UIPL1-98_Attach.pdf

ETA Advisory File Text

-1- Unemployment Insurance Benefit Accuracy Measurement Program Specifications for State ADP Tasks and the COBOL Population Edit and Sample Selection Programs 1. Introduction This document contains the ADP specifications for the Unemployment Insurance UI Benefit Accuracy Measurement BAM Program. Definitions coding schemes and record formats are provided for all required and optional items and tasks. Specifications for three major components are described The construction of the UI transactions file on the State s mainframe ADP system which will be used to define the populations sampling frames from which the samples are selected for UI benefits and the three types of denied claims for unemployment compensation monetary denials separation issue denials and denials based on nonmonetary and nonseparation issues.This task will be performed by each State s ADP staff. The BAM COBOL programs which 1 edit the population transactions file 2 select the records which meet the definition for inclusion in the populations 3 execute a routine to randomly select samples from the appropriate sampling frames 4 produce an output file of the sampled cases and 5 produce a file containing aggregate data on the samples and populations which will be used to verify the validity of the samples and the sampling frames. Two separate COBOL programs have been developed to replace the single COBOL program currently used in BAM.The source code for the two COBOL programs will be distributed by the Department of Labor. States will compile the source code and install the executable object code on their ADP systems. The creation of a file containing data which has been downloaded from the State s mainframe for the sampled transactions. This file consists of items for the UI BAM data collection instrument dci which will be downloaded to the State s UI Sun ADP system either electronically for example via a Sunlink connection with the State s mainframe computer system or ftp or BAM State ADP and COBOL Program Documentation October 1997 -2- on tape.This task will be performed by each State s ADP staff. From its inception the BAM program formerly Benefits Quality Control has been designed to be as automated as possible. The UI unit in each State Employment Security Agency SESA has a Sun workstation to support BAM operations. The Unemployment Insurance Service Division of Information Technology electronically picks up BAM data from the Sun for storage in the UI database on the Sun computer system at the National Office. The specifications included in this document address the ADP requirements for both the benefits and denials components of the BAM program. Five States are participating in a pilot to test and evaluate the inclusion of denied claims in the BAM program. Because one purpose of any pilot is the identification of information which will result in the revision of program procedures and requirements the specifications in this document are subject to change based on the outcome of the pilot. 2. State UI Transactions File This section discusses the steps to be performed by State ADP staff to produce the UI transactions file which must be created each week and is the initial task in the population definition and sampling process.State ADP staff must write the program s to create this file. Data for this file are extracted from the State s UI database and management information system. The UI transactions file is the input file to COBOL program one which edits the file verifies that the records are sorted correctly and identifies records that meet the criteria for inclusion in the UI benefits and denials sampling frames. The UI transactions input file for the revised BAM COBOL program differs from the record type three transactions file used in the current BAM COBOL population definition and sample selection program in several respects Several data elements that are not needed to define the BAM populations or select the BAM samples have been deleted New data elements and codes have been added BAM State ADP and COBOL Program Documentation October 1997 -3- Only records that meet the definition for inclusion in one of the four BAM populations -- UI benefits monetary denials separation denials and nonmonetary- nonseparation denials -- should be included in the UI transactions file Records in the UI transactions file will be sorted according to the criteria specified below using a sort utility on the SESA mainframe before the transactions file is read by the COBOL program All date fields have been modified so that these fields can store and manipulate four-digit year fields in order to accommodate dates beginning January 1 2000. A. Data Definitions for the UI Transactions File 1 State ID Code Federal Information Processing Standard FIPS code. Field Size 2 Digits 2 Batch Number Indicates calendar year and week that file was created YYYYWW . Each week of the year is assigned a unique number beginning with 01 for the week which includes the first Saturday in January. A week is 12 00 am Sunday to 11 59 pm Saturday . Field Size 6 Digits 3 Social Security Number Social Security Number of claimant State use only . Field Size 9 Digits 4 Claim Date Use effective date MMDDYYYY if record is a new initial additional transitional or reopened claim. Item 16 Claim Type will be coded 01 02 03 or 04. BAM State ADP and COBOL Program Documentation October 1997 -4- Use week ending date MMDDYYYY if record is a week claimed. Item 16 Claim Type will be coded 12 13 or 14. Field Size 8 Digits 5 Transaction Date For benefit payments this is the date MMDDYYYY that the payment was made or the date that the offset withholding or intercept was applied. If amounts are withheld or intercepts applied in one sampling week for example on a Friday and the check is not issued until the following sampling week for example on the following Monday the payment record will be included in the sampling frame for the week in which the Monday falls. For denied claims this is the date MMDDYYYY that the monetary separation or nonmonetary-nonseparation denial was issued by the State agency that is the date the determination notice was mailed to the claimant or if no notice is required the date that a stop payment order was issued or a partial payment was made . Field Size 8 Digits 6 Sample Selection Indicator 1 This record was selected for the BAM sample UI benefits or monetary separation or nonmonetary- nonseparation denials . 2 This record was not selected for the BAM sample. NOTE All records are coded 2 when SESA builds the transactions file. Field Size 1 Digit 7 Transaction Sample Type 1 UI benefits 2 Monetary denials 3 Separation denials 4 Nonmonetary-nonseparation denials BAM State ADP and COBOL Program Documentation October 1997 -5- Field Size 1 Digit 8 Gender 1 Male 2 Female 8 Information Not Available or Missing Field Size 1 Digit 9 Date of Birth Claimant s month and year of birth MMYYYY . Enter 010001 when information is not available from the State s computer records. If month only is not available code month as 06. Field Size 6 Digits 10 Ethnic Classification 1 White not Hispanic 2 Black not Hispanic 3 Hispanic 4 American Indian or Alaskan Native 5 Asian or Pacific Islander 8 Information Not Available or Missing Field Size 1 Digit 11 Program Type 1 UI 5 UCFE 9 Missing 2 UI-UCFE 6 UCFE-UCX 3 UI-UCX 7 UCX 4 UI-UCFE-UCX 8 Other Field Size 1 Digit 12 Unemployment Duration Code 1 Regular UI 2 State Supplemental Program BAM State ADP and COBOL Program Documentation October 1997 -6- regular beyond 26 weeks when EB is triggered on 3 State Additional Program special State extended beyond normal duration unless EB is triggered on 4 Extended Benefits 5 Other Federal extended benefits program e.g. EUC Field Size l Digit 13 Amount Paid to Claimant Whole dollar amount of check actually provided the claimant. If none paid i.e. initial claim claimed not paid totally offset intercepted withheld or deducted entry will be 000. Field Size 3 Digits 14 Amount Offset Applied to Prior Overpayment Whole dollar amount of entitlement applied to an outstanding overpayment. If none offset entry will be 000. Field Size 3 Digits 15 Amount of Intercept or Withholding Whole dollar amount of entitlement applied to outstanding child support payments Federal State or local income tax withholding or amount withheld for over-issuance of Food Stamp coupons. If none intercepted or withheld entry will be 000. Field Size 3 Digits BAM State ADP and COBOL Program Documentation October 1997 -7- 16 Claim Type 00 No week claimed 01 New Claim 02 Additional Claim 03 Transitional Claim 04 Reopened Claim 11 Waiting Week 12 First Payment optional code 13 Continued Week paid or claimed but not paid 14 Final Payment optional code 15 Supplemental Payment paid previously Field Size 2 Digits 17 Filing Status Indicator 1 Intrastate - a claim filed in the State in which the claimant s wage credits were earned including combined wage claims in which claimant wage credits have been transferred from one or more States to the State in which the claim was filed. 