ETHandbook_395_Ch5_acc.pdf

ETA Advisory File Text

ET HANDBOOK NO. 395 5 th EDITION November 2009 BENEFIT ACCURACY MEASUREMENT STATE OPERATIONS HANDBOOK ET HANDBOOK NO. 395 5 TH EDITION U.S. DEPARTMENT OF LABOR EMPLOYMENT AND TRAINING ADMINISTRATION November 2009 Prepared by Office of Unemployment Insurance Division of Performance Management OMB No. 1205-0245 OMB Expiration Date 12 31 2015 OMB Burden Hours 9.11 hours per investigation O M B Burden Statement These reporting instructions have been approved under the Paperwork reduction Act of 1995. Persons are not required to respond to this collection of information unless it displays a valid OMB control number. Public reporting burden for this collection of information includes the time for reviewing instructions searching existing data sources gathering and maintaining the data needed and completing and reviewing the collection of information. Submission is mandatory under SSA 303 a 6 . 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 Office of Workforce Security Room S- 4231 200 Constitution Ave. NW Washington DC 20210. ET HANDBOOK NO. 395 5 th EDITION November 2009 BENEFIT ACCURACY MEASUREMENT STATE OPERATIONS HANDBOOK Table of Contents Page OVERVIEW Chapter I Benefit Accuracy Measurement Overview 1. Introduction I- 1 2. Background I- 1 3. Program Scope I- 2 4. Handbook Organization I- 3 REQUIRED PROCEDURES Chapter II Organization and Authority 1. Organization II- 1 2. Authority II- 1 3. Written Procedures II- 1 4. BAM Software II- 1 Chapter III Data Processing State Mainframe Computer Operations and Interfaces with UI ADP System 1. Introduction III- 1 2. State UI Transactions File III- 2 Data Definitions for the UI Transactions File III- 2 Record Format for UI Transactions File III- 7 Timing and Frequency III- 8 Distinguishing Between Payments and Weeks III- 8 Definitions of UI Transactions III- 9 UI Transactions File Sort III-12 3. Control Record III-13 4. COBOL Population Edit and Sample Selection Programs III-15 5. Downloaded Files III-25 - Attachment A - UI BAM Population Edit and Sample III-A-1 Selection COBOL Program Specifications and Installation - Attachment B - Record Format for rec1.dat File III-B-1 - Attachment C - Record Format for sfsum.dat File III-C-1 i ET HANDBOOK NO. 395 5 th EDITION November 2009 Page Chapter IV Data Collection 1. Introduction IV- 1 2. Overview IV- 1 3. Data Elements and Descriptions IV- 2 Part B Claimant Information IV- 3 Part C Benefit Year Information IV- 8 Part D Separation Information IV-12 Part ME Monetary Eligibility Information IV-15 Part F Benefit Payment History IV-23 Part G ES Registration Work Search IV-28 Chapter V Classifying Propriety of Payments 1. Introduction V- 1 2. Coding Proper Payments V- 1 3. Coding Reopened Cases V- 2 4. Coding Improper Payments V- 2 5. Key Week Error Summary Sheet V-14 6. Case Completion V-24 7. Reopening Cases V-25 Chapter VI Investigative Procedures 1. Introduction VI-1 2. Standard Forms VI-1 3. Investigative Requirements VI-2 4. Investigative Methodology VI-4 5. Disqualifying Deductible Income Verifications VI-8 6. Dependency Eligibility Verifications VI-9 7. Unemployment Compensation for VI-9 Federal Employees UCFE 8. Unemployment Compensation for VI-9 Ex-Military Personnel UCX 9. Interstate Requests VI-10 10. Summary of Investigation VI-10 11. Appeals VI-10 12. Sample Selection VI-11 13. Completion of Cases and Timely Data Entry VI-11 14. Reopening Cases VI-12 Chapter VII Records and Reporting 1. Introduction VII-1 2. Documentation VII-1 3. Retention of Records VII-1 4. Transmission of Data to National Office VII-1 ii ET HANDBOOK NO. 395 5 th EDITION November 2009 Page Chapter VIII Denied Claims Accuracy DCA 1. Introduction VIII- 1 2. Overview of DCA VIII- 1 3. Investigative Requirements VIII- 1 4. DCA Investigative Methodology VIII- 2 5. Interstate Requests VIII- 2 6. Other Verifications VIII- 2 7. Completion of DCA Cases and Timely Data Entry VIII- 2 8. Data Elements and Descriptions VIII- 3 Case Control Claimant Information VIII- 4 Benefit Year Information VIII-12 Monetary Information VIII-19 Separation Information VIII-25 Nonseparation Information VIII-27 Case Action and Error Issue Information VIII-40 Coding DCA Error Issues VIII-44 Reopening Cases VIII-53 Appendices A. BAM QC Regulation B. Claimant Questionnaires and Employer Verification Form Key Week Error Summary Worksheet C. Investigative Guide D. Data Collection Instruments DCI Database Description Database Schema Master Table Comparison Table E. Integrity Rate Definitions iii ET HANDBOOK NO. 395 5 th EDITION I-1 November 2009 CHAPTER I BENEFIT ACCURACY MEASUREMENT OVERVIEW 1. Introduction . The Unemployment Insurance UI Benefit Accuracy Measurement BAM system formerly Quality Control QC provides the basis for assessing the accuracy of UI payments. It is also a diagnostic tool for the use of Federal and State Workforce Agency SWA staff in identifying errors and their causes and in correcting and tracking solutions to these problems. Representative samples of UI payments and disqualifying ineligibility determinations are drawn and examined intensively to determine whether they were properly administered to claimants and whether these claimants were paid the proper amounts or appropriately denied. Based on the errors identified and information gathered states will be able to develop plans and implement corrective actions to ensure accurate administration of state law rules and procedures. The major objectives of the BAM system are to assess the accuracy of UI payments assess improvements in program accuracy and integrity and encourage more efficient administration of the UI program. The system is designed to be comprehensive in coverage by including all areas of the claims process where errors could occur. 2. Background . The impetus for the initial QC program came from a study of benefits paid in six metropolitan areas during 1979 and 1980 by the National Commission on Unemployment Compensation NCUC . The study was prompted by a continuing concern about the accuracy of the benefit payment process in the UI system. Its purpose was to determine rates types and causes of improper payments by thoroughly investigating a small sample of cases. The study revealed errors in benefit payments at rates significantly higher than previously reported. As a result of these findings the US Department of Labor DOL launched the Random Audit program in five states in 1981. Random Audit was modeled after the methodology used in the NCUC study. Additional states were added each year until 46 states were involved in 1984. The Random Audit results from 1981 through 1984 continued to confirm the high percentage of errors in benefit payments identified by the NCUC study. Although possibly exacerbated by high claim loads during the periods measured the error rates in many states were unacceptably high. The QC program became mandatory in 1987 see 20 Code of Federal Regulations Part 602 www.dol.gov federalregister HtmlDisplay.aspx DocId 11917 AgencyId 15 Document Type 2 . It requires states to select a representative sample conduct in-depth investigations and classify findings to provide the basis for diagnosing problems and taking corrective actions. States were initially required to sample at annual levels ranging from 500 to 2000 based on the number of UI benefit weeks paid including combined-wage and federal program ET HANDBOOK NO. 395 5 th EDITION I-2 November 2009 claims . The methodology was explicit in requiring a a representative sample sufficient to maintain statistical validity b all information will be secured through in-person contacts c timeliness of case completion and d publication of error rates by the state. Investigation of UI paid claims was the first phase of the QC program to be implemented. Since implementation the QC program has undergone several significant revisions In 1989 QC was revised to allow additional time for case completion and relaxed requirements on the verifying of information on UCX UCFE and CWC claims. In 1991-92 the program was again reviewed and subsequent pilot tests conducted to determine if the methods used to verify case information could be made more flexible without loss of precision. Sample levels were adjusted with the range being 500 - 1800. In July 1993 alternative methodologies were implemented which allowed states the option to substitute telephone FAX and mail for in-person verification of contacts with claimants employers and third parties. In 1995 quarterly sample sizes were established to assure a representative sample would be selected in each quarter during the year. In addition the sample levels were again reduced to the range of 360 - 480 and the name was officially changed from Benefits Quality Control BQC to Benefit Accuracy Measurement BAM . In 2001 the investigation of denied claims known as Denied Claims Accuracy DCA was implemented. DCA measures the accuracy of disqualifying monetary separation and non-separation determinations. Interstate claims were included in the sample for both paid and denied claims. In 2008 States began incorporating crossmatches with the National Directory of New Hires NDNH as a mandatory part of the BAM case investigation methodology for paid claims. Unemployment Insurance Program Letters UIPL 03-07 and 03-07 Change 1 provides instructions on use of the NDNH as part of BAM audits. 3. Program Scope . State resources are targeted to perform detailed investigations of benefits paid and denied in the largest permanently authorized programs regular UI including CWC federally funded programs UCFE and UCX and interstate claims. BAM builds on the experience of its predecessors the BQC and Random Audit programs. The accuracy of monetary determinations and the proper detection and resolution of eligibility issues are assessed by detailed investigations of key weeks and disqualifying determinations of selected claims. This is accomplished through examination of records and contacts with claimants employers and other parties such as One Stop Career Centers to verify all aspects of the claim that could affect eligibility for payments. Each case investigated in BAM represents a large number within the UI population. It is very important that staff adhere to accepted methodology to ensure the reliability of data. For example the fraud investigator can follow a tip on potential fraud while BAM investigators must limit their cases to those selected by the computer because of a ET HANDBOOK NO. 395 5 th EDITION I-3 November 2009 predetermined program. To do otherwise would jeopardize the reliability of inferences made from the data coming out of the investigations. The states have the responsibility to draw samples perform investigations identify errors compute error rates analyze data and initiate corrective action if appropriate. The primary federal responsibilities are to ensure system integrity through monitoring state practices and procedures and to analyze BAM data to assess the impact of federal requirements on the UI system. Data gathered on incorrect payments and disqualifying determinations include such information as amount of error type of error responsible party and cause of error. States can tabulate and analyze these data to plan corrective action focused on those areas where trends have been identified. States can then track the impact of corrective action by monitoring the results of subsequent BAM samples. a. Relationship with UI System . BAM is different from other state efforts to control erroneous payments and disqualifying determinations. For example while the UI fraud investigator tries to identify specific cases of fraud and recapture any overpayments the BAM investigator looks at sample cases to produce statistics on the UI program in general. Errors uncovered as a result of BAM are corrected where feasible however the primary purpose is to identify system-wide problems so that when corrected future errors can be prevented. Likewise the quality review of nonmonetary determinations accomplished under the Benefits Timeliness and Quality BTQ system provides an assessment of the adequacy of the state s fact-finding application of law and policy and the written determination but does not inform the system about the accuracy of the determination. BAM is part of the formal UI system. Therefore the findings of BAM must be consistent with official rules and written policies of the state. Disagreements on the outcome of case investigations between the BAM unit and other units in the UI system are required to be resolved by higher authority with the exception of appeals decisions that modify BAM actions. b. Automation of BAM Data Collection . The BAM system has been designed to be as highly automated as possible. States UI computers that support BAM operations have the capability to link with both the state mainframe computers and with the DOL host computer. This system is designed to increase the accuracy of data flows by minimizing the number of paper transactions and simplifying data storage and retrieval to increase the usefulness of the data by simplifying data retrieval and raising the sophistication with which it can be manipulated and combined with other data and to reduce the amount of time BAM staff must spend in data handling. The system is also designed to allow for the development of state specific fields. 4. Handbook Organization . This handbook contains four sections Overview Chapter I Required Procedures Chapters II-VII Denied Claims Accuracy Chapter VIII and Appendices. The section on Required Procedures defines the standard methodology to be used in all states for paid and denied claims investigations. These include organization and authority data record creation processing and transmission data collection for paid claims ET HANDBOOK NO. 395 5 th EDITION I-4 November 2009 classifying propriety of payments for paid claims investigative procedures and record keeping and reporting. The final section of the Handbook the Appendices includes the federal regulation the Claimant Questionnaire forms and the Investigative Guide. ET HANDBOOK NO. 395 5 th EDITION II-5 November 2009 CHAPTER II ORGANIZATION AND AUTHORITY 1. Organization . Each BAM unit is required to be organizationally independent of and not accountable to any unit performing functions subject to evaluation by the BAM unit. The organizational location of this unit must be positioned to maintain its objectivity to have access to information necessary to carry out its responsibilities and to minimize organizational conflict of interest. 2. Authority . All conclusions pertaining to the paid claims Key Week and the Denied Claims Accuracy DCA disqualifying eligibility issues that are drawn from the BAM process must be formalized in official agency actions if errors are found except where prohibited by the state s provisions such as finality. The authority to make determinations and redeterminations resulting from the BAM process must not be impeded by any state unit whose work is evaluated by BAM. Where a BAM unit does not possess the authority to make determinations itself a higher authority must resolve any differences between BAM and the unit making the determinations. Determinations and redeterminations resulting from the BAM process must be in accord with the appeal and fair hearing requirements of federal and state law. Any redetermination that would affect a claimant s right to benefits must also be subject to the principles laid down in the Java decision of the U.S. Supreme Court as reflected in UIPL No. 1145 dated November 12 1971 and UIPL No. 04-01 dated October 27 2000. 3. Written Procedures . Each state must develop written procedures to guide the operation of the BAM program. The procedures must cover all investigative and administrative functions of the BAM unit. The procedures should be adapted to the particular circumstances of the state but must adhere to the guidelines contained in this Handbook so as to provide for proper administration of the BAM program. Copies of the procedures must be available for federal review and upon request must be submitted to the appropriate Regional Office of DOL. 4. BAM Software . States must load all software distributed by DOL for the UI computer system. States must run the most current software and may not alter or otherwise modify any part of the software including all shell scripts and C programs. ET HANDBOOK NO. 395 5 th EDITION III-1 November 2009 CHAPTER III DATA PROCESSING STATE MAINFRAME COMPUTER OPERATIONS AND INTERFACES WITH UI AUTOMATED DATA PROCESSING SYSTEM 1. Introduction . This chapter contains the automated data processing ADP specifications for the BAM Program. Definitions coding schemes and record formats are provided for all required and optional items and tasks. The BAM program involves the collection and analysis of large amounts of data. Of primary importance is the information provided to the BAM unit to assist it in investigating the accuracy of UI payments and disqualifying eligibility determinations which are sampled on a weekly basis. Other data are collected to create the population or universe from which the BAM paid and denied claims samples are selected to ensure the statistical validity of the sampling procedures and to evaluate the representativeness of the BAM samples. Specifications for three major components are described below The construction of the UI transactions file on the state s mainframe ADP system which is used to define the populations sampling frames from which the samples are selected for paid claims and the three types of denied claims for unemployment compensation monetary denials separation issue denials and denials based on non-separation issues. These tasks are performed weekly by each state s ADP staff. The BAM COBOL programs 1. edit the population transactions file 2. select the records that 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. The source code for the two COBOL programs was distributed by the Department of Labor in 2001 to coincide with the implementation of DCA. The creation of a file containing data which has been downloaded from the state s mainframe for the sampled transactions. This file referred to as rec1.dat consists of items for the UI BAM data collection instrument DCI which is downloaded to the state s UI SUN system. This task is performed weekly by each state s ADP staff. The BAM program has been designed to be as automated as possible. Each state has an ADP system currently a SUN T2000 and application software provided by DOL to support BAM operations. States can pass UI data from their databases to the SUN computer. DOL National Office electronically picks up BAM data from the SUN for storage in the UI database at the National Office. ET HANDBOOK NO. 395 5 th EDITION III-2 November 2009 This system is designed to increase the accuracy of data flows by minimizing the number of paper transactions and simplifying data storage and retrieval increase the usefulness of the data by simplifying data retrieval and raising the sophistication with which it can be manipulated and combined with other data and reduce the amount of time BAM staff must spend in data handling. 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 are responsible for writing 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. Only records that meet the definition for inclusion in one of the four BAM populations -- paid benefits monetary denials separation denials and non-separation denials -- should be included in the UI transactions file. Records in the UI transactions file are sorted according to the criteria specified below using a sort utility on the state mainframe before the transactions file is read by the COBOL program. A. Data Definitions for the UI Transactions File 1. State ID Code Federal Information Processing Standard FIPS numeric code not the two-letter postal alphabetic 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 ET HANDBOOK NO. 395 5 th EDITION III-3 November 2009 4. Claim Date Use effective date MMDDYYYY if claim type of the record is a new initial additional transitional or reopened claim. Item 16 Claim Type equals 01 02 03 or 04. Use week ending date MMDDYYYY if claim type of the 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 non-separation denial was issued by the state agency -- that is the date printed on the determination notice. If no notice is issued it is the date that the denial action was entered into the agency s record system or that a permanent stop payment order was issued. Field Size 8 Digits 6. Sample Selection Indicator 1 This record was selected for the BAM sample paid claims or monetary separation or non-separation denied claims . 2 This record was not selected for the BAM sample. NOTE When the state builds the transactions file all records should be coded 2 if the record is selected for the sample the COBOL program will change the code to 1 on the output file. Field Size 1 Digit 7. Transaction Sample Type 1 UI paid claims 2 Monetary denials 3 Separation denials 4 Nonseparation denials Field Size 1 Digit ET HANDBOOK NO. 395 5 th EDITION III-4 November 2009 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. Race Classification 1 White 2 Black or African American 3 Asian 4 American Indian or Alaska Native 5 Native Hawaiian or Other Pacific Islander 8 Information Not Available or Missing Note Ethnicity Hispanic non-Hispanic is not coded in the UI transactions file it must be entered in the first position of data element b13 in the b master table or the ethnic data element in b dca master in the UI database. 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 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 ET HANDBOOK NO. 395 5 th EDITION III-5 November 2009 Field Size 1 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 16. Claim Type 00 No week claimed 11 Waiting Week 01 New Claim 12 First Payment optional code 02 Additional Claim 13 Continued Week paid or claimed but not paid 03 Transitional Claim 14 Final Payment optional code 04 Reopened Claim 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. ET HANDBOOK NO. 395 5 th EDITION III-6 November 2009 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 work share agreement or the state does not collect this information. Field Size 2 Digits 19. Run Date for Program optional Identifies when program to build file was executed MMDDYYYY . 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 ET HANDBOOK NO. 395 5 th EDITION III-7 November 2009 B. Record Format for UI Transactions 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 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 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 --- Filler 9 72-80 Zero-filled can be used by state for edit codes. ET HANDBOOK NO. 395 5 th EDITION III-8 November 2009 C. Timing and Frequency The UI transactions file is created weekly. It may be created by accessing the state 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 AM Sunday to 11 59 PM 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. If the state 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 the state database each day it is updated. Each state may determine the most efficient file creation procedure in light of its normal operations. For purposes of illustration assume that the state 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 transactions 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 state 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 state 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 for paid claims 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 state s files. Problems may arise in constructing the transactions file if the state 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. 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 state 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 transactions file. Alternatively some states 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. ET HANDBOOK NO. 395 5 th EDITION III-9 November 2009 These procedures must be followed because the BAM paid claims sample consists of single weeks for which UI benefits were paid or offsets applied. The BAM sampling methodology requires that each element in the paid claims sampling frame i.e. each record in the transactions 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 In order to make statistically reliable inferences about the claimant population it is first necessary to define the population about which inferences will be made. States should use the following BAM population definitions to identify records on their UI databases for inclusion in the UI transactions file. 1. Paid Claims . Not all weeks compensated are included in the BAM sampling frame. The survey population will be selected from all weeks for which payments are made or offsets applied during a period that begins at 12 00 AM on Sunday and ends at 11 59 PM on Saturday. This interval is defined by the run time s of the computer programs that issue the checks or apply offsets. The compensated weeks must meet a series of criteria to be included in the survey population. If the criteria listed below do not classify all weeks as either included or excluded weeks clarification about whether particular weeks should be included or excluded must be obtained by contacting the appropriate Regional Office. a. Included Weeks . From the total statewide weeks for which payments are made during the time interval defined above include only weeks that fall into all of the following categories 1. Regular Program Type Claim. One of a UI e UI-UCX b UCFE f UCFE-UCX c UI-UCFE g UI-UCFE-UCX d UCX 2. An Original Payment Week . Weeks for which the payments offsets made are original payments offsets except waiting weeks . An original payment offset is defined as the first valid payment offset made by the agency to a claimant for that week. The offsets would normally recover overpayments established for previous weeks. 3. A Total or Partial Payment Offset a. Weeks for which total payments offsets are made. Include weeks for which no checks were issued because the entire payment was offset. b. Weeks for which true partial payments offsets are made. c. Weeks for which part-total payments offsets are made. 4. Weeks for which payments offsets intercepted payments are made to intrastate claimants to interstate claimants by the liable state or for combined wage claims. ET HANDBOOK NO. 395 5 th EDITION III-10 November 2009 b. Excluded Weeks . Weeks that fall into any of the following categories will be excluded from the BAM survey population. 