be blank or 0 Employer N Required Required Other 8.37 ar5130 A 100 -1 B 210-8 ar5130C 300-14 310-14 ar5130D-400-26 9054A -C3 Required Required Regular UI or Workshare UI Interstate Lower S Must be blank or 0 Claimant Y Required Required Other 8.38 ar5130 A 100 -1 B 210-8 ar5130C 300-16 310-16 ar5130D-400-26 9054A -C3 Required Required Regular UI or Workshare UI Interstate Lower S Must be blank or 0 Employer Y Required Required Other 8.39 ar5130 A 100 -1 B 210-8 ar5130 C 300-14 D 400-26 9054A -C3 Required Required Regular UI or Workshare UI Interstate Lower S Must be blank or 0 Claimant N Required Required Other 8.40 ar5130 A 100 -1 B 210-8 ar5130 C 300-16 D 400-26 9054A -C3 Required Required Regular UI or Workshare UI Interstate Lower S Must be blank or 0 Employer N Required Required Other 8.41 a ar5130A -100-3 9054A-C2 Required Required Regular UI or Workshare UCFE Intrastate Lower S Must be blank or 0 Required Required DATA ELEMENT VALIDATION A PPENDIX A UI DV HANDBOOK BENEFITS A.55 M AY 2013 Subpop Report Line and Column 2 Step 1E Rule 1 SSN 3 Step 1E Rule 2 Docket Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 24A Rule 1 Appeal Level 8 Step 25A Step 25B Type of Appeal Single or Multiclaimant 9 Step 25B Number of Claimants in Multiclaimant Appeal 10 Step 26 Appellant 11 Step 27A Step 27B In Favor of Appellant 12 Step 32 Filed Date 13 Step 28 Decision Date 14 Step 30A Step 30B Disposed of by Decision 15 Step 31 Issue Code 8.42 a ar5130A -100-3 9054A-C3 Required Required Regular UI or Workshare UCFE Interstate Lower S Must be blank or 0 Required Required 8.43 a ar5130A -100-5 9054A-C2 Required Required Regular UI or Workshare UCX Intrastate Lower S Must be blank or 0 Required Required 8.44 a ar5130A -100-5 9054A-C3 Required Required Regular UI or Workshare UCX Interstate Lower S Must be blank or 0 Required Required MULTI-CLAIMANT LOWER AUTHORITY APPEALS DECISIONS 8.45 through 8.55 1 Minimum sample First two cases from each subpopulation includes review of folders 8.45 ar5130 A 100 -1 B 210-10 ar5130C 300-14 310-14 ar5130D-400-25 9054A-C2 Required Required Regular UI or Workshare UI Intrastate Lower M-1 or M-Lead 1 Claimant Y Required Required Labor Disp 8.46 ar5130 A 100 -1 B 210-10 ar5130C 300-16 310-16 ar5130D-400-25 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower M-1 or M-Lead 1 Employer Y Required Required Labor Disp 8.47 ar5130 A 100 -1 B 210-10 ar5130 C 300-14 D 400-25 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower M-1 or M-Lead 1 Claimant N Required Required Labor Disp 8.48 ar5130 A 100 -1 B 210-10 ar5130 C 300-16 D 400-25 9054A-C2 Required Required Regular UI or Workshare UI Intrastate Lower M-1 or M-Lead 1 Employer N Required Required Labor Disp DATA ELEMENT VALIDATION A PPENDIX A UI DV HANDBOOK BENEFITS A.56 M AY 2013 Subpop Report Line and Column 2 Step 1E Rule 1 SSN 3 Step 1E Rule 2 Docket Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 24A Rule 1 Appeal Level 8 Step 25A Step 25B Type of Appeal Single or Multiclaimant 9 Step 25B Number of Claimants in Multiclaimant Appeal 10 Step 26 Appellant 11 Step 27A Step 27B In Favor of Appellant 12 Step 32 Filed Date 13 Step 28 Decision Date 14 Step 30A Step 30B Disposed of by Decision 15 Step 31 Issue Code 8.49 ar5130 A 100 -1 B 210-10 ar5130C 300-14 310-14 ar5130D-400-26 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower M-1 or M-Lead 1 Claimant Y Required Required Other 8.50 ar5130 A 100 -1 B 210-10 ar5130C 300-16 310-16 ar5130D-400-26 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower M-1 or M-Lead 1 Employer Y Required Required Other 8.51 ar5130 A 100 -1 B 210-10 ar5130 C 300-14 D 400-26 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower M-1 or M-Lead 1 Claimant N Required Required Other 8.52 ar5130 A 100 -1 B 210-10 ar5130 C 300-16 D 400-26 9054A -C2 Required Required Regular UI or Workshare UI Intrastate Lower M-1 or M-Lead 1 Employer N Required Required Other 8.53 ar5130B -210-10 Required Required Regular UI or Workshare UI Intrastate Lower M-Nonlead 1 Required Required VL or MC or Suit or A A or Other or Labor Disp 8.54 ar5130A 100-1 ar5130B 210-8 210-10 ar5130C 300-18 310-18 9054A-C2 Required Required Regular UI or Workshare UI Intrastate Lower S or M-1 or M-Lead 1 or blank or 0 Other Y Required Required VL or MC or Suit or A A or Other or Labor Disp DATA ELEMENT VALIDATION A PPENDIX A UI DV HANDBOOK BENEFITS A.57 M AY 2013 Subpop Report Line and Column 2 Step 1E Rule 1 SSN 3 Step 1E Rule 2 Docket Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 24A Rule 1 Appeal Level 8 Step 25A Step 25B Type of Appeal Single or Multiclaimant 9 Step 25B Number of Claimants in Multiclaimant Appeal 10 Step 26 Appellant 11 Step 27A Step 27B In Favor of Appellant 12 Step 32 Filed Date 13 Step 28 Decision Date 14 Step 30A Step 30B Disposed of by Decision 15 Step 31 Issue Code 8.55 ar5130A 100-1 ar5130B 210-8 210-10 ar5130C 300-18 9054A-C2 Required Required Regular UI or Workshare UI Intrastate Lower S or M-1 or M-Lead 1 or blank or 0 Other N Required Required VL or MC or Suit or A A or Other or Labor Disp aIf a UCFE or UCX multiclaimant appeal is decided report as a separate population and manually validate the 5130 report. DATA ELEMENT VALIDATION A PPENDIX A UI DV HANDBOOK BENEFITS A.58 M AY 2013 Table A.8.2 Relationship between ETA AR5130 Report Cells and Subpopulations in Population 8 SECTION A. Single Claimant and Multiclaimant Appeals Case Decisions and Other Dispositions UI Decisions UCFE -No UI Decisions UCX Only Decisions Line No. Lower Authority 1 Lower Authority 3 Lower Authority 5 100 1-40 45-52 54-55 41- 42 a 43-44 a SECTION B. Claimants Involved in State UI Appeals Cases by Status of Appea ls Line No. Status of Appeals Single Claimant Appeals Multi -Claimant Appeals Lower Authority 8 Lower Authority 10 210 Disposed of During Month by Decision 1-40 54-55 b 45- 53 SECTION C. State UI Appeals Decisions by Type of Appellant Line No . UI Appeals Decisions Claimant Employer Other Lower Authority 14 Lower Authority 16 Lower Authority 18 300 Total 1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31 33 35 37 39 45 47 49 51 2 4 6 8 10 12 14 16 18 20 22 24 26 28 30 32 34 36 38 40 46 48 50 52 54-55 310 In favor of Appellant 1 5. 9 13 17 21 25 29 33 37 45 49 2 6 10 14 18 22 26 30 34 38 46 50 54 SECTION D. Number of Lower Authority State UI Appeals Decisions by Issue Line No. Voluntary Quit 21 Misconduct 22 Refusal of Suitable Work 23 Not Able or Available 24 Labor Dispute 25 Other 26 400 1-8 9-16 17-24 25-32 45-48 33 -40 49 -52 aAlso includes multiclaimant UCFE and UCX decision subpopulations that are not listed. bSingle claimant only cMulticlaimant only DATA ELEMENT VALIDATION A PPENDIX A UI DV HANDBOOK BENEFITS A.59 M AY 2013 Table A.8.3 Relationship between ETA 9054A Report Cells and Subpopulations in Population 8 Section A. Lower Authority Appeals Time Lapse from Date Filed to Decision Date Days Intrastate Interstate Total C2 C3 1-4 9-12 17-20 25-28 33-36 41 43 45-52 54 -55 5-8 13-16 21-24 29-32 37-40 42 44 SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.60 M AY 2013 Table A.9.1 Population 9 Subpopulations Higher Authority Appeals Decisions Decision Date Falls within Reporting Validation Period Subpop Report Line and Column 2 Step 1F Rule 1 SSN 3 Step 1F Rule 2 Docket Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 24B Rule 1 Appeal Level 8 Step 25A Step 25B Type of Appeal Single or Multiclaimant 9 Step 25B Rules 3 and 5 Number of Claimants in Multiclaimant Appeal 10 Step 26 Appellant 11 Step 27A Step 27B In Favor of Appellant 12 Step 32 Filed Date 13 Step 28 Decision Date 14 Step 30A Step 30B Disposed of by Decision SINGLE CLAIMANT HIGHER AUTHORITY APPEALS DECISIONS 9.1 through 9.12 1 Random sample 30 or 100 includes review of folders 2 Supplemental sample --outliers 9.1 ar5130 A 100-2 B 210-9 ar5130C 300-15 310-15 9054B -C2 Required Required Regular UI or Workshare UI Intrastate Higher S Must be blank or 0 Claimant Y Required Required 9.2 ar5130 A 100-2 B 210-9 ar5130C 300-17 310-17 9054B -C2 Required Required Regular UI or Workshare UI Intrastate Higher S Must be blank or 0 Employer Y Required Required 9.3 ar5130 A 100-2 B 210-9 ar5130C-300-15 9054B -C2 Required Required Regular UI or Workshare UI Intrastate Higher S Must be blank or 0 Claimant N Required Required 9.4 ar5130 A 100-2 B 210-9 ar5130C-300-17 9054B-C2 Required Required Regular UI or Workshare UI Intrastate Higher S Must be blank or 0 Employer N Required Required 9.5 ar5130 A 100-2 B 210-9 ar5130C 300-15 310-15 9054B-C3 Required Required Regular UI or Workshare UI Interstate Higher S Must be blank or 0 Claimant Y Required Required SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.61 M AY 2013 Subpop Report Line and Column 2 Step 1F Rule 1 SSN 3 Step 1F Rule 2 Docket Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 24B Rule 1 Appeal Level 8 Step 25A Step 25B Type of Appeal Single or Multiclaimant 9 Step 25B Rules 3 and 5 Number of Claimants in Multiclaimant Appeal 10 Step 26 Appellant 11 Step 27A Step 27B In Favor of Appellant 12 Step 32 Filed Date 13 Step 28 Decision Date 14 Step 30A Step 30B Disposed of by Decision 9.6 ar5130 A 100-2 B 210-9 ar5130C 300-17 310-17 9054B -C3 Required Required Regular UI or Workshare UI Interstate Higher S Must be blank or 0 Employer Y Required Required 9.7 ar5130 A 100-2 B 210-9 ar5130C-300-15 9054B -C3 Required Required Regular UI or Workshare UI Interstate Higher S Must be blank or 0 Claimant N Required Required 9.8 ar5130 A 100-2 B 210-9 ar5130C-300-17 9054B -C3 Required Required Regular UI or Workshare UI Interstate Higher S Must be blank or 0 Employer N Required Required 9.9 a ar5130A -100-4 9054B-C2 Required Required Regular UI or Workshare UCFE Intrastate Higher S Must be blank or 0 Required Required 9.10 a ar5130A -100-4 9054B-C3 Required Required Regular UI or Workshare UCFE Interstate Higher S Must be blank or 0 Required Required 9.11 a ar5130A -100-6 9054B-C2 Required Required Regular UI or Workshare UCX Intrastate Higher S Must be blank or 0 Required Required 9.12 a ar5130A -100-6 9054B-C3 Required Required Regular UI or Workshare UCX Interstate Higher S Must be blank or 0 Required Required SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.62 M AY 2013 Subpop Report Line and Column 2 Step 1F Rule 1 SSN 3 Step 1F Rule 2 Docket Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 24B Rule 1 Appeal Level 8 Step 25A Step 25B Type of Appeal Single or Multiclaimant 9 Step 25B Rules 3 and 5 Number of Claimants in Multiclaimant Appeal 10 Step 26 Appellant 11 Step 27A Step 27B In Favor of Appellant 12 Step 32 Filed Date 13 Step 28 Decision Date 14 Step 30A Step 30B Disposed of by Decision MULTI-CLAIMANT HIGHER AUTHORITY APPEALS DECISIONS 9.13 through 9.23 1 Minimum sample First two cases from each subpopulation includes review of folders 9.13 ar5130 A 100-2 B 210- 11 ar5130C 300-15 310-15 9054B -C2 Required Required Regular UI or Workshare UI Intrastate Higher M-1 or M-Lead 1 Claimant Y Required Required 9.14 ar5130 A 100-2 B 210- 11 ar5130C 300-17 310-17 9054B -C2 Required Required Regular UI or Workshare UI Intrastate Higher M-1 or M-Lead 1 Employer Y Required Required 9.15 ar5130 A 100-2 B 210- 11 ar5130C-300-15 9054B -C2 Required Required Regular UI or Workshare UI Intrastate Higher M-1 or M-Lead 1 Claimant N Required Required 9.16 ar5130 A 100-2 B 210- 11 ar5130C-300-17 9054B -C2 Required Required Regular UI or Workshare UI Intrastate Higher M-1 or M-Lead 1 Employer N Required Required 9.17 ar5130 A 100-2 B 210- 11 ar5130C 300-15 310-15 9054B -C3 Required Required Regular UI or Workshare UI Interstate Higher M-1 or M-Lead 1 Claimant Y Required Required SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.63 M AY 2013 Subpop Report Line and Column 2 Step 1F Rule 1 SSN 3 Step 1F Rule 2 Docket Number Unique ID 4 Step 2 Type of UI Program 5 Step 4 Program Type 6 Step 5 Intrastate Interstate 7 Step 24B Rule 1 Appeal Level 8 Step 25A Step 25B Type of Appeal Single or Multiclaimant 9 Step 25B Rules 3 and 5 Number of Claimants in Multiclaimant Appeal 10 Step 26 Appellant 11 Step 27A Step 27B In Favor of Appellant 12 Step 32 Filed Date 13 Step 28 Decision Date 14 Step 30A Step 30B Disposed of by Decision 9.18 ar5130 A 100-2 B 210- 11 ar5130C 300-17 310-17 9054B -C3 Required Required Regular UI or Workshare UI Interstate Higher M-1 or M-Lead 1 Employer Y Required Required 9.19 ar5130 A 100-2 B 210- 11 ar5130C-300-15 9054B -C3 Required Required Regular UI or Workshare UI Interstate Higher M-1 or M-Lead 1 Claimant N Required Required 9.20 ar5130 A 100-2 B 210- 11 ar5130C-300-17 9054B -C3 Required Required Regular UI or Workshare UI Interstate Higher M-1 or M-Lead 1 Employer N Required Required 9.21 ar5130B -210-11 Required Required Regular UI or Workshare UI Higher M-Nonlead 1 Required Required 9.22 ar5130A 100-2 ar5130B 210-9 210-11 ar5130C 300-19 9054B -C2 Required Required Regular UI or Workshare UI Intrastate Higher S Must be blank or 0 Other Y or N Required Required 9.23 ar5130A 100-2 ar5130B 210-9 210-11 ar5130C 300-19 9054B -C2 Required Required Regular UI or Workshare UI Intrastate Higher M-1 or M-Lead 1 Other Y or N Required Required aIf a UCFE or UCX multiclaimant appeal is decided report as a separate population. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.64 M AY 2013 Table A.9.2 Relationship between ETA AR5130 Report Cells and Subpopulations in Population 9 SECTION A. Single Claimant and Multiclaimant Appeals Case Decisions and Other Dispositions UI Decisions UCFE -No UI Decisions UCX Only Decisions Line No. Higher Authority 2 Higher Authority 4 Higher Authority 6 100 1-8 13-20 22 -23 9-10 a 11-12 a SECTION B. Claimants Involved in State UI Appeals Cases by Status of Appeals Line No. Status of Appeals Single Claimant Appeals Multi -Claimant Appeals Higher Authority 9 Higher Authority 11 210 Disposed of During Month 1-8 22 b 13-21 23 c SECTION C. State UI Appeals Decisions by Type of Appellant Line No. UI Appeals Decisions Claimant Employer Other Higher Authority 15 Higher Authority 17 Higher Authority 19 300 Total 1 3 5 7 13 15 17 19 2 4 6 8 14 16 18 20 22-23 310 In favor of Appellant 1 5 13 17 2 6 14 18 aAlso includes multiclaimant UCFE and UCX decisions subpopulations that are not listed. bSingle claimant only cMulticlaimant only Table A.9.3 Relationship between ETA 9054B Report Cells and Subpopulations in Population 9 SECTION B. Higher Authority Appeals Time Lapse from Date Filed to Decision Date Days Intrastate Interstate Total C2 C3 1-4 9 11 13-16 22 -23 5-8 10 12 17-20 SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.65 M AY 2013 Populations 8 and 9 Notes 1. Column 8 Step 23B Multiclaimant appeals States will either store an individual record for each appeal or one record with the number of appellants. States that maintain a single record for multiclaimant appeals with a field for the number of claimants involved should insert a text prefix of M-1 for multi-one record in the multi-claimant field. States which maintain multiple records one for each claimant for a multi-claimant appeal should insert a text prefix of M-Lead for one of the records. Both of these types of records will be assigned to subpopulations 8.45 through 8.52 lower authority and 9.13 through 9.20 higher authority . States which maintain multiple records should insert a text prefix of M-Nonlead in the multiclaimant field for the non-lead claimants. These records will be assigned to subpopulations 8.53 lower authority and 9.21 higher authority . 2. Column 14 Disposed of by Decision is optional. States which have an indicator to distinguish countable from uncountable decisions should insert the value of the countable appeal indicator in this field to show that it is countable based on information in the appeals file 3. These populations include appeals for Short Time Compensation STC Program workshare claims. These records should be labeled as Workshare for Type of UI Program. See the software record layouts for more details. 