2 Interstate liable - a claim filed through the facilities of another agent State against this liable State. 3 Interstate agent - a claim filed in this agent State against another liable State. Field Size 1 Digit 18 Workshare Percentage Code percent of unemployment in week due to a workshare agreement. Use 00 if claimant is not in a workshare agreement or SESA does not collect this information. Field Size 2 Digits 19 Run Date for Program optional Identifies when program to build file was executed MMDDYYYY . BAM State ADP and COBOL Program Documentation October 1997 -8- Field Size 8 Digits 20 Adjustment Indicator optional 1 This record adjusts previously reported information. 2 This record has not been previously reported. Default code if item not collected. Field Size 1 Digit 21 Total Amount Paid to Claimant The sum of item 13 Amount Paid to Claimant item 14 Amount Offset and item 15 Amount of Intercept or Withholding. Field Size 3 Digits B. Record Format for UI Transaction File Field Item Name Size Positions Formats 1 State I.D. 2 1-2 FIPS Code 2 Batch 6 3-8 YYYYWW 3 Social Security 9 9-17 Actual 4 Claim Date 8 18-25 MMDDYYYY 5 Transaction Date 8 26-33 MMDDYYYY Field Item Name Size Positions Formats 6 Sample Select. Ind. 1 34 1 or 2 7 Transaction Type 1 35 1 to 4 8 Gender 1 36 1 2 or 8 BAM State ADP and COBOL Program Documentation October 1997 -9- 9 Date of Birth 6 37-42 MMYYYY or 010001 10 Ethnic 1 43 1 to 5 or 8 11 Program Type 1 44 1 to 9 12 UI Duration 1 45 1 to 5 13 Amount Paid 3 46-48 Whole Dollars 14 Amount Offset 3 49-51 Whole Dollars 15 Amount of Intercept 3 52-54 Whole Dollars or Withholding 16 Claim Type 2 55-56 00-04 11-15 17 Filing Status 1 57 1 to 3 18 Workshare Pct. 2 58-59 00 to 99 19 Run Date 8 60-67 MMDDYYYY 20 Adjustment Ind. 1 68 1 or 2 21 Total Amount Paid 3 69-71 Whole Dollars To Claimant Field Item Name Size Positions Formats -- Filler 9 72-80 zero-filled can be used by State for edit codes. C. Timing and Frequency The UI Transactions File is created weekly. It may be created by accessing the SESA database each day it is updated or once each week after all updating activity has been completed. The weekly period is defined as 12 00 a.m. Sunday to 11 59 p.m. Saturday. The file must be ready for processing as soon as possible after all transactions for the week have been extracted but no later than the following Monday morning. BAM State ADP and COBOL Program Documentation October 1997 -10- If the SESA routinely maintains a cumulative UI transactions file on its ADP system during the defined week the weekly UI transactions file may be created with a single computer run at the end of the week. If a cumulative file is not maintained it will be necessary to construct the weekly data file by accessing SESA database each day it is updated. Each SESA may determine the most efficient file creation procedure in light of its normal operations. For purposes of illustration assume that the SESA updates its database five nights per week Monday through Friday and that no cumulative file is routinely maintained during this period. In this case it would be necessary to construct the UI transactions file by accessing the database each night and cumulating the records. The computer program that the State uses to select records for the UI transactions file must be executed on Monday night after the UI transaction database has been updated and the output must be stored. The same procedure must be repeated on Tuesday and records selected for Tuesday must be added to the file created on Monday. In this example the procedure would be applied five times during the week to obtain all of the records for the UI transactions file for that week. States have the option of including the Run Date in each record in the weekly UI transactions file. If the program the State has written to create the UI transactions file is run only once each week because the SESA maintains a cumulative file of UI transactions then one Run Date will be entered for all records selected for the weekly UI transactions file. In contrast if the program is run on five different days after the SESA s database is updated each day then the Run Date for the records in the weekly UI transactions file will have five different values corresponding to the dates on which the records were selected. D. Distinguishing Between Payments and Weeks The weekly UI transactions file can be constructed without difficulty as long as there is a separate record for each specific week of unemployment insurance paid or offset in the SESA s files. Problems may arise in constructing the transactions file if the SESA s database of UI transactions has a single payment record or applies a single offset that meets the definition of an original payment but is for more than a single week of unemployment. BAM State ADP and COBOL Program Documentation October 1997 -11- For example assume that in a case involving a labor dispute a ruling is issued that an individual claimant must be paid for eight weeks of unemployment claimed after the labor dispute began. If the SESA has only a single record in its computer files at the time all eight weeks of unemployment are paid the State must create eight individual records on the weekly UI transaction file. Alternatively some SESAs create two or more separate records for a single week s payment when for example that week is chargeable to two or more programs e.g. UI UCFE UI UCX is chargeable to two or more employers or is for a payment and an offset. If this occurs the separate records must be combined. The UI transactions file must have a single payment offset record for each claimant for each week. These procedures must be followed because the BAM sample consists of single weeks for which UI benefits were paid or offsets applied. The BAM sampling methodology requires that each element in the sampling frame i.e. each record in the transaction file represent a single week compensated. Also the specific amount of the payment offset that applies to each individual week of unemployment must be identified on the record for each week. E. Definitions of UI Transactions SESAs should use the following BAM population definitions to identify records on their UI databases for inclusion in the UI transactions file. 1 UI Benefits Paid Include all intrastate UI weeks compensated that are reported on the ETA 5159 Claims and Activities report on line 301 item 14 State UI Program All Weeks Compensated and item 17 UCFE and or UCX Programs . Exclude supplemental payments for an underpayment or offsets for an overpayment in one or more previously compensated weeks payments made on interstate claims BAM State ADP and COBOL Program Documentation October 1997 -12- payments made under the Extended Benefits program or other Federal extended benefits program for example EUC compensated waiting week payments payments made under the Short Time Compensation workshare program. 2 Monetary Denials Include all initial claims that were denied because of monetary issues from the initial claims that are reported on the ETA 5159 Claims and Activities report on lines 101 State UI 102 UCFE No UI and 103 UCX only for items 2 new intrastate excluding transitional item 5 transitional and item 6 interstate received as liable State . Exclude denied claims made under the Short Time Compensation workshare program. 