1. Weeks for which supplemental payments are made . These non-original payment weeks are excluded because original payments offsets as defined above already have been made for the week claimed. For example if a revised wage statement indicated that a claimant should have been paid 95 week but the claimant originally was paid 80 and later received a supplemental payment of 15 that week would not be included in the population at the time the supplemental payment was made. 2. All Waiting Weeks . Exclude whether such weeks are compensated or not. 3. Weeks with Stop Payments . All weeks for which checks are written to individuals for whom a stop payment order is in effect for the particular week the check is written. 4. All weeks paid under the Short Time Compensation STC Workshare Extended Benefits EB Trade Readjustment Allowance TRA Disaster Unemployment Assistance DUA programs any temporary federal-state supplemental compensation programs or other special programs such as TEUC. 2. Monetary Denials Unless otherwise stated definitions refer to those used in ET Handbook 401 4 rd edition. ETA report cell references are those used in ET Handbook 402 5 th edition. a. Include all initial claims that meet the definition for inclusion in the ETA 5159 Claims and Activities report on lines 101 state UI 102 UCFE No UI and 103 UCX only for item 2 new intrastate excluding transitional item 6 transitional and item 7 interstate received as liable state and for which eligibility was denied because of Insufficient wages Insufficient hours weeks days Failure of high quarter wage test Requalification wage requirement or Other state monetary eligibility requirement b. Exclude denied claims made under the STC EB TRA DUA programs any temporary federal-state supplemental compensation programs or other special programs such as EUC. In cases of combined payments i.e. regular UI and EB combination payment exclude only the portion that is EB. Note In order to allow time for states to request and receive wage credits from out-of-state employers combined wage claims or federal wages UCFE and or UCX programs the construction of the sampling frame for monetary denials will be delayed two weeks. Monetary denial records that satisfy the following criteria will be included in the UI transactions file. 1. Transaction date positions 26-33 in the UI transactions file must be greater later than or equal to the date 14 days prior to the beginning date of the batch. ET HANDBOOK NO. 395 5 th EDITION III-11 November 2009 2. Transaction date must be less earlier than or equal to the date 14 days prior to the ending date of the batch. 3. Claim date positions 18-25 in the UI transactions file must be less earlier than or equal to the transaction date. 4. Claimant is monetarily ineligible for unemployment compensation UC as of the date that the UI transactions file is created run date positions 60-67 in the UI transactions file . Example For batch 200906 February 1 7 2009 the sampling frame will consist of new initial and transitional claims for which 1. a determination denying monetary eligibility was issued between January 18 24 2009 2. the claim date is on or prior to the date of the determination denying eligibility and 3. the claimant is monetarily ineligible for UC as of the date that the program that constructs the transactions file is run. 3. Separation Denials Unless otherwise stated definitions refer to those used in ET Handbook 401 4 th edition. ETA report cell references refer to those used in ET Handbook 402 5 th edition. a. Include all separation determinations that meet the definition for inclusion in the ETA 9052 Nonmonetary Determinations Time Lapse Detection Date report in cells c1 intrastate c5 interstate and c193 multi-claimant and for which eligibility was denied based on any of the following issues Voluntary quit either personal or work connected Discharge Labor dispute or Other separation issue reportable under definitions in ET Handbook 401 b. Exclude denied claims made under the STC EB TRA DUA programs any temporary federal-state supplemental compensation programs or other special programs such as EUC. 4. Nonseparation Denials a. Include all non-separation determinations that meet the definition for inclusion in the ETA 9052 Nonmonetary Determinations Time Lapse Detection Date report in cells c97 intrastate c101 interstate and c193 multi-claimant and for which eligibility was denied based on any of the following issues Able and or available to work Actively seeking work Disqualifying unreported income Refusal of suitable work or offer of job referral Refusal of referral to profiling services Failure to report ET HANDBOOK NO. 395 5 th EDITION III-12 November 2009 Failure to register with the employment service or Other non-separation eligibility issue for example alien status athlete school employee seasonality removal of disqualification and determination of whether claimant s activities or status constitutes service or employment . b. Exclude denied claims made under the STC EB TRA DUA programs any temporary federal-state supplemental compensation programs or other special programs such as EUC. Notes for Separation and Nonseparation Definitions 1. In general the ETA 9052 report uses the same definitions as the ETA 207 report ET Handbook 401 pp. I-4-3 to I-4-12 . However nonmonetary redeterminations which are reported on the ETA 207 report are not reported on the ETA 9052 report and should not be included in the DCA separation or non-separation sampling frames. The following actions are not reportable nonmonetary determinations and should not be included in the DCA separation or non-separation sampling frames Determinations made solely for deciding whether charges should be made to an employer s experience rating account. Routine exploration of facts or questioning claimants in association with the claims taking process except under circumstances of disagreement. Several examples of routine questioning or decisions that are not countable are provided in ET Handbook 401. Overpayment notices on uncontested earnings detected by any method for example crossmatch should not be included in the DCA non-separation transactions files. 2. If nonmonetary determinations that deny eligibility were conducted for more than one issue for example active work search and pension or for separation issues involving more than one employer in the base period separate records should be created for each determination and only the determination selected for the sample will be investigated. States should distinguish these separate records in the UI transactions file by the transaction date if the determinations were issued on different dates. If the determinations were issued on the same date states can use positions 72-80 in the UI transactions file to record the separation or non-separation issue code or other identifying information such as an agency-assigned sequence number. The identifying information can be mapped to the appropriate data element in the rec1.dat file. 3. A multi-claimant determination based on a single set of facts which applies to two or more similarly situated individuals and which may result in the issuance of one or more notices depending upon the number of individual claimants involved should be represented by a single record in the DCA transactions files. 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 paid claims 2 monetary denials 3 separation denials and 4 non-separation denials. ET HANDBOOK NO. 395 5 th EDITION III-13 November 2009 Within each sample type records are sorted in ascending order on two keys. For the UI paid claims 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 state 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 transactions 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 non-separation 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 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. ET HANDBOOK NO. 395 5 th EDITION III-14 November 2009 Record Format of the 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 Paid Claims 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. 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 Paid Claims 49-50 2-digit numeric must be 2. Sample Size Monetary Denials 51-52 2-digit numeric must be 2. Sample Size Separation Denials 53-54 2-digit numeric must be 2. Sample Size Nonmon.-Nonsep. Denials 55-56 2-digit numeric must be 2. Sample Size Max Pay 57-59 3-digit numeric whole dollars the maximum WBA in the state including dependents allowances. Filler 60-80 zero-filled ET HANDBOOK NO. 395 5 th EDITION III-15 November 2009 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 states 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 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 paid claims 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 paid claims 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 DOL four ET HANDBOOK NO. 395 5 th EDITION III-16 November 2009 two-digit numbers which are provided by the BAM supervisor that designate the number of cases to be selected for the weekly UI paid claims monetary separation and non-separation denials 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 transactions file be sorted according to the specifications in section 2 F page III- 14 . 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 non-separation 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 state item 5 ascending and 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 resort the UI transactions input file. ET HANDBOOK NO. 395 5 th EDITION III-17 November 2009 C. Editing the UI Transactions File The 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 the error report is shown on page III-19. Data Element and Name Edit Criteria 1. State I.D. Code Must be valid numeric FIPS code for state from input control record must be 1-56 72 or 78 except for codes 3 7 and 14. 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 non-separation denial and Claim Type item 16 equals 0. 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 Item 4 Claim Date . 1 2 If Transaction Type item 7 equals 1 3 or 4 Must be greater later than or equal to Batch Week Beginning Date from input control record. 1 Must be less earlier than or equal to Batch Week Ending Date from input control record. 1 If Transaction Type item 7 equals 2 monetary denial Must be greater later than or equal to 14 days prior to the Batch Week Beginning Date from input control record.1 1 Must be less earlier than or equal to 14 days prior to the Batch Week Ending Date from input control record. 1 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. Amt Paid to Claimant Must be equal to or less than max. WBA from input control record. Can be all zeros. 14. Amt Offset Applied Must be equal to or less than max. WBA from input control record. Can be all zeros. 15. Amt of Intercept or Withholding Must be equal to or less than max. WBA from input control record. Can be all zeros. 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. ET HANDBOOK NO. 395 5 th EDITION III-18 November 2009 Data Element and Name Edit Criteria 16. Claim Type For UI paid claims 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 non-separation 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 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 Claimant Must be equal to the sum of items 13 14 and 15. Must be equal to or less than max. WBA from input control record. Can be all 0 s. For UI paid claims Sample Type 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 non-separation denials Sample Types 3 or 4 item 21 can be equal to or greater than 0. 1 1 Record must meet edit criteria for inclusion in sampling frame. ET HANDBOOK NO. 395 5 th EDITION III-19 November 2009 BAM UI Transactions File Error Report Page 1 State of XX Run Date 01 08 2001 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 1 1 12 1 13 180 14 000 15 000 16 13 17 3 18 00 19 01051997 20 2 1 99 2 199701 3 444556666 4 12071996 5 12301996 6 2 7 3 8 0 9 111968 10 3 1 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. D. Extract Flag for UI Paid Claims and Denials Sampling Frames 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 paid claims and monetary separation and non-separation 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 Paid Claims and Denials Samples COBOL program two uses a systematic random sampling procedure to select the UI paid claims 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 DOL 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 paid claims and the three types of denials are fixed by DOL for the calendar year. BAM supervisors may change the weekly sample sizes in the input control record to accommodate investigator vacation schedules or other staffing contingencies. However states are expected to pull at least the minimum number of cases each week. States may not over sample during a portion of the year in order to meet the annual sample allocation and then ET HANDBOOK NO. 395 5 th EDITION III-20 November 2009 suspend sampling for the remainder of the calendar year. The minimum weekly and quarterly samples based on current annual sample allocations are Sample Annual Allocation Normal Weekly Minimum Weekly Normal Quarterly Minimum Quarterly Paid Claims 360 7 5 90 81 Paid Claims 480 9 6 120 108 Denials 150 450 3 2 37-38 32 Allocation for ten smallest states in terms of UI workload. 150 cases each of monetary separation and non-separation denials will be selected each year for a total of 450 DCA cases. 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 paid claims monetary separation or non-separation 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. 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 is N 1 the 1st case in the sampling frame 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. ET HANDBOOK NO. 395 5 th EDITION III-21 November 2009 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 paid claims monetary denials separation denials and non- separation 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 see example below 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 paid claims records will be written first followed by monetary separation and non-separation denials. JOB JOB NO. STATE EMPLOYMENT SECURITY COMMISSION RUN DATE 01 08 2001 HITFILE OF BAM SAMPLE CASES 99200101111223333122820001231200011107197111104000000013100010820012040000000000 99200101444556666122820000103200111202196811107500000013100010820012075000000000 99200101777889999122120001230200011211196222114500000013100010820012145000000000 99200101111335555122820000102200111108196531102515000013100010820012175000000000 99200101222446666122120001230200011210194812120000000013100010820012200000000000 99200101777991357122820000103200111104197451122500000013100010820012225000000000 99200101444668642122820001230200012203197011100000000001100010820012000000000000 99200101999119753122820000103200112101195723100000000001100010820012000000000000 99200101666880123122120001231200013112195511100000000001100010820012000000000000 99200101555004321122820000103200113205197741100000000002100010820012000000000000 99200101888224466122820001230200014209195021100000000013100010820012000000000000 99200101987654321122120000102200114102195911100000000013100010820012000000000000 The SSNs and claim dates of the sample cases are used to query the state 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 Downloaded Files . State 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 state BAM unit and will not be picked up by the Department. State optional data must be downloaded in the format described in section 5 and is currently available only for paid claims. A future release of the DCA software will accommodate state option data for denied claims. In addition to creating the HITFILE the COBOL program will produce a hard copy report consisting of all of the UI transactions file data elements for each of the sampled cases 2. Sfsum.dat see example on page III-30 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 paid claims population and sample. This summary data is used to check the representativeness of the weekly UI paid claims and denials samples. This file is analogous to the PRELUDE SF SUM file created by the original BAM COBOL program although the ET HANDBOOK NO. 395 5 th EDITION III-22 November 2009 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 C for each of the four sample types. The following are examples of the SFSUM hard copy reports for the UI paid claims and monetary denials samples and populations. ET HANDBOOK NO. 395 5 th EDITION III-23 November 2009 JOB JOB NO. STATE EMPLOYMENT SECURITY COMMISSION SFSUM REPORT RUN DATE 01 08 2001 TRANSACTION TYPE 1 - UI BENEFITS State 99 Batch 200101 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 ET HANDBOOK NO. 395 5 th EDITION III-24 November 2009 JOB JOB NO. STATE EMPLOYMENT SECURITY COMMISSION SFSUM REPORT RUN DATE 01 08 2001 TRANSACTION TYPE 2 - MONETARY DENIALS State 99 Batch 200101 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. ET HANDBOOK NO. 395 5 th EDITION III-25 November 2009 5. Downloaded Files Each week two files are downloaded from the state mainframe ADP system to the UI SUN ADP system rec1.dat which consists of claimant data obtained from the state 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 on the SUN computer. This software requires the data passed from the state mainframe to the SUN computer to be in a specific format. It is the responsibility of the state to assure that data transferred to the SUN computer adhere to these formats which are described in detail below. State data processing staff are also responsible for any modifications to the job control language of the COBOL program and any additional programming needed to download the rec1.dat and sfsum.dat files to the SUN computer using ftp or another file transfer utility for example. States are responsible for securing login permission and permission to download files from their state ADP system to the SUN computer. States may 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 A. Output File of Sampled Cases COBOL program two creates a file of records selected for the UI paid claims and three denials samples HITFILE . This file is used to query the state 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 state UI databases must be extracted to create the rec1.dat file for downloading to the SUN computer. The control keys for selecting data from the state 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. 1. Timing and Frequency . States 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 supervisor 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 paid claims or denial universe. The SUN computer cannot correct errors on the state mainframe. Therefore the BAM supervisor is responsible for alerting the state ADP unit regarding changes or errors. ET HANDBOOK NO. 395 5 th EDITION III-26 November 2009 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. These data are 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. States 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. Positions 1 through 79 of each line must contain data or spaces HEX 20 octal 040 for example . Position 80 on each line must be coded with a line feed ASCII - 10 HEX 0A EBCDIC 25 octal 012 for example . The first three lines are defined by DOL 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 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 be filled with spaces not null. 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 66 159 - 197 40 spaces reserved in remainder of line 3 198 - 237 4 Leave blank spaces 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. An example of a rec1.dat file partial listing of records is shown on the following page. ET HANDBOOK NO. 395 5 th EDITION III-27 November 2009 Example of rec1.dat File 12345678499199906012319990112 11811061961111208021998 07181998 0099405630 37509750 1 5 10-2-2003750000000000000000000 12345678599199906012319990510 55003101957111201101999 12121998 0117756170 29907774 1 5 10-2-2003070000000000000000000 12345678699199906013019990204 31012281934111212061998 09101998 0258105170 37509750 1 5 10-2-2003750000000000000000000 12345678799199906010219990420 13004281951121202081998 01251998 0301185270 07501950 1 5 10-2-2000750000000000000000000 12345678899199906013019990208 21005101955211207261998 05021998 0325502300 16504290 1 5 10-2-2001450000000000000000000 12345678999199906012319990616 510122619481112001031999 12101998 0388725490 29607696 1 5 10-2-2002960000000000000000000 ET HANDBOOK NO. 395 5 th EDITION III-28 November 2009 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 paid claims and denials samples. These aggregated data are written to the sfsum.dat file and are 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 DOL will store the aggregated data in the UI database. DOL will pick up this data for storage on the National Office UI database. This file will include the following information 1 The total size of the UI paid claims or denials population file from which the sample was selected. 2. The skip interval K calculated. 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 paid claims 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 paid claims followed in order by records for monetary separation and nonseparation denials. The data elements and formats for sfsum.dat records are provided in Attachment C. Line sfsum.dat File Data Element Numbers Positions 1 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. ET HANDBOOK NO. 395 5 th EDITION III-29 November 2009 Example of sfsum.dat File 200045102010478425869052390002231010049490100552900000000010074790100296200000037000 008710000236001003064010039030000027500000005020099610000051700000000000000810000069 401001477000017800100644600000000004250022644010781250004812126 200045202000141425869000705000030010000690100007200000000010001020100003800000001000 000220000003902000039000000390000000200000000020001140000002700000000000000000000000 000000000000000000000000000000000000000000000000000000000000000 200045302000271425869001355000058010001220100014900000000010001570100011400000000020 002710000000000000000000000000000000000000000020002700000000100000000000000000000000 000000000000000000000000000000000000000000000000000000000000000 200045402000100425869000500000021010000320100006800000000010000640100003600000000020 001000000000000000000000000000000000000000000020000980000000200000000000000000000000 000000000000000000000000000000000000000000000000000000000000000 ET HANDBOOK NO. 395 5 th EDITION Attachment A III-A-1 November 2009 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 is 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 transactions file for the three types of denials monetary separation and non-separation. 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. 5. Concentrate 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 5 and Attachment B of this documentation. ET HANDBOOK NO. 395 5 th EDITION Attachment A III-A-2 November 2009 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 state mainframe database. record order UI paid claims 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 non-separation 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 that 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 change each week batch random and dates . 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 contains all records meeting the edit criteria for inclusion in the UI paid claims monetary denials separation denials and non-separation denials sampling frames. record order Same as UI Transactions File access mode sequential record length 80 bytes output media disk or tape retention none ET HANDBOOK NO. 395 5 th EDITION Attachment A III-A-3 November 2009 c. HITFILE This file contains the records selected for the four BAM samples UI paid claims and monetary separation and non-separation 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 paid claims and monetary separation and non-separation denials. The data consists of selected characteristics which are used to weigh the BAM data and conduct statistical tests of sample validity. Data in 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 and b dca comparison tables in the UI database are permanently retained on disk or archived. ET HANDBOOK NO. 395 5 th EDITION Attachment A III-A-4 November 2009 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 STEP 010 EXECPGM 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 III-A-4 R-4 2001 ET HANDBOOK NO. 395 SORTOUT DD DSN YOUR.SORTED.DENIALS TRANS UNIT STORAGE MGMTCLASS IMSTD 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.TRANSATIONS DISP OLD DELETE KEEP DD DSN YOUR.SORTED.DENIALS.TRANS DISP OLD DELETE KEEP SYSUT2 DD DSN YOUR.UNEDITED.TRANSACTIONS.FILE UNIT STORAGE MGMTCLAS IMSTD DISP NEW CATLG DELETE AVGREC K DCB LRECL 80 RECFM FB SPACE 80 30 10 RLSE ET HANDBOOK NO. 395 5 th EDITION Attachment A III-A-5 November 2009 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 III-A-5 R-4 2001 ET HANDBOOK NO. 395 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 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 ET HANDBOOK NO. 395 5 th EDITION Attachment B III-B-1 November 2009 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 8 18-25 MMDDYYYY Week Ending or Effective Date 5 Local Office Number 4 26-29 State-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 2 Voc Tech Training 1 33 1 to 3 or Blank 9 2 In Training 2 34-35 00 11 to 14 21 to 24 or Blank 10 2 Occupation Code 3 36-38 3-digit major and minor Last Employer O NET code 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 6 9 or Blank 14 Program Code 1 49 1 to 8 or Blank 15 Combined Wage 1 50 1 to 6 or Blank 16 Benefit Yr. Beginning 8 51-58 MMDDYYYY or Blank 17 Initial Claim Filing 1 59 1 to 6 or Blank Method Field 1 Unless otherwise noted refer to Chapter IV for paid claims and Chapter VIII for denied claims for data element codes. 2 Required for UI paid claims cases only optional for denials cases. ET HANDBOOK NO. 395 5 th EDITION Attachment B III-B-2 November 2009 Item Name Size Positions Formats Codes 1 18 2 Prior Nonsep Issues 2 60-61 2 digits or Blank 19 2 Prior Nonsep Issues 2 62-63 2 digits or Blank Disqualifying 20 Reason for Separation 2 64-65 10 to 69 or Blank Before Investigation 21 Date of Separation 8 66-73 MMDDYYYY or Blank Before Investigation 22 2 Recall Status 1 74 0 1 2 or Blank Before Investigation 23 2 NAICS Last Employer 4 75-78 NAICS code first 4 digits or Blank 24 Base Period Employers 2 79-80 2 digits or Blank Before Investigation 25 Base Period Wages 6 81-86 6 digits whole Before Investigation dollars or Blank 26 2 NAICS Primary Base 4 87-90 NAICS code first 4 digits or Period Employer Blank 27 High Quarter Wages 5 91-95 5 digits whole dollars Before Investigation or Blank 28 Weeks Worked in BP 3 96-98 3 digits or Blank Before Investigation 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 1 Unless otherwise noted refer to Chapter IV for paid claims and Chapter VIII for denied claims for data element codes. 