4. Remanded cases by the higher authority are to be handled as follows. A case remanded to lower authority for the taking of additional evidence is not a decision. It thus does not belong in the Population 9 extract file until it is actually returned by the lower authority and then disposed of by the higher authority. A case that is remanded for a rehearing does involve a decision by the higher authority but it is neither in favor of the appellant nor not in favor of the appellant. Within the existing DV framework the Population 9 record should be built as Not in Favor of the Appellant. If a large number of remanded cases causes the Population 9 validation to fail note the number if the Comments field. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.66 M AY 2013 Table A.10.1 Population 10 Subpopulations Lower Authority Appeals Case Aging Appeals Pending at the End of the Month Being Validated Sort by Days Pending Within Each Category Subpopulation ETA 9055 Column 2 Step 1E Rule 1 SSN 3 Step 1E Rule 2 Docket Number Unique ID 4 Step 24A Appeal Level 5 Step 30B Rule 1 Appeal Pending 6 Step 32 Filed Date LOWER AUTHORITY APPEALS CASE AGING 10 .1 through 10.7 1 Supplemental sample --outliers 10.1 Section 9055L Age 25 days Required Required Lower Required 10.2 Section 9055L Age 26 -40 days Required Required LOWER Required 10.3 Section 9055L Age 41 -90 days Required Req uired LOWER Required 10.4 Section 9055L Age 91 -120 days Required Required Lower Required 10.5 Section 9055L Age 121 -180 days Required Required Lower Required 10.6 Section 9055L Age 181 -360 days Required Required Lower Required 10.7 Section 9055L Age 360 days Required Required Lower Required Ages are calculated from this date to the last day of the report period being validated. The software groups the transactions into each subpopulation on the basis of the date ranges given in ETA 9055 Column. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.67 M AY 2013 Table A.10.2 Relationship between ETA 9055 Report Cells and Subpopulations in Population 10 Age of Pending Lower Authority Single Claimant Appeals Cases DAYS Total Total 10.1 -10.7 25 10.1 26 -40 10.2 41 -90 10.3 91 -120 10.4 121 -180 10.5 181 -360 10.6 360 10.7 SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.68 M AY 2013 Table A.11.1 Population 11 Subpopulations Higher Authority Appeals Case Aging Appeals Pending at the End of the Month Being Validated Sort by Days Pending Within Each Category Subpopula tion ETA 9055 Column 2 Step 1F Rule 1 SSN 3 Step 1F Rule 2 Docket Number Unique ID 4 Step 24B Appeal Level 5 Step 30B Appeal Pending 6 Step 32 Filed Date HIGHER AUTHORITY APPEALS CASE AGING 11.1 through 11.6 1 Supp lemental sample --outliers 11.1 Section 9055H Age 40 days Required Required Higher Required 11.2 Section 9055H Age 41 -70 days Required Required Higher Required 11.3 Section 9055H Age 71 -120 days Required Required Higher Required 11.4 Section 9055H Age 121 -180 days Required Required Higher Required 11.5 Section 9055H Age 181 -360 days Required Required Higher Required 11.6 Section 9055H Age 360 days Required Required Higher Required Ages are calculated from this date to the last day of the report period being validated. The software groups the transactions into each subpopulation on the basis of the date ranges given in ETA 9055 Column. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.69 M AY 2013 Table A.11.2 Relationship between ETA 9055 Report Cells and Subpopulations in Population 11 Age of Pending Higher Authority Single Claimant Appeals Cases Days Total Total 11.1 -11.6 40 11.1 41 -70 11.2 71 -120 11.3 121 -180 11.4 181 -360 11.5 360 11.6 Populations 10 and 11 Notes 1. Capture the lower authority and higher authority appeals data at the end of the month. 2. Column 5 Step 30B Appeal Pending is an optional field for both Populations 10 and 11. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.70 M AY 2013 Table A.12.1 Population 12 Subpopulations Overpayments Established by Cause 2 3 4 5 6 7 8 9 10 11 12 13 14 Step 1G Rule 1 Step 1G Rule 2 Step 4 Step 33 Step 34 Step 36 Step 37A Step 37B Step 37C Step 45A Step 45B Step 45C Step 6A Step 6B Subpop ETA 227A Line and Column SSN Unique ID Progr am Type Type of Overpaym ent Cause of Overpaym ent Date Establis hed UI Amount a Federal Amount a EB Amount a Accumul ated UI Amount Accumulat ed Federal Amount Accumul ated EB Amount Date of Original Monetary OVERPAYMENTS 12.1 through 12.27 1 Random Sample 60 or 200 includes review of folders 2 Supplemental sample --missing strata 3 Supplemental sample --outliers by dollars 101 2 4 5 112 2 4 5 Required Required if State maintains a unique ID UI Fraud Single Claimant Within the Quarter 0 0 if joint claim otherwise blank or 0 Blank or 0 Blank or 0 Required 12.2 b 101 2 4 5 102 2 4 5 112 2 4 5 Required Required if State maintains a unique ID UI Fraud Multi Claimant Schemes c Within the Quarter 0 0 if joint claim otherwise blank or 0 Blank or 0 Blank or 0 Required 12.3 b 104 2 4 5 113 2 4 5 Required Required if State maintains a unique ID UI Nonfraud Reversals Within the Quarter 0 0 if joint claim otherwise blank or 0 Blank or 0 Blank or 0 Required 12. 4b 105 2 4 5 113 2 4 5 Required Required if State maintains a unique ID UI Nonfraud State Agency Errors c Within the Quarter 0 0 if joint claim otherwise blank or 0 Blank or 0 Blank or 0 Required 12.5 b 106 2 4 5 113 2 4 5 Required Re quired if State maintains a unique ID UI Nonfraud Employer Errors c Within the Quarter 0 0 if joint claim otherwise blank or 0 Blank or 0 Blank or 0 Required 12.6 b 107 2 4 5 113 2 4 5 Required Required if State maintains a unique ID UI Nonfraud Claimant Errors c Within the Quarter 0 0 if joint claim otherwise blank or 0 Blank or 0 Blank or 0 Required SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.71 M AY 2013 2 3 4 5 6 7 8 9 10 11 12 13 14 Step 1G Rule 1 Step 1G Rule 2 Step 4 Step 33 Step 34 Step 36 Step 37A Step 37B Step 37C Step 45A Step 45B Step 45C Step 6A Step 6B Subpop ETA 227A Line and Column SSN Unique ID Progr am Type Type of Overpaym ent Cause of Overpaym ent Date Establis hed UI Amount a Federal Amount a EB Amount a Accumul ated UI Amount Accumulat ed Federal Amount Accumul ated EB Amount Date of Original Monetary 12.7 b 108 2 4 5 113 2 4 5 Required Required if State maintains a unique ID UI Nonfraud Other Within the Quarter 0 0 if joint claim otherwise blank or 0 Blank or 0 Blank or 0 Required 12.8 b 109 4 5 Required Required if State maintains a unique ID UI Penalty Within the Quarter 0 0 if joint claim otherwise blank or 0 Blank or 0 Required 12.9 101 3 5 112 3 5 Required Required if State maintains a unique ID UCFE or UCX Fraud Single Claimant Within the Quarter Blank or 0 0 Blank or 0 Blank or 0 Blank or 0 Required 12.10 101 3 5 102 3 5 112 3 5 Required Required if State maintains a unique ID UCFE or UCX Fraud Multi Claimant Schemes c Within the Quarter Blank or 0 0 Blank or 0 Blank or 0 Blank or 0 Required 12.11 104 3 5 113 3 5 Required Required if State maintains a unique ID UCFE or UCX Nonfraud Reversals Within the Quarter Blank or 0 0 Blank or 0 Blank or 0 Blank or 0 Required 12.12 105 3 5 113 3 5 Required Required if State maintains a unique ID UCFE or UCX Nonfraud State Agency Errors c Within the Quarter Blank or 0 0 Blank or 0 Blank or 0 Blank or 0 Required 12.13 106 3 5 113 3 5 Required Required if State maintains a unique ID UCFE or UCX Nonfraud Employer Errors c Within the Quarter Blank or 0 0 Blank or 0 Blank or 0 Blank or 0 Required 12.14 107 3 5 113 3 5 Required Required if State maintains a unique ID UCFE or UCX Nonfraud Claimant Errors c Within the Quarter Blank or 0 0 Blank or 0 Blank or 0 Blank or 0 Required SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.72 M AY 2013 2 3 4 5 6 7 8 9 10 11 12 13 14 Step 1G Rule 1 Step 1G Rule 2 Step 4 Step 33 Step 34 Step 36 Step 37A Step 37B Step 37C Step 45A Step 45B Step 45C Step 6A Step 6B Subpop ETA 227A Line and Column SSN Unique ID Progr am Type Type of Overpaym ent Cause of Overpaym ent Date Establis hed UI Amount a Federal Amount a EB Amount a Accumul ated UI Amount Accumulat ed Federal Amount Accumul ated EB Amount Date of Original Monetary 12.15 108 3 5 113 3 5 Required Required if State maintains a unique ID UCFE or UCX Nonfraud Other Within the Quarter Blank or 0 0 Blan k or 0 Blank or 0 Blank or 0 Required 12.16 109 5 Required Required if State maintains a unique ID UCFE or UCX Penalty Within the Quarter Blank or 0 0 Blank or 0 12.17 b 101 2 4 5 111 2 4 5 112 2 4 5 Required Required if State maintains a unique ID UI Fraud Agency Employee Benefit Within the Quarter 0 0 if joint claim otherwise blank or 0 Blank or 0 Blank or 0 Required 12.18 101 3 5 111 3 5 112 3 5 Required Required if State maintains a unique ID UCFE or UCX Fraud Agency Employee Benefit Within the Quarter Blank or 0 0 Blank or 0 Blank or 0 Blank or 0 Required 12.19 101 20 21 112 20 21 Required Required if State maintains a unique ID EB Fraud Single Claimant Within the Quarter Blank or 0 Blank or 0 0 Blank or 0 Blank or 0 Required 12.20 101 20 21 102 20 21 112 20 21 Required Required if State maintains a unique ID EB Fraud Multi Claimant Schemes c Within the Quarter Blank or 0 Blank or 0 0 Blank or 0 Blank or 0 Required 12.21 101 20 21 111 20 21 112 20 21 Required Required if State maintains a unique ID EB Fraud Agency Employee Benefit Within the Quarter Blank or 0 Blank or 0 0 Blank or 0 Blank or 0 Required 12.22 104 20 21 113 20 21 Required Required if State maintains a uni que ID EB Nonfraud Reversals Within the Quarter Blank or 0 Blank or 0 0 Blank or 0 Blank or 0 Required SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.73 M AY 2013 2 3 4 5 6 7 8 9 10 11 12 13 14 Step 1G Rule 1 Step 1G Rule 2 Step 4 Step 33 Step 34 Step 36 Step 37A Step 37B Step 37C Step 45A Step 45B Step 45C Step 6A Step 6B Subpop ETA 227A Line and Column SSN Unique ID Progr am Type Type of Overpaym ent Cause of Overpaym ent Date Establis hed UI Amount a Federal Amount a EB Amount a Accumul ated UI Amount Accumulat ed Federal Amount Accumul ated EB Amount Date of Original Monetary 12.23 105 20 21 113 20 21 Required Required if State maintains a unique ID EB Nonfraud State Agency Errors c Within the Quarter Blank or 0 Blank or 0 0 Blank or 0 Blank or 0 Required 12.24 106 20 21 113 20 21 Required Required if State maintains a unique ID EB Nonfraud Employer Errors c Within the Quarter Blank or 0 Blank or 0 0 Blank or 0 Blank or 0 Required 12.25 107 20 21 113 2 0 21 Required Required if State maintains a unique ID EB Nonfraud Claimant Errors c Within the Quarter Blank or 0 Blank or 0 0 Blank or 0 Blank or 0 Required 12.26 108 20 21 113 20 21 Required Required if State maintains a unique ID EB Nonfraud Other Within the Quarter Blank or 0 Blank or 0 0 Blank or 0 Blank or 0 Required 12.27 109 21 Required Required if State maintains a unique ID EB Penalty Within the Quarter Blank or 0 Blank or 0 0 a To accommodate the special case when there is a claim that has no amount for a type of overpayment in the validation quarter but has an accumulated amount from previous quarters that needs to be used to calculate a high dollar overpayment the software will accept a zero or blank value in the UI Amount Federal Amount and EB Amount fields but the corresponding accumulated amount must be greater than zero. b For Subpopulations 12.1 through 12.8 and 12.17 the Federal amount is the Federal share of a joint UI-Federal claim. c These values are abbreviated in the record layout data format specifications see Appendix A of ETA Operations Guide 411 but are shown here in their entirety for informational purposes. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.74 M AY 2013 Table A.12.2 Relationship between ETA 227 Report Cells and Subpopulations in Population 12 A. PAGE 1 OF FORM A. OVERPAYMENT ESTABLISHED CAUSES Cause Line No. No. Number of Cases Dollar Amounts Schemes UI UCFE UCX EB UI UCFE UCX EB 1 2 3 20 4 5 21 Fraud Total 101 1 2 and 17 9 10 and 18 19 20 and 21 1 2 and 17 9 10 and 18 19 20 and 21 Multi Claimant Schemes 102 2 10 20 2 2 and 10 20 Cases of Agency Employee Benefit Fraud 111 17 18 21 17 17 and 18 21 High Dollar Fraud 112 1 2 and 17 9 10 and 18 19 20 and 21 1 2 and 17 1 2 9 10 17 and 18 19 20 and 21 Nonfraud Total 103 Rev ersals 104 3 11 22 3 3 and 11 22 State Agency Errors 105 4 12 23 4 4 and 12 23 Employer Errors 106 5 13 24 5 5 and 13 24 Claimant Errors 107 6 14 25 6 6 and 14 25 Other 108 7 15 26 7 7 and 15 26 High Dollar NonFraud 113 3-7 11 -15 22 -26 3-7 3-7 and 11- 15 22 -26 Penalty 109 8 8 and 16 27 Population 12 Notes 1. Subpopulations 12.1 12.8 and 12.17 Enter the Federal amount in Column 9 for joint claims. 2. Do not include revisions to overpayment amounts made in subsequent quarters. For example if an overpayment was established in March and a revision to the amount was made in April these revisions are reported in Population 13 as additions and subtractions but not reported in Population 12. 3. The cause of fraud overpayments must be either Multiclaimant schemes or Single Claimant. The software will reject records for fraud overpayments where the cause is SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.75 M AY 2013 not multiclaimant schemes or Single Claimant. States that use multiple codes for types of fraud committed by single claimants should use Single Claimant. 4. The accumulated amounts i.e. fields Accumulated UI Amount Accumulated Federal Amount and Accumulated EB Amount are used to calculate high dollar overpayments. Enter the total amount that the claim has from previous quarters that has not been counted already towards a high dollar overpayment in a previous quarter. For records belonging to the same claim the accumulated amount should be the same. The software will add the accumulated amount only once. 5. To accommodate the special case when there is a claim that has no amount for a type of overpayment in the validation quarter but has an accumulated amount from previous quarters that needs to be used to calculate a high dollar overpayment the software will accept a zero or blank value in the UI Amount Federal Amount and EB Amount fields but the corresponding accumulated amount must be greater than zero. For example if the claim has a nonfraud amount but no fraud amount in the validation quarter the validator needs to create a record with the accumulated fraud amount from previous quarters. The record should have the amount equal to zero the accumulated amount greater than zero and any date within the validation quarter as the date established. The software will accept records with the amount equal to zero only if the accumulated amount is greater than zero. For example if the Program Type is UI and the UI Amount 0 then Accumulated UI Amount 0 and or Accumulated Federal Amount 0 if it s a joint claim. If Program Type is UCX or UCFE and Federal Amount 0 then Accumulated Federal Amount 0. If Program Type is EB and EB Amount 0 then Accumulated EB Amount 0. This does not apply to Penalty records for which the accumulated amounts are always optional because they are not used to calculate high dollar overpayments. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.76 M AY 2013 Table A.13.1 Population 13 Subpopulations Overpayment Reconciliation Activities Overpayment Reconciliation Transaction Occurred During Reporting Quarter Being Validated ETA 227 Section C 2 3 4 5 6 7 8 9 10 Step 1H Step 1H Step 4 Step 33 Step 38 Step 39 Step 40A Step 40B Step 40C Rule 1 Rule 2 Sub ETA 227C pop Line and Column SSN Unique ID Program Type Type of Overpayment Type of Reconciliation Activity Date of Reconciliation Activity UI Reconciliation Amount Federal Reconciliation Amount a EB Reconciliation Amount OVERPAYMENT RECONCILIATION TRANSACTIONS 13.1 through 13.57 1 Random sample 30 or 100 includes review of f olders 2 Supplemental sample -missing strata 3 Supplemental sample --outliers by dollars 13.1 303 11 12 Required Required if State maintains a unique ID UI Fraud Cash Required 0 0 if joint claim otherwise blank or 0 Must be blank or 0 13.2 304 11 12 Required Required if State maintains a unique ID UI Fraud Benefit Offset Required 0 0 if joint claim otherwise blank or 0 Must be blank or 0 13.3 305 11 12 Required Required if State maintains a unique ID UI Fraud State Income Tax Offset Required 0 0 if joint claim otherwise blank or 0 Must be blank or 0 13.4 306 11 12 Required Required if State maintains a unique ID UI Fraud By Other State Required 0 0 if joint claim otherwise blank or 0 Must be blank or 0 13.5 307 11 1 2 Required Required if State maintains a unique ID UI Fraud Other Required 0 0 if joint claim otherwise blank or 0 Must be blank or 0 13.6 309 11 12 Required Required if State maintains a unique ID UI Fraud Write -Off Required 0 0 if joint cla im otherwise blank or 0 Must be blank or 0 13.7 310 11 12 Required Required if State maintains a unique ID UI Fraud Addition Required 0 0 if joint claim otherwise blank or 0 Must be blank or 0 13.8 311 11 12 Required Required if State maintains a unique ID UI Fraud Subtraction Required 0 0 if joint claim otherwise blank or 0 Must be blank or 0 SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.77 M AY 2013 2 3 4 5 6 7 8 9 10 Step 1H Step 1H Step 4 Step 33 Step 38 Step 39 Step 40A Step 40B Step 40C Rule 1 Rule 2 Sub ETA 227C pop Line and Column SSN Unique ID Program Type Type of Overpayment Type of Reconciliation Activity Date of Reconciliation Activity UI Reconciliation Amount Federal Reconciliation Amount a EB Reconciliation Amount 13.9 303 12 Required Required if State maintains a unique ID UCFE or UCX Fraud Cash Required Must be blank or 0 0 Must be blank or 0 13.10 304 12 Required Required if State maintains a unique ID UCFE or UCX Fraud Benefit Offset Required Must be blank or 0 0 Must be blank or 0 13.11 305 12 Required Required if State maintains a unique ID UCFE or UCX Fraud State Income Tax Offset Required Must be blank or 0 0 Must be blank or 0 13.12 306 12 Required Required if State maintains a unique ID UCFE or UCX Fraud By Other State Required Must be blank or 0 0 Must be blank or 0 13.13 307 12 Required Required if State maintains a unique ID UCFE or UCX Fraud Other Required Must be blank or 0 0 Must be blank or 0 13.14 309 12 Required Required if State maintains a unique ID UCFE or UCX Fraud Write -Off Required Must be blank or 0 0 Must be blank or 0 13.15 310 12 Required Required if State maintains a unique ID UCFE or UCX Fraud Addition Required Must be blank or 0 0 Must be blank or 0 13.16 311 12 Required Required if State maintains a unique ID UCFE or UCX Fraud Subtraction Required Must be blank or 0 0 Must be blank or 0 13.17 303 13 14 Required Required if State maintains a unique ID UI Nonfraud Cash Required 0 0 if joint claim otherwise blank or 0 Must be blank or 0 13.18 304 13 14 Required Required if State maintains a unique ID UI Nonfraud Benefit Offset Requ ired 0 0 if joint claim otherwise blank or 0 Must be blank or 0 13.19 305 13 14 Required Required if State maintains a unique ID UI Nonfraud State Income Tax Offset Required 0 0 if joint claim otherwise blank or 0 Must be blank or 0 13.20 306 13 14 Required Required if State maintains a unique ID UI Nonfraud By Other State Required 0 0 if joint claim otherwise blank or 0 Must be blank or 0 SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.78 M AY 2013 2 3 4 5 6 7 8 9 10 Step 1H Step 1H Step 4 Step 33 Step 38 Step 39 Step 40A Step 40B Step 40C Rule 1 Rule 2 Sub ETA 227C pop Line and Column SSN Unique ID Program Type Type of Overpayment Type of Reconciliation Activity Date of Reconciliation Activity UI Reconciliation Amount Federal Reconciliation Amount a EB Reconciliation Amount 13.21 307 13 14 Required Required if State maintains a unique ID UI Nonfraud Other Required 0 0 if joint claim otherwise blank or 0 Must be blank or 0 13.22 308 13 14 Required Required if State maintains a unique ID UI Nonfraud Waived Required 0 0 if joint claim otherwise blank or 0 Must be blank or 0 13.23 309 13 14 Required Required if State maintains a unique ID UI Nonfraud Write -Off Required 0 0 if joint claim otherwise blank or 0 Must be blank or 0 13.24 310 13 14 Required Required if State maintains a unique ID UI Nonfraud Addition Required 0 0 if joint claim otherwise blank or 0 Must be blank or 0 13.25 311 13 14 Required Required if State maintains a unique ID UI Nonfraud Subtraction Required 0 0 if joint claim otherwise blank or 0 Must be blank or 0 13.26 303 14 Required Required if State maintains a unique ID UCFE or UCX Nonfraud Cash Required Must be blank or 0 0 Must be blank or 0 13.27 304 14 Required Required if State maintains a unique ID UCFE or UCX Nonfraud Benefit Offset Required Must be blank or 0 0 Must be blank or 0 13.28 305 14 Required Required if State maintains a unique ID UCFE or UCX Nonfraud State Income Tax Offset Required Must be blank or 0 0 Must be blank or 0 13.29 306 14 Required Required if State maintains a unique ID UCFE or UCX Nonfraud By Other State Requ ired Must be blank or 0 0 Must be blank or 0 13.30 307 14 Required Required if State maintains a unique ID UCFE or UCX Nonfraud Other Required Must be blank or 0 0 Must be blank or 0 13.31 308 14 Required Required if State maintains a unique ID UCFE or UCX Nonfraud Waived Required Must be blank or 0 0 Must be blank or 0 13.32 309 14 Required Required if State maintains a unique ID UCFE or UCX Nonfraud Write -Off Required Must be blank or 0 0 Must be blank or 0 SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.79 M AY 2013 2 3 4 5 6 7 8 9 10 Step 1H Step 1H Step 4 Step 33 Step 38 Step 39 Step 40A Step 40B Step 40C Rule 1 Rule 2 Sub ETA 227C pop Line and Column SSN Unique ID Program Type Type of Overpayment Type of Reconciliation Activity Date of Reconciliation Activity UI Reconciliation Amount Federal Reconciliation Amount a EB Reconciliation Amount 13.33 310 14 Required Requir ed if State maintains a unique ID UCFE or UCX Nonfraud Addition Required Must be blank or 0 0 Must be blank or 0 13.34 311 14 Required Required if State maintains a unique ID UCFE or UCX Nonfraud Subtraction Required Must be blank or 0 0 Must be blank or 0 13.35 303 22 Required Required if State maintains a unique ID EB Fraud Cash Required Must be blank or 0 Must be blank or 0 0 13.36 304 22 Required Required if State maintains a unique ID EB Fraud Benefit Offset Required Must be blank or 0 Must be blank or 0 0 13.37 305 22 Required Required if State maintains a unique ID EB Fraud State Income Tax Offset Required Must be blank or 0 Must be blank or 0 0 13.38 306 22 Required Required if State maintains a unique ID EB Fraud By Other S tate Required Must be blank or 0 Must be blank or 0 0 13.39 307 22 Required Required if State maintains a unique ID EB Fraud Other Required Must be blank or 0 Must be blank or 0 0 13.40 309 22 Required Required if State maintains a unique ID EB Fraud Write -Off Required Must be blank or 0 Must be blank or 0 0 13.41 310 22 Required Required if State maintains a unique ID EB Fraud Addition Required Must be blank or 0 Must be blank or 0 0 13.42 311 22 Required Required if State maintains a unique ID EB Fraud Subtraction Required Must be blank or 0 Must be blank or 0 0 13.43 303 23 Required Required if State maintains a unique ID EB Nonfraud Cash Required Must be blank or 0 Must be blank or 0 0 13.44 304 23 Required Required if State maintains a unique ID EB Nonfraud Benefit Offset Required Must be blank or 0 Must be blank or 0 0 SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.80 M AY 2013 2 3 4 5 6 7 8 9 10 Step 1H Step 1H Step 4 Step 33 Step 38 Step 39 Step 40A Step 40B Step 40C Rule 1 Rule 2 Sub ETA 227C pop Line and Column SSN Unique ID Program Type Type of Overpayment Type of Reconciliation Activity Date of Reconciliation Activity UI Reconciliation Amount Federal Reconciliation Amount a EB Reconciliation Amount 13.45 305 23 Required Required if State maintains a unique ID EB Nonfraud State Income Tax Offset Required Must be blank or 0 Must be blank or 0 0 13.46 306 23 Required Required if State maintains a unique ID EB Nonfraud By Other State Required Must be blank or 0 Must be blank or 0 0 13.47 307 23 Required Required if State maintains a unique ID EB Nonfraud Other Required Must be blank or 0 Must be blank or 0 0 13.48 308 23 Required Required if State maintains a unique ID EB Nonfraud Waived Required Must be blank or 0 Must be blank or 0 0 13.49 309 23 Required Required if State maintains a unique ID EB Nonfraud Write -Off Required Must be blank or 0 Must be blank or 0 0 13.50 310 23 Required Required if State maintains a unique ID EB Nonfraud Addition Required Must be blank or 0 Must be blank or 0 0 13.51 311 23 Required Required if State maintains a unique ID EB Nonfraud Subtra ction Required Must be blank or 0 Must be blank or 0 0 13.52 314 11 12 Required Required if State maintains a unique ID UI Fraud Federal Income Tax Offset Required 0 0 if joint claim otherwise blank or 0 Must be blank or 0 13.53 314 12 Requi red Required if State maintains a unique ID UCFE or UCX Fraud Federal Income Tax Offset Required Must be blank or 0 0 Must be blank or 0 13.54 314 13 14 Required Required if State maintains a unique ID UI Nonfraud Federal Income Tax Offset Required 0 0 if joint claim otherwise blank or 0 Must be blank or 0 13.55 314 14 Required Required if State maintains a unique ID UCFE or UCX Nonfraud Federal Income Tax Offset Required Must be blank or 0 0 Must be blank or 0 13.56 314 22 Required Required if State maintains a unique ID EB Fraud Federal Income Tax Offset Required Must be blank or 0 Must be blank or 0 0 SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.81 M AY 2013 2 3 4 5 6 7 8 9 10 Step 1H Step 1H Step 4 Step 33 Step 38 Step 39 Step 40A Step 40B Step 40C Rule 1 Rule 2 Sub ETA 227C pop Line and Column SSN Unique ID Program Type Type of Overpayment Type of Reconciliation Activity Date of Reconciliation Activity UI Reconciliation Amount Federal Reconciliation Amount a EB Reconciliation Amount 13.57 314 23 Required Required if State maintains a unique ID EB Nonfraud Federal Income Tax Offset Required Must be blank or 0 Must be blank or 0 0 These values are abbreviated in the record layout data format specifications see Appendix A of ETA Operations Guide 411 but are shown here in their entirety for informational purposes. a For Subpopulations 13.1 through 13.8 13.17 through 13.25 13.52 and 13.54 the Federal amount is the Federal share of a joint UI-Federal claim. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.82 M AY 2013 Table A.13.2 Relationship between ETA 227 Report Cells and Subpopulations in Population 13 C. PAGE 2 OF FORM C. RECOVERY RECONCILIATION Line Dollar Amount No. Fraud Nonfraud UI UCFE UCX EB UI UCFE UCX EB 11 12 22 13 14 23 Recovered - Total 302 Cash 303 1 1 and 9 35 17 17 and 26 43 Benefit Offset 304 2 2 and 10 36 18 18 and 27 44 State Income Tax Offset 305 3 3 and 11 37 19 19 and 28 45 Federal Income Tax Offset 314 52 52 and 53 56 54 54 and 55 57 By Other States 306 4 4 and 12 38 20 20 and 29 46 Other 307 5 5 and 13 39 21 21 and 30 47 Waived 308 22 22 and 31 48 Written -Off 309 6 6 and 14 40 23 23 and 32 49 Additions 310 7 7 and 15 41 24 24 and 33 50 Subtractions 311 8 8 and 16 42 25 25 and 34 51 Population 13 Notes 1. Reconstructing this population requires a detailed transaction history file that associates activities Column 6 with particular overpayment types Column 5 . 2. Subpopulations 13.1-13.8 13.17-13.25 13.52 and 13.54 . Enter the Federal amount in Column 9 for joint claims field number 9 on the record layout . SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.83 M AY 2013 3. Column 6 Type of Reconciliation Activity . Additions include payments made on previously removed balances. Otherwise additions and subtractions reflect changes in the balance resulting from administrative decisions such as appeal reversals. 4. The validation of Receivables Removed at the End of the Period occurs in Population 14. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.84 M AY 2013 Table A.14.1 Population 14 Subpopulations Age of Overpayments 2 3 4 5 6 7 8 9 10 Step 1G Step 1G Step 36 Step 4 Step 44 Step 33 Step 42A Step 42B Step 42C ETA 227C Rule 1 Rule 2 ETA 2 27E Type of UI Federal EB Sub Report Line SSN Unique ID Date Established Program Active Overpaym ent Balance at Balance at Balance at pop and Column Type Collection End of Qtr End of Qtr End of Qtr 14.1 E501 18 19 Age 90 days Required Required if State maintains a unique ID Required a UI 0 0 if joint claim otherwise blank or 0 Must be blank or 0 14.2 E502 18 19 Age 91-180 days Required Required if State maintains a unique ID Required a UI 0 0 if joint claim otherwise blank or 0 Must be blank or 0 14.3 E503 18 19 Age 181-270 days Required Required if State maintains a unique ID Required a UI 0 0 if joint claim otherwise blank or 0 Must be blank or 0 14.4 E504 18 19 Age 271-360 days Required Require d if State maintains a unique ID Required a UI 0 0 if joint claim otherwise blank or 0 Must be blank or 0 14.5 E505 18 19 Age 361-450 days Required Required if State maintains a unique ID Required a UI 0 0 if joint claim otherwise blank or 0 Must be blank or 0 14.6 E506 18 19 Age 450 days Required Required if State maintains a unique ID Required a UI Y or N 0 0 if joint claim otherwise blank or 0 Must be blank or 0 14.7 E501 19 Age 90 days Required Required if State maintains a unique ID Required a UCFE or UCX Must be blank or 0 0 Must be blank or 0 14.8 E502 19 Age 91-180 days Required Required if State maintains a unique ID Required a UCFE or UCX Must be blank or 0 0 Must be blank or 0 14.9 E503 19 Age 181 -270 days Required Required if State maintains a unique ID Required a UCFE or UCX Must be blank or 0 0 Must be blank or 0 SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.85 M AY 2013 2 3 4 5 6 7 8 9 10 Step 1G Step 1G Step 36 Step 4 Step 44 Step 33 Step 42A Step 42B Step 42C ETA 227C Rule 1 Rule 2 ETA 2 27E Type of UI Federal EB Sub Report Line SSN Unique ID Date Established Program Active Overpaym ent Balance at Balance at Balance at pop and Column Type Collection End of Qtr End of Qtr End of Qtr 14.10 E504 19 Age 271 -360 days Required Required if State maintains a unique ID Required a UCFE or UCX Must be blank or 0 0 Must be blank or 0 14.11 E505 19 Age 361 -450 days Required Required if State maintains a unique ID Required a UCFE or UCX Must be blank or 0 0 Must be blank or 0 14.12 E506 19 Age 450 days Required Required if State maintains a unique ID Required a UCFE or UCX Y or N Must be blank or 0 0 Must be blank or 0 14.13 C312 11 12 Required Required if State maintains a unique ID Required b UI N or D Fraud 0 0 if joint claim otherwise blank or 0 Must be blank or 0 14.14 C312 13 14 Required Required if State maintains a unique ID Required b UI N or D Nonfraud 0 0 if joint claim otherwise blank or 0 Must be blank or 0 14.15 C312 12 Required Required if State maintains a un ique ID Required b UCFE or UCX N or D Fraud Must be blank or 0 0 Must be blank or 0 14.16 C312 14 Required Required if State maintains a unique ID Required b UCFE or UCX N or D Nonfraud Must be blank or 0 0 Must be blank or 0 14.17 C312 22 Required Required if State maintains a unique ID Required b EB N or D Fraud Must be blank or 0 Must be blank or 0 0 14.18 C312 23 Required Required if State maintains a unique ID Required b EB N or D Nonfraud Must be blank or 0 Must be blank or 0 0 14.19 E501 25 Age 90 days Required Required if State maintains a unique ID Required a EB Must be blank or 0 Must be blank or 0 0 14.20 E502 25 Age 91 -180 days Required Required if State maintains a unique ID Required a EB Must be blank or 0 Mus t be blank or 0 0 14.21 E503 25 Age 181 -270 days Required Required if State maintains a unique ID Required a EB Must be blank or 0 Must be blank or 0 0 14.22 E504 25 Age 271-360 days Required Required if State maintains a unique ID Required a EB Must be blank or 0 Must be blank or 0 0 14.23 E505 25 Age 361 -450 days Required Required if State maintains a unique ID Required a EB Must be blank or 0 Must be blank or 0 0 14.24 E506 25 Age 450 days Required Required if State maintai ns a unique ID Required a EB Y or N Must be blank or 0 Must be blank or 0 0 Column 4 SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.86 M AY 2013 aAges are calculated from this date to the last day of the report period being validated. The software groups the transactions into each subpopulation on the basis of the date ranges given in ETA 227C ETA 227E Report Line and Column. bThese overpayments have been reported in line 506 18 19 in at least 3 prior quarters. Column 6 Y Yes overpayment in active collection throughout the report quarter. Overpayment records must be coded with N or Y as soon as they are old enough to be reported in E-506 18 or 19 Age 451 days. N No overpayment not in active collection at the end of the report quarter. Records of overpayments not in active collection must be coded with N as soon as they are old enough to be reported in E-506 18 or 19 --Age 451 days--and will be removed after having been reported in Section E for eight previous quarters. D Dropped overpayment not in active collection at the end of the report quarter after being in active collection throughout or at least at the end of the prior quarter and reported in Section E at least nine previous quarters. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.87 M AY 2013 Table A.1 4.2 Relationship between ETA 227 Report Cells and Subpopulations in Population 14 E. PAGE 3 OF FORM SECTION E AGING OF BENEFIT OVERPAYMENT ACCOUNTS Dollar Amounts Accounts Receivable Line No. UI UCFE UCX EB 18 19 25 90 days or less 501 1 1 and 7 19 91 180 days 502 2 2 and 8 20 181 270 days 503 3 3 and 9 21 271 360 days 504 4 4 and 10 22 361 450 days 505 5 5 and 11 23 451 days or more 506 6 6 and 12 24 Total Accounts Receivable 507 Table A.1 4.3 Relationship between ETA 227 Report Cells and Subpopulations in Population 14 C. PAGE 2 OF FORM C. RECOVERY RECONCILIATION Line Dollar Amount No. Fraud Nonfraud UI UCFE U CX EB UI UCFE UC X EB 11 12 22 13 14 23 Receivables Removed at End of Period 312 13 13 15 17 14 14 16 18 SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.88 M AY 2013 Population 14 Notes 1. Population 14 has been designed to process a state s entire outstanding overpayments file and generate Section E of the ETA 227 Report Age of Outstanding Overpayments Amounts removed on Section C of the ETA 227 Report Overpayments Reconciliation Activities Row 312 The validation of amounts removed in Section C uses the population 14 file and not the population 13 file which validates Section C because removal is determined by examining outstanding overpayments. The software will ignore any overpayments that are included in the extract file that are too old to be included in Section E and are not removed during the quarter. Overpayments are not removed automatically when they have been included on the previous eight 227 reports. If the overpayment is in Active Collection status in the ninth quarter after it was established it is not removed until the state indicates that it has dropped the Active Collection status. Therefore states must label each outstanding overpayment that has been reported on eight 227 reports in Column 6 Active Collection as either Yes in active collection. These overpayments will not be removed and will be included in section E greater than 450 days . No not in active collection. These overpayments will be removed not included in section E but included in Section C line 12 in the ninth quarter after the date established. Any overpayment greater than nine quarters old with a no in Column 7 is not included in Sections C or E. Dropped the overpayment has been reported for 9 or more quarters and was in active collection in the prior quarter but has been dropped during the report quarter from active collection status. These payments will be included in Section C line 12 as removed during the quarter. 2. Overpayment in Active Collection Overpayments for which a payment schedule is established with the claimant or for which offsets are being collected. 3. Section C of the ETA 227 report requires the amounts removed to be identified as fraud or non-fraud. Therefore a value of fraud or non-fraud is required in Column 8 for overpayments which had been reported for eight quarters and are not in active collection or overpayments which had been reported for nine or more quarters and the state dropped active collection during the quarter. SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.89 M AY 2013 Table A.15.1 Population 15 Subpopulations Overpayments Established by Method 2 3 4 5 6 7 8 Step 1G Step 1G Step 33 Step 35 Step 36 Step 37A Step 46 Rule 1 Rule 2 Step 37B Subpop ETA 227B Line and Column SSN Unique ID Type of Overpayment Detection Method Date Established Amount Overpayment Established by Investigation OVERPAYMENTS 15.01 through 15.21 1 Random Sample 60 or 200 includes review o f folders 2 Supplemental sample --missing strata 15.01 202 6 Required Required if State maintains a unique ID Must be blank Wage Crossmatch Required Must be blank or 0 N 15.02 203 6 Required Required if State maintains a unique ID Must be blank IB Crossmatch Required Must be blank or 0 N 15.03 210 6 Required Required if State maintains a unique ID Must be blank NDNH Required Must be blank or 0 N 15.04 204 6 Required Required if State maintains a unique ID Must be blank SDNH Required Must be b lank or 0 N 15.05 205 6 Required Required if State maintains a unique ID Must be blank Multiclaimant Required Must be blank or 0 N 15.06 206 6 Required Required if State maintains a unique ID Must be blank Special Project Required Must be blank or 0 N 15.07 202 6 7 8 Required Required if State maintains a unique ID Fraud Wage Crossmatch Required 0 Y 15.08 203 6 7 8 Required Required if State maintains a unique ID Fraud IB Crossmatch Required 0 Y 15.09 210 6 7 8 Required Required if State maintains a unique ID Fraud NDNH Required 0 Y 15.10 204 6 7 8 Required Required if State maintains a unique ID Fraud SDNH Required 0 Y 15.11 205 6 7 8 Required Required if State maintains a unique ID Fraud Multiclaimant Required 0 Y 15.12 206 6 7 8 Required Required if State maintains a unique ID Fraud Special Project Required 0 Y SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.90 M AY 2013 2 3 4 5 6 7 8 Step 1G Step 1G Step 33 Step 35 Step 36 Step 37A Step 46 Rule 1 Rule 2 Step 37B Subpop ETA 227B Line and Column SSN Unique ID Type of Overpayment Detection Method Date Established Amount Overpayment Established by Investigation 15.13 207 7 8 Required Required if State maintains a unique ID Fraud Other Controllable Required 0 15.14 208 7 8 Required Required if State maintains a unique ID Fraud Noncontrollable Required 0 15.15 202 6 9 10 Required Required if State maintains a unique ID Nonfraud Wage Crossmatch Required 0 Y 15.16 203 6 9 10 Required Required if State maintains a unique ID Nonfraud IB Crossmatch Required 0 Y 15.17 210 6 9 10 Required Required if State maintains a unique ID Nonfraud NDNH Required 0 Y 15.18 204 6 9 10 Required Required if State maintains a unique ID Nonfraud SDNH Required 0 Y 15.19 206 6 9 10 Required Re quired if State maintains a unique ID Nonfraud Special Project Required 0 Y 15.20 207 9 10 Required Required if State maintains a unique ID Nonfraud Other Controllable Required 0 15.21 208 9 10 Required Required if State maintains a unique ID Nonfraud Noncontrollable Required 0 SUBPOPULATION SPECIFICATIONS A PPENDIX A UI DV HANDBOOK BENEFITS A.88 M AY 2013 Table A.15.2 Relationship between ETA 227 Report Cells and Subpopulations in Population 15 Population 15 Notes 1. Do not include revisions to overpayment amounts made in subsequent quarters. For example if an overpayment was established in March and a revision to the amount was made in April these revisions are reported in Population 13 as additions and subtractions but not reported in Population 15. 2. Subpopulations 15.13 15.14 15.20 15.21. States are not required to report whether Other Controllable or Non-controllable overpayments were established by investigation and so Field 8 Established by Investigation is optional for these overpayment detection types. A Non-controllable overpayment rarely involves an agency investigation. 3. Subpopulations 15.01-15.06. These represent potential or likely overpayments which after investigation were not established either because the investigation could not substantiate the existence of an overpayment or because the amount was too small for recovery to be cost-effective. An example of the former would be the investigation of SDNH NDNH or other cross-match hits. SECTION B. OVERPAYMENTS ESTABLISHED - METHODS OF DETECTION Method Line No. Number of Cases Investigated 6 Fraud NonFraud Number of Cases 7 Dollars 8 Number of Cases 9 Dollars 10 Controllable - Total 201 Wage Benefit Crossmatch 202 1 7 15 7 7 15 15 IB Crossmatch 203 2 8 16 8 8 16 16 National Directory of New Hires 210 3 9 17 9 9 17 17 State Directory of New Hires 204 4 10 18 10 10 18 18 Multi -Claimant Scheme Systems 205 5 11 11 11 Special Project 206 6 12 19 12 12 19 19 Other 207 13 13 20 20 Noncontrollable - Total 208 14 14 21 21 Total - Controllable and Noncon trollable 209 APPENDIX B Benefits SAMPLE SPECIFICATIONS SAMPLE SPECIFICATIONS A PPENDIX B UI DV HANDBOOK BENEFITS B.1 M AY 2013 A. Purpose This appendix describes the sampling specifications used by the software to select samples of transactions for data element validation. B. T YPES OF SAMPLES The validation software uses specific random and supplemental sampling techniques to ensure that the validation methodology is efficient but thorough. The software selects four different types of samples Random Missing subpopulations Outliers Minimum There are 18 random samples among all benefits populations. These samples pass with an error rate of 5 or less. If a random sample fails to pass validation the population must be revalidated within a year. Non-random samples are supplemental and are not used when calculating population pass fail scores but states must complete them and save their results for three years in case of an Office of Inspector General OIG audit. C. Random Samples Random samples are used to validate the most important transaction types for which ETA requires the most comprehensive validation. These transaction types are used for funding or for important performance measures such as initial claims nonmonetary determinations appeals and first payments. The DV program uses a two-tier random sampling method. This approach is very efficient because it allows states to review a relatively small number of cases while still ensuring that the data meet UI validation standards. Depending on the type of transactions to be validated the software selects 100 or 200 cases at random from a specific set of subpopulations. The validator initially reviews 30 cases for samples of 100 records or 60 for samples of 200 records referred to as the first tier of the sample. After the validator finishes validating the first tier the software indicates whether it is necessary to continue to review the remaining cases. If there are no errors or a sufficiently large number of errors in the first tier it is not necessary to validate the remaining cases because the error rate of the whole sample is conclusively below 5 or above 5 . It is only necessary to validate the remaining cases when the error rate is not SAMPLE SPECIFICATIONS A PPENDIX B UI DV HANDBOOK BENEFITS B.2 M AY 2013 conclusively below or above 5 . The method the software uses to determine pass fail scores follows. Specifications for each type of random sample are found in Table B.1 on page B.5. Procedures for reviewing 30 100 samples Step 1 Review the 30 cases in the first tier. 0 errors the error rate is considered to be below 5 and it is not necessary to review the remaining cases in the sample. The sample passes validation. 5 or more errors the error rate is considered to be above 5 and it is not necessary to review the remaining cases in the sample. The sample fails validation. 1 - 4 errors the error rate is inconclusive and the remaining 70 cases in the second tier of the sample must be reviewed proceed to step 2 Step 2 Review the remaining 70 cases in the second tier. 9 or fewer errors out of 100 the error rate is considered to be below 5 and hence the sample passes the validation. 10 or more errors out of 100 the error rate is considered to be above 5 and hence the sample fails the validation. Procedures for reviewing 60 200 samples Step 1 Review the 60 cases in the first tier. 0 errors the error rate is considered to be below 5 and it is not necessary to review the remaining cases in the sample. The sample passes validation. 7 or more errors the error rate is considered to be above 5 and it is not necessary to review the remaining cases in the sample. The sample fails validation. 1 - 6 errors the error rate is inconclusive and the remaining 140 cases in the second tier of the sample must be reviewed proceed to step 2 . Step 2 Review of the remaining 140 cases in the second tier 16 or fewer errors out of 200 the error rate is considered to be below 5 and hence the sample passes the validation SAMPLE SPECIFICATIONS A PPENDIX B UI DV HANDBOOK BENEFITS B.3 M AY 2013 17 or more errors out of 200 the error rate is considered to be above 5 and hence the sample fails the validation D. Missing Subpopulations Samples Each missing subpopulations sample is related to a specific random sample. These are supplemental samples that check one transaction from each subpopulation for which no transactions were selected in the corresponding random sample. The purpose of these samples is to make sure that all types of critical transactions are reviewed. For example when selecting a random sample of first payments the sample might not include any interstate first payments for claimants with both state UI and Federal wages subpopulation 4.12 because this type of payment might occur infrequently. For the corresponding minimum sample the software would then randomly select one transaction from subpopulation 4.12 and from any other subpopulation not represented in the random sample. E. Outliers Samples Random and missing subpopulations samples ensure that critical transactions have been defined correctly. However these types of samples will not necessarily examine time lapse and dollar amount extremes the shortest and longest time lapses and the lowest and highest dollar amounts where data or programming errors may occur. Review of data outliers is the most efficient way of detecting calculation or logic errors because it examines the extremes in a distribution of cases sorted by time lapse or dollar amount. For example to ensure that there are no calculation or date errors the software draws the five cases with the lowest time lapse in days and the five cases with the highest time lapse in days for transactions subjected to time lapse measurement. The user then validates these cases to determine whether there are some anomalies. The same method is applied for transactions that report dollar amounts such as overpayments established and overpayment reconciliation activities. Specifications for each outliers sample are found in Table B.1. F. Minimum Samples Supplemental minimum samples are used for transactions which have low priority for validation and for which no random sample is drawn by the software. For these types of transactions it is only necessary to ensure that the state reporting software uses the correct fields in the database to process and report the transactions. For example for new UCFE UCX claims subpopulations 3.15-3.18 only a supplemental sample of two cases per subpopulation or eight cases in total is reviewed and no random sample is drawn. Specifications for each supplemental minimum sample are found in Table