3 Separation Denials Include all separation determinations that resulted in a denial of a claim for UI benefits from the separation determinations reported in cells c1 intrastate c5 interstate and c193 multi-claimant of the ETA 9052 Nonmonetary Determinations Time Lapse Detection Date report. Include only one multiclaimant determination based on a set of facts which results in a denial and which applies to a group of similarly-situated individuals and which is issued to two or more claimant who are members of such group s . Exclude denied claims made under the Short Time Compensation workshare Program. 4 Nonmonetary-Nonseparation Denials Include all nonmonetary-nonseparation determinations that resulted in a denial of a claim for UI benefits from the nonmonetary-nonseparation determinations reported in cells c97 intrastate c101 interstate and c193 multiclaimant of the ETA 9052 Nonmonetary Determinations Time Lapse Detection Date report. Include only one multiclaimant determination based on a set of facts which BAM State ADP and COBOL Program Documentation October 1997 -13- results in a denial and which applies to a group of similarly-situated individuals and which is issued to two or more claimant who are members of such group s . Exclude denied claims made under the Short Time Compensation workshare Program. States should refer to the definitions of the items referenced in the appropriate report in ET Handbook No. 401 2nd Edition change 7 and any subsequent revisions . F. UI Transactions File Sort The records in the UI transactions file are sorted first by Transaction Sample Type item 7 in ascending order 1 UI benefits 2 monetary denials 3 separation denials and 4 nonmonetary-nonseparation denials. Within each sample type records are sorted in ascending order on two keys. For the UI benefits sampling frame the primary sort key is the total amount paid to the claimant item 21 . For the three denials sampling frames the primary sort key is the transaction date of the denial date the denial was issued by the SESA item 5 . The secondary sort key for all four sample types is the social security number SSN item 3 . When these primary and secondary sorts are completed the first record in the UI transaction file will correspond to the UI benefits payment sample type 1 with the smallest amount paid offset intercepted or withheld and the lowest SSN within that amount. The last record among the UI benefits payments in the UI transactions file will correspond to the payment with the largest amount paid offset intercepted or withheld and the highest SSN within that amount. The first record in each of the three denials sample types monetary separation nonmonetary- nonseparation will correspond to the denial with the earliest transaction date and the lowest SSN within that date. The last record in each of the three denials sample types will correspond to the denial with the latest transaction date and the highest SSN within that date. 3. Control Record The control record is a required input to both BAM COBOL programs. COBOL program one checks the validity of the data in BAM State ADP and COBOL Program Documentation October 1997 -14- the control record and uses the control record to edit some of the data fields in the UI transactions file. COBOL program two uses the control record in its sample selection algorithm. The control record has been revised to accommodate the three types of denied claims and to be year-2000 compliant. Record Format for Control Record Data Element Positions Formats Edit Criteria State Code 1-2 2-digit numeric FIPS must be 1-56 72 or 78 except for codes 3 7 and 14. Current Week s Batch 3-8 6-digit numeric in format YYYYWW YYYY must be current year WW must be 01 and 53. UI Benefits Random 9-14 6-digit numeric implied decimal .xxxxxx . Monetary Random 15-20 6-digit numeric implied decimal .xxxxxx . Separation Random 21-26 6-digit numeric implied decimal .xxxxxx . Nonmon.-Nonsep. Random 27-32 6-digit numeric implied decimal .xxxxxx . Batch Week Beginning Date 33-40 8-digit numeric in format MMDDYYYY MM must be 01 and 12 DD must be 01 and max. days in MM YYYY must be current year. BAM State ADP and COBOL Program Documentation October 1997 -15- Data Element Positions Formats Edit Criteria Batch Week Ending Date 41-48 8-digit numeric in format MMDDYYYY must be Batch Week Beginning Date. MM must be 01 and 12 DD must be 01 and max. days in MM YYYY must be current year. UI Benefits 49-50 2-digit numeric Sample Size must be 2. Monetary Denials 51-52 2-digit numeric Sample Size must be 2. Separation Denials 53-54 2-digit numeric Sample Size must be 2. Nonmon.-Nonsep. Denials 55-56 2-digit numeric Sample Size must be 2. Max Pay 57-59 3-digit numeric whole dollars the maximum WBA in the State including dependents allowances. Filler 60-80 zero-filled 4. COBOL Population Edit and Sample Selection Programs The BAM COBOL programs can be compiled on IBM OS VS or COBOL II compilers. States must write the job control language to compile the source code. Because ADP systems vary from State to State some SESAs may have to modify the source code in order to successfully compile the COBOL programs on their State ADP systems. States should permanently store the executable object code COBOL files in a program library or partition on its ADP system from where it can be run on a routine basis. The COBOL programs perform the following tasks which are described in detail in the subsequent sections COBOL Program 1 BAM State ADP and COBOL Program Documentation October 1997 -16- edits the input control record to identify data element codes which do not meet the specified format or range verifies that the UI transactions file is sorted according to the specifications in section 2 F above edits the UI transactions file to 1 identify records with data element codes which do not meet the specified format or range and 2 identify records that meet the definition for inclusion in the sampling frames for UI benefits and the three types of denials produces an error report of records which fail any of the edits and the identification of the failed edit s creates a file consisting of the records in the UI transactions file that meet the definition for inclusion in the sampling frames. COBOL Program 2 selects the sample cases according to the prescribed algorithm writes records selected for the samples to the properly formatted output file creates a file of aggregate sample and population information for UI benefits and the three types of denials and produces a report for each of the four transaction types which summarizes the aggregate data. A. Editing the Input Control Record Both BAM COBOL programs require an input control record which is prepared by each State. Input control data are used in the sample selection algorithm and to edit the input file of UI transactions. This information includes the two-digit State FIPS code two eight-digit dates for beginning and ending dates of the batch weekly sample being selected a six-digit number for the batch four six-digit random start numbers for sample selection which are provided by the Department four two-digit numbers which are provided by the BAM supervisor that designate the number of cases to be selected for the weekly UI benefits monetary separation and nonmonetary-nonseparation denials BAM State ADP and COBOL Program Documentation October 1997 -17- samples and the maximum amount of UI benefits payable in the State. COBOL program one edits the input control record to insure that the fields contain valid entries. If any of the edits fail the appropriate error message will be displayed and the program will terminate. The required formats and definitions for the input control record data are provided in section 3 of this document. B. Verifying the Sort of the UI Transactions File Samples are selected for BAM using a systematic selection algorithm. With systematic selection the first sample case is selected at random and subsequent cases are selected at a fixed interval. The procedure will therefore produce a sample which reflects the way in which the records in the sampling frame file are sorted. Because of this it is critical that the records in the UI transaction file be sorted according to the specifications in section 2 F . COBOL program one verifies that The first N 1 records in the file are UI benefit payments Sample Type 1 the next N 2 records in the file are monetary denials Sample Type 2 the next N 3 records in the file are separation denials Sample Type 3 and the last N 4 records in