2 Required for UI paid claims cases only optional for denials cases. ET HANDBOOK NO. 395 5 th EDITION Attachment B III-B-3 November 2009 Field Item Name Size Positions Formats Codes 1 32 Remaining Balance 5 108-112 5 digits whole dollars As of week paid or denial or Blank determination 33 Dependents Claimed 2 113-114 2 digits 00 or Blank Before Investigation 34 Dependents Allowance 3 115-117 3 digits whole dollars Before Investigation or Blank 35 2 First CWE Date 8 118-125 MMDDYYYY or Blank 36 2 Date of First Paym t. 8 126-133 MMDDYYYY or Blank 37 2 Key Week Cert. Method 1 134 1 to 3 or Blank 38 3 Week Claimed Paid 1 135 1 to 6 or Blank Filing Method 39 Relocated to Item 62 3 136-138 Blank 40 Relocated to Item 63 3 139-141 Blank 41 Relocated to Item 64 3 142-144 Blank 42 Relocated to Item 65 3 145-147 Blank 43 Relocated to Item 66 3 148-150 Blank 44 2 Required to Seek Work 1 151 1 to 5 or Blank 45 2 ES Registration Required 1 152 1 to 4 or Blank 46 2 Actively Currently 1 153 1 to 4 or Blank Registered w ES 1 Unless otherwise noted refer to Chapter IV for paid claims and Chapter VIII for denied claims for data element codes. 2 Required for UI paid claims cases only optional for denials cases. 3 Required for UI paid claims cases and any denial decision when a week was claimed leave blank for denial decisions if no week was claimed. ET HANDBOOK NO. 395 5 th EDITION Attachment B III-B-4 November 2009 Field Item Name Size Positions Formats Codes 1 47 2 Reason ES Reg. Deferred 1 154 1 to 6 or Blank 48 2 of ES Referrals 2 155-156 2 digits or Blank 49 2 Union Referral Status 1 157 0 to 3 or Blank 50 5 Union Service 1 158 0 to 3 or Blank 51 5 Union Assistance 1 159 0 to 4 or Blank Requested 52 5 Claimant Union Assisted 1 160 0 1 2 or Blank 53 5 Monetary Denial Reason 2 161-162 00 thru 59 or Blank 54 5 Nonmonetary- 2 163-164 00 thru 79 or Blank Nonseparation Denial Reason 55 5 Claim Type 1 165 0 to 5 56 5 Initial Determination 1 166 0 to 3 or Blank Appealed 6 57 5 Result of Initial 1 167 0 to 6 or Blank Determination Appeal 6 58 5 Sample Type 1 168 1 to 4 59 Ethnicity 1 169 0 1 or Blank 60 5 Separation Issue No. 2 170-171 0 to 99 -2 or Blank 61 5 Nonseparation Issue No. 2 172-173 0 to 99 -2 or Blank 1 Unless otherwise noted refer to Chapter IV for paid claims and Chapter VIII for denied claims for data element codes. 2 Required for UI paid claims cases only optional for denials cases. 5 Data element added for denied claims. 6 Appeal status at time case was selected for sample data element can be updated if status changes before case is closed. ET HANDBOOK NO. 395 5 th EDITION Attachment B III-B-5 November 2009 Field Item Name Size Positions Formats Codes 1 62 4 Amount Paid and or 5 174-178 5 digits whole Offset dollars or Blank 63 Total Earnings 4 179-182 4 digits whole Before Investigation dollars or Blank 64 Earnings Deduction 4 183-186 4 digits whole Before Investigation dollars or Blank 65 Other Deductible Income 6 187-192 6 digits whole Before Investigation dollars or Blank 66 Other Deduction 5 193-197 5 digits whole Before Investigation dollars or Blank 1 Unless otherwise noted refer to Chapter IV for paid claims and Chapter VIII for denied claims for data element codes. 4 Required for UI paid claims cases. For denials cases leave blank if there is no payment associated with the denial determination. Otherwise enter the amount paid offset intercepted withheld or deducted for the weeks affected by denial determination. ET HANDBOOK NO. 395 5 th EDITION Attachment C III-C-1 November 2009 Record Format for sfsum.dat File All Fields are Numeric Item Name Field 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 13 Population Gender Missing 6 52-57 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 1 The first records are UI paid claims sample type 1 followed by monetary denials sample type 2 separation denials sample type 3 and nonseparation denials sample type 4 . 2 Reported with six digits implied decimal .xxxxxx . 3 Reported with one implied decimal xxxx.xx . ET HANDBOOK NO. 395 5 th EDITION Attachment C III-C-2 November 2009 Item Name Field Size Positions 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 32 4 Sample UI Program 2 130-131 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 4 UI program codes include regular UI UI-UCFE UI-UCX or UI-UCFE-UCX program type codes 1 2 3 and 4 in the UI transactions file . 5 Program codes include UCFE and or UCX only program type codes 5 6 and 7 in the UI transactions file . ET HANDBOOK NO. 395 5 th EDITION Attachment C III-C-3 November 2009 Item Name Field Size Positions 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 46 6 Sample - 200 Paid 2 186-187 47 6 Population - 200 Paid 6 188-193 48 6 Sample Amount Paid Missing 2 194-195 49 6 Population - Amount Paid Missing 6 196-201 50 6 Sample Amount Paid 2 202-206 51 6 Population Amount Paid 6 207-215 52 6 7 Sample Amount Paid Variance 2 216-223 53 6 7 Population Amount Paid Variance 6 224-231 6 For the monetary separation and non-separation denials this item must equal zero 7 Reported with three implied decimal places xxxxx.xxx . ET HANDBOOK NO. 395 5 th EDITION IV-1 November 2009 CHAPTER IV DATA COLLECTION 1. Introduction . Data from each case sampled for BAM are entered into a database on the state s UI computer system. The data are obtained both from existing records and from case investigations. This chapter identifies the data elements collected for each paid claim case. Chapter VIII identifies the data elements collected for each denied claim case. Collectively the data elements in this chapter and Chapter VIII are recorded on the appropriate data collection instrument DCI which can be found in Appendix D of this handbook. Data collection and investigative methodology are applied equally for both paid and denied claims. 2. Overview . a. Computer Record. The data from BAM paid claim investigations are collected and entered into a computer record including the following parts screens Part A Case Control Information Part B Claimant Information Part C Benefit Year Information Part D Separation Information Part ME Monetary Eligibility Information Part F Benefit Payment History Part G Registration Work Search Information Note Part A data is information automatically downloaded from the rec1.dat file. The information contains characteristics specific to the case being investigated such as the Social Security number state identification code batch and sequence number local office number and the investigator identification number to whom the case is assigned. Note E is the system command for Exit therefore ME is used to record monetary eligibility data. The definitions for classifying the propriety of payments and closing cases screens H and I are covered in chapter V. b. Features of the Data Entry Program . States enter the case data using the Update Cases application which is part of the BAM software provided to all states and is designed to make data recording relatively simple. States are strongly encouraged to use the rec1.dat file to transfer download as many data elements as possible from the state s computerized UI files to the BAM database on the UI computer when the sample cases are selected. The remaining data elements will be blank and will be coded after the BAM investigation is completed. Some of the fields in Part H are preset to zeros to facilitate coding for those cases that do not require nonzero values. Data elements are numeric character or date codes for several elements are selected from drop- down menus in the software. Data elements c5 Benefit Rights Given and ei4 Error Responsibility for paid claims and numbers 26 and 101 for denied claims require the entry of zero or a numeric code representing true false conditions in multiple positions within the data element. The valid codes are summarized in tables in the description part of each of these data elements. ET HANDBOOK NO. 395 5 th EDITION IV-2 November 2009 c. Responsibility for Data Entry. The state determines who enters the data into the automated record e.g. investigator clerk etc. . States are encouraged to develop a coding sheet to organize the data prior to entry. 3. Data Elements and Descriptions . The balance of this chapter contains the data elements that are collected and verified by the BAM investigator for each case. Although some elements may be downloaded from the mainframe computer and the software assigns others most data must be entered manually. For each data element the following information is provided - NAME full name of data element - SHORT NAME as abbreviated for printout - Definition provides specific instructions for each data element and lists the codes available for each data element The following general instructions are applicable for data elements involving money Entries must be in whole dollars with the exception of hourly wages which require both dollars and cents. For those entries requiring whole dollars states that have formal policies regarding the rounding of dollars should follow those policies. Other states should round to the nearest whole dollar by dropping decimals for values of four 4 or less and rounding up for decimals of five 5 or more. ET HANDBOOK NO. 395 5 th EDITION IV-3 November 2009 PART B -- CLAIMANT INFORMATION b1 NAME Primary Method by which Claimant BAM Information Obtained SHORT NAME Method Info Obt Definition Enter the code which best describes the method by which the information contained on the claimant questionnaire is obtained. l In-person interview 2 Telephone interview 3 Mail or other method including fax or e-mail -1 Not obtained Edits Must be 1 2 3 or -1. b2 NAME United States Citizenship SHORT NAME Citizen Definition Enter applicable code after appropriate verifications. l U.S. Citizen 2 Alien eligible under 3304 a 14 FUTA 3 Alien ineligible under 3304 a 14 FUTA -1 Missing or information not available Edits Must be 1 2 3 or -1. b3 NAME Education SHORT NAME Education Definition Enter highest level of academic education completed after appropriate verifications. 00 Never attended school 01 thru 11 Highest grade completed 12 High school graduate or GED 14 Some college but no degree 15 Associate s degree 16 BA or BS Degree 20 Graduate Degree Masters MD PhD JD etc. -1 Missing or information not available Edits Must be 00 to 12 14 to 16 20 or -1. Note regarding this element and b4 A distinction must be made between education and training. Attendance at one institution or facility cannot be coded under both categories. Experience that leads to a certificate is considered vocational or technical voc tech school training. If the individual earns a degree diploma it is considered formal education. If training is post high school and claimant indicates training is for a certificate and does not lead to a degree proceed to voc tech question. ET HANDBOOK NO. 395 5 th EDITION IV-4 November 2009 b4 NAME Vocational or Technical School Training SHORT NAME Voc Tech School Definition Enter applicable code after appropriate verification. 1 Never attended 2 Attended but not certified 3 Attended and received certificate -1 Missing or information not available Edits Must be 1 2 3 or -1. b5 NAME Training Status during Key Week SHORT NAME In Training Definition Enter the applicable code after verification 00 Not in training -1 Missing or information not available UI Approved Training Not UI Approved Training 11 Tech. voc. 21 Tech. voc. 12 WIA 22 WIA 13 Academic 23 Academic 14 Other 24 Other Edits Must be 00 11 to 14 21 to 24 or -1. b6 NAME O Net Code for last job prior to filing most recent Initial Additional Claim SHORT NAME Occ Code Last Definition Enter the first three digits of the O NET code for claimant s last job. Code O NET Major Group Code O NET Major Group 11 Management Occupations 35 Food Preparation and Serving Related Occupations 13 Business and Financial Operations Occupations 37 Building and Grounds Cleaning and Maintenance Occupations 15 Computer and Mathematical Occupations 39 Personal Care and Service Occupations 17 Architecture and Engineering Occupations 41 Sales and Related Occupations 19 Life Physical and Social Science Occupations 43 Office and Administrative Support Occupations 21 Community and Social Services Occupations 45 Farming Fishing and Forestry Occupations 23 Legal Occupations 47 Construction and Extraction Occupations 25 Education Training and Library Occupations 49 Installation Maintenance and Repair Occupations 27 Arts Design Entertainment Sports and Media Occupations 51 Production Occupations 29 Healthcare Practitioners and Technical Occupations 53 Transportation and Material Moving Occupations 31 Healthcare Support Occupations 55 Military Specific Occupations 33 Protective Service Occupations -1 Missing or information not available Edits First 2 digits must be an odd number from 11 to 55 or -1. b7 NAME O Net Code for Usual Occupation SHORT NAME Occ Code Usual ET HANDBOOK NO. 395 5 th EDITION IV-5 November 2009 Definition Enter the first three digits of the O NET code for claimant s usual occupation see chart in element b6 . The first source for this information is the claimant s response on the claimant questionnaire. This information must be verified with the claimant s base period and or separating employer. The BAM investigator must resolve discrepancies between the claimant s statement and the base period and or the separating employer. If the information is not available from the claimant questionnaire the employer verification or agency record then use labor market information. -1 Missing or information not available Edits First 2 digits must be an odd number from 11 to 55 or -1. b8 NAME Normal Hourly Wage for Base Period Occupation SHORT NAME Normal Hr Wage Definition Enter normal hourly wage for the claimant s occupation during the base period. The first source for this information is the claimant s response on the claimant questionnaire. The BAM investigator must verify this information with the claimant s base period employer and resolve any discrepancies between the claimant s statement and information from the base period employer. If the information is not available from the claimant questionnaire or through verification with the base period and or separating employer then use labor market information. Express with decimal point in dollars and cents per hour e.g. 7.50 per hour is coded as 7.50 . Use state conversion formula when other than hourly wage is given. If no state formula use the appropriate formula provided below Weekly wages divided by 40 or normal weekly hours for claimant s usual occupation. Monthly wages divide by 4.33 then divide by 40 or normal weekly hours for claimant s usual occupation. Yearly wages divide by 52 then divide by 40 or normal weekly hours for claimant s usual occupation. Military UCX compute using the information provided on the DD-214. Military wages are based on 240 hours monthly 56 hours weekly and 8 hours daily. -1 Missing or information not available Edits Must be within the validation range set by state agency. Can be -1. b9 NAME O Net Code for the Type of Work the Claimant is Seeking SHORT NAME Occ Code Seeking Definition Enter the first three digits of the O NET code for type of work that claimant is seeking see chart in b6 . Use the claimant s response on the questionnaire for the occupational code. If claimant is exempt from seeking work because of job attachment or recall date and the claimant questionnaire was not completed this data element should ET HANDBOOK NO. 395 5 th EDITION IV-6 November 2009 reflect the occupation for the employment on which the agency based the claimant s exemption from work search. -1 Information missing or not available Edits First 2 digits must be an odd number from 11 to 55 or -1. b10 NAME Lowest Acceptable Hourly Wage SHORT NAME Lowest Hr Wage Definition Enter lowest hourly wage that the claimant was willing to accept during the Key Week. The first source for this data element is the claimant s response on the claimant questionnaire. This information must be verified with either the base period employer or the separating employer. The BAM investigator must resolve any discrepancies between the claimant s statement and the employer information. Express in dollars and cents per hour e.g. 7.50 per hour is coded as 7.50 . Use state conversion formula when other than hourly wages is given. If no state formula use the appropriate formula provided in b8 above. -1 Missing or information not available Edits Must be within the validation range set by state agency. Must be with decimal point in dollars and cents per hour. Can be -1. b11 NAME Date of Birth SHORT NAME Birth Date Definition Enter Date of Birth MM DD YYYY . If month of birth is not available code MM as 06. If day of birth is not available code DD as 01. If date of birth is missing or information is not available code as 01 01 0001 . Edits YYYY 1900 to Current Year. Cannot be later than c3 - Benefit Year Beginning. b12 NAME Sex SHORT NAME Sex Definition Enter appropriate code. l Male 2 Female -1 Missing or information not available Edits Must be 1 2 or -1. b13 NAME Ethnicity and Race Classification Code SHORT NAME Race-Ethnic ET HANDBOOK NO. 395 5 th EDITION IV-7 November 2009 Definition This is a two-position data element. Enter appropriate ethnic code in the first position and appropriate race code in the second position. 99 If neither race nor Hispanic Latino ethnicity is known FIRST POSITION SECOND POSITION 0 Not Hispanic or Latino 1 Hispanic or Latino 9 Ethnicity Unknown 1 White 01 11 91 2 Black or African American 02 12 92 3 Asian 03 13 93 4 American Indian or Alaska Native 04 14 94 5 Native Hawaiian or Other Pacific Islander 05 15 95 6 Multiple Categories Reported 06 16 96 9 Race Unknown 09 19 99 Edits Must be 01 to 06 09 11 to 16 19 91 to 96 or 99. ET HANDBOOK NO. 395 5 th EDITION IV-8 November 2009 PART C -- BENEFIT YEAR INFORMATION c1 NAME Program Code SHORT NAME Program Definition Enter the code that identifies the type of claim that was taken 1 UI 2 UI-UCFE 3 UI-UCX 4 UI-UCFE-UCX 5 UCFE 6 UCFE-UCX 7 UCX 8 Temporary emergency extended benefits programs e.g. EUC 9 Deleted Record e.g. TAA DUA Workshare Code Interstate claims in one of the above categories Edits Must be 1 to 8. e1 must be greater than 1 if c1 equals 2 3 4 or 6. c2 NAME Combined Wage Claim SHORT NAME CW Claim Definition Enter code that applied at the time the Key Week payment was made. l CWC Intrastate Claim 2 No combined wages Intrastate Claim 3 Pending out-of-state wages Intrastate Claim 4 CWC Interstate Claim 5 No combined wages Interstate Claim 6 Pending out-of-state wages Interstate Claim Use codes 1 or 4 if out-of-state wages were used for the monetary determination. Use codes 2 or 5 if there are no out-of-state wages OR if claimant declined to combine wages. Use codes 3 or 6 if out-of-state wages have been requested but not received or acted upon at the time that the Key Week payment was made. Edits Must be 1 to 6. Cannot be 1 or 4 if e1 is less than or equal to 1 or e2 equals 1. ET HANDBOOK NO. 395 5 th EDITION IV-9 November 2009 c3 NAME Benefit Year Beginning SHORT NAME Ben Year Beg Definition Enter effective date of most recent new or transitional claim not reopened or additional MM DD YYYY . Edits Cannot be less than 01 01 1980 . Must be earlier than the Key Week Date . Cannot be more than 731 days prior to the Key Week Date . Must be earlier than or equal to c7 . Must be earlier than or equal to f9 . Cannot be earlier than b11 - Date of Birth . c4 NAME Initial Claim Filing Method SHORT NAME Init Clm File Definition Enter filing method for the most recent new additional or transitional claim. l In-Person Claim 2 Mail Claim including e-mail 3 Telephone Claim including automated interactive telephone systems 4 Employer-Filed Claim 5 Other e.g. electronic other than e-mail 6 Internet claim -1 Missing or information not available Edits Must be 1 to 6 or -1. Stamp Edits Must be 1 to 6 or NULL. c5 NAME Benefit Rights Given SHORT NAME BRI Definition Enter all codes that apply regarding method by which claimant was given Benefit Rights Interview. Each distinct position within the field ABCD is Boolean true false where A is In-person interview B is Group interview C is Booklet or pamphlet and D is Video Electronic including Internet other multimedia. The valid codes are summarized in the following table. BENEFITS RIGHTS GIVEN A In-person Interview 0 Not given 1 In-person interview given B Group Interview 0 Not given 2 Group interview given C Booklet Pamphlet 0 Not given 3 Booklet Pamphlet given D Video Electronic Other Multimedia 0 Not given 4 Video Electronic including Internet Telephone Other Multimedia given ET HANDBOOK NO. 395 5 th EDITION IV-10 November 2009 -1 Missing or information not available Edits Must be a combination of 0 to 4 or -1. c6 NAME Number of Eligibility Review Program Interviews ERPs Held current Benefit Year SHORT NAME ERPs Definition Enter number of ERPs 1-9 held during the claimant s current benefit year up to and including the Key Week. If more than 9 were held enter 9. 0 Claimant should have had ERP but did not -1 Missing or information not available -2 Not applicable claimant not required to have ERP or first ERP scheduled after the Key Week Edits Must be 0 to 9 -1 or -2. c7 must be 01 01 0001 if c6 equals -1. c7 must be 02 02 0002 if c6 equals 0 or -2. c7 NAME Last ERP Date SHORT NAME Last ERP Definition Enter date MM DD YYYY of claimant s most recent ERP up to and including Key Week. -1 Missing or information not available -2 Not applicable Edits Must be greater than c3 . Must be less than or equal to Key Week . Cannot be less than 01 01 1980 . Must be 01 01 0001 if c6 is -1. Must be 02 02 0002 if c6 is 00 or -2. Cannot be 01 01 0001 if c6 is greater than 0. Cannot be 02 02 0002 if c6 is greater than 0. c8 NAME Number of Prior Nonseparation Determinations Made SHORT NAME Prior Non-sep Issues Definition Enter number of prior non-separation issues disposed of in current benefit year through the Key Week ending date. This includes all reportable nonseparation determinations according to the definition in ET Handbook 401 4 th edition section 1 chapter 4 made during this period. Exclude issues detected by the BAM paid claims investigation. 0 None ET HANDBOOK NO. 395 5 th EDITION IV-11 November 2009 Edits Must be 0 to 99. Must be equal to or greater than c9 . c9 NAME Number of Prior Disqualifications for Non-separation Issues SHORT NAME Prior Non-sep Disq Definition Enter number of prior disqualifications that resulted from non-separation issues identified in c8 . Exclude denials reversed by appeal if the decision was issued before the Key Week ending date. All other reversals should also be excluded including those reversed at the Local Office or other levels which may occur prior to the official appeal. 0 None Edits Must be 0 to 99. Must be less than or equal to c8 . ET HANDBOOK NO. 395 5 th EDITION IV-12 November 2009 PART D -- SEPARATION INFORMATION d1 NAME Reason for Separation Before Investigation SHORT NAME Reason Sep Before Definition Enter the code that identifies the reason the claimant was separated from the last job up to and including the Key Week. Code the separation that caused the period of unemployment new additional claim for the Key Week. This element reflects the information contained in the agency records. 10 Lack of Work e.g. RIF temporary or permanent lay off 20 Voluntary Quit 30 Discharge 40 Labor Dispute 50 Other include military separation or Compelling Family Reasons 60 Not separated partially or fully employed job attached leave of absence The second digit of the code is reserved for optional state use. For example the state could identify different reasons for Voluntary Quit or Discharge. Edits Must be 10 to 69 d2 NAME Reason for Separation After Investigation SHORT NAME Reason Sep After Definition Enter the code that the investigation establishes as the reason for separation for the period of unemployment in which the Key Week occurred. The separation to be coded is the most recent employment that affects the claimant s eligibility for benefits. This information may reflect an employer other than the one identified in d1 . . 10 Lack of Work e.g. RIF temporary or permanent lay off 20 Voluntary Quit 30 Discharge 40 Labor Dispute 50 Other include military separation or Compelling Family Reasons 60 Not separated partially or fully employed job attached leave of absence Edits Must be 10 to 69. d3 NAME Date of Separation Before Investigation SHORT NAME Date Sep Before Definition Enter date MM DD YYYY of separation as defined by state law policy from last employer used to determine code assigned in d1 . If the claimant has not been separated enter the last day worked but no later than the Key Week ending date if code in d1 is 60-69. Edits Must be less than or equal to Key Week . Cannot be less than 01 01 1980 . ET HANDBOOK NO. 395 5 th EDITION IV-13 November 2009 d4 NAME Date of Separation After Investigation SHORT NAME Date Sep After Definition Enter the date MM DD YYYY of separation as defined by state law policy from last employer after investigation as identified in d2 . If the claimant has not been separated enter the last day worked but no later than the Key Week ending date if code in d2 is coded 60-69. 01 01 0001 Missing or information not available Edits Must be less than or equal to Key Week . Can be 01 01 0001 . Cannot be less than 01 01 1980 . d5 NAME Recall Status Before Investigation SHORT NAME Recall Stat Before Definition Enter the code that indicates claimant s recall status for the Key Week. 0 No recall 1 Definite recall specific return date 2 Indefinite recall no specific return date -1 Missing or information not available -2 Not applicable e.g. partial Edits Must be 0 1 2 -1 or -2. d6 NAME Recall Status After Investigation SHORT NAME Recall Stat After Definition Enter the correct recall status code as of Key Week. 0 No recall 1 Definite recall specific return date 2 Indefinite recall no specific return date -1 Missing or information not available -2 Not applicable e.g. partial Edits Must be 0 1 2 -1 or -2. d7 NAME Tax Rate for Last Employer SHORT NAME Tax Rate Last Emp Definition Enter last employer s UI tax rate at the time of filing for the most recent new or additional claim. Round to nearest hundredth of a percent e.g. 14.92 is entered as 14.92 3.6 is entered as 3.60 7.478 is entered as 7.48 . Enter 99.99 if employer reimburses fund. ET HANDBOOK NO. 395 5 th EDITION IV-14 November 2009 Enter -1 if non-subject employing unit or information is not available. Edits Format is xx.xx. Can be all zeros. Can be -1. d8 NAME Industry Code Last Employer SHORT NAME Ind Code Last Emp Definition Enter first four digits industry group level of North American Industry Classification System NAICS code for the claimant s last employer as identified in d2 . If only a two-digit NAICS sector level is available on the state s computer system enter the two digits followed by two zeros. For example if the only industry code available is 17 enter 1700. Enter -1 if missing or information not available. 