B.1. G. SAMPLE SELECTION SPECIFICATIONS Table B.1 summarizes the sampling specifications. It lists all samples drawn by the software SAMPLE SPECIFICATIONS A PPENDIX B UI DV HANDBOOK BENEFITS B.4 M AY 2013 along with the subpopulations sampled the sample size the sample name the sample type and the corresponding RV group. For example Sample 100 is a random sample of 200 records selected from subpopulations 1.1 through 1.3 intrastate weeks claimed related to Group 1.01 of the RV. The following is a description of each column in Table B.1 Column 1 Sample number Column 2 Type of Transaction population Column 3 Sample ID corresponds to the sample numbers in the software Column 4 Sample Name of sampled subset Column 5 Type and size of sample shows whether the sampled transactions come from a random minimum missing subpopulation or outlier sample and the required sample size Column 6 Universe subpopulations subset from which each sample is derived Column 7 Group Number for the corresponding RV Pass Fail group Column 8 Group Name for the corresponding RV Pass Fail group SAMPLE SPECIFICATIONS A PPENDIX B UI DV HANDBOOK BENEFITS B.5 M AY 2013 Table B.1 Sample Specifications Benefits Population Data Element Validation Samples Pass Fail Groups 1 2 3 4 5 6 7 8 Pop Type of Transaction Sample ID Sample Name Type and Size Universe Subpops Group Number Group Name 1 Weeks Claimed 100 Intrastate Weeks Claimed Random 60 200 1.1 -1.3 1.01 5159 Intrastate Weeks Claimed 110 Interstate Liable Weeks Claimed Random 30 100 1.4 -1.6 1.02 5159 Interstate Liable Weeks Claimed 120 Interstate Weeks Claimed from Agent Minimum --6 1.7 -1.9 1.03 5159 Interstate Weeks Claimed Filed from Agent State 2 Final Payments 200 Final Payments Random 30 100 2.1 -2.4 2.01 5159 Final Payments 2.02 218 Final Payments 3 Claims 300 New Intra Inter Liable Claims Random 60 200 3.1 -3.18 3.01 5159 New Intrastate Interstate Received as Liable 301 New Intra Inter Liable Claims Missing Subpops 17 3.1 -3.18 3.02 5159 Filed from Agent 305 Interstate Filed from Agent Minimum --6 3.19 -3.21 3.03 5159 Taken as Agent 310 Interstate Taken as Agent Minimum--6 3.22-3.24 3.08 218 Total Determinations 315 Intra and Inter Transitiona l Claims Random 30 100 3.25 -3.33 3.04 5159 Transitional 320 CWC Claims Random 30 100 3.34 -3.39 3.06 586 New CWC 321 CWC Claims Missing Subpops 5 3.34 -3.39 3.07 586 New CWC BY Established 325 Monetary Sent w o New Claim Minimum --12 3.40 -3.45 3.09 218 Total Benefit Year Established 330 Entering Self Employment Program Minimum --2 3.46 3.1 218 BY Established by Weeks 3a Additional Claims 350 Intrastate Additional Claims Random 60 200 3A.1 -3A.3 3A.1 5159 Additional Intrastate 360 Interstate L iable Additional Claims Minimum --6 3A.4 -3A.6 SAMPLE SPECIFICATIONS A PPENDIX B UI DV HANDBOOK BENEFITS B.6 M AY 2013 Benefits Population Data Element Validation Samples Pass Fail Groups 1 2 3 4 5 6 7 8 Pop Type of Transaction Sample ID Sample Name Type and Size Universe Subpops Group Number Group Name 4 Payments 400 First Payments Random 60 200 4.1-4.16 4.01 9050 First Payments 405 First Payments Missing Subpops 15 4.1 -4.16 4.02 9050 Partial First Payments 410 First Payments Outliers --10 4.1 4.3 4.5 4.7 4.9 4.11 4.13 4.15 4.03 9051 Continued Weeks Compensated 415 Continued Weeks Total Payments Outliers --10 4.17 -4.24 4.05 586 Weeks Co mpensated 420 Continued Weeks Partial Payments Random 30 100 4.25 -4.32 4.04 9051 Continued Partial Weeks Compensated 425 Adjusted Payments Outliers--10 4.33-4.42 4.06 586 Prior Weeks Compensated 430 Self Employment Payments Minimum --2 4.43 4.07 586 Benefits Paid 435 CWC First Payments Random 30 100 4.44-4.45 4.09 586 CWC First Payments 440 CWC Continued Payments Minimum --4 4.46 -4.47 4.08 586 Prior Benefits Paid 445 CWC Adjusted Payments Minimum--4 4.48-4.49 4.1 5159 UI Weeks Compensated 450 CWC Prior Weeks Compensated Minimum --4 4.50 -4.51 4.11 5159 UCFE UCX Weeks Compensated 4.12 5159 UI Amount Paid 4.13 5159 UCFE UCX Amount Paid 5 Nonmonetary Determinations 500 Single Claimant Nonmon Determinations Random 30 100 5.1-5.60 5.09 9052 Single Claimant Non Monetary Determinations 501 Single Claimant Nonmon Determinations Missing Subpops 59 5.1 -5.60 5.01 207 Total Single Claimant Determinations and UCFE UCX Redet erminations 505 Single Claimant Nonmon Determinations Outliers --10 5.1 -5.60 5.03 207 Single Claimant Denials 510 UI Multi-Claimant Determinations Minimum--8 5.61-5.64 5.04 and 5.10 207 and 9052 Multi -Claimant Non Monetary Determinations 520 Single Claimant Redeterminations Random 30 100 5.65 -5.70 5.02 207 UI Single Claimant Redeterminations 5.05 207 Separation Determinations 5.06 207 Separation Denials 5.07 207 UI Non Separation Determinations 5.08 207 UI Non Separation Denials SAMPLE SPECIFICATIONS A PPENDIX B UI DV HANDBOOK BENEFITS B.7 M AY 2013 Benefits Population Data Element Validation Samples Pass Fail Groups 1 2 3 4 5 6 7 8 Pop Type of Transaction Sample ID Sample Name Type and Size Universe Subpops Group Number Group Name 6 Appeals Filed Lower Authority 600 Appeals Filed Lower Authority Minimum--4 6.1-6.2 6.01 5130 Lower Authority Appeals 7 Appeals Filed Higher Authority 700 Appeals Filed Higher Authority Minimum --4 7.1 -7.2 7.01 5130 Higher Authority Appeals 8 Appeals Decisions Lower Authority 800 Lower Authority Appeals Decisions Random 60 200 8.1-8.52 8.54 -8.55 8.01 5130 All Decisio ns 8.06 9054 All Appeals 810 Lower Authority Appeals Decisions Missing Subpops 21 8.33- 8.52 8.54-8.55 8.02 5130 UI Disposed of During Month 820 Lower Authority Appeals Decisions Outliers --10 8.1-8.52 8.54 -8.55 8.03 5130 UI Decisions by Type 8.04 5130 UI in Favor of Appellant 8.05 5130 U I Decisions by Issue 9 Appeals Decisions Higher Authority 900 Higher Authority Appeals Decisions Random 30 100 9.1-9.20 9.22 -9.23 9.01 5130 All Decisions 9.05 9054B All Appeals 910 Multi Claimant Appeals Higher Authority Missing Subpops 9 9.13 9.20 9.22 -9.23 9.02 5130 UI Disposed of During Month 920 Higher Authority Appeals Decisions Outliers --10 9.13 9.20 9.22 -9.23 9.03 5130 UI Decisions by Type 9.04 5130 UI in Favor of Appellant 10 Appeals Case Aging Lower Author ity 1000 Appeals Case Aging Lower Authority Outliers --10 10.1 -10.7 10.01 9055 Lower Authority Appeals Case Aging 11 Appeals Case Aging Higher Authority 1100 Appeals Case Aging Higher Authority Outliers --10 11.1 -11.6 11.01 9055 Higher Authority Appeals Case Aging 12 Overpayments Established by Cause 1200 Overpayment Established Random 60 200 12.1 -12.7 12.9-12.15 12.17 -12.26 12.04 227 Total Dollars Established 1210 Overpayment Established Missing Subpops 24 12.1-12.7 12.9-12.15 12.17 -12.26 12.02 227 Fraud 1220 Overpayment Established Outliers--10 12.1 -12.7 12.9-12.15 12.17-12.26 12.03 227 Non-fraud 12.05 227 Penalty SAMPLE SPECIFICATIONS A PPENDIX B UI DV HANDBOOK BENEFITS B.8 M AY 2013 Benefits Population Data Element Validation Samples Pass Fail Groups 1 2 3 4 5 6 7 8 Pop Type of Transaction Sample ID Sample Name Type and Size Universe Subpops Group Number Group Name 13 Overpayment Reconciliation Activities 1300 Overpayment Reconciliation Activities Random 30 100 13.1-13.57 13.01 227 Recovered 1310 Overpayment Reconciliation Activities Missing Subpops 56 13.1 -13. 57 13.02 227 Waived 1320 Overpayment Reconciliation Activities Outliers --10 13.1 -13. 57 13.03 227 Written -Off 13.04 227 Addition 13.05 227 Subtraction 14 Aged Overpayments 1400 Aged Ove rpayments Random 30 100 14.1 -14.12 14.01 227 UI Total Accounts Receivable 1410 Aged Overpayments Outliers --10 14.1 -14.12 14.03 227 Receivables Removed at End of Period 1420 Aged Overpayments Missing Subpops 11 14.1-14.12 14.02 227 UCFE UCX Total Accounts Receivable 15 Overpayments Established by Method 1500 Overpayments Established by Method Random 60 200 15.7 -15.21 15.03 227 Dollars Established 1510 Overpayments Established by Method Missing Subpops 14 15.7-15.21 15.01 227 Overpayment Cases Investigated 15.02 227Overpayment Cases SAMPLE SPECIFICATIONS A PPENDIX B UI DV HANDBOOK BENEFITS B.9 M AY 2013 H. Sample Sizes below the Guidelines For some smaller states the number of cases to be randomly sampled 100 or 200 may exceed the universe for the selected time period being validated. In that case the software will display all records and use the following table Table B.2 to determine the score of the sample. Table B.2 Numbers of Errors and Conclusions for Samples under Supplemented Guidelines Total Number of Transactions Sampled Range Error Rate is Less than 5 Pass if Number of Errors is No More Than Error Rate is at Least 5 Fail if Number of Errors is at Least 3 to 7 1 2 8 to 16 2 3 17 to 28 3 4 29 to 40 4 5 41 to 53 5 6 54 to 67 6 7 68 to 81 7 8 82 to 95 8 9 96 to 110 9 10 111 to 125 10 11 126 to 140 11 12 141 to 155 12 13 156 to 171 13 14 172 to 187 14 15 188 to 200 15 16 APPENDIX C Benefits INTERSTATE FILED FROM A GENT RECORDS P OPULATIONS 1 AND 3 INTERSTATE FILED FROM A GENT R ECORDS A PPENDIX C UI DV HANDBOOK BENEFITS C.1 M AY 2013 A. Purpose Agent States are informed about New Claims and Continued Claims filed directly from claimants in their state against paying states through the Liable Agent Data Transfer LADT system. The LADT records are transferred from liable states to agent states via the Interstate Connection ICON system and are the source from which Interstate Agent claim counts are reported and validated. LADT individual records are the source for building the validation records for Interstate Agent Weeks Claimed subpopulations 1.7-1.9 of Population 1 and Interstate Agent Initial Claims subpopulations 3.19-3.21 of Population 3. This appendix provides instructions on how to build these records. If LADT individual records are not stored on the state UI database then Populations 1 and 3 constructed directly from the database will contain no Interstate agent records and separate steps must be taken to construct and add them to the extract files B. Methodology The two record layouts below provide guidance on how the LADT individual record data are used to build Interstate Filed from Agent records. The records must be appended to records in the extract files for Populations 1 and 3 before importing them into the validation software. These records must be constructed as ASCII comma-delimited columns as other records in the extract file. Data must be in the order listed on the record layout. Module 3 indicates the step where the state-specific values for each field are documented. Where the LADT record does not contain the appropriate information the record layout indicates Leave blank in the LADT field number column. The Data Type Format indicates the generic values for text fields. These must be followed by a dash and the state-specific value. Refer to field number 62 Record Type in the LADT record to determine whether the record s data are to be used for Population 1 or 3. Population 1 uses data from Record Type 2. Population 3 extract records are built from LADT Records Type 1 and 3. INTERSTATE FILED FROM AGENT RECORDS A PPENDIX C UI DV HANDBOOK BENEFITS C.2 M AY 2013 Table C.1 Record Layout for Creating Records for Interstate Filed From Agent State Weeks Claimed Population 1 Weeks Claimed ETA 5159 reference Row 201 column 11 Row 202 column 11 Row 203 column 11 Subpopulations 1.7 1.9 Field 62 Record Type in LADT 2 Weeks Claimed Num Field Name Module 3 Reference LADT Field Number Field Description Data Type Format 1 OBS N A State assigned sequential unique identifier for each record in the extract file. Number 00000000 Required 2 Claim W eek-Ending Date Step 1A Rule 2 52 The week-ending date of the week claimed. Date - MM DD YYYY Required 3 SSN Step 1A Rule 1 1 Social Security Number Number 000000000 Required 4 Type of UI Program Regular UI Step 2A Rule 1 Field 28 0 Regular UI claim. Text Regular UI Required 5 Program Type UI Step 4A Rule 1 UCFE Step 4B Rule 1 UCX Step 4C Rule 1 27 UI UCFE or UCX Text UI UCFE UCX Required 6 Intrastate Interstate Intrastate Step 5A Rules 1 and 2 Interstate Received as Liable State Step 5B Rules 1 and 2 Interstate Filed From Agent State Step 5D Rules 1 and 2 Insert Interstate Agent Intrastate Interstate received as liable state or Interstate filed from agent state. Text Intrastate Interstate liable Interstate agent Required 7 Date Week Claimed Step 11 Ru le 1 63 The date the week was claimed. Date MM DD YYYY Required 8 Monetarily Eligible or Pending Step 11 Rule 2 Leave Blank Claimant is monetarily eligible for benefits when the week was claimed if benefits have not been exhausted or monetary eligibility is pending i.e. eligibility has not been finally determined. . Text - Eligible Pending Optional INTERSTATE FILED FROM AGENT RECORDS A PPENDIX C UI DV HANDBOOK BENEFITS C.3 M AY 2013 Num Field Name Module 3 Reference LADT Field Number Field Description Data Type Format 9 Earnings Step 11 Rule 3 Leave Blank Earnings for the week claimed except for interstate filed from agent state claims. Number 00000.00 Required except optional for interstate filed from agent state claims 10 WBA Step 11 Rule 3 33 Weekly benefit allowance. Number 00000.00 Required 11 User N A Leave Blank User defined field. Can be used for any additional data element. Not mandatory. Text Optional INTERSTATE FILED FROM AGENT RECORDS A PPENDIX C UI DV HANDBOOK BENEFITS C.4 M AY 2013 Table C.2 Record Layout for Creating Records for Interstate Filed From Agent State Claims Population 3 Claims ETA 5159 reference Row 101 column 4 Row 102 column 4 Row 103 column 4 Subpopulations 3.19 3.21 Field 62 Record Type in LADT 1 or 3 TIC or Reopen Transfer Num Field Name Module 3 Reference LADT Field Number Field Description Data Type Format 1 OBS N A State assigned sequential unique identifier for each record in the extract file. Number 00000000 Required 2 SSN Step 1B Rule 1 1 Social Security Number Number 000000000 Required 3 Date Claim Filed IB-4 Sent Step 3A Rule 1 Step 3B Rule 1 Step 3C Rule 1 25 The date the claim was filed in person by mail or telephone or by other means. Date MM D D YYYY Required 4 Type of UI Program Regular UI Step 2A Rule 1 Field 28 0 Regular UI claim. Text Regular UI Required 5 Type of Claim New Step 3A Rule 2 Transitional Step 3C Rule 2 Entering Self-Employment Step 3D Rule 2 Additional Step 3B Rule 2 Reopened Step 3B Rule 7 New CWC claim Step 3A Rule 6 New CWC claim filed in prior quarter Step 3A Rule 7 New claim filed in prior quarter Step 3A Rule 5 30 or 59 1 Reopen New claim Transitional claim Entering self-employment Additional claim Reopened claim New CW C claim New CWC claim filed in a prior quarter or New claim filed in a prior quarter. Text New Transitional Entering Self-Employment Additional Reopened CWC New Prior Qtr New CWC Prior Qtr New Claim Required INTERSTATE FILED FROM AGENT RECORDS A PPENDIX C UI DV HANDBOOK BENEFITS C.5 M AY 2013 Num Field Name Module 3 Reference LADT Field Number Field Description Data Type Format 6 Program Type UI Step 4A Rule 1 UCFE Step 4B Rule 1 UCX Step 4C Rule 1 27 UI UCFE or UCX. Text UI UCFE UCX Required except optional for CWC and entering self-employment program claims 7 Intrastate Interstate Intrastate Step 5A Rules 1 and 2 Interstate Received as Liable State Step 5B Rules 1 and 2 Interstate Taken as Agent State Step 5C Rules 1 and 2 Interstate Filed From Agent State Step 5D Rules 1 and 2 Intrastate CWC Step 5E Rules 1 and 2 Interstate CWC Step 5F Rules 1 through 4 Insert Interstate Agent Intrastate Interstate received as liable Interstate taken as agent Interstate filed from agent state Intrastate combined wage claim or Interstate combined wage claim. Text Intrastat e Interstate liable Interstate taken Interstate agent CWC Intrastate CWC Interstate Required except optional for transitional claims new claims filed during a prior quarter and entering self-employment program claims 8 Date of Original Monetary Step 6A Rules 1 and 2 Step 6B Rule 1 Leave Blank Date when the original determination was made on whether the claimant has sufficient base-period wages and or employment to establish a benefit year. Date MM DD YYYY Required except must be blank for No Monetary claim and CWC claims with insufficient wages and optional for UCFE UCX interstate filed from agent state interstate taken as agent state and entering self-employment program claims 9 Sufficient Insufficient Combined Wages Sufficient W ages New Benefit Year Step 6C Rules 1 and 2 Sufficient Wages No New Benefit Year Step 6C Rule 3 Insufficient Wages Step 6D Rule 1 New CWC Wages Step 6C Rule 4 No New CWC Wages Step 6D Rules 2 and 3 Leave Blank The status of the new UI or CW C claim at the time the 218 report was run Sufficient new base year established Sufficient no new base year established Insufficient a new CWC claim or not a new CWC claim. Text Insufficient Sufficient New BY Sufficient No BY Sufficient New CWC BY Required except must be blank for No Monetary claim and optional for UCFE UCX interstate filed from agent state interstate taken as agent state and entering self-employment program claims INTERSTATE FILED FROM AGENT RECORDS A PPENDIX C UI DV HANDBOOK BENEFITS C.6 M AY 2013 Num Field Name Module 3 Reference LADT Field Number Field Description Data Type Format 10 WBA Step 7 Rules 1 and 2 33 Weekly benefit allowance is the maximum or less than maximum. Text Maximum Less than Maximum Required except must be blank for insufficient sufficient but no benefit year and No Monetary claim and optional for UCFE UCX interstate filed from agent state interstate taken as agent state CWC and entering self-employment program claims States should include the WBA after the dash which follows the generic Federal value. 