the file are nonmonetary-nonseparation denials Sample Type 4 . Note All four types of records may not be present in the file. If more than one type of record is in the file the program verifies the proper sort sequence as described in the preceding paragraph. If only one type of record is present the program verifies that the records are sorted according to the appropriate primary and secondary sort keys as described in the following two sections. The primary sort key for the UI benefit records is the total amount paid to the claimant item 21 ascending and the secondary sort key is the social security number item 3 ascending . The primary sort key for the three denials sampling frames is the transaction date of the denial date the denial was issued by the SESA item 5 ascending and BAM State ADP and COBOL Program Documentation October 1997 -18- the secondary sort key is the social security number item 3 ascending . If the UI transactions file fails the sort edit the COBOL program will terminate identify the record s out of sequence and display an error message advising the user to re-sort the UI transactions input file. C. Editing the UI Transactions File COBOL program one uses the following criteria to edit the UI transactions file. The program generates an error report which will include all records that fail one or more of the edits. Data elements failing an edit will be flagged. An example of the format of this report is shown on page 26. Data Element and Name Edit Criteria 1. State I.D. Code Must be proper numeric FIPS code for SESA from input control record must be 1-56 72 or 78 except for codes 3 7 and 14. BAM State ADP and COBOL Program Documentation October 1997 1 Record must meet edit criteria for inclusion in sampling frame. -19- Data Element and Name Edit Criteria 2. Batch Number Must match batch in input control record 6-digit numeric YYYYWW YYYY must be current year WW must be 01 and 53. 1 3. Social Security Number Must be numeric 0. 4. Claim Date 8-digit numeric MMDDYYYY MM must be 01 and 12 DD must be 01 and max. days in MM YYYY must be current year. Can be all zeros if Transaction Type item 7 equals 3 separation denial or 4 nonmonetary- nonseparation denial . 5. Transaction Date 8-digit numeric MMDDYYYY MM must be 01 and 12 DD must be 01 and max. days in MM YYYY must be current year. Must be greater later than or equal to Batch Week Beginning Date from input control record. Must be less earlier than or equal to Batch Week Ending Date from input control record. BAM State ADP and COBOL Program Documentation October 1997 1 Record must meet edit criteria for inclusion in sampling frame. 2 Edit criteria may vary from State to State for this item. In some States it is possible for the Transaction Date to be greater than the Run Date so this data element is edited against the Claim Date. -20- Data Element and Name Edit Criteria 5. Transaction Date continued Must be greater later than or equal to Item 4 Claim Date . 1 2 6. Sample Selection Indicator Must equal 2. 7. Transaction Sample Type Must equal 1 2 3 or 4. 1 8. Gender Must equal 1 2 or 8 INA . 9. Date of Birth 6-digit numeric MMYYYY MM must be 01 and 12 YYYY must be current year - 100 and YYYY of Item 4 Claim Date can be 0001 INA . 10. Ethnic Classification Must equal 1-5 or 8 INA . 11. Program Type Must equal 1-7 UI UCFE UCX UI-UCFE UI-UCX UI-UCFE-UCX UCFE-UCX or 9 missing . 1 12. Unemployment Duration Code Must equal 1 regular UI or 3 State additional no EB . 1 13. Amount Paid to Claimant Must be equal to or less than 14. Amount Offset Applied max. WBA from input control 15. Amount of Intercept or record. Can be all 0 s. Withholding Data Element and Name Edit Criteria BAM State ADP and COBOL Program Documentation October 1997 1 Record must meet edit criteria for inclusion in sampling frame. -21- 16. Claim Type For UI benefits Sample Type 1 must equal 12 13 or 14. 1 For monetary denials Sample Type 2 must equal 01 new or 03 transitional . 1 For separation denials Sample Type 3 must equal 01 new 02 additional 12 to 14 week claimed or 00 no week claimed . 1 For nonmonetary-nonseparation denials Sample Type 4 must equal 01 new 02 additional 03 transitional 04 reopened claim 12 to 14 week claimed or 00 no week claimed . Denied claims for waiting week credit should be coded 13. 1 If Claim Type 12 or 14 item 21 must be 0. 17. Filing Status Indicator For UI benefits Sample Type 1 must equal 1 intrastate . 1 BAM State ADP and COBOL Program Documentation October 1997 1 Record must meet edit criteria for inclusion in sampling frame. -22- Data Element and Name Edit Criteria 17. Filing Status Indicator For monetary separation or Continued nonmonetary-nonseparation denials Sample Types 2 3 or 4 must equal 1 intrastate or 2 interstate liable . 1 18. Workshare Percentage Must equal 00. 1 19. Run Date for Program 8-digit numeric MMDDYYYY can be all zeros If greater than 0 MM must be 01 and 12 DD must be 01 and max. days in MM YYYY must be current year. Must be greater later than Item 4 Claim Date . Must be greater later than or equal to Batch Week Beginning Date from input control record. 20. Adjustment Indicator Must equal 1 or 2. Must equal 1 if Item 16 15. 21. Total Amount Paid to Must be equal to the sum to Claimant of items 13 14 and 15. Must be equal to or less than max. WBA from input control record. Can be all 0 s. Data Element and Name Edit Criteria 21. Total Amount Paid to For UI benefits Sample Type BAM State ADP and COBOL Program Documentation October 1997 1 Record must meet edit criteria for inclusion in sampling frame. -23- BAM UI Transactions File Error Report Page1State ofXXRun Date01 06 1997 Field Code Field Code Field Code 1 99 2 199701 3 111223333 4 12281996 5 01031997 6 2 7 1 8 1 9 071971 10 1 11 1 12 1 13 180 14 000 15 000 16 13 17 2 18 00 19 01051997 20 2 1 99 2 199701 3 444556666 4 12071996 5 12301996 6 2 7380 9 111968 10 3 11 2 12 1 13 000 14 000 15 000 16 01 17 1 18 00 19 01051997 20 2 Field failed edit for inclusion in sampling frame. Field failed coding edit. to Claimant continued 1 item 21 must be greater than 0. 1 For monetary denials Sample Type 2 item 21 must equal 0. 1 For separation and nonmonetary-nonseparation denials Sample Types 3 or 4 item 21 can be equal to or greater than 0. 1 D. Extract Flag for UI Benefits and Denials Sampling Frames BAM State ADP and COBOL Program Documentation October 1997 -24- The information that is collected for the cases in the BAM samples is used to make inferences about the claimant population. To ensure that these inferences are statistically reliable the populations must be defined consistently each week. The COBOL program performs this task by editing the UI transactions file to insure that only those records defined in section 2 E are included in the UI benefits and monetary separation and nonmonetary-nonseparation denials sampling frames. A record in the UI transactions file must meet several criteria which are denoted in section 4 C to be included in the sampling frame file. COBOL program one sets an extract flag for each field data element that meets the selection criteria. Records meeting all of the criteria will be written to a sampling frame file from which the four BAM samples are selected. E. Selecting the UI Benefits and Denials Samples COBOL program two uses a systematic random sampling procedure to select the UI benefits and three denials samples from the sampling frames created each week. The COBOL program uses the sample sizes and random start numbers from the input control record in the sample selection algorithm. The weekly sample sizes and random start numbers are provided by the Department for each State for inclusion in the input control record. The random start numbers must be updated in the input control record each week. The annual sample sizes for UI benefits and the three types of denials are fixed by the Department. However BAM supervisors may change the weekly sample sizes within a range in the input control record to accommodate investigator vacation schedules or other factors. The minimum and maximum weekly samples based on current annual sample allocations are Sample Annual SizeNormal WeeklyMinimum WeeklyMaximum Weekly Benefits 360 759 Benefits 480 9 6 12 Denials 200 428 Allocation for ten smallest States in terms of UI workload. BAM State ADP and COBOL Program