11 Agriculture Forestry Fishing Hunting 53 Real Estate Rental and Leasing 21 Mining 54 Professional Scientific and Technical Services 22 Utilities 55 Management of Companies and Enterprises 23 Construction 56 Administrative Support Waste Management and Remediation Services 31-33 Manufacturing 61 Education Services 42 Wholesale Trade 62 Health Care and Social Assistance 44-45 Retail Trade 71 Arts Entertainment and Recreation 48-49 Transportation and Warehousing 72 Accommodation and Food Services 51 Information 81 Other Services except Public Administration 52 Finance and Insurance 92 Public Administration Edits First 2 digits must be 11 21 to 23 31 to 33 42 44 to 45 48 to 49 51 to 56 61 to 62 71 to 72 or 81 92. Can be -1. Must be 4 digits long. ET HANDBOOK NO. 395 5 th EDITION IV-15 November 2009 PART ME -- MONETARY ELIGIBILITY e1 NAME Number of Base Period Employers Before Investigation SHORT NAME BP Emps Before Definition Enter number of subject base period employers before investigation. Include wages from seasonal school and out-of-state employers if they were used in the monetary determination from which the Key Week payment was made. Edits Must be within the validation range set by state agency. Must be greater than 1 if c2 equals 1 or 4. Must be greater than 1 if c1 equals 2 3 4 or 6. e2 NAME Number of Base Period Employers After Investigation SHORT NAME BP Emps After Definition Enter number of subject base period employers after investigation. Include wages from seasonal school and out-of-state employers if they should have been used in calculating the monetary determination from which the Key Week payment was made. Note If applicable consider the application of an alternative base period 0 No base period employers as a result of the investigation monetarily ineligible Edits Must be within the validation range set by state agency. Can be 0. e6 e8 e14 and e16 must be 0 or -2 if e2 is 0. e4 e10 and e12 must be 0 if e2 is 0. Must be equal to 0 or be greater than 1 if c2 is 1 or 4. e3 NAME Base Period Wages Before Investigation SHORT NAME BP Wages Before Definition Enter total amount of all base period wages from subject employers. Express in whole dollars. Include wages from seasonal school and out-of-state employers if they were used in the monetary determination from which the Key Week payment was made. Edits Must be within the validation range set by state agency. Cannot equal 0. Must be greater than or equal to e5 . e4 NAME Base Period Wages After Investigation SHORT NAME BP Wages After Definition Enter total amount of all base period wages from subject employers identified in e2 even if claimant is determined to be monetarily ineligible. Express in whole dollars. Note If applicable consider the application of an alternative base period ET HANDBOOK NO. 395 5 th EDITION IV-16 November 2009 Must be zero 0 if e2 is zero. Edits Must be within the validation range set by state agency. Can be 0. Must be 0 if e2 is 0. Cannot be 0 if e2 is greater than 0. Must be greater than or equal to e6 . e5 NAME High Quarter Wages Before Investigation SHORT NAME High Qtr Wages Before Definition Enter whole dollar amount of claimant s high quarter base period wages before investigation used in the monetary determination from which the original Key Week payment was made. Include seasonal wages and school wages if used. Enter 99999 if greater than 99999. Enter -2 if not applicable and or not in state records. Edits Must be within the validation range set by state agency. Must be less than or equal to e3 . Cannot equal 0. Can be -2. e6 NAME High Quarter Wages After Investigation SHORT NAME High Qtr Wages After Definition Enter whole dollar amount of claimant s high quarter base period wages after investigation that should have been used for the monetary determination for the Key Week. Enter 99999 if greater than 99999. Enter zero 0 if e2 is zero. Enter -2 if not applicable Edits Must be within the validation range set by state agency. Must be less than or equal to e4 . Must be 0 if e2 is 0. Cannot be 0 if e4 is greater than 0. Can be -2. e7 NAME Number of Weeks Worked in Base Period Before Investigation SHORT NAME Wks Worked Before ET HANDBOOK NO. 395 5 th EDITION IV-17 November 2009 Definition Enter number of actual weeks as defined by state law and procedures that the claimant worked in base period prior to the investigation. Complete this item if required by state law for computing monetary eligibility. -2 Not Applicable if the number of weeks worked is not required. Edits Must be within the validation range set by state agency. Can be -2. Stamp Edits Must be -2 or NULL. e8 NAME Number of Weeks Worked in Base Period After Investigation SHORT NAME Wks Worked After Definition Enter number of actual weeks as defined by state law and procedures that the claimant worked in base period after investigation. Complete this item if required by state law for computing monetary eligibility. Enter zero 0 if e2 is zero. Enter -2 if the number of weeks worked is not required. Edits Must be within the validation range set by state agency. Can be -2. Must be 0 or -2 if e2 equals 0. Cannot be 0 if e2 is greater than 0. Stamp Edits Must be -2 or NULL. e9 NAME Weekly Benefit Amount WBA Before Investigation SHORT NAME WBA Before Definition Enter claimant s WBA for the Key Week based on the monetary determination from which the original Key Week payment was made. Express in whole dollars. Disregard dependents allowances pension deductions or Key Week earnings if any . Do not use adjusted WBA based on monetary redetermination made because of nonmonetary issues i.e. a separation issue or administrative penalty . Edits Must be within the validation range set by state agency. Cannot be 0. Must be less than or equal to e11 . e9 plus e15 if any must be greater than or equal to f13 . e9 plus e15 must be greater than f3 . e9 plus e15 must be greater than f7 . e9 plus e15 must be greater than or equal to sum of f13 plus f3 plus f7 . f3 plus f13 plus f7 must be less than or equal to e9 plus e15 if state does not equal WI FIPS code 55 . ET HANDBOOK NO. 395 5 th EDITION IV-18 November 2009 f3 plus f13 plus f7 must be less than or equal to e9 plus e15 times 2 minus 1 if state equals WI FIPS code 55 . e10 NAME Weekly Benefit Amount WBA After Investigation SHORT NAME WBA After Definition Enter claimant s correct WBA based on the monetary determination that should have applied at the time the original Key Week payment was made. Express in whole dollars. Disregard dependents allowances pension deductions or Key Week earnings if any . Disregard WBA resulting from a monetary redetermination caused by nonmonetary issues i.e. a separation issue or administrative penalty . Must be zero 0 if e2 is zero. Edits Must be within the validation range set by state agency. Must be 0 if e2 is 0. Must be less than or equal to e12 . e10 plus e16 must be greater than or equal to f4 plus f8 . Cannot be 0 if h1 is less than or equal to 4. e11 NAME Maximum Benefit Amount MBA Before Investigation SHORT NAME MBA Before Definition Enter MBA based on monetary determination from which original Key Week payment was made. Express in whole dollars. Do not use adjusted MBA based on monetary redetermination made because of nonmonetary issues i.e. a separation issue or administrative penalty . Disregard any EB entitlement state supplemental payments dependents allowances or any other deductions. Edits Must be within the validation range set by state agency. Cannot be 0. Must be greater than e19 . Must be equal to or greater than e9 . e12 NAME Maximum Benefit Amount MBA After Investigation SHORT NAME MBA After Definition Enter MBA based on the monetary determination that should have applied to Key Week at the time that the original payment for Key Week was made. Express in whole dollars. Disregard MBA resulting from a monetary redetermination caused by nonmonetary issues i.e. a separation issue or administrative penalty . Disregard any EB entitlement state supplemental payments dependents allowances or any other deductions. Must be zero 0 if e2 is zero. ET HANDBOOK NO. 395 5 th EDITION IV-19 November 2009 Edits Must be within the validation range set by state agency. Must be 0 if e2 is 0. Must be equal to or greater than e10 . e13 NAME Number of Dependents Claimed Before Investigation SHORT NAME Depend Before Definition Enter the number of dependents claimed. Enter zero 0 if none and state has a dependency provision. Enter -2 if state does not have a dependency provision. Edits Must be within the validation range set by state agency. Can be 0 or -2. Must be -2 if e15 is -2. Must be 0 if e15 is 0. Cannot be 0 if e15 is not 0. Stamp Edits Must be -2 or NULL. e14 e15 and e16 will be set to -2 or NULL respectively if e13 is set to -2 or NULL. e14 NAME Number of Dependents Claimed After Investigation SHORT NAME Depend After Definition Enter the correct number of dependents that should be claimed. Enter zero 0 if none and state has a dependency provision. Enter -2 if state does not have a dependency provision. Edits Must be within the validation range set by state agency. Can be 0 or -2. Must be 0 or -2 if e2 is 0. Must be 0 if e16 is 0. Must be -2 if e16 is -2. Cannot be 0 if e16 is not 0. Stamp Edits Must be -2 or NULL. e13 e15 and e16 will be set to -2 or NULL respectively if e14 is set to -2 or NULL. e15 NAME Dependents Allowance Before Investigation SHORT NAME Depend Allow Before ET HANDBOOK NO. 395 5 th EDITION IV-20 November 2009 Definition Enter the whole dollar amount of dependents allowance before investigation if any that was paid to the claimant for the Key Week. Enter zero 0 if claimant is not eligible for allowance and state has a dependency provision. Enter -2 if state does not have a dependency provision. Edits Must be within the validation range set by state agency. Must be less than e9 except for Alaska AK . Must be 0 if e13 is 0. Cannot be 0 if e13 is greater than 0. Must be -2 if e13 is -2. Can be 0 or -2. Cannot be -2 if e13 is not -2. e9 plus e15 must be greater than f3 . e9 plus e15 must be greater than f7 . e9 plus e15 must be greater than or equal to f13 . f3 plus f13 plus f7 must be less than or equal to e9 plus e15 if state does not equal WI FIPS code 55 . f3 plus f13 plus f7 must be less than or equal to e9 plus e15 times 2 minus 1 if state equals WI FIPS code 55 . Stamp Edits Must be -2 or NULL. e13 e14 and e16 will be set to -2 or NULL respectively if e15 is set to -2 or NULL. e16 NAME Dependents Allowance After Investigation SHORT NAME Depend Allow After Definition Enter the correct whole dollar amount of dependents allowance that should have been paid to the claimant during the Key Week. Enter zero 0 if claimant not eligible for allowance and state has a dependency provision. Enter -2 if state does not have a dependency provision. Edits Must be within the validation range set by state agency. Must be less than or equals to e10 except for Alaska AK . Must be 0 or -2 if e2 is 0. Must be 0 if e14 is 0. Cannot be 0 if e14 is greater than 0. Must be -2 if e14 is -2. e10 plus e16 must be greater than or equal to f4 plus f8 . Can be 0 or -2. Stamp Edits Must be -2 or NULL. If e16 is set to -2 or NULL e13 e14 and e15 will be set to -2 or NULL respectively. ET HANDBOOK NO. 395 5 th EDITION IV-21 November 2009 e17 NAME Industry Code Primary Base Period Employer SHORT NAME Ind Code Primary Emp Definition Enter first four digits Industry group level of NAICS code for claimant s primary base period employer from whom the most wages were earned. If only two-digit major group is available on the state s computer system enter the two digits followed by two zeros. NAICS codes should always be obtained for out-of-state employers non-profit employers and exempt employers if at all possible. NAICS codes can be found at www.census.gov naics -1 Information missing or not available 11 Agriculture Forestry Fishing Hunting 53 Real Estate Rental and Leasing 21 Mining 54 Professional Scientific and Technical Services 22 Utilities 55 Management of Companies and Enterprises 23 Construction 56 Administrative Support Waste Management and Remediation Services 31-33 Manufacturing 61 Education Services 42 Wholesale Trade 62 Health Care and Social Assistance 44-45 Retail Trade 71 Arts Entertainment and Recreation 48-49 Transportation and Warehousing 72 Accommodation and Food Services 51 Information 81 Other Services except Public Administration 52 Finance and Insurance 92 Public Administration Edits First 2 digits must be 11 21 to 23 31 to 33 42 44 to 45 48 to 49 51 to 56 61 to 62 71 to 72 81 or 92. Can be -1. Must be 4 digits long. e18 NAME Monetary Redetermination Before Investigation SHORT NAME Mon Redet Before Definition Enter appropriate code that indicates if state redetermined claimant s monetary eligibility prior to Key Week payment date. Do not consider redeterminations resulting from a nonmonetary issue i.e. a separation issue or administrative penalty . 1 Yes 2 No Edits Must be 1 or 2. e19 NAME Remaining Balance RB as of KW Ending Date SHORT NAME Remaining Bal Definition Enter remaining balance of claimant s benefits at the time the Key Week was claimed even though it was paid at a later date. Deduct amount of Key Week payment ET HANDBOOK NO. 395 5 th EDITION IV-22 November 2009 regardless of date paid when computing remaining balance. Exclude amounts for dependency allowances. 0 balance is exhausted EXAMPLE Week 01 is Key Week. MBA is 2600 and WBA is 100. Key Week was paid the week after week 02 was paid. The state record will indicate a balance of 2400 based on the Key Week payment date. However for BAM purposes the remaining balance is 2500 since payments are arrayed chronologically by compensable week ending date. COMPUTE REMAINING BALANCE AS FOLLOWS Array payments in chronological order by compensable week ending date. Sum dollar amount of all weeks paid including Key Week. Deduct this amount from Maximum Benefit Amount. Result is remaining balance. Edits Must be less than e11 . Can be 0. ET HANDBOOK NO. 395 5 th EDITION IV-23 November 2009 PART F -- BENEFIT PAYMENT HISTORY f1 NAME Total Earnings for Key Week Before Investigation SHORT NAME KW Earnings Before Definition Enter whole dollar amount of earnings during KW regardless of effect on the amount paid. DO NOT include other income such as pensions holiday pay vacation pay pay in lieu of notice separation pay etc. Enter 9999 if 9999 or more. Enter zeros 0000 if none. Edits f3 must be 0 if f1 equals 0. Must be equal to or greater than f3 . f2 NAME Total Earnings for Key Week After Investigation SHORT NAME KW Earnings After Definition Enter whole dollar amount of earnings during KW regardless of effect on the amount paid. DO NOT include other income such as pensions holiday pay vacation pay pay in lieu of notice separation pay etc. Enter 9999 if 9999 or more. Enter zeros 0000 if none. Edits f4 must be 0 if f2 equals 0. Must be equal to or greater than f4 . f3 NAME Earnings Deduction for Key Week Before Investigation SHORT NAME Earn Deduct Before Definition Enter actual amount in whole dollars deducted from WBA because of earnings. DO NOT include other income such as pensions holiday pay vacation pay pay in lieu of notice separation pay etc. This amount may be less than amount reported on the certification by claimant because of earnings disregarded by law in computation of amount deducted. Enter zero 0 if no earnings deduction. Edits Must be 0 if f1 is 0. Must be less than or equal to f1 . Must be less than e9 plus e15 if any . f3 plus f13 plus f7 must be less than or equal to e9 plus e15 if state does not equal WI FIPS code 55 . f3 plus f13 plus f7 must be less than or equal to e9 plus e15 times 2 minus 1 if state equals WI FIPS code 55 . ET HANDBOOK NO. 395 5 th EDITION IV-24 November 2009 f4 NAME Earnings Deduction for Key Week After Investigation SHORT NAME Earn Deduct After Definition Enter whole dollar amount that should have been deducted from WBA because of earnings. Do NOT include other deductible income such as pensions holiday pay vacation pay pay in lieu of notice separation pay etc. Enter zero 0 if no earnings deduction. Edits Must be 0 if f2 is 0. Must be less than or equal to f2 . Must be less than or equal to e10 plus e16 if any . The sum of f4 plus f8 must be less than or equal to e10 plus e16 . f5 NAME Total Other Deductible Income for KW Before Investigation SHORT NAME Other Income Before Definition Enter total whole dollar amount of other income deductible under state law received or prorated before the provisions of state law are applied to deduct it from benefits paid. Include pension received for the Key Week regardless of effect on the payment amount using the state s method to determine the weekly amount of the pension. Also include all deductible income such as holiday pay vacation pay pay in lieu of notice separation pay etc. Enter zero 0 if none. Edits Can be 0. f7 must be 0 if f5 equals 0. Must be equal to or greater than f7 . f6 NAME Total Other Deductible Income for KW After Investigation SHORT NAME Other Income After Definition Enter total whole dollar amount of other income deductible under state law received or prorated before the provisions of state law are applied to deduct it from benefits paid. Include pension received for the Key Week regardless of effect on the payment amount using the state s method to determine the weekly amount of the pension. Enter zero 0 if none Edits Can be 0. f8 must be 0 if f6 data is 0. Must be equal to or greater than f8 . ET HANDBOOK NO. 395 5 th EDITION IV-25 November 2009 f7 NAME Other Income Deductions for Key Week Before Investigation SHORT NAME Other Deduct Before Definitions Enter actual amount in whole dollars deducted from WBA due to a pension holiday pay vacation pay pay in lieu of notice separation pay etc. before investigation of Key Week. Enter zero 0 if no other income deduction. Edits Can be 0. Must be 0 if f5 is 0. Must be less than or equal to f5 . Must be less than e9 plus e15 if any . f3 plus f13 plus f7 must be less than or equal to e9 plus e15 if state does not equal WI FIPS code 55 . f3 plus f13 plus f7 must be less than or equal to e9 plus e15 times 2 minus 1 if state equals WI FIPS code 55 . f8 NAME Other Income Deductions for Key Week After Investigation SHORT NAME Other Deduct After Definition Enter whole dollar amount that should have been deducted from WBA for the Key Week due to a pension holiday pay vacation pay pay in lieu of notice separation pay etc. Enter zero 0 if no other income deduction. Edits Can be 0. Must be 0 if f6 is 0. Must be less than or equal to f6 . Must be less than or equal to e10 plus e16 if any . Sum of f4 plus f8 must be less than or equal to e10 plus e16 if any . f9 NAME First Compensable Week Ending Date SHORT NAME First CWE Date Definition Enter Week Ending Date MM DD YYYY of first week compensable paid offset totally or partially in the benefit year as defined for the First Payment Time Lapse Report ETA 9050 . NOTE This is NOT necessarily the first compensated week as defined for the Claims and Payment Activities Report ETA 5159 Part B . However if no first compensable week is reportable for the claim then use the first week compensated. Edits Must be greater than or equal to c3 . Cannot be less than 01 01 1980 . Must be less than or equal to Key Week . Cannot be more than 731 days prior to Key Week . ET HANDBOOK NO. 395 5 th EDITION IV-26 November 2009 Must be less than or equal to f10 . f10 NAME Date of First Compensable Week SHORT NAME Date First Payment Definition Enter date payment was made or offset applied for the first compensable week identified in f9 MM DD YYYY . Edits Must be greater than or equal to f9 . Cannot be less than 01 01 1980 . f11 NAME Key Week Filing Method SHORT NAME KW File Meth Definition Enter filing method for Key Week claim. l Mail Claim including e-mail 2 In-person Claim 3 Employer filed i.e. partial 4 Telephone including automated interactive telephone systems 5 Other e.g. electronic other than e-mail 6 Internet Claim -1 Missing or information not available Edits Must be 1 to 6 or -1. Stamp Edits Must be 1 to 6 or NULL. f12 NAME Key Week Certification Procedure SHORT NAME KW Cert Definition The filing method for Key Week claim. Enter appropriate code. 1 Key Week claimed on a weekly cycle. 2 Key Week claimed on a bi-weekly cycle. 3 Other greater than bi-weekly cycle Edits Must be 1 2 or 3. Stamp Edits Must be 1 2 or NULL. f13 NAME Original Amount Paid and or Offset for Key Week SHORT NAME Orig Amt Pd Definition Enter original whole dollar amount paid. Include in this amount dependent allowance and child support intercepted if any federal state and or local income tax withholding and the recovery of over issuances of food stamp coupons for Key Week. Code 98.00 as 98 without a leading zero. Edits Must equal h5 if h2 equals 0. Must equal h2 if h5 and h6 equal 0. ET HANDBOOK NO. 395 5 th EDITION IV-27 November 2009 f3 plus f13 plus f7 must be less than or equal to e9 plus e15 if state does not equal WI FIPS code 55 . f3 plus f13 plus f7 must be less than or equal to e9 plus e15 times 2 minus 1 if state equals WI FIPS code 55 ET HANDBOOK NO. 395 5 th EDITION IV-28 November 2009 PART G EMPLOYMENT SERVICES REGISTRATION WORK SEARCH g1 NAME Work Search Requirements SHORT NAME WS Requirements Definition Enter the appropriate code that applied at the time eligibility for the Key Week was determined. 1 Required to actively seek work in addition to union contact if applicable 2 An agency directive written or verbal temporarily suspended the claimant s normal work search for the Key Week. 3 Union deferral seeking work only through union 4 Job attached deferral temporary lay-off recall partial industry attached 5 Other deferrals disability school etc. -2 Not Applicable if no active work search policy Edits Must be 1 to 5 or -2. g1 cannot equal 1 if g10 is -2. Cannot equal -2 if ei2 is 14. Cannot equal -2 if ei3 is 420. Stamp Edits Must be 1 to 2 -2 or NULL. g1 cannot equal 1 if g10 is -2. g2 NAME Labor Exchange Registration Required for Key Week SHORT NAME LE Reg Req Definition Enter the appropriate code that applies to the Key Week regarding state written law policy and procedures that govern whether claimants are required to be registered with the Employment Service and what constitutes registration. Use code 2 only if the state does not require registration OR there is written law policy that provides for non-registration under certain circumstances e.g. temporary lay-off union membership and such non- registration policy is applicable to claimant. 1 Yes per state law 2 No 3 Yes as a result of profiling 4 Yes for both reasons Edits Must be 1 to 4. g4 must be -2 if g2 equals 1 3 or 4. g4 must be 1 to 6 if g2 equals 2. Stamp Edits Must be 1 to 4 or NULL. ET HANDBOOK NO. 395 5 th EDITION IV-29 November 2009 g3 NAME Labor Exchange Registration and Services as of Key Week SHORT NAME LE Reg Services Definition Enter the appropriate code that applies to the Key Week regarding the claimant s registration with the State Employment Service. BAM coding should be consistent with state law policy and procedures. 1 Registered with the Employment Service and has received one or more staff-assisted service during the current benefit year for example job referral placement in training reemployment or assessment services or job search activities 2 Not registered with Employment Service and has not used self-help services from the One-Stop delivery system during the current benefit year. 3 Not registered with Employment Service but has received staff assisted services or has used self-help services from the One-Stop delivery system during the current benefit year. 4 Registered with the Employment Service but has received no staff-assisted services during the current benefit year. -1 Information missing or not available. Edits Must be 1 to 4 or -1. g5 cannot be -2 if g3 equals 1. g5 must be -2 if g3 equals 2. g5 must be 0 if g3 equals 4. Stamp Edits Must be 1 or NULL. g4 NAME Reason Labor Exchange Registration Deferred SHORT NAME LE Defer Definition Enter appropriate code. 1 Union member 5 Approved training 2 Job attached 6 Local Office policy 3 Partial 7 Other 4 Seasonal -2 Not Applicable if claimant not deferred Edits Must be 1 to 7 or -2. Must be -2 if g2 equals 1 3 or 4. Must be 1 to 7 if g2 equals 2. Stamp Edits Must be -2 or NULL. g5 NAME Number of Labor Exchange Referrals SHORT NAME LE Refers Definition Enter number of times Employment Services referred claimant for employment during current benefit year CBY up to and including Key Week. ET HANDBOOK NO. 395 5 th EDITION IV-30 November 2009 Enter zero 0 if no referrals while registered in CBY. Enter -1 if information missing or not available. Enter -2 if claimant not registered or received no services during CBY. Edits Must be within the validation range set by state agency. May be -1 or -2. Cannot be -2 if g3 equals 1. Must be -2 if g3 equals 2. Must be 0 if g3 equals 4. g6 NAME Registered with Private Employment Agency as defined by state law SHORT NAME Regis Priv Agency Definition Enter code that applied as of the Key Week. 1 Registered with private agency 2 Not registered with private agency -1 Information missing or not available. Edits Must be 1 2 or -1. g7 cannot be -2 if g6 equals 1. g7 NAME Number of Private Employment Agency Referrals SHORT NAME Priv Agency Refers Definition Enter number of times the claimant was referred for employment by a Private Employment Agency as defined by state law during the Key Week. Enter zero 0 if registered but not referred. Enter -1 if information missing or not available. Enter -2 if claimant not registered. Edits Must be within the validation range set by state agency. Cannot be -2 if g6 is 1. Must be -2 if g6 is 2. Must be -1 if g6 is -1. g8 NAME Union Referral Status SHORT NAME Union Status Definition Enter appropriate code that applies to the Key Week after appropriate verification. 