11 MBA Steps 8A and 8B Rule 1 Leave Blank Maximum benefit allowance. Number 0000 0.00 Required except must be blank or 0 for insufficient sufficient but no benefit year and No Monetary claim and optional for UCFE UCX interstate filed from agent state interstate taken as agent state CWC and entering self- employment program cl aims 12 Potential Weeks of Duration Step 8A Rule 1 Leave Blank The number of full weeks of benefits for which a claimant is determined to be eligible within a benefit year. Number 00 Required except must be blank or 0 for insufficient sufficient bu t no benefit year and No Monetary claim and optional for UCFE UCX interstate filed from agent state interstate taken as agent state CWC and entering self-employment program claims 13 Potential Weeks Maximum Duration Step 8B Rules 1 and 2 Leave Blank The duration of the benefit year is or is not the maximum for the State. Text Y N Required except must be blank for insufficient sufficient but no benefit year and No Monetary claim and optional for UCFE UCX interstate filed from agent state interstate taken as agent state CWC and entering self-employment program claims 14 User N A Leave Blank User defined filed. Can be used for any additional data element. Not mandatory. Text Optional APPENDIX D Benefits COMBINED W AGE CLAIMS AND PAYMENTS P OPULATIONS 3 AND 4 COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.1 M AY 2013 A. Purpose The ETA 5159 report includes information on claims filed and payments made. If those claims and payments involve combining wages from more than one state--i.e. they are combined wage claims CWC they are also reported on the ETA 586 report of the paying state. The way CWC are reported on the two reports however is completely different. For this reason the data validation program counts CWC claims and payments as separate transactions for which separate records are built and extracted differently for Populations 3 and 4 even though they represent a single claim or payment on the 5159. This guide indicates how the two sets of records are built and gives examples of both kinds of records. For Population 3 state programmers need to extract claim records in subpopulations 3.1 to 3.33 3.40 to 3.46 using the reporting rules of ETA 5159 where the issue of wages from multiple states is irrelevant. Then the programmers in the CWC paying state need to extract CWC records for subpopulations 3.34 to 3.39 using the logic presented in the scenarios on the following pages where wages from more than one state are involved including where wages were requested and or added to the claim . Once the claims are extracted the programmers must merge the records into a single file that can be loaded into the DV software. The same approach is used for CWC payments in Population 4. The reporting of weeks compensated on the ETA 5159 report and of payments time lapse on the ETA 9050 and ETA 9051 reports is not affected by how many states wages are used. The reporting rules for weeks compensated on the ETA 586 report is explained in this guide and is very different from the rules for the ETA 5159 ETA 9050 and ETA 9051 reports. State programmers should extract payments for subpopulations 4.1 to 4.43 using the ETA 5159 ETA 9050 and ETA 9051 reporting rules. Then using the logic explained in the scenarios on the following pages create a separate extract file for CWC payments for subpopulations 4.44 to 4.51. These two files must then be merged to load into Population 4 in the DV software. Obviously it is not necessary to physically create two extracts each for Populations 3 and 4 and then merge them. Programmers could combine the two sets of extract logic into a single extract process for each of these populations. B. Methodology The following scenarios illustrate examples of different ways that combined wage claims and their associated payments are reported and validated on the ETA 586. For the first five scenarios the first quarter of 2006 January to March 2006 was used. Activities that were COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.2 M AY 2013 reported on prior ETA 586 reports are listed as N A for that specific quarter. Reporting activities on the ETA 5159 and ETA 218 reports are also listed. A sixth scenario illustrates the effect of a regulation issued in November 2008 effective January 2009 that changes the definition of the CWC paying state. Scenario 1 Wages were requested and combined for the initial claim within the same quarter and before the issuance of the first payment. Table D.1 Scenario 1 Step Date Action Subpopulation Reporting of Transaction as CWC Transaction Reporting of Transaction as Regular Transaction 1 02 02 2006 New UI intrastate claim and request for wages from another state 3.01 Insufficient or 3.04 Sufficient less than Maximum N A 5159A-101-2 2 02 03 2006 IB-4 is sent 3.34 or 3.35 depending on the outcome of the monetary New CW C 586-101-1 N A 3 02 06 2006 Monetary determination of a 150 weekly benefit allowance WBA was made based on wages from two states 3.35 New CWC Benefit Year BY 586 -101 -2 218A -100 -1 3 -5 218B-101 8-13 after redetermination for CWC wages 4 02 10 2006 First Payment of 150 4.1 UI 1 st payment 4.44 CWC first payment 586-101 -4 586-101-5 586B 8 1 st payment 5159B-301 14-15 5159B-302 14-15 9050-All-C2 5 02 17 2006 Payment of 150 4.17 UI continued payment 4.46 CWC continued payment 586-101-4 586-101-5 5159B -301 14-15 5159B-302 14-15 9051-All-C2 6 02 24 2006 Payment of 150 4.17 UI continued payment 4.46 CWC continued payment 586-101-4 586-101-5 5159B -301 14-15 5159B-302 14-15 9051-All-C2 7 03 03 2006 Payment of 150 4.17 UI continued payment 4.46 CWC continued payment 586-101-4 586-101-5 5159B -301 14-15 5159B-302 14-15 9051-All-C2 1. A new UI intrastate claim is filed and determined monetarily insufficient or sufficient for less than the maximum WBA on 02 02 2006 if the original monetary were for the Maximum MBA WBA wages could not be combined to yield a New CWC BY. In many state environments the claimant may request that wages be combined as part of filing an IC in such cases the initial claim process will include COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.3 M AY 2013 sending IB-4 s to the states where the claimant worked and a monetary determination will not be done until the requested out-of-state wages are received. 2. An IB-4 request to combine wages is sent. This results in a new CWC that is reported on the ETA 586 in cell 101-1. 3. A monetary redetermination is issued that combines wages from two states and sets a WBA of 150. This results in a new CWC benefit year that is reported on the ETA586 report of the first quarter of 2006 in cell 101-2. 4. A payment of 150 is made. This is considered a CWC first payment and is reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. The payment is also reported on the 9050 and on the 5159 and on the 5159. 5. A second payment of 150 is made. This is considered a CWC continued payment and is reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. The payment is also reported on the 9051 and on the 5159 and on the 5159. 6. A third payment of 150 is made. This is considered a CWC continued payment and is reported on the 586 in cell 101-4. The dollar amount is reported in cell 101-5. The payment is also reported on the 9051 and on the 5159 and on the 5159. 7. A fourth payment of 150 is made. This is considered a CWC continued payment and is reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. The payment is also reported on the 9051 and on the 5159 and on the 5159. The following tables illustrate the records that would be built for Populations 3 and 4. CWC records are shaded. COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.4 M AY 2013 Table D.2 Scenario 1 How the Steps Would be Reflected in Population 3 Validation Records Step Date Claim Filed T yp e UI Program Claim T yp e Program T yp e Intrastate Interstate Date Original Monetary Sufficient Insufficient WBA MBA Potential Weeks Duration Potential Weeks Max Duration Subpop 1 2 2 2006 Regular UI -1 NEW UI Intrastate -01 2 2 2009 Insufficient 0 0 3.01 1 2 2 2006 Regular UI -1 NEW UI Intrastate -01 2 2 2009 Sufficient New BY Less than maximum 260 0 26 Y 3.04 2 3 2 3 2006 Regular UI CW C NEW UI CW C Intrastate 2 6 2006 Sufficient New CW C BY Maximum Optional 3900 Optional 26 Optional Y Optional 3.35 Table D.3 Scenario 1 How the Steps Would be Reflected in Population 4 Validation Records Step T yp e UI Program Program T yp e Intra Inter Claim Type of Comp. Partial Total Earnings WBA UI Amount UCFE Amount UCX Amount CWC Amount SE Amount Week End Date Mail Date Subpop 4 Regular UI-1 UI Only-U Intrastate CW C -1 First Payment Total 0 150 0 0 0 150 0 2 1 2006 2 10 2006 4.44 4 Regular UI-1 UI Only-U Intrastate First Payment Total 0 150 150 0 0 0 0 2 1 2006 2 10 2006 4.1 5 Regular UI-1 UI Only-U Intrastate CW C -1 Continued Payment Total 0 150 0 0 0 150 0 2 8 2006 2 17 2006 4.46 5 Regular UI-1 UI Only-U Intrastate Continued Payment Total 0 150 150 0 0 0 0 2 8 2006 2 17 2006 4.17 6 Regular UI-1 UI Only-U Intrastate CW C -1 Continued Payment Total 0 150 0 0 0 150 0 2 15 2006 2 24 2006 4.46 6 Regular UI-1 UI Only-U Intrastate Continued Payment Total 0 150 150 0 0 0 0 2 15 2006 2 24 2006 4.17 7 Regular UI-1 UI Only-U Intrastate CW C-1 Continued Payment Total 0 150 0 0 0 150 0 2 22 2006 3 3 2006 4.46 7 Regular UI-1 UI Only-U Intrastate Continued Payment Total 0 150 150 0 0 0 0 2 22 2006 3 3 2006 4.17 COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.5 M AY 2013 The tables below illustrate the total counts and dollar amounts that the state would report in each applicable cell of the ETA 586 for the first quarter of 2006 if the preceding scenario occurred. Table D.4 Scenario 1 How Claims and Benefit Years Would be Reported in ETA 586 ETA 586A State UI Line No. New Claims 1 Persons Establishing Benefit Years 2 Intrastate 101 1 1 Interstate Received as Paying State 102 0 0 Table D.5 Scenario 1 How Payments Would be Reported in ETA 586 State UI Line No. Weeks Compensated 4 Benefits Paid 5 Prior Weeks Compensated 6 Prior Benefits Paid 7 Intrastate 101 4 600 0 0 Interstate Received as Paying State 102 0 0 0 0 COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.6 M AY 2013 Scenario 2 An IB-4 request is sent after two UI payments are made. Wages were combined after the new UI claim was filed but within the same quarter and the first payment for the new CWC is the payment for the first compensable week after wages were combined. In this scenario the CWC first payment occurs before an adjustment check is issued for the week compensated before combining the wages. Table D.6 Scenario 2 Step Date Action Subpopulation Reporting of Transaction as CWC Transaction Reporting of Transaction as Regular Transaction 1 01 02 2006 New UI intrastate claim and a sufficient monetary determination for less than the maximum WBA is made 3.4 New Intrastate claim max duration less than max WBA N A 5159A -101 -2 2 01 13 2006 Payment of 100 4.1 UI 1 st payment 4.46 CWC cont d payment 586 -101 -4 586-101-5 51 59B -301 14 15 5159B-302 14 15 9050 -All-C2 3 01 20 2006 Payment of 100 4.17 UI cont d payment 4.46 CWC continued payment 586-101-4 586-101-5 5159B -301 14 15 5159B-302 14 15 9051-All-C2 4 01 24 2006 Request to combine wages IB-4 is sent 3.34 or 3.35 depending on the outcome of the monetary New CW C claim 586 -101 -1 N A 5 01 25 2006 Monetary redetermination is made to increase WBA to 150 after wages are combined 3.35 New CW C BY 586 -101 -2 218A -100 1 2 218B-103 14 19 after redetermination and effect of combining wages 6 02 03 2006 First CWC payment of 150 4.17 UI cont d payment 4.44 CWC first payment 586 -101 -4 586-101-5 586B 8 1 st payment 5159B -301 14 15 5159B-302 14 15 9051-All-C2 7 02 09 2006 Adjustment payment of 100 2 x 50 is made for weeks compensated before wages combined 4.33 Adjustment 4.48 CWC adjustment 586 -101 -5 only 5159B -302 14 15 8 02 10 2006 Payment of 150 4.17 UI cont d payment 4.46 CWC cont d payment 586-101-4 586-101-5 5159B -301 14 15 5159B-302 14 15 9051-All-C2 9 02 17 2006 Payment of 150 4.17 UI cont d payment 4.46 CWC cont d payment 586-101 -4 586-101-5 5159B -301 14 15 5159B-302 14 15 9051-All-C2 10 02 24 2006 Payment of 150 4.17 UI cont d 586 -101 -4 5159B -301 14 15 COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.7 M AY 2013 Step Date Action Subpopulation Reporting of Transaction as CWC Transaction Reporting of Transaction as Regular Transaction payment 4.46 CWC cont d payment 586 -101 -5 5159B -302 14 15 9051-All-C2 1. A new UI intrastate claim is filed and determined sufficient on 01 02 2006. The monetary results in a Benefit Year for maximum duration but less than maximum WBA. 2. A payment of 100 is made on 01 13 2006. This payment is a regular first payment on the 9050 report and included in the 5159 but it will be reported as a CWC continued payment on the ETA 586 in cell 101-4 with the dollar amount reported in cell 101-5. 3. A second payment of 100 is made on 01 20 2006. This payment will be reported as a CWC continued payment on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. 4. An IB-4 request to combine wages is sent. This results in a new CWC claim that is reported on the ETA 586 in cell 101-1. 5. A monetary redetermination is issued that combines wages and increases the WBA to 150. This establishes the CWC benefit year that is reported on the ETA 586 in cell 101-2. This redetermination is assumed to result in a Benefit Year for maximum duration and a higher but still less than maximum WBA. 6. A payment of 150 is made. This is considered a CWC first payment and is reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. 7. A CWC adjustment payment of 100 is made. This is not reported as a week compensated since the weeks have already been counted in steps 2 and 3. However the dollar amount is reported on the ETA 586 in cell 101-5. 8. A payment of 150 is made. This is considered a CWC continued payment that is reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. 9. A payment of 150 is made. This is considered a CWC continued payment that is reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. 