Documentation October 1997 -25- 200 cases each of monetary separation and nonmonetary- nonseparation denials will be selected each year. F. Systematic Sampling Procedure COBOL program two counts the number of records included in the sampling frame. A skip interval is computed by dividing the number of records in the sampling frame by the number of records to be sampled that week. The first sample case selected is determined by multiplying the skip interval by the random start number assigned in the input control record for that sample UI benefits monetary separation or nonmonetary-nonseparation denials . The random start number is a six-place decimal with a value greater than zero and less than one. The product of the skip interval and the random start number is rounded to the nearest integer. If the rounded integer is zero the case corresponding to the rounded skip interval is selected as the first case in the sample. For example assume the following Number of Records in the Sampling Frame N 118 Random Start Number r .260903. Total Number of Cases to be Sampled n 4. Skip interval k 118 4 29.5 Initial case selected i .260903 x 29.5 7.697 8 rnd Record 8 in the sampling frame is the first record selected for the sample. Subsequent cases are selected using systematic sampling. 1. Select the initial sample case as described above. 2. Select the next n-1 cases by adding multiples of the skip interval k rounded to the nearest integer to the case number of the initial selection i i round jk where j 1 2 ... n - 1 . In the example cases 8 38 67 and 97 will be selected from the sampling frame of 118 records. BAM State ADP and COBOL Program Documentation October 1997 -26- If the last case designated for selection by the sampling algorithm is greater than the size of the sampling frame N the case will be selected from the beginning of the sampling frame. That is the sampling frame will be considered to be circular. For example if the last case selected isN 1 the1stcase will be selected. The general rule is if i round jk N select case h where h i round jk - N and 1 h i. The Sample Selection Indicator will be changed from a value of 2 to a value of 1 for all records selected for one of the four samples UI benefits monetary denials separation denials and nonmonetary-nonseparation denials. G. Output Files and Reports After the sample selection procedure has been completed COBOL program two produces two output files and related reports 1. HITFILE which consists of the records selected for the samples. The records in this file are in the same format and sort sequence as the UI transactions file UI benefits records will be written first followed by monetary separation and nonmonetary-nonseparation denials. The SSNs and claim dates of the sample cases are used to query the SESA database to create a file of claimant data rec1.dat which is used in investigating the accuracy of the payment or denial. The rec1.dat file is described in section 5. SESA BAM supervisors may request additional information for each case sampled for example the claimant s name local address phone number and UI claim history or wages. These optional data elements will be produced only for the benefit of the SESA BAM unit and will not be picked up by the Department. State optional data must be downloaded in the format described in section 5. In addition to creating the HITFILE the COBOL program will produce a hard copy report consisting of all of the UI transaction file data elements for each of the sampled cases BAM State ADP and COBOL Program Documentation October 1997 -27- JOB JOB NO. STATE EMPLOYMENT SECURITY COMMISSION RUN DATE 01 06 1997 HITFILE OF BAM SAMPLE CASES 99199701111223333122819961231199611107197111104000000013100010519972040000000000 99199701444556666122819960103199711202196811107500000013100010519972075000000000 99199701777889999122119961230199611211196222114500000013100010519972145000000000 99199701111335555122819960102199711108196531102515000013100010519972175000000000 99199701222446666122119961230199611210194812120000000013100010519972200000000000 99199701777991357122819960103199711104197451122500000013100010519972225000000000 99199701444668642122819961230199612203197011100000000001100010519972000000000000 99199701999119753122819960103199712101195723100000000001100010519972000000000000 99199701666880123122119961231199613112195511100000000001100010519972000000000000 99199701555004321122819960103199713205197741100000000002100010519972000000000000 99199701888224466122819961230199614209195021100000000013100010519972000000000000 99199701987654321122119960102199714102195911100000000013100010519972000000000000 2. sfsum.dat which consists of aggregate data for the population and sample cases for several claimant characteristics gender ethnic group age and program type. In addition to these characteristics the amount paid to the claimant will be used to check the validity of the UI benefits population and sample. This summary data is used to check the representativeness of the weekly UI benefits and denials samples. This file is analogous to the PRELUDE SF SUM file created by the current BAM COBOL program although the format of this file is different from PRELUDE SF SUM. The sfsum.dat file is described in section 5. In addition to creating the sfsum.dat file the COBOL program will produce a hard copy report consisting of the data elements described in Attachment 3 for each of the four sample types. The following are examples of the SFSUM hard copy reports for the UI benefits and monetary denials samples and populations. BAM State ADP and COBOL Program Documentation October 1997 -28- JOB JOB NO. STATE EMPLOYMENT SECURITY COMMISSION SFSUM REPORT RUN DATE 01 06 1997 TRANSACTION TYPE 1-UIBENEFITS State 99 Batch 199701 SIZE 06 005382 DOLLARS 00860 000805231 VARIANCE 2718.432 2919.341 MALE 03 002823 FEMALE 03 002559 GENDER MISS 00 000000 WHITE 03 003542 NON-WHITE 03 001840 ETHNIC MISS 00 000000 AGE 25 01 000639 AGE 25-34 03 001863 AGE 35-44 01 001295 AGE 45-64 01 000871 AGE 65 00 000714 AGE MISS 00 000000 51 01 000540 51- 100 01 000904 101- 150 01 001482 151- 200 02 001983 201 01 000473 AMOUNT MISS 00 000000 UI 06 005001 UCFE UCX 00 000381 PROGRAM MISS 00 000000 SKIP INTERVAL 000897 RANDOM NUMBER 217658 FIRST SELECT 000195 BAM State ADP and COBOL Program Documentation October 1997 -29- JOB JOB NO. STATE EMPLOYMENT SECURITY COMMISSION SFSUM REPORT RUN DATE 01 06 1997 TRANSACTION TYPE 2 - MONETARY DENIALS State 99 Batch 199701 SIZE 02 000245 MALE 01 000132 FEMALE 01 000113 GENDER MISS 00 000000 WHITE 01 000177 NON-WHITE 01 000068 ETHNIC MISS 00 000000 AGE 25 00 000021 AGE 25-34 01 000073 AGE 35-44 01 000065 AGE 45-64 00 000048 AGE 65 00 000038 AGE MISS 00 000000 UI 02 000202 UCFE UCX 00 000043 PROGRAM MISS 00 000000 SKIP INTERVAL 000123 RANDOM NUMBER 725190 FIRST SELECT 000089 H. COBOL Program Specifications A description of the COBOL program modules installation procedures and the technical specifications of the input and output files are provided in Attachment A. 5. COBOL Program Output Files Each week two files are downloaded from the SESA mainframe ADP system to the UI Sun ADP system rec1.dat which consists of claimant data obtained from the SESA database for the cases selected for the four BAM samples and sfsum.dat which is created by COBOL program two. The Department will provide software to convert data in these files to the Informix database BAM State ADP and COBOL Program Documentation October 1997 -30- on the UI Sun computer. This software requires the data passed from the SESA mainframe to the Sun computer to be in a specific format. It is the responsibility of the SESA to assure that data transferred to the Sun computer adhere to these formats which are described in detail below. Each SESA data processing staff is also responsible for any modifications to the job control language of the COBOL program and any additional scripts needed to download the rec1.dat and sfsum.dat files to the Sun computer either electronically for example Sunlink or ftp or on tape. States must secure login permission and permission to download files from their State ADP system to the Sun computer. States using Sunlink should refer to the Sunlink documentation to set the parameters for their local ADP system and insure that these files reside in a location on