0 Claimant NOT a member of a union. ET HANDBOOK NO. 395 5 th EDITION IV-31 November 2009 1 Claimant is a member of a union with a hiring hall and was eligible to be referred by the union during the Key Week. 2 Claimant is a member of a union with a hiring hall but was not eligible for union referral during the Key Week. 3 Claimant is a member of a non-hiring-hall union. -1 Missing or information not available Edits Must be 0 to 3 or -1. g9 must be -1 if g8 -1. g9 must be -2 if g8 equals 0 2 or 3. g9 NAME Number of Union Referrals for the Key Week SHORT NAME Union Refers Definition Enter number of times that a union with a hiring hall referred claimant for employment during the Key Week. All such referrals are to be verified. Do not include referrals associated with a non-hiring-hall union however contacts resulting from such referrals may be included in g10. -1 Information Not Available or g8 coded -1. -2 Not Applicable or g8 is code 0 2 or 3. Edits Must be within the validation range set by state agency. Must be -1 if g8 is -1. Must be -2 if g8 is 0 2 or 3. Can be 0 only when g8 is 1. g10 NAME Number of Job Contacts Listed for KW SHORT NAME KW Contacts Definition Enter number of all Key Week job contacts indicated from any source. Note If claimant sought work in Key Week although not required to do so enter number of contacts and make appropriate verifications. Enter zero 0 if no contacts were indicated. Enter -1 if claimant does not know or is not available Enter -2 if not required to and did not seek work. Edits Must be within the validation range set by state agency. Can be 0 -1 or -2. Cannot be -2 if g1 is 1. Stamp Edits Must be -2 or NULL. Cannot be -2 if g1 is 1. ET HANDBOOK NO. 395 5 th EDITION IV-32 November 2009 g11 NAME Number of Job Contacts Made Prior to Key Week but used to Satisfy Work Search Requirements for KW SHORT NAME Prior KW Contacts Definition Enter number of work search contacts made prior to Key Week only if used to satisfy the state s work search requirements. Enter zero 0 if no contacts were indicated or KW contacts were sufficient to meet the requirements. Enter -1 if claimant does not know or INA. Enter -2 if state does not allow contacts outside the KW to satisfy work search requirements. Edits Must be within the validation range set by state agency. Can be 0 -1 or -2. Stamp Edits Must be -2 or NULL. g12 NAME Number of Work Search Contacts Investigated for Key Week Eligibility SHORT NAME Contacts Inv Definition Enter total number of work search contacts investigated by the BAM unit regardless of investigation determination regarding acceptability. Do not include here any work-search contacts that were not investigated by BAM unit. Enter zero 0 if no job contacts were investigated and enter zeros for g13 g14 and g15 . Edits Can be 0. Must be less than or equal to the sum of g10 and g11 . Must be equal to the sum of g13 g14 and g15 . g13 g14 and g15 must be 0 if g12 is 0. Stamp Edits Must be 0 or NULL. g13 NAME Number of Acceptable Work Search Contacts for Key Week SHORT NAME Contacts Acc Definition Include only work search contacts for which documentation exists in BAM file that such contacts were made by claimant and were acceptable contacts within state s written law policy on active search for work. Edits Must be 0 if g12 is 0. Must be less than or equal to g12 . g14 and g15 must be 0 if g13 equals g12 . g13 plus g14 plus g15 must equal g12 . ET HANDBOOK NO. 395 5 th EDITION IV-33 November 2009 g14 NAME Number of Unacceptable Work Search Contacts for Key Week SHORT NAME Contacts Unacc Definition Include only job contacts for which written documentation exists in BAM file that such contacts were not made at all by claimant or were made but are unacceptable within the framework of state s written law or policy. Edits Must be 0 if g12 is 0. Cannot be greater than g12 . g14 and g15 must be 0 if g13 equals g12 . g13 plus g14 plus g15 must equal g12 . g13 and g15 must be 0 if g14 and g12 are equal. g15 NAME Number of Work Search Contacts for KW that Could not be Verified as Either Acceptable or Unacceptable SHORT NAME Contacts Unver Definition Include here the work search contacts for which there were insufficient information to make a judgment of either acceptable or unacceptable within the state s written law policy on work search. Edits Must be 0 if g12 is 0. Must be 0 if g12 and g13 are equal. Cannot be greater than g12 . g13 plus g14 plus g15 must equal g12 . g13 and g14 must be 0 if g15 equals g12 . ET HANDBOOK NO. 395 5 th EDITION V-1 November 2009 CHAPTER V CLASSIFYING PROPRIETY OF PAYMENTS 1. Introduction . The outcome of each case investigated is a set of data about that claim and classification as to whether or not the payment was proper. Because a single case represents a very large number of payments in the state s population it is important that BAM completes the investigation for each payment sampled. For any set measurement period payment accuracy is estimated from the coded findings of all completed cases. Chapter IV contains the definitions of all data elements collected during the investigation of each sampled case screens B-G . This chapter provides specific instructions for recording the propriety of payments and for closing cases screen H and classifying errors detected during the investigations screen I . There are 11 elements in Screen H h1 Key Week Action Code Flag h2 Amount That Claimant Should Have Been Paid h3 Total Dollar Amount of Overpayments h4 Total Dollar Amount of Underpayments h5 Total Overpayment Amount for Key Week h6 Total Underpayment Amount for Key Week h7 Investigation Completed h8 Investigation Completion Date h9 Supervisory Review Completed h10 Supervisor Completion Date h11 Supervisor Identification 2. Coding Proper Payments . Most of the payments that BAM investigates are proper. When the investigator has completed the case entered all of the codes into screens B-G and determined that the case is a proper payment a 1 2 or 3 is entered in the Key Week Action Code Flag h1 element. In most cases the investigator will enter 1 to indicate a correct payment offset. h1 NAME Key Week Action Code Flag SHORT NAME Action Code Flag 1 Correct payment offset. 2 Overpayment established or WBA Key Week dependents allowance KWDA entitlement MBA or remaining balance RB decreased which was later officially reversed. BAM agrees with the official action. 3 Supplemental check issued offset applied which was later officially reversed. BAM agrees with the official action. ET HANDBOOK NO. 395 5 th EDITION V-2 November 2009 3. Coding Reopened Cases . Additional h1 codes are available for use ONLY when reopening previously closed PCA cases. These PCA cases are crossmatched with the National Directory of New Hires NDNH and UI wage records files to provide information in part to y estimate the magnitude of overpayments attributable to unreported earnings that are detected through the use of NDNH or wage record crossmatch but are not detected through other BAM audit methods and y identify other issues that might affect the eligibility for the compensated week selected for the BAM sample for example voluntary quit or discharge from employment in the benefit year . Cases may also be reopened to revise coding based on additional information obtained through claimant employer or third party responses received by the agency after the case was signed off by the BAM supervisor. These additional h1 codes are 4 Payment correct after original BAM investigation at time of supervisor sign-off and no Key Week error issues were detected as a result of new hire or wage record matching or additional information obtained through late claimant employer or third party responses. 5 Payment improper after original BAM investigation at time of supervisor sign-off but no additional Key Week error issues were detected as a result of new hire or wage record matching or additional information obtained through late claimant employer or third party response. 7 Payment correct after original BAM investigation at time of supervisor sign-off but is improper as a result of new hire or wage record matching or additional information obtained through late claimant employer or third party response requires entry of data in the error issue table . 8 Payment improper after original BAM investigation at time of supervisor sign-off but additional Key Week error issues were identified or the coding of an issue identified in the initial BAM audit is revised as a result of new hire or wage record matching or additional information obtained through late claimant employer or third party response requires entry of data in the error issue table . 4. Coding Improper Payments . Payment error codes are provided for both underpayments and overpayments. Multiple actions taken for a single issue multiple issues detected for a single case and various extents of agreement or disagreement between BAM and other units in the UI system concerning official policy or actions taken for the sampled cases also are provided for. As a result the instructions for assigning the Key Week codes reflect many complexities that may occur. The payment error coding system records findings of case investigations that reflect the state s law and official written policies. It is important to clarify the relationship between BAM and the other parts of the UI system. The BAM payment error coding system encompasses appealable actions taken by any state unit including BAM which modify actions taken on payment errors e.g. monetary redeterminations establishment of overpayments etc. It encompasses actions in progress ET HANDBOOK NO. 395 5 th EDITION V-3 November 2009 by units other than BAM on improper Key Week payments of which actions BAM is in agreement. It also encompasses findings when no actions are permitted e.g. because of state finality provisions. Screen I . If the payment was not a proper payment a code 9 is entered into data element h1 Key Week Action Code Flag 9 Improper Payment Improper payment codes are defined in the Error Issue ERRISU Table. Data entry of code 9 in this data element will trigger Screen I for data input. When code 7 8 or 9 is entered into h1 Screen I is displayed by the software for data entry of error issues. This interrupts data entry into Screen H. The BAM investigator will enter the overpayment and underpayment information on the new screen. The system has the capacity to record up to 20 individual issues. If there are more than 20 issues select and code the 20 largest issues in terms of the amount of error. Note If Key Week Action Code Flag h1 1 2 3 4 proper payment or 5 no additional improper payment issues Screen I will not be displayed. Edits for h1 Must be 1 2 3 or 9 for Update Cases. Must be 1 to 5 7 8 or 9 for Reopen Completed Cases. Must be 4 5 7 or 8 if Reopen Completed Case Code ro1 is 7 8 or 9. h2 must equal f13 if h1 equals 1 2 3 or 4. Must be 1 to 4 if h5 and h6 are 0. Identify all issues actions that affect the Key Week payment. This includes issues where official action may be taken and also where official action is prohibited. Screen I has nine data elements that require information to be recorded for each issue ei1 Dollar Amount of Key Week Error ei2 Key Week Action ei3 Error Cause ei4 Error Responsibility ei5 BAM Detection Point ei6 Prior Agency Action ei7 Prior Employer Action ei8 BAM Action Regarding Key Week Appealed ei9 Prior Claimant Action States may modify the last digits of the codes for five of these items in Screen I to provide more detailed information for their use Cause code ei3 Detection Point code ei5 Prior Agency Action code ei6 Prior Employer Action code ei7 and Prior Claimant Action code ei9 . The default last digit in each of these codes is zero. States may choose to develop additional categories using any digits from 1-9 to provide further detail in these areas. Definitions and explanations for the data elements of Screen I are detailed on the following pages. ET HANDBOOK NO. 395 5 th EDITION V-4 November 2009 1 ei1 Dollar Amount of Key Week Error . Enter the total whole dollar amount of the error overpayment or underpayment for the Key Week as determined or confirmed by the BAM investigation. Exclude dollars that affect weeks other than the Key Week. Round to the nearest whole dollar amount. Edits Must be greater than 0. Cannot exceed state maximum WBA plus dependents allowance. Cannot exceed f13 if ei2 is 10 to 16. Must be less than or equal to e10 plus e16 if ei2 is 20 to 23 and state does not equal WI FIPS code 55 . Must be less than or equal to e10 plus e16 times 2 minus 1 if ei2 is 20 to 23 and state is equal to WI FIPS code 55 . The minimum dollar amount of all issues with action codes 10 to 13 and 15 must not exceed h5 except if action code ei2 equals 11 12 13 or 15 and Prior Agency Action ei6 equals 90 to 99 h5 must equal 0. The minimum dollar amount of all issues with action codes 20 to 22 must not exceed h6 . 2 ei2 Key Week Action . Enter the code that identifies the type of error issue identified by the BAM investigation. a Overpayment Codes 10 Fraud overpayment voided offset. 11 Nonfraud Recoverable overpayment voided offset. 12 Nonfraud Nonrecoverable overpayment or official action taken to adjust future benefits by decreasing WBA MBA KWDA or RB. 13 BAM determines payment was too large although payment is technically proper due to finality rules. 14 BAM determines payment was too large except for formal warning rule that prohibits official action. The payment is technically proper due to law rules requiring formal warnings for unacceptable work search efforts. 15 BAM determines payment was too large although payment technically proper due to rules other than finality or formal warning rule. 16 Overpayment established or WBA KWDA entitlement MBA or RB decreased which was later officially reversed revised adjusted or modified and BAM disagrees with official action e.g. Appeals unit reverses BAM determination and BAM disagrees . ET HANDBOOK NO. 395 5 th EDITION V-5 November 2009 b Underpayment Codes 20 Supplemental Check Issued Offset applied or increase in WBA KWDA or RB. 21 BAM determines payment was too small although payment technically proper due to finality rules. 22 BAM determines payment was too small although payment technically proper due to rules other than finality. 23 Supplemental check issued offset applied which was later officially reversed revised adjusted or modified and BAM disagrees with the official action e.g. Appeals unit reverses BAM determination and BAM disagrees . 24 BAM determines payment was too small but claimant is not entitled to payment due to collateral issues. Edits Must be 10 to 16 or 20 to 24. ei1 must not exceed f13 if ei2 equals 10 to 16. ei1 must be less than or equal to e10 plus e16 if ei2 equals 20 to 24 and state does not equal WI FIPS code 55 . ei1 must be less than or equal to e10 plus e16 times 2 minus 1 if ei2 equals 20 to 24 and state is equal to WI FIPS code 55 . Cannot equal 14 if g1 equals -2. If ei2 equals 14 Error Cause ei3 must equal 420 to 429. 3 ei3 Error Cause . Each payment error must be assigned a cause code. These codes are grouped into six major categories. Enter the one code that best identifies the cause of the payment error. The last digit is reserved for state use to provide greater detail. a In the Benefit Year unreported or errors in reporting recording earnings or days hours of work affecting the Key Week due to 100 Unreported concealed earnings or days hours of work. 110 Earnings or days hours of work incorrectly estimated reported recorded or deducted. 120 Errors in reporting or unreported Severance Pay. 130 Errors in reporting or unreported Vacation Pay. 140 Errors in reporting or unreported Social Security or Pension Benefits. 150 Other causes related to reporting or recording of earnings or days hours of work for Key Week. ET HANDBOOK NO. 395 5 th EDITION V-6 November 2009 b In the Base Period errors in reporting recording earnings or weeks days hours of work affecting the Key Week due to 200 Earnings or weeks days hours of work incorrectly estimated reported recorded. 210 One or more base period employers not reported by claimant. 220 Other causes related to errors in reporting or recording earnings or weeks days hours of work for base period. 240 Misclassified worker. Employer misclassified the claimant as an independent contractor. 248 Misclassified worker. Claimant improperly classified as an independent contractor however the employer furnished claimant a 1099 earnings statement 249 Misclassified worker. Claimant improperly classified as an independent contractor and the employer did not furnish the claimant with a 1099 earnings statement c Separation Issues due to 300 Voluntary Quits 310 Discharges 320 Other causes related to separation issues d Eligibility Issues due to 400 Ability to work 410 Availability for work 420 Active work search 430 Refusal of suitable work 440 Self-employment 450 Illegal alien status 460 Employment Service registration 470 Other causes related to eligibility issues 480 Claimant filed UI claim using the identity of another person Identity Theft ET HANDBOOK NO. 395 5 th EDITION V-7 November 2009 Note Identity theft codes 480 to 489 are valid for any payment error detected through the BAM audit and are not limited to payment errors detected through matches with the State or National Directory of New Hires or with UI wage record files. e Dependents Allowances incorrect due to 500 Dependents information incorrectly reported recorded or allowance incorrectly calculated. 510 Other causes related to dependents allowances. f Other Causes due to 600 Benefits paid during a period of disqualification even though a stop-pay order was in effect. 610 Redetermination at deputy level or reversal appeal or higher authority . 620 Back pay award. 630 All other causes. 638 Fraud outside of Key Week caused the Key Week to be improper due to disqualification penalty. Note BAM units should use Key Week KW Action ei2 code 10 and Error Cause ei3 code 638 for paid weeks that by state law are included in a penalty assessed for a fraudulent overpayment that occurred in a week prior to the BAM KW. Example The paid week selected for the BAM sample is the 8th week of benefits the claimant has received in the current benefit year. The BAM investigation identifies through crossmatch with the New Hire directory that week 4 was a fraud overpayment attributable to claiming UI while employed. Under state law a penalty of 10 weeks is assessed in addition to the overpayment established for week 4. The claimant has no fraud issue affecting the KW itself. BAM would code the KW as fraud KW Action code 10 and Error Cause code 638. Edits Must be 100 to 159 200 to 229 240 to 249 300 to 329 400 to 489 500 to 519 or 600 to 639. Cannot be 300 to 329 420 to 489 600 to 609 or 620 to 629 if ei2 is 20 to 24. Must be 420 if ei2 equals 14. ei2 must equal 10 11 12 13 or 15 if ei3 is 480 to 489. ei4 must equal 1 xxx in any combination with codes 0 2 3 and 4 if ei3 is 480 to 489. Cannot equal 420 if g1 equals -2. 4 ei4 Error Responsibility . Each payment error must be assigned a responsibility code. Enter ALL the appropriate codes to indicate the party or parties responsible by action or ET HANDBOOK NO. 395 5 th EDITION V-8 November 2009 inaction for the payment error. Do not repeat a code even if more than one responsible party per category applied e.g. if more than one employer was responsible or more than one Third Party was responsible. Each position is coded with the appropriate code for the responsible party or zero according to the following table. ERROR RESPONSIBILITY Position 1 Claimant 0 Not responsible 1 Responsible Position 2 Employer 0 Not responsible 2 Responsible Position 3 Agency 0 Not responsible 3 Responsible Position 4 Third Party 0 Not responsible 4 -- Responsible Responsibility codes may be difficult to assign for certain cases. Although it would be desirable to define a set of rules that would lead everyone regardless of background or training to assign exactly the same code to each payment error this cannot be done. Rather the informed judgments of the BAM staff must be relied on to determine the most appropriate code for each case. Edits Variable entry by position. Can be 0 1 0 2 0 3 0 4. no duplicates except 0. Cannot contain a 2 if ei7 equals 70. Must contain a 3 if ei6 equal s 30-39 40-49 50-59 80-89 or 90-99. Must contain a 2 if ei7 equals 20 to 59 or 80 to 89. Must contain a 1 if ei 9 equals 20 to 59. 5 ei5 BAM Detection Point . For each payment error enter the code which indicates the point where the error was first detected by the BAM investigation. The last digit of this code is reserved for state use in providing greater detail. 10 Verification of work search contact 20 Verification of wages and or separation 30 Claimant interview 40 Verification of eligibility with 3rd parties 50 UI Records Not new hire or wage record files 60 Employment Service records 70 Verification with union 80 Crossmatch of claimant SSN with National or State Directory of New Hires. States can use codes 81 through 89 to document point of detection subsequent to new hire directory match. ET HANDBOOK NO. 395 5 th EDITION V-9 November 2009 81 Verification of work search contact 82 Verification of wages and or separation 83 Claimant interview 84 Verification of eligibility with 3 rd parties 85 UI records 86 Employment Services records 87 Verification with a labor union 88 Second digit reserved for state use 89 Second digit reserved for state use 90 Crossmatch of claimant SSN with national or state wage record files. States can use codes 91 through 99 to document point of detection subsequent to wage record match. 91 Verification of work search contact 92 Verification of wages and or separation 93 Claimant interview 94 Verification of eligibility with 3 rd parties 95 UI records 96 Employment Services records 97 Verification with a labor union 98 Second digit reserved for state use 99 Second digit reserved for state use Edits Must be 10 to 99. 6 ei6 Prior Agency Action . For each payment error a code is assigned which indicates any action s taken by the state on the Key Week issue as of the date sample selected. Enter appropriate code from below. The last digit is reserved for state use to provide greater detail regarding prior action. 10 Official procedures had been followed and forms had been fully completed but KW issue was not detectable by normal procedures. 20 State was in the process of resolving KW issue prior to sample being selected or state had correctly resolved issue between the time the original record for the KW was created and the time the BAM sample was selected thereby resulting in the correct action being taken and all issues resolved before the BAM investigation was completed. 30 State identified KW issue prior to KW selection but took incorrect action. 40 State had sufficient documentation to identify that there was a KW issue but did not resolve the issue. 50 Official procedures forms had not been properly followed completed by state thereby precluding ability to detect KW issue. ET HANDBOOK NO. 395 5 th EDITION V-10 November 2009 60 State agency had detected payment error as a result of crossmatch of claimant SSN with state or National Directory of New Hires and had taken official action to establish overpayment for recovery or issued supplemental check or increased claimant s WBA MBA RB before the BAM investigation was completed. 70 State agency had detected payment error as a result of crossmatch of claimant SSN with state or national wage record files and had taken official action to establish overpayment for recovery or issue supplemental check or increase claimant s WBA MBA RB before the PCA investigation was completed. 80 Agency provided incorrect information or instructions to claimant employer or third party. 90 Error affecting the Key Week payment or the agency s determination to deny eligibility was the result of another state s workforce agency s procedural error or incorrect information provided to the claimant employer the liable state s workforce agency or other party. Edits Must be 10 to 99. Cannot equal 90-99 if ei2 equals 10. 7 ei7 Prior Employer Action . For each payment error a code is assigned to indicate action s taken by the employer affecting the KW error as of the date sample was selected. Enter the appropriate code from below. The last digit is reserved for state use to provide greater detail regarding employer actions. 10 Employer provided adequate information to state in a timely manner for determination. 20 Employer provided adequate information after due date for determination. 30 Employer provided inadequate incorrect information in a timely manner for determination. 40 Employer provided inadequate incorrect information after due date for determination. 50 Employer did not respond to request for information. 60 Employer as an interested party was not requested by agency to provide information for determination. 70 Not an employer related issue. 80-89 Employer failed to report the claimant as a new hire as mandated by law and this lack of action permitted the overpayment to occur which made the key week improper e.g. concealed earnings separation error . ET HANDBOOK NO. 395 5 th EDITION V-11 November 2009 91 Employer representative provided adequate information to state in a timely manner for payment determination. 92 Employer representative provided adequate information after due date for payment determination. 93 Employer representative provided inadequate incorrect information in a timely manner for payment determination. 94 Employer representative provided inadequate incorrect information after due date for payment determination. 95 Employer representative did not respond to request for information. 96 Employer representative on behalf of the Employer as an interested party was not requested by agency to provide information for determination. Edits Valid codes 10 to 79 80 to 89 91 to 96. Cannot equal 70-79 if ei4 contains a 2. Note The 90 series codes will be available with the software release greater than 10.0 8 ei8 BAM Action Regarding Key Week Appealed . Enter the appropriate code for appeals filed as a result of PCA action on the Key Week issue. 1 No appeal filed against BAM determination or not applicable. 2 Claimant appealed BAM determination and employer was an interested party. 3 Claimant appealed BAM determination and employer was not an interested party. 4 Employer appealed BAM determination and claimant was an interested party. 5 Both claimant and employer appealed BAM determination. 6 State appealed BAM determination. Edits Must be 1 to 6. 9 ei9 Prior Claimant Action . For each payment error a code is assigned to indicate action s taken by the claimant affecting the KW issue as of the date sample was selected. Enter the appropriate code from below. The last digit of this code is reserved for state use to provide greater detail regarding claimant action. 10 Claimant provided adequate and timely information to the agency for determination. 20 Claimant provided adequate information to the agency after due date for determination. ET HANDBOOK NO. 395 5 th EDITION V-12 November 2009 30 Claimant provided timely but inadequate incorrect information to the agency for determination. 