10. A payment of 150 is made. This is considered a CWC continued payment that is reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. The following tables illustrate the records that would be built for Populations 3 and 4. CWC records are shaded. COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.8 M AY 2013 Table D.7 Scenario 2 How the Steps Would be Reflected in Population 3 Validation Records Step Date Claim Filed T yp e UI Program Claim T yp e Program T yp e Intrastate Interstate Date Original Monetary Sufficient Insufficient WBA MBA Potential Weeks Duration Potential Weeks Max Duration Subpop 1 5 1 2 2006 Regular UI-1 New UI Intrastate-01 2 2 2009 Sufficient New BY Less than Maximum 2600 26 Y 3.4 4 2 3 2006 Regular UI CWC New UI CWC Intrastate 2 6 2006 Sufficient New CWC BY Maximum Optional 3900 Optional 26 Optional Y Optional 3.3 5 Table D.8 Scenario 2 How the Steps Would be Reflected in Population 4 Validation Records Step T yp e UI Program Program T yp e Intra Inter Cla im Type of Comp. Part Total Earnings WBA UI Amount UCFE Amount UCX Amount CWC Amount SE Amount Week End Date Mail Date Subpop 2 Regular UI-1 UI Only-U Intrastate CW C-1 First Payment Total 0 100 100 0 0 0 0 1 7 2006 1 13 2006 4.1 2 Regular UI-1 UI Only-U Intrastate Continued Payment Total 0 100 0 0 0 100 0 1 7 2006 1 13 2006 4.46 3 Regular UI-1 UI Only-U Intrastate CW C -1 Continued Payment Total 0 100 100 0 0 0 0 1 14 2006 1 20 2006 4.17 3 Regular UI-1 UI Only-U Intrastate Continued Payment Total 0 100 0 0 0 100 0 1 14 2006 1 20 2006 4.46 6 Regular UI-1 UI Only-U Intrastate CW C -1 Continued Payment Total 0 150 150 0 0 0 0 1 21 2006 2 3 2006 4.17 6 Regular UI-1 UI Only-U Intrastate First Payment Total 0 150 0 0 0 150 0 1 21 2006 2 3 2006 4.44 7 Regular UI-1 UI Only-U Intrastate CW C-1 Adjustment Total 0 150 100 0 0 0 0 2 9 2006 4.33 7 Regular UI-1 UI Only-U Intrastate Adjustment Total 0 150 0 0 0 100 0 2 9 2006 4.48 8 Regular UI-1 UI Only-U Intrastate CW C -1 Continued Payment Total 0 150 150 0 0 0 0 1 28 2006 2 10 2006 4.17 COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.9 M AY 2013 Step T yp e UI Program Program T yp e Intra Inter Cla im Type of Comp. Part Total Earnings WBA UI Amount UCFE Amount UCX Amount CWC Amount SE Amount Week End Date Mail Date Subpop 8 Regular UI-1 UI Only-U Intrastate Continued Payment Total 0 150 0 0 0 150 0 1 28 2006 2 10 2006 4.46 9 Regular UI-1 UI Only-U Intrastate CW C-1 Continued Payment Total 0 150 150 0 0 0 0 2 4 2006 2 17 2006 4.17 9 Regular UI-1 UI Only-U Intrastate Continued Payment Total 0 150 0 0 0 150 0 2 4 2006 2 17 2006 4.46 COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.10 M AY 2013 The tables below illustrate the total counts and dollar amounts that the state would report in each applicable cell of the ETA 586 for the first quarter of 2006 if the preceding scenario occurred. Table D.9 Scenario 2 How Claims and Benefit Years Would be Reported in ETA 586 ETA 586A State UI Line No. New Claims 1 Persons Establishing Benefit Years 2 Intrastate 101 1 1 Interstate Received as Paying State 102 0 0 Table D.10 Scenario 2 How Payments Would be Reported in ETA 586 State UI Line No. Weeks Compensated 4 Benefits Paid 5 Prior Weeks Compensated 6 Prior Benefits Paid 7 Intrastate 101 6 900 0 0 Interstate Received as Paying St ate 102 0 0 0 0 COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.11 M AY 2013 Scenario 3 An IB-4 request is sent after two UI payments are made. Wages were combined after the new UI claim was filed but within the same quarter. The first check issued to the claimant after wages are combined is an adjustment payment for the two weeks compensated prior to the combining of wages. The next check is for the first week compensated after wages are combined. For purposes of determining CWC first payment time lapse Handbook 401 considers the adjustment check as the first payment however data validation which does not validate CWC time lapse but only the count of first payments considers the payment for the first CWC week paid to be the CWC First Payment. This difference in definitions should result in only an insignificant difference in the count of first payments. Table D.11 Scenario 3 Step Date Action Subpopulation Reporting of Transaction as CWC Transaction Reporting of Transaction as Regular Transaction 1 01 02 2006 New UI intrastate claim and a sufficient monetary determination for less than the maximum WBA is made 3.4 New Intrastate claim max duration less than max WBA N A 5159A -101 -2 2 01 13 2006 Payment of 100 4.1 UI 1 st payment 4.46 CWC cont d payment 586 -101 -4 586-101-5 5159B -301 14 15 5159B-302 14 15 9050 -All-C2 3 01 20 2006 Payment of 100 4.17 UI cont t payment 4.46 CWC continued payment 586 -101 -4 586-101-5 5159B -301 14 15 5159B-302 14 15 9051-All-C2 4 01 24 2006 Request to combine wages IB-4 is sent 3.34 or 3.35 depending on the outcome of the monetary New CW C claim 586 -101 -1 N A 5 01 25 2006 Monetary redetermination is made to increase WBA to 150 after wages are combined 3.35 New CW C BY 586-101 -2 218A-100 1 2 218B-103 14 19 after redetermination and effect of combining wages 6 02 02 2006 Adjustment payment of 100 2 x 50 is made for weeks compensated before wages were combined 4.33 Adjustment 4.48 CWC Adjustment 586A -101-5 586B 8 1 st payment 5159B -302 14 15 7 02 03 2006 Payment of 150 4.17 UI Cont d payment 4.44 CWC first payment 586 -101 -4 586-101-5 5159B -301 14 15 5159B-302 14 15 9051-All-C2 8 02 10 2006 Payment of 150 4.17 UI cont d payment 4.46 CWC cont d payment 586 -101 -4 586-101-5 5159B -301 14 15 5159B-302 14 15 9051-All-C2 COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.12 M AY 2013 Step Date Action Subpopulation Reporting of Transaction as CWC Transaction Reporting of Transaction as Regular Transaction 9 02 17 2006 Payment of 150 4.17 UI cont d payment 4.46 CWC cont d payment 586 -101 -4 586-101-5 5159B -301 14 15 5159B-302 14 15 9051-All-C2 1. A new UI intrastate claim is filed on 01 02 2006. 2. A payment of 100 is made on 01 13 2006. After a CWC BY is established this payment will be reported as a CWC continued payment on the ETA586 in cell 101-4. The dollar amount is reported in cell 101-5. 3. A second payment of 100 is made on 01 20 02. After a CWC BY is established this payment will be reported as a CWC continued payment on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. 4. An IB-4 request to combine wages is sent. This results in a new CWC claim and is reported on the ETA 586 in cell 101-1. 5. A monetary redetermination is issued that combines wages and increases the WBA to 150. This establishes the CWC benefit year that is reported on the ETA 586 in cell 101- 2. 6. A CWC adjustment payment of 100 is made. This is not reported as a week compensated since the weeks have already been counted in steps 2 and 3. However the dollar amount is reported on the ETA 586 in cell 101-5 and on the 5159 in cells 302 14 15. For determining CWC 1 st payment time lapse however Handbook 401 considers this the CWC First Payment. 7. A payment of 150 is made. It is reported as a week compensated reported on the ETA 586 in cell 101-4 and the dollar amount is reported in cell 101-5. Data validation considers this the CWC First Payment. 8. A payment of 150 is made. This is considered a CWC Continued Payment that is reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. 9. A payment of 150 is made. This is considered a CWC Continued Payment that is reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. The following tables illustrate the records that would be built for Populations 3 and 4. CWC records are shaded. COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.13 M AY 2013 Table D.12 Scenario 3 How the Steps Would be Reflected in Population 3 Validation Records Step Date Claim Filed T yp e UI Program Claim T yp e Program T yp e Intrastate Interstate Date Original Monetary Sufficient Insufficient WBA MBA Potential Weeks Duration Potential Weeks Max Duration Subpop 1 5 1 2 2006 Regular UI-1 NEW UI Intrastate -01 1 2 2 009 Sufficient New BY Less than Maximum 2600 26 Y 3.04 4 1 24 2006 Regular UI CW C NEW UI CW C Intrastate 1 25 2006 Sufficient New CW C BY Maximum Optional 3900 Optional 26 Optional Y Optional 3.35 Table D.13 Scenario 3 How the Steps Would be Reflected in Population 4 Validation Records Step T yp e UI Program Program T yp e Intra Inter Claim Type of Comp. Part Total Earnings WBA UI Amount UCFE Amount UCX Amount CWC Amount SE Amount Week End Date Mail Date Subpop 2 Regular UI-1 UI Only-U Intrastate First Payment Total 0 100 100 0 0 0 0 1 7 2006 1 13 2006 4.1 2 Regular UI-1 UI Only-U Intrastate CW C -1 Continued Payment Total 0 100 0 0 0 100 0 1 7 2006 1 13 2006 4.46 3 Regular UI-1 UI Only-U Intrastate Continued Payment Total 0 100 100 0 0 0 0 1 14 2006 1 20 2006 4.17 3 Regular UI-1 UI Only-U Intrastate CW C -1 Continued Payment Total 0 100 0 0 0 100 0 1 14 2006 1 20 2006 4.46 7 Regular UI-1 UI Only-U Intrastate Adjustment Total 0 150 100 0 0 0 0 2 2 2006 4.33 7 Regular UI-1 UI Only-U Intrastate CW C -1 Adjustment Total 0 150 0 0 0 100 0 2 2 2006 4.48 6 Regular UI-1 UI Only-U Intrastate Continued Payment Total 0 150 150 0 0 0 0 1 21 2006 2 3 2006 4.17 6 Regular UI-1 UI Only-U Intrastate CW C -1 First Payment Total 0 150 0 0 0 150 0 1 21 2006 2 3 2006 4.44 COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.14 M AY 2013 Step T yp e UI Program Program T yp e Intra Inter Claim Type of Comp. Part Total Earnings WBA UI Amount UCFE Amount UCX Amount CWC Amount SE Amount Week End Date Mail Date Subpop 8 Regular UI-1 UI Only-U Intrastate Continued Payment Total 0 150 150 0 0 0 0 1 28 2006 2 10 2006 4.17 8 Regular UI-1 UI Only-U Intrastate CW C -1 Continued Payment Total 0 150 0 0 0 150 0 1 28 2006 2 10 2006 4.46 9 Regular UI-1 UI Only-U Intrastate Continued Payment Total 0 150 150 0 0 0 0 2 4 2006 2 17 2006 4.17 9 Regular UI-1 UI Only-U Intrastate CW C -1 Continued Payment Total 0 150 0 0 0 150 0 2 4 2006 2 17 2006 4.46 COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.15 M AY 2013 The tables below illustrate the total counts and dollar amounts that the state would report in each applicable cell of the ETA 586 for the first quarter of 2006 if the preceding scenario occurred. Table D.14 Scenario 3 How Claims and Benefit Years Would be Reported in ETA 586 ETA 586A State UI Line No. New Claims 1 Persons Establishing Benefit Years 2 Intrastate 101 1 1 Interstate Received as Paying State 102 0 0 Table D.15 Scenario 3 How Payments Would be Reported in ETA 586 State UI Line No. Weeks Compensated 4 Benefits Paid 5 Prior Weeks Compensated 6 Prior Benefits Paid 7 Intrastate 101 5 750 0 0 Interstate Received as Paying State 102 0 0 0 0 COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.16 M AY 2013 Scenario 4 Wages were requested and combined in the quarter after the UI claim was filed. Four payments were made before wages were combined. Two of them occurred in the quarter before wages were combined and are considered CWC Prior Weeks Compensated. The next two occurred in the same quarter as the CWC and are considered CWC continued weeks compensated. As in Scenario 3 the first check issued to the claimant after wages are combined is an adjustment payment in this scenario for the four weeks compensated before wages were combined. The next check is for the first week compensated after wages are combined which data validation considers the CWC first payment. As pointed out in Scenario 3 for CWC 1 st payment timeliness Handbook 401 considers the adjustment payment as the first payment. Table D.16 Scenario 4 Step Date Action Subpopulation Reporting of Transaction as CWC Transaction Reporting of Transaction as Regular Transaction 1 12 02 2005 New UI intrastate claim and a sufficient monetary determination is made for less than the maximum WBA 3.4 New Intrastate claim max duration less than max WBA N A 5159A-101-2 218A-100 1 2 218B-103 14 19 2 12 09 2005 Payment of 100 4.1 UI first payment 4.50 CWC prior week compensa ted 586 -101 -6 586-101-7 5159B -301 14 15 5159B-302 14 15 9050 -All-C2 3 12 16 2005 Payment of 100 4.17. UI cont d payment 4.50 CWC prior week compensate d. 586 -101 -6 586-101-7 5159B -301 14 15 5159B-302 14 15 9051-All-C2 4 01 06 2006 Payment of 100 4.17 UI continued payment 4.46 CWC continued payment 586-101-4 586-101-5 5159B -301 14 15 5159B-302 14 15 9051-All-C2 5 01 13 2006 Payment of 100 4.17 UI continued payment 4.46 CWC continued payment 586-101-4 586-101-5 5159B -301 14 15 5159B-302 14 15 9051-All-C2 6 01 24 2006 Request to combine wages IB-4 is sent 3.34 or 3.35 depending on the outcome of the monetary New CW C claim 586-101-1 N A 7 01 25 2006 Monetary redetermination is made to increase WBA to 150 after wages are combined 3.35 New CW C BY 586-101 -2 Not reported redeteminations 8 02 02 2006 Adjustment payment of 200 4 x 50 4.33 Adjustment 4.48 CWC Adjustment 586A -101 -5 586B 8 1 st payment 5159B -302 14 15 9 02 03 2006 Payment of 150 4.17 UI Cont d payment 586-101-4 586 -101 -5 5159B-301 14 15 5159B -302 14 15 COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.17 M AY 2013 Step Date Action Subpopulation Reporting of Transaction as CWC Transaction Reporting of Transaction as Regular Transaction 4.44 CWC first payment 9051 -All-C2 10 02 10 2006 Payment of 150 4.17 UI cont d payment 4.46 CWC cont d payment 586 -101 -4 586-101-5 5159B -301 14 15 5159B-302 14 15 9051-All-C2 11 02 17 2006 Payment of 150 4.17 UI cont d payment 4.46 CWC cont d payment 586 -101 -4 586-101-5 5159B -301 14 15 5159B-302 14 15 9051-All-C2 1. A new UI intrastate claim is filed and determined sufficient on 12 02 2005. The claim and monetary establishing a 2 600 MBA and WBA of 100 are reported in the 200504 quarter. 2. A payment of 100 is made on 12 09 2005. This is the regular payment for the first compensable week and reported on the 9050 report as well as a week compensated compensated on the 5159 report for December 2005. After a CWC BY is established this payment will be reported as a CWC prior week compensated on the ETA 586 in cell 101-6 and the dollar amount will be reported in cell 101-7. 3. A second payment of 100 is made on 12 16 2005. This is a regular continued week paid 9051 5159 reports for December 2005 . After a CWC BY is established this payment will be reported as a CWC prior week compensated on the ETA 586 in cell 101-6. The dollar amount is reported in cell 101-7. 4. A third payment of 100 is made on 01 06 2006. This is a regular continued week paid 9051 5159 reports . After a CWC BY is established this payment will be reported as a CWC continued payment on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. 5. A fourth payment of 100 is made on 01 13 2006. This is a regular continued week paid 9051 5159 reports . After a CWC BY is established this payment will be reported as a CWC continued payment on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. 6. An IB-4 request to combine wages is sent. This results in a new CWC claim and is reported on the 586 in cell 101-1. 7. A monetary redetermination is issued that combines wages and increases the WBA to 150. This establishes the CWC benefit year that is reported on the ETA 586 in cell 101- 2. Being a redetermination it is not reported on the 218 report for the 200601 quarter. COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.18 M AY 2013 8. A CWC adjustment payment of 200 is made. This is not reported as a week compensated since the weeks have already been counted in steps 2 3 4 and 5. However the dollar amount is reported on the ETA 586 in cell 101-5 because it is a CWC payment made in the 200601 quarter. 9. A payment of 150 is made. This is considered a CWC first payment for data validation purposes that is reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. 10. A payment of 150 is made. This is considered a CWC continued payment that is reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. 