the State s mainframe that can be accessed by Sunlink. States that cannot or choose not to use Sunlink or another electronic transfer method can write the rec1.dat and sfsum.dat files to tape or other media that can be used to transfer the files to the Sun system. States may also choose to manually enter the population and sample comparison data and sample case information into the Sun computer by using the software provided by the Department. The procedures for UI benefits data are described in ET Handbook No. 400 Unemployment Insurance Benefit Quality Control ADP User Guide . A. Output File of Sampled Cases COBOL program two creates a file of records selected for the UI benefits and three denials samples HITFILE . This file is used to query the SESA database to identify information on an individual claimant including demographic characteristics employment history benefit year data and information specific to the initial or continued claim. Data reflect status at the time of sample selection for such items as number of base period employers base period wages weekly benefit amount etc. All data available in the SESA UI databases must be extracted to create file rec1.dat for downloading to the Sun computer. The control keys for selecting data from the SESA database are social security number SSN and claim date which is the effective date of the initial claim or the week ending date of a week claimed. BAM State ADP and COBOL Program Documentation October 1997 -31- 1. Timing and Frequency . SESAs will create the rec1.dat file each week as soon as possible after the samples of UI benefit payments and denied UI claims have been selected by the COBOL program. The file must be available on Monday morning for assignment of cases to the BAM investigators. The file is downloaded to the Sun computer either electronically or by tape and stored in opt bqc data tmp rec1.dat. 2. Data Element Definition . The data elements and formats for rec1.dat records are provided in Attachment B. Some of the fields may be missing optional or not applicable and are left blank as indicated. 3. Data Corrections . Experience from the BAM program has shown that claimants are occasionally sampled in error or that claimant identifiers change during the course of an investigation. The BAM supervisor will normally be the person who identifies sample or identifier errors. Provisions have been made for reconciliation of either of these errors on the Sun computer system. The Department will log on to the Sun computer in order to code a sample case that does not meet the definition for inclusion in the UI benefits or denials universe. The Sun computer cannot correct errors on the SESA mainframe. Therefore the BAM supervisor is responsible for alerting the SESA ADP unit regarding changes or errors. 4. File Format for Transfer to the Sun Computer . States must download the rec1.dat file from their mainframe computer to the Sun ADP system. This data is stored in the UI database on the Sun. Successful case conversion depends on fixed formats and file-naming conventions which are described in this section. SESAs are responsible for the programming which creates the rec1.dat file in the required format. Each record in the rec1.dat file consists of ten 80-character lines. The total size of each record is 800 bytes. Position 80 on each line must be coded with a line feed ASCII - 10 HEX OA EBCDIC 25 LF . The first three lines are defined by the Department and cannot be changed. As indicated in the following table some fields wrap from one line to the next line. Line four is reserved for future use and will remain blank. The remaining six lines are reserved for State use and can contain such information as the names and addresses of UI claimants. BAM supervisors are responsible for providing the record formats of optional fields to their ADP BAM State ADP and COBOL Program Documentation October 1997 -32- staffs. All ten lines must be formatted and transferred whether or not the State optional lines are used for data. Positions not used for data must remain unfilled. The following table summarizes the contents of each line of the rec1.dat file record. The data elements and formats for rec1.dat records are provided in Attachment B. Line rec1.dat Data Element Numbers Positions l Items 1 thru 24 first position 1 - 79 2 Items 24 last position thru 50 80 - 158 3 Items 51 thru 58 159 - 168 69 spaces reserved in remainder of line 3 169 - 237 4 Leave blank reserved for future use. 5-10 Lines reserved for State use. Note Positions refer to the format of the rec1.dat file record in Attachment B. B. Population and Sample Comparison File COBOL program two will aggregate population and sample data for selected claimant characteristics to evaluate the statistical validity of the UI benefits and denials samples. This aggregated data is written to the file sfsum.dat and is downloaded to the UI Sun computer either electronically or by tape. The file will be stored in opt bqc data tmp sfsum.dat on the Sun computer. Software provided by the Department will store the aggregated data in the UI database. The Department will pick this data up for storage on the National Office UI database. This file will include the following information 1 The total size of the UI benefits or denials population file from which the sample was selected. 2 The skip interval K calculated. BAM State ADP and COBOL Program Documentation October 1997 -33- 3 The random start number provided by the Department and specified in the input control record. 4 The sequence number of the first sampled case. 5 Aggregate sample and population data for gender ethnic group age and program. For UI benefits aggregate sample and population data for the amount paid to the claimant and the sample and population variances for the amount paid will also be produced. File Format . The sfsum.dat file consists of four records of three 80-character lines which are summarized in the following table. Position 80 of each line is coded with a line feed. The first record in the file is for UI benefits followed in order by records for monetary separation and nonmonetary-nonseparation denials. The data elements and formats for sfsum.dat records are provided in Attachment C. BAM State ADP and COBOL Program Documentation October 1997 -34- Line sfsum File Data Element Numbers Positions l Items 1 thru 19 first 4 positions 1 - 79 2 Items 19 last 2 positions thru 39 80 - 158 first 3 positions 3 Items 39 last 3 positions thru 53 159 - 231 6 spaces reserved in remainder of line 3 232-237 Note Positions refer to the format of the sfsum.dat file record in Attachment C. BAM State ADP and COBOL Program Documentation October 1997 -35- Attachment A UI BAM Population Edit and Sample Selection COBOL Program Specifications and Installation Installation of the COBOL Programs The BAM denials COBOL software consists of two source code files the edit program and the sampling program. The source program code is written in ASCII. Transfer the COBOL program source code files from the UI Sun computer to your State mainframe computer system or network. The two programs must be compiled separately and given names consistent with the naming conventions at your State s ADP site. The programs have been compiled and tested under both IBM OS VS COBOL and COBOL II. If the program code will be compiled using a different compiler the source code may need to be modified to conform to your local ADP environment. After compiling the COBOL program source code permanently store the executable object code files in a program library or partition on your State s ADP system where it can be run on a routine basis. In the redesign of the COBOL program all internal COBOL sorts have been replaced with SORT utility steps that run before the edit program. Sample JCL for executing the programs on IBM compatible systems is provided at the end of this section. The main processing steps are as follows 1. Using programs specific to your ADP site create the weekly file of UI benefit payments in the new format as described in section 2 of this documentation. 2. Using a sort control statement similar to the one in step 010 in the sample JCL sort the UI payment transactions by total amount paid and by SSN. 3. Using programs specific to your site create a transaction file for the three types of denials monetary separation and nonmonetary-nonseparation. 