40 Claimant provided inadequate incorrect information to the agency after due date for determination. 50 Claimant did not respond to the agency s request for information. 60 The agency did not request the claimant to provide information. Edits Must be 10 to 69. Continuation of h Codes for Improper Payments h2 NAME Amount That Claimant Should Have Been Paid SHORT NAME Amt Should Have Been Paid Definition Enter the whole dollar amount that the claimant should have received for the Key Week if the payment had been made correctly. Include all issues regardless of whether they are technically proper. Exclude action codes 14 16 11 12 13 and 15 if Prior Agency Action ei6 equals 90 to 99 23 and 24. If the Key Week is a proper payment i.e. h1 is coded 1 2 or 3 the system will automatically stamp the amount in f13 . If the Key Week should have been totally denied as a result of one or more issues no matter what other additional changes affect the WBA enter 0. Refer to Key Week Error Summary Worksheet section 4 below for assistance with multiple issues. Edits Cannot exceed maximum WBA e9 plus maximum Dependents Allowance e15 . Cannot be less than state s minimum Dependents Allowance e15 . Must equal f13 if h1 is 1 2 3 or 4. h3 NAME Total Whole Amount of Overpayments include KW SHORT NAME Total Amt OP Definition This element captures the total amount of overpayments established for the claimant as a result of the BAM investigation. Enter whole dollar amount of all overpayments voided offsets or adjustments to either the WBA or MBA including Key Week officially established as a result of BAM investigation. Include in this figure only overpayments officially established for weeks claimed or paid. Include payments from any Extended Benefits and temporary extended or emergency compensation programs. Do not adjust i.e. net amount due to the establishment of underpayments code only overpayments. Include amounts from prior benefit years if applicable. Exclude any prospective savings relating to weeks not claimed and any penalty or interest amount. ET HANDBOOK NO. 395 5 th EDITION V-13 November 2009 If an overpayment established as a result of BAM investigation is reversed on appeal this amount must be reduced by the amount involved in the reversal. Edits Must be from 0 to 50 000. h4 NAME Total Whole Amount of Underpayments include KW SHORT NAME Total Amt UP Definition This element captures the total amount of underpayments established for the claimant as a result of the BAM investigation. Enter whole dollar amount of all underpayments offsets applied or adjustment to either WBA or MBA including Key Week established as a result of BAM investigation. Include in this figure only underpayments established for weeks actually claimed or paid. Include amounts from prior benefit years if applicable. Include payments from any Extended Benefits and temporary extended or emergency compensation programs. Do not adjust i.e. net amount due to establishment of overpayments code only for underpayments. Exclude any prospective errors relating to weeks not claimed. If a supplemental check was issued or offset applied which was later officially reversed on appeal and BAM agrees with the official action code 03 then this amount must be reduced by the amount involved in the reversal. Edits Must be from 0 to 50 000. h5 NAME Total Overpayment Amount for the Key Week SHORT NAME Total KW OP Definition This element captures the total amount of Key Week overpayments for a case except for those recorded as formal warnings officially reversed appeal decisions with which BAM disagrees and nonfraud overpayments for which an agency other than the liable state agency was responsible. Enter the whole dollar amount of the total overpayment due to overpayment issues. It must not exceed the original amount paid item f13 . Exclude action codes 14 16 and action codes 11 12 13 and 15 if prior agency action equals 90 to 99. Exclude any overpayments for weeks paid prior to or after the Key Week and any prospective errors relating to weeks not claimed. Exclude any overpayment established or WBA KWDA entitlement MBA or RB decreased which was later officially reversed. BAM agrees with the official action. Refer to Key Week Error Summary Worksheet section 4 below for assistance with multiple issues. Edits Must not exceed f13 . ET HANDBOOK NO. 395 5 th EDITION V-14 November 2009 Must equal ei1 if there is only one overpayment issue with either action code 10 or action codes 11 to 13 and 15 and ei6 equals 10 to 89 . Cannot exceed the sum of the dollar amounts in ei1 for all issues with action codes 10 and action codes 11 to 13 and 15 and ei6 equals 10 to 89 . Must be greater than or equal to the minimum dollar amount of all issues with action codes 10 and action codes 11 to 13 and 15 and ei6 equals 10 to 89 . Must equal f13 if h2 equals 0. Must equal f13 minus h2 if case only has single overpayment and no underpayment issue. Must equal 0 if ei2 equals 14 16 or 11 12 13 and 15 and ei6 equals 90 to 99 .. h6 NAME Total Underpayment Amount for the Key Week SHORT NAME Total KW UP Definition This element captures the total amount of Key Week underpayments in a case except for those recorded as officially reversed appeal decisions with which BAM disagrees. Enter the whole dollar amount of the total underpayment due to underpayment issues. Include all underpayment issues regardless of whether they are technically proper. Exclude action codes 23 and 24. Edits Must equal ei1 if h6 has a single underpayment issue with action codes 20 to 22. Cannot exceed the sum of the dollar amounts of ei1 of all issues with action codes 20 to 22. Cannot exceed the state s maximum WBA plus maximum dependent allowance minus original amount paid. Must be greater than or equal to the minimum dollar amount of all issues with action codes 20 to 22. Must equal h2 minus f13 if case only has single underpayment and no overpayment issue. 5. Key Week Error Summary Sheet. When a case has multiple issues affecting the Key Week it can be difficult to compute the proper dollar amounts for h2 - Amount Claimant Should Have Been Paid h5 - Total Overpayment Amount for Key Week and h6 - Total Underpayment Amount for Key Week. Each state must develop a standard BAM form for use in computing the entries for these data elements. The form must contain at a minimum entries to record the information on the two-page facsimile that follows in section a . The format of the facsimile should be adequate for most states however some states e.g. those with dependents allowances will need to modify the form. The BAM investigator must complete the form for all cases with multiple issues and retain it in the case file. See Chapter VII. ET HANDBOOK NO. 395 5 th EDITION V-15 November 2009 a. Key Week Error Summary Sheet -- Facsimile . KEY WEEK ERROR SUMMARY WORKSHEET Record issues overpayments and underpayments as independent actions in section A or B below as appropriate. Exclude formal warnings ei2 equals 14 officially reversed actions ei2 equals 16 cases in which ei2 equals 11 12 13 and 15 and Prior Agency Action ei6 equals 90 to 99 and cases in which ei2 equals 23 or 24. Cause Code -- Enter the Error Cause code ei3 . Amount -- Dollar Amount of Key Week issue ei1 . DQW Disqualified Week -- Enter X if this issue would cause the claimant to be disqualified for the entire week for nonmonetary reasons e.g. VQ denial not able and available paid for waiting week etc. Case ID f13 Amount Paid A. Overpayments B. Underpayments Cause Code Amount DQW Cause Code Amount 1 1 2 2 3 3 4 4 5 5 6 6 7 7 8 8 9 9 10 10 11 11 12 12 Total OP Total UP ET HANDBOOK NO. 395 5 th EDITION V-16 November 2009 C. h2 Amount That Claimant Should Have Been Paid Complete one of the following to determine h2 1. If KW is DQW h2 0 or 2.a If KW is not DQW enter WBA After Investigation e10 2.b List specific adjustments to WBA for KW e.g. reduction for earnings Enter total amount of adjustments 2.c Subtract 2 b from 2 a h2 h2 NAME Amount That Claimant Should Have Been Paid See page V-11 D. h5 Total Key Week Overpayments 1. Enter the Total OP from A page 1 2. Enter the Amount Paid for KW f13 Total KW OP equals lesser of 1 or 2 h5 h5 NAME Total Overpayment Amount for the Key Week See page V-12 E. h6 Total Key Week Underpayments 1. Enter the state maximum WBA plus Dependents Allowance 2. Enter the Amount Paid for KW f13 3. 1 2 4. Enter the Total UP from B page 1 Total KW UP equals lesser of 3 or 4 h6 h6 NAME Total Underpayment Amount for the Key Week See V-13 b. Instructions . On the front page of the worksheet list all errors issues in the applicable boxes A for overpayments or B for underpayments . Exclude overpayments coded as formal warnings Key Week Action code 14 officially reversed actions Key Week Action code 16 and nonfraud overpayments attributable to the actions of an agency other than the liable state Key Week Action codes 11 12 13 and 15 if Prior Agency Action ei6 equals 90 to 99 . Exclude underpayments coded as officially reversed actions Key Week Action code 23 and cases for which BAM determines that the payment was too small but claimant is not entitled to payment due to collateral issues Key Week Action code 24 . These codes are not used in the Annual Report error rate therefore they cannot be included in these calculations. ET HANDBOOK NO. 395 5 th EDITION V-17 November 2009 For each error issue enter the Error Cause code that has been coded in ei3 and the Dollar Amount of Key Week Error that has been coded in ei1 . If this error would cause the claimant to be ineligible for the entire Key Week or cause a disqualification for the entire Key Week enter an X in the DQW column. Add the dollar amounts in each box and enter the total at the bottom. Complete the backside of the worksheet as follows 1 Box C . This is used to figure the dollar amount for h2 the Amount Claimant Should Have Been Paid. If an X has been entered in the DQW column on any line in box A of page 1 enter 0 on item 1 and go no further. If there is no X in box A complete item 2. Enter the amount coded for DCI element e10 WBA After Investigation in a . If there are adjustments to the WBA for the Key Week list each in b and enter the total dollar amount of the adjustments. Subtract the amount in b from a to obtain the amount that the claimant should have been paid for the Key Week and enter in c . 2 Box D . This is used to figure the dollar amount for h5 Total Key Week Overpayments. Enter the total from the bottom of box A of page 1. Enter the amount of the original Key Week payment as coded in DCI item f13 . Compare the two figures and enter the lesser as h5 Total Key Week Overpayments. 3 Box E . This is used to figure the dollar amount for h6 Total Key Week Underpayments. Enter the maximum WBA plus Dependents Allowance payable in the state on line 1 . Enter the amount of the original Key Week payment on line 2 . For line 3 subtract the figure in 2 from that in 1 . Enter the total from the bottom of box B of page 1 onto line 4 . Compare the figures in 3 and 4 and enter the lesser as h6 Total Key Week Underpayments. c. Completed Examples of Key Week Error Summary Sheets . Three completed examples are presented on the following pages. The figures entered on the worksheets are for illustration only. They are not accurate for any particular state since calculations will be based upon each state s own formulas for monetary determinations wage reductions etc. A clean copy of this form can be found in Appendix B pages B-18 and B-19. ET HANDBOOK NO. 395 5 th EDITION V-18 November 2009 COMPLETED EXAMPLE 1 KEY WEEK ERROR SUMMARY WORKSHEET Record issues overpayments and underpayments as independent actions in section A or B below as appropriate but exclude formal warnings and officially reversed actions Key Week Action codes 14 16 11 12 13 and 15 when Prior Agency Action ei6 equals 90 to 99 23 and 24 from ei2 of Screen I . Cause Code -- Enter the Error Cause code ei3 . Amount -- Dollar Amount of Key Week issue. DQW Disqualified Week -- Enter X if this issue would cause the claimant to be disqualified for the entire week for nonmonetary reasons e.g. VQ denial not able and available paid for waiting week etc. Case ID Example 1 f13 Amount Paid 117 A. Overpayments B. Underpayments Cause Code Amount DQW Cause Code Amount 1 100 25 1 200 5 2 130 65 2 3 3 4 4 5 5 6 6 7 7 8 8 9 9 10 10 11 11 12 12 Total OP 90 Total UP 5 ET HANDBOOK NO. 395 5 th EDITION V-19 November 2009 C. h2 Amount That Claimant Should Have Been Paid Complete one of the following to determine h2 1. If KW is DQW h2 0 or 2.a If KW is not DQW enter WBA After Investigation e10 122 2.b List specific adjustments to WBA for KW e.g. reduction for earnings 25 unreported earnings 65 vacation pay Enter total amount of adjustments 90 2.c Subtract 2 b from 2 a h2 32 D. h5 Total Key Week Overpayments 1. Enter the Total OP from A page 1 90 2. Enter the Amount Paid for KW f13 117 Total KW OP equals lesser of 1 or 2 h5 90 E. h6 Total Key Week Underpayments 1. Enter the state maximum WBA plus Dependents Allowance 220 2. Enter the Amount Paid for KW f13 117 3. 1 2 103 4. Enter the Total UP from B page 1 5 Total KW UP equals lesser of 3 or 4 h6 5 ET HANDBOOK NO. 395 5 th EDITION V-20 November 2009 COMPLETED EXAMPLE 2 KEY WEEK ERROR SUMMARY WORKSHEET Record issues overpayments and underpayments as independent actions in section A or B below as appropriate but exclude formal warnings and officially reversed actions Key Week Action codes 14 16 11 12 13 and 15 if Prior Agency Action ei6 equals 90 to 99 23 and 24 from ei2 of Screen I . Cause Code -- Enter the Error Cause code ei3 . Amount -- Dollar Amount of Key Week issue. DQW Disqualified Week -- Enter X if this issue would cause the claimant to be disqualified for the entire week for nonmonetary reasons e.g. VQ denial not able and available paid for waiting week etc. Case ID Example 2 f13 Amount Paid 150 A. Overpayments B. Underpayments Cause Code Amount DQW Cause Code Amount 1 100 60 x 1 200 15 2 300 150 x 2 210 40 3 420 150 3 4 4 5 5 6 6 7 7 8 8 9 9 10 10 11 11 12 12 Total OP 360 Total UP 55 ET HANDBOOK NO. 395 5 th EDITION V-21 November 2009 C. h2 Amount That Claimant Should Have Been Paid Complete one of the following to determine h2 1. If KW is DQW h2 0 0 or 2.a If KW is not DQW enter WBA After Investigation e10 2.b List specific adjustments to WBA for KW e.g. reduction for earnings Enter total amount of adjustments 2.c Subtract 2 b from 2 a h2 --- D. h5 Total Key Week Overpayments 1. Enter the Total OP from A page 1 360 2. Enter the Amount Paid for KW f13 150 Total KW OP equals lesser of 1 or 2 h5 150 E. h6 Total Key Week Underpayments 1. Enter the state maximum WBA plus Dependents Allowance 200 2. Enter the Amount Paid for KW f13 150 3. 1 2 50 4. Enter the Total UP from B page 1 55 Total KW UP equals lesser of 3 or 4 h6 50 ET HANDBOOK NO. 395 5 th EDITION V-22 November 2009 COMPLETED EXAMPLE 3 KEY WEEK ERROR SUMMARY WORKSHEET Record issues overpayments and underpayments as independent actions in section A or B below as appropriate but exclude formal warnings and officially reversed actions Key Week Action codes 14 16 11 12 13 and 15 if Prior Agency Action ei6 equals 90 to 99 23 and 24 from ei2 of Screen I . Cause Code -- Enter the Error Cause code ei3. Amount -- Dollar Amount of Key Week issue. DQW Disqualified Week -- Enter X if this issue would cause the claimant to be disqualified for the entire week for nonmonetary reasons e.g. VQ denial not able and available paid for waiting week etc. Case ID Example 3 f13 Amount Paid 120 A. Overpayments B. Underpayments Cause Code Amount DQW Cause Code Amount 1 200 40 1 200 60 2 2 200 65 3 3 200 70 4 4 5 5 6 6 7 7 8 8 9 9 10 10 11 11 12 12 Total OP 40 Total UP 195 ET HANDBOOK NO. 395 5 th EDITION V-23 November 2009 C. h2 Amount That Claimant Should Have Been Paid Complete one of the following to determine h2 1. If KW is DQW h2 0 ------------ or 2.a If KW is not DQW enter WBA After Investigation e10 220 2.b List specific adjustments to WBA for KW e.g. reduction for earnings Enter total amount of adjustments ------- 2.c Subtract 2 b from 2 a h2 220 D. h5 Total Key Week Overpayments 1. Enter the Total OP from A page 1 40 2. Enter the Amount Paid for KW f13 120 Total KW OP equals lesser of 1 or 2 h5 40 E. h6 Total Key Week Underpayments 1. Enter the state maximum WBA plus Dependents Allowance 220 2. Enter the Amount Paid for KW f13 120 3. 1 2 100 4. Enter the Total UP from B page 1 195 Total KW UP equals lesser of 3 or 4 h6 100 ET HANDBOOK NO. 395 5 th EDITION V-24 November 2009 6. Case Completion . Data elements h7 through h11 are utilized to close the case files. h7 NAME Investigation Completed SHORT NAME Inv Completed Definition Enter code 1 when case investigation has been completed i.e. after the investigator has finished all field work reports determinations and coding. Entry of this character will only be allowed if all previous data elements have been coded. The current system date will stamped in h8 . Edits Must be NULL or 1. Can only be set by investigator who was assigned the case or BAM Supervisor . All DCI fields must be completed. h8 NAME Investigation Completion Date SHORT NAME Inv Complete Date Definition The BAM software will automatically enter the current date when Investigation Completed h7 has been coded 1. Edits Must be less than or equal to h10 . h9 NAME Supervisory Review Completed SHORT NAME Supv Rev Completed Definition The BAM supervisor will enter either 0 or 1 to close the case. Subsequent adjustments to the case data must be made by reopening the case. Entry in this field will only be allowed if item h7 has been coded 1. Entry of 0 or 1 will cause the current system date to be stamped in h10 and the login ID of the supervisor in h11 . 0 Supervisor has completed the case without review 1 Supervisor has completed the case after review Edits Must be 0 1 or NULL. Can only be entered if h7 equals 1. h10 NAME Supervisor Completion Date SHORT NAME Supv Complete Date Definition The BAM software will automatically enter the current date when Supervisory Review Completed h9 has been coded 1 or 0. Edits Must be greater than or equal to h8 . ET HANDBOOK NO. 395 5 th EDITION V-25 November 2009 h11 NAME Supervisor Identification SHORT NAME Supv ID Definition The BAM software will automatically enter the login ID of the person performing this supervisory function. Edits Cannot be greater than eight 8 characters digits. 7. Reopening Cases . On occasion completed cases must be reopened to make corrections or to update coded records. The following elements are used ro1 NAME Reopen Case SHORT NAME Reopen Case Definition Enter one of the following codes 3 State has recognized an error in the data of this closed case and has made the correction s . 4 An appeal decision requires changes to the data of a closed case. 5 Data of a closed case were changed as a result of a monitor review. 6 Case reopened pending further information. 7 Data of a closed case were changed or payment accuracy status updated as a result of additional information obtained through cross match of claimant SSN with state directory or National Directory of New Hires. 8 Data of a closed case were changed or payment accuracy status updated as a result of additional information obtained through cross match of claimant SSN with state or national UI wage record files. 9 Data of a closed case were changed or payment accuracy status updated as a result of additional information obtained through investigation methods other than crossmatch with new hire or wage records. Note If Reopen Code 7 8 or 9 Key Week Action Flag Code h1 must equal 4 5 7 or 8. Timeliness will not be recalculated for cases reopened using reopen codes 7 8 or 9. Timeliness will be based on the latest date in supervisor completion date h10 or reopen date ro2 for records with reopen code 3 . Edits Must be 3 4 5 6 7 8 or 9. Must be 7 8 or 9 if h1 is 4 5 7 or 8. ET HANDBOOK NO. 395 5 th EDITION V-26 November 2009 ro2 NAME Reopen Case Date SHORT NAME Reopen Case Date Definition The date that identifies when a case was reopened. The BAM software system will automatically set it as current date for the Reopen Case Codes 3 4 or 5. The field will remain NULL when the Reopen Case Code is 6. Edits System entered date ro3 NAME Reopen Case Identification SHORT NAME Reopen ID Definition The login ID of the person performing the reopen function. Edits Cannot be greater than eight 8 characters digits ET HANDBOOK NO. 395 5 th EDITION VI-1 November 2009 CHAPTER VI INVESTIGATIVE PROCEDURES 1. Introduction . The BAM investigation is the mechanism for intensively reviewing payments to determine if they were made to eligible claimants and if so whether payments were made in the proper amounts. Each case selected for BAM is an original payment for a specific week of unemployment referred to as a Key Week . Each Key Week is investigated to verify that all information pertaining to eligibility and payments is treated in conformity with state written law and policy. In addition denied claims identified as Denied Claims Accuracy DCA are investigated for accuracy of determinations covering disqualifying monetary separation and non-separation issues. The data obtained from these investigations will be used to draw inferences about the claimant population as a whole. It is important therefore that the investigative requirements are adhered to for each case. The investigation also involves gathering data about the claimants and claims sampled for entry into an automated database. These data in combination with the classification of the case findings will be used for state analysis and corrective action. These investigative procedures apply equally to PCA and DCA investigations. For more information on where DCA investigations differ see Chapter VIII. 2. Standard Forms . Each BAM unit must develop standard forms to be used in investigations for - Claimant Questionnaire adapted to state law see required format in Appendix B - Work Search Verification - Employer - Work Search Verification - Labor Organization - Base Period Employment - Wage Employment Attachment Verification Appendix B - Separation Intervening Separation Recall Status Verification - Benefit Year Earnings Current Employment Status New Hire Reporting Compliance Verification See Appendix B - Disqualifying - Deductible Income Verification - Authorization to Release Information where required - Fact-finding Statement - Dependency Eligibility Verification if applicable - Interstate Request - Summary of Investigation The questions on all forms that address eligibility must be adequate to obtain information that the SWA requires to determine adherence to provisions of law and written policy. All forms used for interviews must provide space for the name or signature of the person being interviewed the SWA investigator s signature the method used to obtain the information and the date of the interview. In SWAs where an Authorization to Release Information form is required the investigator must have this form signed and dated by the claimant. ET HANDBOOK NO. 395 5 th EDITION VI-2 November 2009 3. Investigative Requirements . Investigators must adhere to the minimum requirements presented in the Investigative Guide Appendix C that summarizes the data sources initial action and documentation required for each data item gathered during the investigation. This means the investigator must assure that 1 all issues have been identified 2 all issues have been pursued to a supportable conclusion 3 all issues identified have been properly resolved and 4 all required BAM methodology and procedures have been followed . The findings of BAM must be consistent with laws official rules and written policies of the SWA and all conclusions pertaining to the key week or denial must be formalized in official agency action if errors are found except where prohibited by SWA finality provisions. The following general requirements must also be adhered to during the course of BAM investigations a. Investigative Method . Investigations are comprised of reviews of SWA records and interviews of claimants employers and third parties. Initially all BAM investigation interviews were conducted in person. In 1993 alternative methodologies were implemented which allowed states the option to substitute telephone FAX e-mail and standard mail for in-person verification of contacts with employers third parties and on some work search verifications. Regardless of the method used it is intended that states obtain the information needed to complete their BAM cases. States must attempt to obtain the information required for investigations using any and all of the following methods in-person telephone FAX mail or e-mail. States have the option of using any of these methods that it determines to be the most efficient and effective based on the circumstances of each case. States are to document all attempts made in procuring needed information in each case s summary. Within this framework it is important to note that the audit process differs substantially from normal UI operations in terms of cost time and effort. BAM investigators must exhaust all avenues in obtaining information. This contrasts to UI operations which are held to a reasonable attempts standard. The regulation establishing Quality Control QC now referred to as BAM procedures for UI 20 CFR Part 602 stipulates several standard methods including the requirement that states Use a questionnaire prescribed by the Department which is designed to obtain such data as the Department deems necessary for the operation of the QC program require completion of the questionnaire by claimants in accordance with the eligibility and reporting authority under state law 20 CFR 602.21 . For BAM purposes failure to report or respond means - failure to complete the claimant questionnaire by the due date specified in the cover letter that accompanies a mailed claimant questionnaire - reporting calling or e-mailing at a time other than assigned by BAM - failing to respond via e-mail failing to report call or be available by phone at an appointed time to provide information or to complete the claimant questionnaire - failing to respond to a call-in notice appointment notice or e-mail notice and or - failing to respond to potential issues identified for the completion of necessary new and original fact-finding. ET HANDBOOK NO. 395 5 th EDITION VI-3 November 2009 The claimant should be notified in advance that failure to report when directed or to complete the questionnaire by the due date may result in a delay or in a denial of benefits. The BAM investigation requires completion of the questionnaire in accordance with the eligibility and reporting authority under state law. BAM investigators must