11. A payment of 150 is made. This is considered a CWC continued payment that is reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. The following tables illustrate the records that would be built for Populations 3 and 4. CWC records are shaded. COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.19 M AY 2013 Table D.17 Scenario 4 How the Steps Would be Reflected in Population 3 Validation Records Includes only Records for 200601 Report Quarter Step Date Claim Filed T yp e UI Program Claim T yp e Program T yp e Intrastate Interstate Date Original Monetary Sufficient Insufficient WBA MBA Potential Weeks Duration Potential Weeks Max Duration Subpop 4 1 24 2006 Regular UI CW C NEW UI CW C Intrastate 1 25 2006 Sufficient New CW C BY Maximum Optional 3900 Optional 26 Optional Y Optional 3.35 Table D.18 Scenario 4 How the Steps Would be Reflected in Population 4 Validation Records Includes only Records for 200601 Report Quarter Step T yp e UI Program Program T yp e Intra Inter Claim Type of Comp. Part Total Earn. WBA UI Amount UCFE Amount UCX Amount CWC Amount SE Amount Week End Date Mail Date Subp. 2 Regular UI-1 UI Only-U Intrastate CW C -1 Prior Weeks Compensated Total 0 100 0 0 0 100 0 12 30 2005 12 9 2006 4.50 2 Regular UI-1 UI Only-U Intrastate CW C -1 Prior Weeks Compensated Total 0 100 0 0 0 100 0 12 30 2005 12 16 2006 4.50 3 Regular UI-1 UI Only-U Intrastate Continued Payment Total 0 100 100 0 0 0 0 1 6 2006 4.17 3 Regular UI-1 UI Only-U Intrastate CW C -1 Continued Payment Total 0 100 0 0 0 100 0 1 6 2006 4.46 3 Regular UI-1 UI Only-U Intrastate Continued Payment Total 0 100 100 0 0 0 0 1 6 2006 1 13 2006 4.17 3 Regular UI-1 UI Only-U Intrastate CW C -1 Continued Payment Total 0 100 0 0 0 100 0 1 6 2006 1 13 2006 4.46 7 Regular UI-1 UI Only-U Intrastate Adjustment Total 0 150 200 0 0 0 0 2 2 2006 4.33 7 Regular UI-1 UI Only-U Intrastate CW C -1 Adjustment Total 0 150 0 0 0 200 0 2 2 2006 4.48 COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.20 M AY 2013 Step T yp e UI Program Program T yp e Intra Inter Claim Type of Comp. Part Total Earn. WBA UI Amount UCFE Amount UCX Amount CWC Amount SE Amount Week End Date Mail Date Subp. 6 Regular UI-1 UI Only-U Intrastate Continued Payment Total 0 150 150 0 0 0 0 1 21 2006 2 3 2006 4.17 6 Regular UI-1 UI Only-U Intrastate CW C -1 First Payment Total 0 150 0 0 0 150 0 1 21 2006 2 3 2006 4.44 8 Regular UI-1 UI Only-U Intrastate Continued Payment Total 0 150 150 0 0 0 0 1 28 2006 2 10 2006 4.17 8 Regular UI-1 UI Only-U Intrastate CW C -1 Continued Payment Total 0 150 0 0 0 150 0 1 28 2006 2 10 2006 4.46 9 Regular UI-1 UI Only-U Intrastate Continued Payment Total 0 150 150 0 0 0 0 2 4 2006 2 17 2006 4.17 9 Regular UI-1 UI Only-U Intrastate CW C -1 Continued Payment Total 0 150 0 0 0 150 0 2 4 2006 2 17 2006 4.46 COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.21 M AY 2013 The tables below illustrate the total counts and dollar amounts that the state would report in each applicable cell of the ETA 586 for the first quarter of 2006 if the preceding scenario occurred. Table D.19 Scenario 4 How Claims and Benefit Years Would be Reported in ETA 586 ETA 586A State UI Line No. New Claims 1 Persons Establishing Benefit Years 2 Intrastate 101 1 1 Interstate Received as Paying State 102 0 0 Table D.20 Scenario 4 How Payments Would be Reported in ETA 586 State UI Line No. Weeks Compensated 4 Benefits Paid 5 Prior Weeks Compensated 6 Prior Benefits Paid 7 Intrastate 101 5 850 2 200 Interstate Received as Paying State 102 0 0 0 0 COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.22 M AY 2013 Scenario 5 Wages were combined in the quarter after the CWC claim was filed. The claimant requested that wages be added from another state and the state sent the IB-4 in one quarter. However the first monetary determination redetermination based on wages from two or more states was not issued until the following quarter. The first IB-4 sent for a claim constitutes a new CWC. The first monetary determination or redetermination using wages from more than one state is a new CWC benefit year. In the first quarter then there is a new CWC but not a CWC benefit year since these two events occurred in different quarters. Data validation treats this transaction as an insufficient CWC. In the subsequent quarter there is a new CWC benefit year established but the claim has already been reported in the prior quarter. Therefore data validation treats this as a new CWC benefit year where the claim was filed in a prior quarter and does not double count the CWC. Table D.21 Scenario 5 Step Date Action Subpopulation Reporting of Transaction as CWC Transaction Reporting of Transaction as Regular Transaction 1 12 28 2005 New UI intrastate claim determined insufficient. 3.1 New Intrastate claim with Insufficient monetary N A 5159A-101-2 218A-100 1 2 For Dec Q4 of 2005 2 12 28 2005 Request to combine wages IB-4 is sent 3.34 New CWC Claim wages are not combined reported in Q4 2005 586A -101 -1 for 2005Q4 report N A 3 01 16 2006 Monetary redetermination increasing WBA to 150 after wages combined 3.38 New CW C BY for CWC claim filed in prior quarter 586 -101 -2 N A 4 01 20 2006 Payment 150 4.1 UI 1 st payment 4.44 CWC first payment 586-101 -4 586-101-5 5159B -301 14-15 5159B-302 14-15 9050-All-C2 5 01 27 2006 Payment 150 4.17 UI cont d payment 4.46 CWC cont d payment 586-101-4 586-101-5 5159B -301 14 15 5159B-302 14 15 9051-All-C2 1. A new UI intrastate claim is filed and determined insufficient on 12 28 2005. 2. An IB-4 request to combine wages is sent on 12 28 2005. This results in a new CWC that is reported on the ETA 586 in cell 101-1 for the fourth quarter of 2005. COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.23 M AY 2013 3. A monetary redetermination is issued that combines wages and results in a WBA of 150. This establishes the CWC benefit year that is reported on the ETA 586 in cell 101- 2. Because the monetary redetermination is in a different quarter than the IB-4 the new CWC benefit year is reported in subpopulation 3.38. 4. A payment of 150 is made. This is considered both a regular first payment Reported on 9050 and as a week compensated on the 5159 and a CWC first payment that is reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. 5. A second payment of 150 is made. This is considered a regular continued payment 9051 5159 and CWC continued payment that is reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. The following tables illustrate the records that would be built for Populations 3 and 4. CWC records are shaded. COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.24 M AY 2013 Table D.22 Scenario 5 How the Steps Would be Reflected in Population 3 for 200504 Quarter Step Date Claim Filed T yp e UI Program Claim T yp e Program T yp e Intrastate Interstate Date Original Monetary Sufficient Insufficient WBA MBA Potential Weeks Duration Potential Weeks Max Duration Subpop 1 12 28 2005 Regular UI-1 New UI Intrastate -01 12 28 2005 Insufficient 0 0 3.01 2 12 28 2005 Regular UI CW C New UI CW C Intrastate Insufficient 3.34 Table D.23 Scenario 5 How the Steps Would be Reflected in Population 3 for 200601 Quarter Step Date Claim Filed T yp e UI Program Claim T yp e Program T yp e Intrastate Interstate Date Original Monetary Sufficient Insufficient WBA MBA Potential Weeks Duration Potential Weeks Max Duration Subp. 3 12 28 2005 Regular UI Prior Qtr New CW C UI CW C Intrastate 1 16 2006 SUFFICIENT NEW CWC BY Maximum Optional 3900 Optional 26 Optional Y Optional 3.39 Table D.24 Scenario 5 How the Steps Would be Reflected in Population 4 for 200601 Quarter Step T yp e UI Program Program T yp e Intra Inter Claim Type of Comp. Part Total Earn. WBA UI Amount UCFE Amount UCX Amount CWC Amount SE Amount Week End Date Mail Date Subp. 4 Regular UI-1 UI Only-U Intrastate First Payment Total 0 150 150 0 0 0 0 1 13 2006 1 20 2006 4.1 4 Regular UI-1 UI Only-U Intrastate CW C -1 First Payment Total 0 150 0 0 0 150 0 1 13 2006 1 20 2006 4.44 5 Regular UI-1 UI Only-U Intrastate Continued Payment Total 0 150 150 0 0 0 0 1 20 2006 1 27 2006 4.17 COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.25 M AY 2013 Step T yp e UI Program Program T yp e Intra Inter Claim Type of Comp. Part Total Earn. WBA UI Amount UCFE Amount UCX Amount CWC Amount SE Amount Week End Date Mail Date Subp. 5 Regular UI-1 UI Only-U Intrastate CW C-1 Continued Payment Total 0 150 0 0 0 150 0 1 20 2006 1 27 2006 4.46 COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.26 M AY 2013 Table D.25 Scenario 5 How Claims and Benefit Years Would be Reported in ETA 586 For the 200504 Quarter ETA 586A State UI Line No. New Claims 1 Persons Establishing Benefit Years 2 Intrastate 101 1 0 Interstate Received as Paying State 102 0 0 Table D.26 Scenario 5 How Claims and Benefit Years Would be Reported in ETA 586 For the 200601 Quarter ETA 586A State UI Line No. New Claims 1 Persons Establishing Benefit Years 2 Intrastate 101 0 1 Interstate Received as Paying State 102 0 0 Table D.27 Scenario 5 How Payments Would be Reported in ETA 586 State UI Line No. Weeks Compensated 4 Benefits Paid 5 Prior Weeks Compensated 6 Prior Benefits Paid 7 Intrastate 101 2 300 0 0 Interstate Received as Paying State 102 0 0 0 0 The tables below illustrate the total counts and dollar amounts that the state would report in each applicable cell of the ETA 586 for the first quarter of 2006 if the preceding scenario occurred. COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.27 M AY 2013 Scenario 6 Determining the CWC Paying State. On November 14 2008 UIPL 1-09 redefined the CWC paying state. Effective January 6 2009 it is a single state against which a claimant files a CWC if 1 the claimant has employment and wages in that State s base period and 2 the claimant qualifies for UC in that state using the combined employment and wages. Previously the paying state could be any state under whose UC law the claimant qualified for benefits on the basis of combined employment and wages whether the claimant actually had employment and wages in that state or not. The change in definition limits a claimant s flexibility in filing a CWC and thus changes where CWC benefit years are established and who pays regular and CWC benefits. This change may affect which state is the paying state it may also affect reporting including the classification of claims and payments as Intrastate or Interstate. The following example illustrates. Jones recently lost her job in Maryland where she still resides. During the base period however she had enough work and earnings in both Maryland and Virginia to qualify for a combined-wage benefit in either state on the basis of her combined wages her WBA in Maryland would be higher than in Virginia. However she has been informed that the Massachusetts benefit scale is higher yet and that she has enough Maryland and Virginia wages to qualify for benefits in Massachusetts. Before January 6 Jones could have qualified not only for an Intrastate CWC benefit in Maryland or an Interstate CWC benefit in Virginia states where she had base period wages--but also an Interstate CWC benefit in any other state where those wages were sufficient for a BY. She selects Massachusetts for the highest benefit. MA would report her regular Initial Claim on the 5159 report and 218 and as the paying state MA s 586 report would record her claims and payment activity on line 102 Interstate and 1 st payment activity in column 9 Interstate of Part B of the 586. Regular payment activity will be reported on MA s 5159 9050-All-C6 and 9051 reports. Since January 6 Jones could only file either an Intrastate CWC against Maryland or an Interstate CWC against Virginia. She chooses Maryland to get a higher WBA. Maryland will report her CWC claims and payment activity on line 101 of its 586 part A Intrastate and 1 st payment activity in column 8 of part B. Maryland will also report an initial claim Intrastate in its 5159-101-2 a first payment in 9050-All-C2 and Weeks and Amounts compensated on the 5159. COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.28 M AY 2013 Table D.28 Scenario 6 Before January 6 2009 Massachusetts Step Date Action Subpopulation Reporting of Transaction as CWC Transaction Reporting of Transaction as Regular Transaction 1 02 02 2009 Jones files Interstate claim against MA with request to combine MD VA wages 3.08 3.09 3.10 3.11 3.12 or 3.13 N A 5159A -101 -7 2 02 02 2009 MA requests wages from Maryland and Virginia IB-4 is sent 3.36 or 3.37 586 -102 -1 N A 3 02 06 2009 Monetary determination of a 400 weekly benefit amount WBA in MA based on VA and MD wages 3.10 Sufficient WBA Duration less than Maximum 3.37 New CWC Interstate Benefit Year BY 586 -102 -2 218A -100 -1 354 218B 101 8-13 4 02 10 2009 First Payment of 400 4.2 UI Interstate 1 st payment 4.45 CWC Interstate first payment 586-102-4 586-102-5 586B column 9 Total 5159B -301- 14-17 5159B-302- 14-17 9050-All-C6 Table D.29 Scenario 6 Since January 6 2009 Maryland Step Date Action Subpopulation Reporting of Transaction as CWC Transaction Reporting of Transaction as Regular Transaction 1 02 02 2009 Jones files New UI intrastate IC against Maryland with request to combine wages from Virginia 3.01 3.02 3.03 3.04 3.05 or 3.06 N A 5159A -101 -2 2 02 02 2009 MD requests wages from Virginia. IB-4 is sent 3.34 or 3.35 depending on the outcome of the monetary New Intrastate CWC 586-101-1 N A 3 02 06 2009 Monetary determination of a 290 weekly benefit amount WBA in Maryland based on VA and MD wages 3.04 Sufficient WBA Duration less than Maximum 3.35 New CWC Interstate Benefit Year BY 586-101-2 218A-100- 1 3 4 218B-103 14 19 4 02 10 2009 First Payment of 290 4.1 UI Intrastate 1st payment 4.44 CWC Intrastate first payment 586 -101 -4 586-101-5 586B column 8 Total 5159B -301 14 -15 5159B-302 14-15 9050-All-C2 COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.29 M AY 2013 These are examples of Population 3 records before and after January 6 2009 Table D.30 Scenario 6 How the Steps Would be Reflected in Population 3 Validation Records Before January 6 2009 Massachusetts Step Date Claim Filed T yp e UI Program Claim T yp e Program T yp e Intrastate Interstate Date Original Monetary Sufficient Insufficient WBA MBA Potential Weeks Duration Potential Weeks Max Duration Subpop 1 3 12 23 2008 RegularUI- 1 NEW UI Int erstate -03 12 30 200 8 SUFFICIENT NEW BY Less than Maximum 1040 0 26 N 3.10 2 12 28 2009 Regular UI CW C NEW UI CW C Intrastate SUFFICIENT NEW CWC BY Less than Maximum 10400 26 N 3.3 7 Table D.31 Scenario 6 How the Steps Would be Reflected in Population 3 Validation Records Since January 6 2009 Maryland Step Date Claim Filed T yp e UI Program Claim T yp e Program T yp e Intrastate Interstate Date Original Monetary Sufficient Insufficient WBA MBA Potential Weeks Duration Potential Weeks Max Duration Subpop 1 3 2 2 2009 Regular UI- 1 NEW UI Intrastate 2 6 2009 SUFFICIENT NEW BY Less than Maximum 7540 26 Y 3.04 2 2 2 2009 Regular UI CW C NEW UI CW C Intrastate 2 6 2009 SUFFICIENT NEW CWC BY Less than Maximum 7540 26 Y 3.35 COMBINED WAGE CLAIMS AND PAYMENTS A PPENDIX D UI DV HANDBOOK BENEFITS D.30 M AY 2013 These are examples of 1 st payment records before and after January 6 2009 Table D.32 Scenario 6 How the Steps Would be Reflected in Population 4 Validation Records Before January 6 2009 Massachusetts Step T yp e UI Program Program T yp e Intra Inter Claim Type of Comp. Part Total Earn. WBA UI Amount UCFE Amount UCX Amount CWC Amount SE Amount Week End Date Mail Date Subp. 4 Regular UI-1 UI Only-U Intrastate First Payment Total 0 400 400 0 0 0 0 1 6 2009 1 10 2009 4.2 4 Regular UI-1 UI Only-U Intrastate CW C -1 First Payment Total 0 400 0 0 0 400 0 1 6 2009 1 10 2009 4.46 Table D.33 Scenario 6 How the Steps Would be Reflected in Population 4 Validation Records Since January 6 2009 Maryland Step T yp e UI Program Program T yp e Intra Inter Claim Type of Comp. Part Total Earn. WBA UI Amount UCFE Amount UCX Amount CWC Amount SE Amount Week End Date Mail Date Subp. 4 Regular UI-1 UI Only-U Intrastate First Payment Total 0 290 290 0 0 0 0 2 6 2009 2 10 2009 4.1 4 Regular UI-1 UI Only-U Intrastate CW C-1 First Payment Total 0 290 0 0 0 290 0 2 6 2009 2 10 2006 4.44