4. Using a sort control statement similar to the one in step 020 in the sample JCL sort the denials transactions by TRANTYPE TRANYYYY TRANMMDD and SSN. BAM State ADP and COBOL Program Documentation October 1997 -36- 5. Concatenate the UI payment and denial files step 030 . 6. Execute the edit program to create the sampling frame and error report step 040 . 7. Execute the sampling program to create the HITFILE sample cases and SFSUM files step 050 . 8. Using programs specific to your ADP site create the rec1.dat file in the new format as described in section 4 and attachment B of this documentation. COBOL Program Files 1. Input Files a.UI Transactions File This file contains all the weekly UI transactions records which contain data extracted from the SESA mainframe database. record order UI benefits Transaction Type 1 amount paid offset intercepted withheld or deducted item 21 in UI transactions record and social security number item 3 in ascending order Monetary separation and nonmonetary- nonseparation denials Transaction Types 2 3 and 4 transaction date item 5 in UI transactions record and social security number item 3 in ascending order. access mode sequential record length 80 bytes retention save on tape or disk for 120 days b.Control Record This file contains a single record which provides control information for each weekly run for example random number number of records to be sampled each week batch number etc. . Certain data in the record must changed each week batch random and dates . BAM State ADP and COBOL Program Documentation October 1997 -37- access mode single record record length 80 bytes retention none 2. Output Files and Reports a.Error Listing This report consists of records in the UI transactions file for which the COBOL program has identified data range format or relational errors. The report should be reviewed to correct data value or format problems. b.Sampling Frame of UI Transactions This file contain all records meeting the edit criteria for inclusion in the UI benefits and the monetary separation and nonmonetary-nonseparation sampling frames. record order Same as UI Transactions File access mode sequential record length 80 bytes output media disk or tape retention none c.HITFILE This file contains the records selected for the four BAM samples UI benefits and monetary separation and nonmonetary-nonseparation denials. Record format is the same as the UI transactions file. The HITFILE is used to extract data from the State s UI database to create the rec1.dat file which is downloaded to BAM tables in the UI database on the Sun computer. record order Same as sampling frame and transactions file access mode sequential record length 80 bytes output media disk or tape retention optional d.sfsum.dat This file contains aggregate sample and population data for the four types of UI transactions included in BAM UI BAM State ADP and COBOL Program Documentation October 1997 -38- benefits and monetary separation and nonmonetary- nonseparation denials. The data consists of selected characteristics which are used to weight the BAM data and conduct statistical tests of sample validity. Data in this this file is downloaded to the b comparison table in the UI database on the Sun computer. access mode sequential record length 80 bytes 3 lines per record output media disk or tape retention retain hard copy SFSUM report for 120 days data in the b comparison table in the UI database is permanently retained on disk or archived. Sample Job Control Language SAMPLE JCL TO SORT ALLOW AND DENY TRANSACTIONS AND RUN THE EDIT AND SAMPLE PROGRAMS. STEP010 - SORT UC TRANS BY TOTAL PAID SSN STEP020 - SORT DENIAL TRANS BY TRANTYPE TRANYYYY TRANMMDD AND SSN STEP030 - CONCATENATE THE TWO FILES TRANTYPES 1 2 3 4 STEP040 - EDIT THE CONTROL AND TRANSACTION FILES STEP050 - CREATE HITS AND SFSUM FILES STEP010 EXEC PGM SORT SORTIN DD DSN YOUR.INITIAL.CLAIMS.TRANSACTIONS DISP OLD DELETE KEEP DD DSN YOUR.CONTINUED.CLAIMS.TRANSACTIONS DISP OLD DELETE KEEP SORTOUT DD DSN YOUR.SORTED.TYPE1.TRANSACTIONS UNIT STORAGE MGMTCLAS IMSTD DISP NEW CATLG DELETE AVGREC K DCB LRECL 80 RECFM FB SPACE 80 50 20 RLSE SYSOUT DD SYSOUT SYSIN DD SORT FIELDS 69 3 CH A 9 9 CH A STEP020 EXEC PGM SORT SORTIN DD DSN YOUR.UNSORTED.DENIALS.TRANS DISP OLD DELETE KEEP SORTOUT DD DSN YOUR.SORTED.DENIALS.TRANS UNIT STORAGE MGMTCLAS IMSTD BAM State ADP and COBOL Program Documentation October 1997 -39- DISP NEW CATLG DELETE AVGREC K DCB LRECL 80 RECFM FB SPACE 80 30 10 RLSE SYSOUT DD SYSOUT SYSIN DD SORT FIELDS 35 1 CH A 30 4 CH A 26 4 CH A 9 9 CH A STEP030 EXEC PGM IEBGENER SYSUT1 DD DSN YOUR.SORTED.TYPE1.TRANSACTIONS DISP OLD DELETE KEEP DD DSN YOUR.SORTED.DENIALS.TRANS DISP OLD DELETE KEEP SYSUT2 DD DSN YOUR.UNEDITED.TRANSACTION.FILE UNIT STORAGE MGMTCLAS IMSTD DISP NEW CATLG DELETE AVGREC K DCB LRECL 80 RECFM FB SPACE 80 30 10 RLSE SYSPRINT DD SYSOUT SYSIN DD DUMMY STEP040 EXEC PGM YOUR NAME FOR THE EDIT PROGRAM INCNTRL DD DSN YOUR.NAME.FOR.THE.CONTROL.FILE DISP SHR INTRAN DD DSN YOUR.UNEDITED.TRANSACTION.FILE DISP OLD DELETE KEEP OTTRAN DD DSN YOUR.NAME.FOR.THE.SAMPLE.FRAME MGMTCLAS IMSHORT STORCLAS ISFAST DISP NEW CATLG DELETE AVGREC K DCB RECFM FB LRECL 80 SPACE 80 100 100 RLSE OTERROR DD SYSOUT DCB RECFM FBA LRECL 81 SYSOUT DD SYSOUT SYSABEND DD SYSOUT SYSUDUMP DD SYSOUT SYSABOUT DD SYSOUT SYSDBOUT DD SYSOUT STEP050 EXEC PGM YOUR NAME FOR THE SAMPLING PGM INCNTRL DD DSN YOUR.NAME.FOR.THE.CONTROL.FILE DISP SHR INTRANS DD DSN YOUR.NAME.FOR.THE.SAMPLE.FRAME DISP OLD DELETE KEEP OTPRINT DD SYSOUT DCB RECFM FBA LRECL 133 OTSAMPL DD DSN YOUR.NAME.FOR.THE.HITS.FILE DISP NEW CATLG DELETE BAM State ADP and COBOL Program Documentation October 1997 -40- SPACE 80 5 2 RLSE AVGREC K DCB RECFM FB LRECL 80 OTSFSUM DD DSN YOUR.NAME.FOR.THE.SFSUM.FILE DISP NEW CATLG DELETE SPACE 80 5 2 RLSE AVGREC K DCB RECFM FB LRECL 80 SYSOUT DD SYSOUT SYSABEND DD SYSOUT SYSUDUMP DD SYSOUT SYSABOUT DD SYSOUT SYSDBOUT DD SYSOUT BAM State ADP and COBOL Program Documentation October 1997 1 Unless otherwise noted refer to ET Handbook No. 400 Appendix D Data Elements and Definitions for data element codes. -41- Attachment B Record Format for rec1.dat File Field Item Name Size Positions Formats Codes 1 1 Social Security 9 1-9 9-digit SSN State use only 2 State ID 2 10-11 2-digit FIPS Code 3 Batch Number 6 12-17 YYYYWW 4 Claim Date Week 8 18-25 MMDDYYYY Ending or Effective Date 5 Local Office Number 4 26-29 SESA assigned 6 U.S. Citizen 1 30 1 to 3 or Blank 7 Education 2 31-32 00 to 12 14 to 16 20 or Blank 8 Voc Tech Training 1 33 1 to 3 or Blank 9 In Training 2 34-35 00 11 to 14 21 to 24 or Blank BAM State ADP and COBOL Program Documentation October 1997 1 Unless otherwise noted refer to ET Handbook No. 400 Appendix D Data Elements and Definitions for data element codes. 2 Required for UI benefits cases only leave blank for denials cases. 1 Unless otherwise noted refer to ET Handbook No. 400 Appendix D Data Elements and Definitions for data element codes. -42- Field Item Name Size Positions Formats Codes 1 10 2 Occup. Code Last 3 36-38 3 digit major group or Blank 11 Date of Birth 8 39-46 MMDDYYYY or Blank 12 Gender 1 47 1 2 or Blank 13 Ethnic Classification 1 48 1 to 5 or Blank 14 Program Code 1 49 1 to 8 or Blank 15 Combined Wage 1 50 1 or 2 or Blank 16 Benefit Yr. Beginning 8 51-58 MMDDYYYY or Blank 17 Initial Claim Filing 1 59 1 to 5 or Blank Method 18 2 Prior Nonsep Issues 2 60-61 2 digits or Blank 19 2 Prior Nonsep Issues 2 62-63 2 digits or Disqualifying Blank 20 Reason for Separation 2 64-65 10 to 69 or Before Investigation Blank 21 Date of Separation 8 66-73 MMDDYYYY or Before Investigation Blank Field Item Name Size Positions Formats Codes 1 BAM State ADP and COBOL Program Documentation October 1997 1 Unless otherwise noted refer to ET Handbook No. 400 Appendix D Data Elements and Definitions for data element codes. -43- 22 Recall Status 1 74 0 1 2 or Before Investigation Blank 23 SIC Last Employer 4 75-78 4 digit SIC code or Blank 24 Base Period Employers 2 79-80 2 digits or Before Investigation Blank 25 Base Period Wages 6 81-86 6 digits whole Before Investigation dollars or Blank 26 SIC Primary Base 4 87-90 4-digit SIC Period Employer code or Blank 27 High Quarter Wages 5 91-95 5 digits whole Before Investigation dollars or Blank 28 Weeks Worked in BP 3 96-98 3 digits or Before Investigation Blank 29 WBA Before Invest. 