attempt to obtain information from all employers relevant to the paid or denied claim audited and require employer reporting compliance in accordance with state law. However it is the responsibility of the investigator to take the initiative in the discovery of information. This responsibility may not be passed on to the claimant or the employer. Standard BAM investigative procedures must be in place to ensure that sufficient information is collected to determine whether the Key Week payment or denial determination is proper and accurate data is collected and recorded for analytical purposes. b. Investigative Focus . Investigations begin with the assumption that the Key Week was properly paid however all areas of eligibility are explored that could directly affect the Key Week. BAM investigators must examine all issues regardless whether they are new issues encountered during the investigation leading up to and including the Key Week or prior issues or payment adjustments resolved by the agency -- and make an independent decision whether the issue or payment adjustment has the potential to affect the Key Week payment. This makes a distinction between issues that could directly affect the Key Week and those that potentially involve a disqualification or ineligibility which could not affect the Key Week. BAM staff should refer issues to another SWA unit when the investigator decides that no potential exists to affect the Key Week. However if the potential to affect the Key Week exists then BAM investigators must continue the investigation. All areas of eligibility are explored that could directly affect the Key Week payment. The investigator must conduct new and original fact-finding on newly arising issues or on previous issues not adequately adjudicated. Additionally the investigator must independently verify established facts in instances where previously resolved issues or payment adjustments appear to have been handled properly. This includes the entire period between the benefit year begin date and the Key Week end date. BAM investigators do not have to examine weeks after the Key Week. In some instances where a disqualification is imposed for fraud or a separation weeks compensated after the Key Week may be improper. In addition the BAM investigator may identify a disqualifying issue that occurs after the Key Week i.e. new hire hit with the first day worked after the Key Week end date . BAM investigators should refer newly arising or improperly resolved issues which they have independently determined cannot affect the Key Week payment accuracy to the appropriate SWA unit. c. Fact-finding . Investigators must conduct new and original fact-finding in accordance with the Secretary s Standard for Claim Determinations as prescribed in sections 6010-6015 part V of the ES Manual on all issues that have not been detected previously. In addition the facts of previously resolved issues affecting the Key Week must be verified. State laws or policy which might make an issue moot e.g. when a decision becomes final by virtue of the expiration of the appeal period without an appeal being filed must not preclude pursuit of issues for BAM purposes. The issues must be pursued until a supportable conclusion is reached. Issues not affecting the Key ET HANDBOOK NO. 395 5 th EDITION VI-4 November 2009 Week should be referred to other SWA staff for pursuit and resolution unless adjudication by BAM staff would only involve incidental time and resources. New and original fact-finding means interviewing the best witnesses available obtaining the best evidence available and using open-ended inquiries. New and original fact-finding is applicable not only to newly arising issues but also to those developed in attempted verification of facts see next paragraph . BAM investigators must conduct fact-finding in accordance with BAM investigative procedures using any reasonable method to obtain the needed information or provide an adequate explanation as to why it was not done. Verify facts means confirming previously established statements reviewing previously established records using standard forms for inquiries and requiring form completion. Verification of facts applies to previously resolved issues but if a new issue is developed new and original fact-finding is employed. See previous paragraph. BAM investigators must verify facts in accordance with BAM investigative procedures or provide an adequate explanation as to why it was not done. d. Evidentiary Facts . Investigations of new issues must be conducted by obtaining evidentiary facts as distinguished from ultimate conclusions. Open-ended questions must be asked and if the contact is made in-person employer records should be reviewed and may be copied by the investigator. e. Information Source Documentation . Where information is obtained in-person the signature of the person providing the information must be obtained on the verification and or fact- finding statement. Where information is obtained using standard mail e-mail telephone or FAX the name of the person providing the information should be printed in the signature block by the BAM investigator. In some instances the forms developed for the remaining sections of this chapter will provide ample space to record the statements. In other instances it will be more convenient to utilize separate documents. For these latter situations SWAs must either develop formats to use exclusively for BAM or utilize forms already in use for other purposes. f. State Law and Policy . States written laws and policies are the bases for all determinations. Written policy is that policy that is distributed SWA-wide and upon request may be made available to the public. g. Conclusions and Agency Actions . All conclusions pertaining to the Key Week or denial that are drawn from the BAM process must be formalized in official agency actions if errors are found except where prohibited by SWA provisions such as finality. h. Supporting Documentation . All determinations made as a result of BAM investigations must have supporting documentation. i. Non-English Speaking Claimants . All requirements that SWAs normally apply to contacts with non-English speaking claimants must also be applied to contacts for BAM. 4. Investigative Methodology . Investigative methodology is a system of principles procedures and practices that have been designed to obtain the information necessary to classify the propriety of benefit payments. The investigator must interview claimants employers and third parties to 1 verify the information originally used in the claim and 2 gather information to determine if there ET HANDBOOK NO. 395 5 th EDITION VI-5 November 2009 are undetected issues or issues that were improperly treated. The methods of contact to be used are in-person telephone FAX e-mail and standard mail or any combination of these methods. States should structure the investigation in a manner that will permit them to obtain the best information possible. Studies have shown that for claimant interviews and work search verifications the in-person method of contact provides the best quality of information while the use of telephone FAX and or mail appears to work equally well for prior employer and third party verifications. a. Claimant Interview . The claimant interview anchors the BAM investigation and is a major detection point for a number of overpayments and underpayments. The claimant questionnaire is a required standard form see Appendix B to be completed by the claimant. States must alter the questionnaire to satisfy unique aspects of their laws. States cannot introduce conditions of eligibility not reasonably related to the fact or cause of unemployment. Department of Labor approval must be obtained prior to making any change to the questionnaire that alters the content. Such approval may be obtained by sending a copy of the requested changes to the appropriate DOL Regional Office. All requirements that SWAs normally apply to contacts with non-English speaking claimants must also be applied to contacts for BAM. If the claimant questionnaire is translated into another language a copy must be sent to appropriate DOL Regional Office for approval. States with dependency allowance provisions in their laws must develop a section of the questionnaire for determining eligibility for dependency allowances. Department of Labor approval for this section must be obtained by sending a copy to the appropriate DOL Regional Office. The questionnaire must be signed by the investigator in the space provided to certify the information was obtained in accordance with the SWA requirements. If the questionnaire was not completed an explanation signed by the investigator must be entered on or attached to the signature page. In this case it will be sufficient to retain this page only in the case folder in lieu of retaining the entire questionnaire. If a claimant fails to complete the questionnaire then the BAM investigator must hold the claimant to the same reporting and eligibility requirements that are used by the SWA. A claimant s return to work or exhaustion of benefits is not in and of itself adequate justification for failure to conduct the interview or obtain the questionnaire. If the claimant questionnaire is received after the case has been closed then the BAM investigator must reopen the case to incorporate any new information in the case coding and or address any additional issues which could affect the Key Week payment accuracy. b. Employer Interviews . Contact with all prior or current employers with whom employment could affect the Key Week must be made by the investigator to verify the facts of separation base period wages and benefit year earnings. In situations where the employer uses an agent or representative BAM investigators should also contact the agent to verify any information received from that source. All employer verifications may be conducted using the method determined by the state to be the most appropriate given the circumstances of the case. State BAM procedures must provide guidance to investigators on escalation strategies and timing of these procedural steps. This includes ET HANDBOOK NO. 395 5 th EDITION VI-6 November 2009 method and timing of multiple requests for information and or escalating requests to higher authority of the employer e.g. managers or corporate officers . When changes in wages earnings or separations are detected state law and policy should be the catalyst in determining the method of follow-up contact to be utilized. For example in cases where there is potential fraud SWA law and policy may require an in-person visit to obtain signatures or other documentation necessary to effect official determinations. In verifying separation information all contacts must be made in accordance with accepted SWA fact-finding procedures. Regardless of the method of contact used the name and position of the person providing any information must be obtained. If a third-party represents an employer and it is state policy that all requests for information affecting UI claims must be made with this party then BAM investigators must initially follow state procedures. However if the third-party representative fails to respond in a timely or complete manner then BAM investigators must contact the employer of record directly unless prohibited by state law rule or SWA policy. As noted above written policy is that policy that is distributed SWA- wide and upon request may be made available to the public. c. Work Search Interviews . BAM staff must investigate a sufficient number of contacts to establish whether the claimant has met the state s work search requirement. States may choose to but are not required to investigate additional work search contacts if they have reason to believe potential eligibility issues for example refusal of work availability etc. could be identified. BAM investigators should follow their SWA s policy with respect to the use of Web-based job search engines and databases as an acceptable work search activity. This will vary from state to state and may vary from claimant to claimant and occupation to occupation. For example if SWA policy allows the claimant to satisfy the work search requirement by registering with a job search site and posting a resume that can be disseminated to or accessed by employers BAM investigators can verify the claimant s registration status comparable to verification of registration with the employment service or union hiring hall . In any case investigators need to document in the case summary the basis and method of verification. The investigator must investigate Key Week work search contacts including any referrals by union halls Job Service or Labor Exchange and private employment agencies to verify that the contact satisfied state requirements and to uncover any potential issues bearing on eligibility and payment of benefits. While the method of contact to be used is at the state s discretion this is an area similar to the claimant interview where tests have shown a significant loss in quality when methods other than in-person were used to obtain information. If state law and or policy permits job contacts made during other weeks to be applied to the Key Week then BAM staff must investigate a sufficient number of contacts to establish whether the claimant has met the state s work search requirement. These verifications are to be made following the same guidelines as Key Week contacts. In states where law and or policy permits work search contacts to be made by e-mail Internet or other electronic methods these contacts may be verified using these same methods which govern SWA authentication procedures. If SWA records or the investigation indicates that the claimant is a labor union member and obtains work through that labor union verification must be made with the labor union following the general guidelines for verifying work search contacts. This is done to detect potential issues resulting from ET HANDBOOK NO. 395 5 th EDITION VI-7 November 2009 labor union referrals to employers referral refusals or job refusals and to confirm that any deferrals from Job Service or Labor Exchange registration and or work search requirements have been properly granted. d. Third-Party Verifications . Third-party verifications are required when issues arise that could affect a claimant s eligibility. Potential able and available issues related to a medical condition school attendance etc. must be verified. The method of contact to be used is at the discretion of the state. Registration with Job Service may be verified and documented by obtaining a printout or a copy of the Job Service records that indicate whether the claimant is actively registered for referral during the Key Week. State written law policy and procedures govern whether claimants are required to be registered with the Job Service and what constitutes registration. BAM coding should be consistent with such law policy and procedures. Prior verification by the state of alien status will be acceptable for BAM purposes if properly documented. If SWA records are inadequate to verify alien status BAM investigators must conduct verification. Interstate third-party verifications should be completed by the investigator using the method of telephone FAX or e-mail to the extent possible. Assistance may be requested from the other state where the third party is located if necessary. The potential for claimant employment during the benefit year should be verified using the National Directory of New Hires. This new hire directory is mandatory under section 453A of the Social Security Act and BAM investigators must access this resource. e. National Directory of New Hires . Section 453 i of the Social Security Act SSA 42 U.S.C 653 i directs the Secretary of Health and Human Services to maintain an automated database of the State Directory of New Hires records in the National Directory of New Hires NDNH . Section 453 j 8 SSA authorizes use of the NDNH for purposes of administering an unemployment compensation program under federal or state law. BAM investigators must utilize this resource as part of the audit of paid claims to detect and investigate claimant employment during the benefit year to determine its affect on the claimant s eligibility for UI. This requirement became effective for all states beginning with BAM batch 200801 sampling week beginning December 30 2007 and ending January 5 2008 . All BAM paid claims sample cases for batch 200801 forward must be matched against the NDNH using the uniform matching procedures for all state BAM operations outlined in UIPLs 3-07 and 3-07 Change 1. These procedures do not coincide with procedures followed by most Benefit Payment Control BPC operations particularly with respect to the timing of the matches and the period of time for which matching is requested. States will match the SSNs of the BAM sample cases with the NDNH records that include the period from the claimant s benefit year beginning BYB date or 365 days prior to the Key Week ending date whichever is shorter to 30 days after the Key Week ending date of the sampled week. For the purpose of case review and monitoring the case file of all BAM paid claims samples selected for batch 200801 forward must include documentation that a crossmatch with the NDNH was performed whether or not the claimant SSN matched the new hire record. BAM cases previously ET HANDBOOK NO. 395 5 th EDITION VI-8 November 2009 crossmatched to NDNH by BPC must be resubmitted using the BAM crossmatch procedures outlined in UIPLs 3-07 and 3-07 Change 1. Additionally with appropriate advance notice SWAs must be prepared to provide a copy of both the printout of the SWA Input Header Record of sample cases submitted by the BAM and a printout of the SWA Input detail records to demonstrate compliance with BAM NDNH crossmatch parameters. The new hire hits that NDNH returns to the state should not be subjected to filters that BPC may apply. In other words the BAM unit must have access to all records returned regardless if a week was claimed or compensated or whether the claimant reported earnings. BAM investigators must review all new hire hits from the BYB to 30 days after the Key Week and evaluate whether the hit has the potential to affect the Key Week payment. The important issue here is assuring coverage for the entire period from the claimant s benefit year beginning date to the 30-day period after the Key Week ending date. BAM must wait at least 37 days after the Key Week end date to incorporate NDNH crossmatch results that affect the Key Week. If new hire crossmatch is pending when the case is closed then the BAM unit must always reopen the case reopen code 7 investigate and document the case file record the crossmatch outcome h1 4 5 7 8 and code any error identified. This means that if the case is closed before 37 days after the Key Week end date then the case must be reopened. The requirement to reopen a closed case does not depend on a new hire hit. It depends on the transaction times associated with the NDNH crossmatch process. BAM must wait 30 days after the Key Week end date to send its SSN to NDNH. The transmission file must request all new hires reported for that claimant from the benefit year begin date to 30 days after the Key Week end date. BAM must wait at least five business days after its request file is transmitted to NDNH so that there is adequate time for a crossmatch response or new hire hit. Point of Detection BAM data element ei5 must be coded 80 through 89 for all payment errors identified through the NDNH. Codes 81 through 87 indicate the detection point at which the agency documented the payment error in their investigation subsequent to NDNH matching. Prior Agency Action BAM data element ei6 must reflect the actions of BPC and other agency claimstaking activities. Detection of the payment error prior to the BAM audit will be documented with the appropriate code 60 - 69 for new hire matching and 70 - 79 for wage record matching . If the BAM audit process identifies agency responsibility including BPC activities for not identifying the issue failing to pursue the issue or not following procedures BAM investigators must document the prior agency action with the appropriate code. Additionally BAM investigators must identify issues associated with employer new hire reporting timeliness or failures to report new hires or Name SSN verification problems. This requirement is not unlike other BAM procedures where the program independently collects all information related to payment decisions and arrives at an autonomous payment determination. This BAM audit finding must be documented in Prior Employer Action BAM data element ei7. 5. Disqualifying Deductible Income Verifications . Verifications must be made of receipt of all remuneration that could directly affect the Key Week for which claimants could be disqualified or have benefits reduced. States should verify this income by using the method of contact determined by the state to be the most appropriate. ET HANDBOOK NO. 395 5 th EDITION VI-9 November 2009 6. Dependency Eligibility Verifications . In states with dependency allowance provisions in their laws the investigator must verify the dependents that were claimed. This verification must at a minimum consist of the methods prescribed by state law and or policy. 7. UCFE . To better integrate federal program with states claims processing systems procedures for obtaining wage and separation information for both the UCFE and UCX programs have been automated to the extent possible. For the UCFE program an Interstate Connection Network ICON application has been developed which states use to generate electronic and or hardcopy requests to federal agencies as appropriate and to receive electronic responses. For the UCX and UCFE programs the Claim Control File System maintained by the Federal Claims Control Center FCCC has been redesigned to support a more effective exchange of information and for integrity purposes. BAM staff should work with the SWA s Federal Programs Coordinator to determine the most expedient way of obtaining wage separation earnings and work search information from federal installations. If in-person verification is deemed necessary by the state the Federal Programs Coordinator may be able to assist BAM investigators in gaining access to federal installations. Additionally the BAM review of the original claim file must include examination of the response from the FCCC and any subsequent state reconciliation actions to ensure that the federal wages were not used more than once to pay a claim. If no documentation is on file to indicate that the FCCC was notified of the claim the BAM unit is to initiate a request as specified in the UCFE Handbook No. 391 and examine the response from FCCC when it is received. 8. UCX . As mentioned above procedures for securing UCX information has changed. UIPL 47-01 and UIPL 27-06 describe the key procedures for the electronic exchange of wage and separation information for the UCFE UCX programs. Key UCX procedures include the following y The Department of Labor s copy of the Defense Department Form 214 which is often shortened to be called a DD 214 maintained at the FCCC is now the official source of wage and separation information for use in establishing UCX entitlement and eligibility y The FCCC will calculate the claimant s UCX employment and wages and provide the information to SWAs and y The state is authorized to determine UCX eligibility under an affidavit process using the claimant s copy four 4 of his her DD 214 upon receipt of a notice from the FCCC that there is no DD 214 on file. This procedure will eliminate any potential delay in the determination of UCX eligibility pending receipt of the Department s copy of the DD 214. In-person employer contacts are not to be made with the military. Verifications of military wages and separations are accomplished through review of claim documents. When a UCX claim is taken the SWA sends an inquiry to the FCCC. The FCCC response to each inquiry enables the SWA to 1 validate the legitimacy of the DD 214 that the claimant used to establish the claim and 2 detect potential duplicate claims. The response contains the following data - beginning and ending dates of military service ET HANDBOOK NO. 395 5 th EDITION VI-10 November 2009 - tabulation of net amount of time served - number of days of accrued leave paid - character of service pay grade and - date of receipt by FCCC of any previous notice of claim filed. BAM investigators must compare the DD 214 to the response from the FCCC to verify that the wages have not been previously assigned. The pertinent information on the DD 214 must be compared with the corresponding information on the FCCC response to ensure that the DD 214 has not been altered. Ensure that the information on the claims documents has been accurately copied from the DD 214. Also ensure that the monetary determination was based on the appropriate Federal Schedule of Remuneration i.e. the one in effect at the time the claim was filed. Copies of the DD 214 the response from the FCCC and the Federal Schedule of Remuneration should be retained in the BAM case file. If the FCCC has not been contacted or if potential issues have not been resolved they must be pursued by BAM investigators. 9. Interstate Requests . Some investigations require contacting claimants employers or other parties in another state. The same procedures apply to interstate that apply to intrastate verifications. Interstate contacts may be conducted using the method of contact determined by the state to be the most appropriate given the circumstances of the case. If unable to obtain adequate information assistance may be requested of the other state where necessary. However each state has the final responsibility of obtaining all the necessary data to complete the case investigation. 