3 99-101 3 digits whole dollars or Blank 30 MBA Before Invest. 5 102-106 5 digits whole dollars or Blank 31 Monetary Redeterm. 1 107 1 2 or Blank Before Investigation Field Item Name Size Positions Formats Codes 1 32 Remaining Balance after 5 108-112 5 digits whole week paid or denial dollars or determination Blank 33 Dependents Claimed 2 113-114 2 digits 00 BAM State ADP and COBOL Program Documentation October 1997 2 Required for UI benefits cases only leave blank for denials cases. 3 Required for UI benefits cases and any denial decision when a week was claimed leave blank for denial decisions if no week was claimed. -44- Before Investigation or Blank 34 Dependents Allowance 3 115-117 3 digits whole Before Investigation dollars or Blank 35 2 First CWE Date 8 118-125 MMDDYYYY or Blank 36 2 Date of First Pay t. 8 126-133 MMDDYYYY or Blank 37 2 KW Cert. Method 1 134 1 to 3 or Blank 38 3 Week Claimed Paid 1 135 1 to 5 or Blank Filing Method BAM State ADP and COBOL Program Documentation October 1997 1 Unless otherwise noted refer to ET Handbook No. 400 Appendix D Data Elements and Definitions for data element codes. 4 Required for UI benefits cases. For denials cases leave blank if there is no payment associated with the denial determination week of issue. Otherwise enter the amount paid offset intercepted withheld or deducted for the denial determination week of issue. 1 Unless otherwise noted refer to ET Handbook No. 400 Appendix D Data Elements and Definitions for data element codes. -45- Field Item Name Size Positions Formats Codes 1 39 4 Amount Paid and or 3 136-138 3 digits whole Offset for KW dollars or Blank 40 Total Earnings for KW 3 139-141 3 digits whole Before Investigation dollars 000 or Blank 41 Earnings Deduct. for KW 3 142-144 3 digits whole Before Investigation dollars 000 or Blank 42 Other Deduct. Income for 3 145-147 3 digits whole KW Before Investigation dollars 000 or Blank 43 Other Deduction for KW 3 148-150 3 digits whole Before Investigation dollars 000 or Blank 44 Required to Seek Work 1 151 1 to 5 or Blank 45 JS Registration Req. 1 152 1 2 or Blank 46 Actively Currently 1 153 1 2 or Blank Registered w JS 47 Reason JS Reg. Deferred 1 154 1 to 6 or Blank Field Item Name Size Positions Formats Codes 1 BAM State ADP and COBOL Program Documentation October 1997 5 New data element added for denials codes are not available in ET Handbook No. 400 use indicated codes. -46- 48 of JS Referrals 2 155-156 2 digits or Blank 49 Union Referral Status 1 157 0 to 3 or Blank 50 5 Union Service 1 158 0 to 3 or Blank 0 - Not a union member 1 - Union routinely assists claimant in UI process 2 - Union assists claimant in UI process if requested 3 - Union does not become involved in UI process 51 5 Union Assistance 1 1591-Yes 2-No Requested or Blank 52 5 Claimant Union Assisted 1 1601-Yes 2-No or Blank 53 5 Monetary Denial Reason 2 161-162 00 thru 59 or blank 00 - Sufficient wages hrs wks days 10 - Insufficient wages 20 - Insufficient hrs wks days 30 - Failure of high qtr. wage test 40 - Transitional wage requirement 50 - Other monetary issue Note Second digit reserved for State use. BAM State ADP and COBOL Program Documentation October 1997 1 Unless otherwise noted refer to ET Handbook No. 400 Appendix D Data Elements and Definitions for data element codes. 5 New data element added for denials codes are not available in ET Handbook No. 400 valid codes are provided. 6 The codes in item 20 Reason for Separation before investigation are used for separation denial reason. There is no separate data element for separation denial reason. -47- Field Item Name Size Positions Formats Codes 1 54 5 6 Nonmonetary- 2 163-164 00 thru 79 or Nonseparation Denial Reason blank 00 - No issue 10 - Able issue 20 - Available issue 30 - Work search issue 40 - Disqualifying unreported income 50 - Refusal of work 60 - Reporting registration or referral issue 70 - Other alien athlete school seasonality Note Second digit reserved for State use. 55 5 Claim Type 1 165 0 to 5 0 - No week claimed 1 New initial claim 2 Additional claim 3 Transitional claim 4 Reopened claim 5 - Continued week claimed Includes weeks claimed whether compensated in full partially compensated or denied includes first and final payments. Field BAM State ADP and COBOL Program Documentation October 1997 1 Unless otherwise noted refer to ET Handbook No. 400 Appendix D Data Elements and Definitions for data element codes. 5 New data element added for denials codes are not available in ET Handbook No. 400 valid codes are provided. 7 Appeal status at time case was selected for sample data element can be updated if status changes before case is closed. -48- Item Name Size Positions Formats Codes 1 56 5 Initial Determination 1 166 0 to 3 or Blank Appealed 7 0 - Not appealed 1 - Claimant appealed 2 - Employer appealed 3 - Other interested party appealed 57 5 Result of Initial 1 167 0 to 6 or Blank Determination Appeal 7 0 - No appeal filed 1 - Affirmed eligible 2 - Affirmed ineligible 3 - Reversed eligible 4 - Reversed ineligible 5 - Appeal decision pending 6 - SESA redetermined original determination 58 5 Sample Indicator 1 168 1 to 4 1 - UI benefits payment 2 - Monetary denial 3 - Separation denial 4 - Nonmonetary-nonseparation denial BAM State ADP and COBOL Program Documentation October 1997 1 The first record will be for UI benefits sample type 1 followed by monetary denials sample type 2 separation denials sample type 3 and nonmonetary-nonseparation denials sample type 4 . 2 Reported with six digits implied decimal .xxxxxx . 3 Reported with one implied decimal xxxxx.x . -49- Attachment C Record Format for sfsum.dat File All Fields are Numeric Field Item Name Size Positions 1 Batch 6 1-6 2 1 Sample Type 1 7 3 Sample Size 2 8-9 4 Population Size 6 10-15 5 2 Random Start 6 16-21 6 3 Skip Interval 6 22-27 7 Initial Case Selected 6 28-33 8 Sample - Male 2 34-35 9 Population - Male 6 36-41 10 Sample - Female 2 42-43 11 Population - Female 6 44-49 12 Sample - Gender Missing 2 50-51 Field Item Name Size Positions 13 Population - Gender Missing 6 52-57 BAM State ADP and COBOL Program Documentation October 1997 4 UI program codes include regular UI or UI and UCFE or UCX program type codes 1 2 3 and 4 on the UI transactions file . -50- 14 Sample - White 2 58-59 15 Population - White 6 60-65 16 Sample - Non-white 2 66-67 17 Population - Non-white 6 68-73 18 Sample - Ethnic Missing 2 74-75 19 Population - Ethnic Missing 6 76-81 20 Sample - Age 25 2 82-83 21 Population - Age 25 6 84-89 22 Sample - Age 25-34 2 90-91 23 Population - Age 25-34 6 92-97 24 Sample - Age 35-44 2 98-99 25 Population - Age 35-44 6 100-105 26 Sample - Age 45-64 2 106-107 27 Population - Age 45-64 6 108-113 28 Sample - Age 65 2 114-115 29 Population - Age 65 6 116-121 30 Sample - Age Missing 2 122-123 31 Population - Age Missing 6 124-129 Field Item Name Size Positions 32 4 Sample - UI Program 2 130-131 BAM State ADP and COBOL Program Documentation October 1997 5 Program codes include UCFE and or UCX only program type codes 5 6 and 7 on the UI transactions file . 6 For the monetary separation and nonmonetary-nonseparation denials this item will equal zero. -51- 33 4 Population - UI Program 6 132-137 34 5 Sample - UCFE UCX 2 138-139 35 5 Population - UCFE UCX 6 140-145 36 Sample - Program Missing 2 146-147 37 Population - Program Missing 6 148-153 38 6 Sample - 50 Paid 2 154-155 39 6 Population - 50 Paid 6 156-161 40 6 Sample - 51-100 Paid 2 162-163 41 6 Population - 51-100 Paid 6 164-169 42 6 Sample - 101-150 Paid 2 170-171 43 6 Population - 101-150 Paid 6 172-177 44 6 Sample - 151-200 Paid 2 178-179 45 6 Population - 151-200 Paid 6 180-185 Field Item Name Size Positions 46 6 Sample - 200 Paid 2 186-187 47 6 Population - 200 Paid 6 188-193 48 6 Sample - Amt. Paid Missing 2 194-195 49 6 Population - Amt. Paid Missing 6 196-201 50 6 Sample - Amount Paid 5 202-206 BAM State ADP and COBOL Program Documentation October 1997 6 For the monetary separation and nonmonetary-nonseparation denials this item will equal zero. 7 Reported with three implied decimal places xxxxx.xxx . -52- 51 6 Population - Amount Paid 9 207-215 52 6 7 Sample - Amt. Paid Variance 8 216-223 53 6 7 Population - Amt. Paid Variance 8 224-231