10. Summary of Investigation . Each completed case must contain a Summary of Investigation. Each SWA must develop a format which includes at a minimum a narrative that explains the pertinent facts of the case the basis for any decision that an error was made and any complexities of the case e.g. difficulty obtaining information evaluation of statements taken i.e. how the investigator resolved a conflict in statements or why one party was found to be more credible the other reasons for delay or any special circumstances that occurred. Alternately this may be satisfied by appropriate reference to explanations elsewhere in the case file. The summary should not introduce any new information. In other words the summary must be substantiated by documentation in the case file. The investigator must sign and date the document. The Summary should describe and call attention to agency or systemic errors identified so that these may be addressed. The major objectives of the BAM system are to assess the accuracy of UI payments assess improvements in program accuracy and integrity and encourage more efficient administration of the UI program. The coding system is complex and supports these objectives. However based on the errors identified and information gathered SWAs develop plans and implement corrective actions to ensure accurate administration of state law rules and procedures. In this pursuit the Summary of Investigation is a critical tool for communicating findings. Therefore the Summary of Investigation must be able to stand on its own. The Department encourages BAM units to communicate a summary of the results of its investigations within their agency in order to promote improved program performance and administration. 11. Appeals . All unemployment insurance appeals hearings resulting from BAM determinations affecting the Key Week must be attended by the BAM investigator responsible for obtaining the ET HANDBOOK NO. 395 5 th EDITION VI-11 November 2009 information that led to the determination. The investigator will provide testimony concerning any questions on the BAM process and the facts upon which the determination was based. When an appeals hearing is not attended by a BAM staff member an explanation must be provided in the BAM case file. 12. Sample Selection . The annual sample sizes for UI paid claims and the three types of denials are fixed by DOL for the calendar year. BAM supervisors may change the weekly sample sizes in the input control record to accommodate investigator vacation schedules or other staffing contingencies. However states are expected to pull at least the minimum number of cases each week. States may not over sample during a portion of the year in order to meet the annual sample allocation and then suspend sampling for the remainder of the calendar year. The minimum weekly and quarterly samples based on current annual sample allocations are Sample Annual Allocation Normal Weekly Minimum Weekly Normal Quarterly Minimum Quarterly Paid Claims 360 7 5 90 81 Paid Claims 480 9 6 120 108 Denials 150 450 3 2 37-38 32 Allocation for ten smallest states in terms of UI workload. 150 cases each of monetary separation and non-separation denials will be selected each year for a total of 450 DCA cases. 13. Completion of Cases and Timely Data Entry . Prompt completion of investigations is important to ensure the integrity of the information being collected by questioning claimant and employers before the passage of time adversely affects recollections. Prompt entry of associated data is necessary for both the SWA and the Department of Labor to maintain current databases. Therefore the following time limits are established for completion of all cases for the year. The year includes all batches of weeks ending in the calendar year. - a minimum of 70 percent of cases must be completed within 60 days of the week ending date of the batch and 95 percent of cases must be completed within 90 days of the week ending date of the batch and - a minimum of 98 percent of cases for the year must be completed within 120 days of the ending date of the calendar year. A case is complete when the investigation has been concluded as required all official actions for the Key Week except appeals have been completed the supervisor has signed off and the results have been entered into the computer. If a SWA s rates for completion of cases sampled for investigation for the year are less than the requirements and it believes that such failure was attributable to reasons beyond its control the SWA may submit a documented analysis to the DOL Regional Office requesting relief from Departmental actions i.e. requirement to submit a corrective action plan and a footnote in the BAM Annual Report . The analysis must demonstrate that all time limits would have been met had the uncontrollably delayed cases been timely. ET HANDBOOK NO. 395 5 th EDITION VI-12 November 2009 14. Reopening Cases . Cases may be reopened for the following reasons - to correct errors detected by either the SWA or federal reviewers - to update information as a result of appeal decisions - to update payment accuracy status or other information after the new hire or wage record crossmatch is completed or - to update payment accuracy status or other information as a result of responses from claimants employers or third parties after a failure to respond timely to BAM requests for information. Case completion timeliness will be recalculated when a case is reopened to correct errors detected by the SWA. Exceptions are provided for cases reopened to update information as a result of investigation following the match of a claimant s SSN with either new hire directory records or wage records or to update information based on responses from the claimant employer or third party following documented failures to respond to requests for information or to update coding following an appeal. Therefore it is important to minimize reopening by ensuring that to the extent possible the data are complete and correctly entered initially. If information requested as a result of a new hire crossmatch is pending when the case is closed then the BAM unit must always reopen the case Reopen Case code ro1 7 investigate and document the case file record the crossmatch outcome Key Week Action Code h1 4 5 7 or 8 and code any error identified. This means that if the case is closed before 37 days after the Key Week end date then the case must be reopened. Case completion timeliness will not be recalculated. BAM cases that need to be reopened due to information obtained as a result of the investigation subsequent to a wage record match must be reopened using Reopen Case code ro1 8 and the appropriate Key Week Action Code h1 4 5 7 or 8 will be entered. Case completion timeliness will not be recalculated. If BAM requested information from the claimant employer or third party and that information was not provided until after the case has been closed the case must be reopened using Reopen Case code ro1 9. The case file must include documentation of the initial and follow-up requests for information to demonstrate that BAM provided an adequate period for timely response and that contact procedures had been exhausted. For example if the claimant responds following a period of ineligibility for a failure to report to BAM that is the claimant failed to complete the questionnaire by the due date and the case has been closed or the employer or third party responds after case closure and supplies information that would change the case coding then BAM unit must reopen the case using Reopen Case code ro1 9 and the appropriate Key Week Action Code h1 4 5 7 or 8 will be entered. Case completion timeliness will not be recalculated. For cases reopened using codes 7 8 or 9 the appropriate Key Week Action Code h1 4 5 7 or 8 will be entered ET HANDBOOK NO. 395 5 th EDITION VI-13 November 2009 Use Key Week Action Code 4 if the payment was proper at time of supervisor sign-off and no Key Week error issues were detected as a result of new hire or wage record matching or additional information obtained through late claimant employer or third party response. Use Key Week Action Code 5 if the payment was improper at time of supervisor sign-off but no additional Key Week error issues were detected as a result of new hire or wage record matching or additional information obtained through late claimant employer or third party response. Example 1 The initial BAM investigation identified an A A issue in the Key Week and the investigation of the NDNH match determines that no wages were paid during the Key Week and that there are no other issues arising from benefit year employment that affect the claimant s eligibility for the Key Week. Example 2 The initial BAM investigation identified a BYE issue in the Key Week and the investigation of the NDNH match verifies that the information coded based on the original investigation amount of error B-2 Attachment B type of error responsibility etc. is correct. Use Key Week Action Code 7 if the payment was proper at time of supervisor sign-off but is improper as a result of new hire or wage record matching or additional information obtained through late claimant employer or third party response. Use Key Week Action Code 8 if the payment was improper at time of supervisor sign-off but additional Key Week error issues were identified or the coding of an issue identified in the initial BAM audit is revised as a result of new hire or wage record matching or additional information obtained through late claimant employer or third party response Example 1 The initial BAM investigation identified a reporting issue in the Key Week and the investigation of the NDNH match verifies that the claimant was employed during the Key Week and identifies an overpayment due to BYE. Example 2 The original BAM investigation identified a Key Week BYE issue and the investigation of the NDNH match identifies additional information that requires revision of the information coded based on the original investigation amount of error type of error responsibility etc. . ET HANDBOOK NO. 395 5 th EDITION November 2009 VII-1 CHAPTER VII RECORDS AND REPORTING 1. Introduction . This chapter designates the requirements for records and reporting. During the period for which records and reports are required to be maintained they must be available for federal monitoring. 2. Documentation . Each case file must contain at a minimum a copy of all agency documents from the claimant s original claim file in addition to any documents pertaining to the BAM investigation that were utilized. These documents include but are not limited to y Claimant Questionnaire y Copy of Key Week Certification y Disqualifying Ineligibility Ruling y Documentation of Method of Claimant Identification y Authorization to Release Information if required by the state. y Signed statements on factfinding issues y Work Search Verification - Employer y Work Search Verification - Labor Organization y Work Search Verification - Private Employment Agency y Employment Separation Verification y Employment Wages Earnings Verification y Disqualifying Income Verification y Verification of Dependents if applicable y Monetary determinations redeterminations y Nonmonetary determinations redeterminations y Key Week Error Summary Worksheet y Overpayment underpayment actions y Appeals decisions y Documentation of National Directory of New Hires crossmatch y Documentation of the Occupational Code source y Computer Screen Shots at the time of case assignment y Summary of Investigation 3. Retention of Records . Case files folders are to be retained by the state for the same time periods required by the state for other claims records. 4. Transmission of Data to the National Office . BAM records must be available for daily electronic transmittal of data from states to the Department of Labor s National Office. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-1 CHAPTER VIII DENIED CLAIMS ACCURACY 1. Introduction . The BAM program has continued to measure the accuracy of UI paid claims in all states the District of Columbia and Puerto Rico since it became mandatory in 1987. In 2001 after extensive testing the investigation of denied claims know as Denied Claims Accuracy DCA was implemented. DCA measures the accuracy of disqualifying monetary separation and non-separation determinations for both intrastate and interstate claims. 2. Overview of DCA . As in the investigation of paid claims states will have the responsibility to draw samples perform investigations identify errors compute error rates analyze data and initiate corrective action if appropriate. The primary federal responsibilities are to ensure system integrity reduce non-sampling errors through monitoring state practices and procedures and analyze DCA data to assess the impact of federal requirements on the UI system. The Data Collection Instruments DCI with instructions and database specifications for DCA can be found in appendix D of this handbook. Each BAM unit must ensure that the DCA program meets the Methods and Procedures requirements for organization authority and written procedures as indicated in Chapter II. 3. Investigative Requirements . DCA investigations will be conducted in accordance with the procedures described in detail in Chapter VI of this Handbook. The following general requirements must be adhered to and differ from the investigation of paid claims a. Additional Requirements for Denied Claims Investigations . Investigations consist of the review of agency records contact with the claimant employer s and all other relevant parties to verify information pertinent to the determination that denied eligibility. Unlike the investigation of paid claims in which all prior determinations affecting claimant eligibility for the compensated week are evaluated the investigation of denied claims is limited to the issue upon which the denial determination is based. For example if a continued week claim is denied because the agency determined that the claimant was not available for work only that availability issue is to be investigated. The monetary separation and any other nonmonetary determinations that could have affected eligibility will not be investigated. The DCA investigator must maintain this narrow focus for the specific issue throughout the investigation. As in the investigation of paid claims states have the flexibility to conduct the investigation of denied claims utilizing in-person interviews telephone mail e-mail or fax to collect information. Regardless of the method used it is intended that states obtain the information needed to complete their cases. States must attempt to obtain the information required for investigations using any and all of the above listed methods. States have the option of using any of these methods that it determines to be the most efficient and effective based on the circumstances of each case. States are to document all attempts made in procuring needed information in each case s summary. As previously stated in Chapter VI it is important to note that the audit process differs substantially from normal UI operations in terms of cost time and effort. BAM investigators must exhaust all avenues in obtaining information. This contrasts to UI operations which are held to a reasonable attempts standard. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-2 b. Verification of Facts . DCA investigators must verify facts contained in the case file obtain any missing information as well as conduct new and original factfinding that may be relevant to the denials determination. This may involve contacting employers or third parties who had not been contacted previously by the agency. 4. DCA Investigative Methodology . a. Sample Design and Sample Sizes . Each week states will select systematic random samples from three separate sampling frames constructed from the universes of UI claims for which eligibility was denied for monetary separation or non-separation reasons. States must use the BAM population edit and sample selection software program to select the weekly samples. All states will sample a minimum of 150 cases of each type of denial in each calendar year. The annual sample allocation of 150 cases for each of the three types of denials is the minimum necessary to produce a sufficient number of error cases to produce program improvement information. These sample allocations also take into account the difficulty of obtaining information from claimants who were denied benefits and the possibility that DCA case completion rates will be less than the completion rate for BAM paid claims. b. Claimant Interview . The claimant interview for DCA will remain an integral part of the investigation. The claimant questionnaires are required forms see appendix B to be completed by the claimant. Unlike BAM paid claims it will be necessary to have more than one claimant questionnaire in order to address the three types of disqualifying issues monetary separations and non-separations. The investigator must obtain the completed questionnaire for the applicable denials issue. Every effort should be made to complete the claimant questionnaire even though locating the claimant may be somewhat difficult since they will not be in a paid status. All other requirements for DCA claimant questionnaires are the same as paid claims. 5. Interstate Requests . Interstate claims are included in the DCA sample selection process. The same procedures apply to interstate that apply to intrastate verifications. Interstate contacts may be conducted using the method of contact determined by the state to be the most appropriate means of contact. In cases where the state is unable to obtain adequate information assistance may be requested of the other state s BAM unit. However each state has the final responsibility of obtaining all the necessary information to complete the case investigation. 6. Other Verifications . Where applicable for DCA the following investigative processes are the same as BAM paid claims Employer Interviews Work Search Interviews Third-Party Verifications Disqualifying Deductible Income Verifications Dependency Eligibility Verifications UCFE Verifications UCX Verifications Summary of Investigation Appeals and Reopening Cases. 7. Completion of DCA Cases and Timely Data Entry . As in paid claims prompt completion of investigations is important to ensure the integrity of the information being collected by questioning claimant and employers before the passage of time adversely affects recollections. Prompt entry of associated data is necessary for both the state and DOL to maintain current databases. However due to the fact that contacting the claimant and obtaining claimant information is more difficult than in paid claims the timeliness standards differ as the following indicates - a minimum of 60 percent of cases must be completed within 60 days of the week ending date of the batch and 85 percent of cases must be completed within 90 days of the week ending date of the batch and ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-3 - a minimum of 98 percent of cases for the year must be completed within 120 days of the ending date of the Calendar Year. 8. Data Elements and Descriptions . The balance of this chapter contains the data elements to be gathered and verified by the BAM investigator for each case. Although some elements may be downloaded from the mainframe computer to this record and others are assigned by the software most data must be entered manually. For each data element the following information is provided - NAME full name of data element - SHORT NAME as abbreviated for printout - Definition provides specific instructions for each data element and lists the codes available for each data element The following general instructions are applicable for data elements involving money y Entries must be in whole dollars with the exception of hourly wages that require both dollars and cents. y For those entries requiring whole dollars states that have formal policies regarding the rounding of dollars should follow those policies. Other states should round to the nearest whole dollar i.e. drop decimals of 4 or less round up decimals of 5 or more. y Beginning with Batch 200701 coding is mandatory for elements 10 through 36 on the DCI. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-4 CASE CONTROL AND CLAIMANT INFORMATION 1 NAME Batch Number SHORT NAME batch Definition Enter number provided as output from Mainframe computer program that selects all sample cases indicates calendar year YYYY and week WW . Edits YYYY must be greater than 1985. WW must be between 01 and 52 inclusive. Exception In certain years for example 1988 1994 2000 WW is between 01 and 53. Batch number may never be NULL. WW 01 is always the 1 st Saturday in January of each year. 2 NAME Sequence Number SHORT NAME seq Definition Enter number provided as output from computer program that selects all sample cases. This number indicates the sequence of case s selected within each activity. It is used to control access to a particular case. Edits The sequence number cannot be NULL. The sequence number values are from 01-99. 3 NAME Sample Type SHORT NAME samptype Definition Enter the code for the type of record selected or sampled. The codes and their meaning are 1 Benefit payment 2 Monetary denial 3 Nonmonetary Separation issue denial 4 Nonmonetary Nonseparation issue denial Edits Must be 1 for PCA and 2 3 or 4 for DCA. Name Claimant s last name 4 NAME Social Security Number SHORT NAME ssn Definition Enter the Social Security Number actual not transformed of the claimant provided as output from the sample selection program. Edits The SSN may be broken down into its three 3 respective parts area group and serial. The breakdown is as such XXX-YY-ZZZZ where XXX is the area YY is the group and ZZZZ is the serial. The SSN must be nine digits in length and cannot be NULL. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-5 AREA The area cannot be all zeros. The area ranges from 001-587 589-649 and 700-728. The areas that have been allocated but have not yet been assigned include 588 650 665 667-669 and 750-763. Area 666 does not exist. Code 999 is valid to identify instances in which two individuals are using the same SSN. GROUP The group cannot be all zeros therefore the group ranges from 01-99. SERIAL The serial cannot be all zeros therefore the serial ranges from 00001-9999. 5 NAME Claim Date SHORT NAME clmdate Definition Claim Date will always relate to the type of claim for which the denial was issued. This date is provided as output from the sample selection program. If the issue investigated arises from a new initial additional transitional or reopened claim enter the month MM day DD and year YYYY of the effective date of the new initial additional transitional or reopened claim. If the issue investigated arises from a claimed or compensated week enter the month day and year of the week ending date of the claimed or compensated week first week affected ending date the first week in a claim series to which a notice of nonmonetary determination applies Edits Must be less than or equal to the batch ending date. Must be greater than 12 31 1985. If Sample Type 3 or 4 and Claim Type 0 can be 02 02 0002 Not Applicable. For all Sample Types if Claim Type 1 2 3 4 or 5 Claim Date cannot 02 02 0002 6 NAME Claim Type SHORT NAME clmtype Definition Enter the code for the type of claim. The valid codes are 0 No Week Claimed 1 New Initial Claim 2 Additional Claim 3 Transitional Claim 4 Reopened Claim 5 Continued Week claim including first and final payments Note The 0 code cannot be used as the Claim Type for monetary denials. Claim type for monetary denials must reflect the appropriate code 1 new initial 3 transitional . Edits in the Update Cases and Reopen Cases programs will not allow a Claim Type code of 0 for monetary denials. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-6 Edits Must be 0-5. Claim Type cannot be NULL 7 NAME State SHORT NAME state Definition Enter state Alpha identification code. STATE CODE STATE NAME STATE CODE STATE NAME STATE CODE STATE NAME AL Alabama LA Louisiana OK Oklahoma AK Alaska ME Maine OR Oregon AZ Arizona MD Maryland PA Pennsylvania AR Arkansas MA Massachusetts PR Puerto Rico CA California MI Michigan RI Rhode Island CO Colorado MN Minnesota SC South Carolina CT Connecticut MS Mississippi SD South Dakota DE Delaware MO Missouri TN Tennessee DC District of Columbia MT Montana TX Texas FL Florida NE Nebraska UT Utah GA Georgia NV Nevada VT Vermont HI Hawaii NH New Hampshire VA Virginia ID Idaho NJ New Jersey VI Virgin Islands IL Illinois NM New Mexico WA Washington IN Indiana NY New York WV West Virginia IA Iowa NC North Carolina WI Wisconsin KS Kansas ND North Dakota WY Wyoming KY Kentucky OH Ohio Edits The must be a valid alpha code from the above. Must be -2 only if 90 - Action Flag is 8. 8 NAME Local Office SHORT NAME locoff Definition Enter the state agency s local office code itinerant point number or code designating telephone or electronically filed claims through which the claim was filed. Edits The edits of this field are state dependent. Specifically the values used for validation can be derived from uidb.b qcslo.lo id. 9 NAME Investigator Identification SHORT NAME invid Definition Enter the code of investigator or supervisor to whom the case was assigned. The BAM supervisor assigns these codes. If more than one investigator worked on the case enter code of investigator who established whether the payment determination under investigation was correctly made. Entry of this code will automatically enter the current date in the assignment date field. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-7 Edits The edits of this field are state dependent. Specifically the values used for validation can be derived from uidb.b uaf.id. 10 NAME Primary Method Claimant Information Obtained SHORT NAME methinfoobt Definition Enter the code which best describes the method by which the information contained on the claimant questionnaire was obtained. 1 In-person interview 2 Telephone interview 3 Mail or other method including e-mail or fax -1 Information not available or missing -2 Not applicable if the claimant withdrew claim after denial issued Edits Must be 1 2 3 or -1. Must be -2 only if 90 - Action Flag is 8. 11 NAME U.S. Citizen SHORT NAME citizen Definition Enter applicable code after appropriate verifications. 1 U.S. Citizen 2 Alien eligible under 3304 a 14 FUTA 3 Alien ineligible under 3304 a 14 FUTA -1 Information not available or missing -2 Not applicable if the claimant withdrew claim after denial issued Edits Must be 1 2 3 or -1. Must be -2 only if 90 - Action Flag is 8. 12 NAME Date of Birth SHORT NAME dob Definition Enter month day and year of birth. If month of birth is unknown use 06 . If day of birth is unknown use 01 . If date of birth is missing or unknown use 01 01 0001 . If claimant withdrew claim after denial was issued enter 02 02 0002 for not applicable. Edits Must be 1900 Current. Cannot be later than 24 - Benefit Year Beginning . Can be 01 01 0001 . Can be 02 02 0002 only if 90 - Action Flag is 8. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-8 13 NAME Gender SHORT NAME gender Definition Enter appropriate code. 1 Male 2 Female -1 Information not available or missing -2 Not applicable Edits Must be 1 2 or -1. Can be -2 only if 90 - Action Flag is 8. 14 NAME Race Ethnic Classification SHORT NAME ethnic Definition This is a two-position data element. Enter appropriate ethnic code in the first position and appropriate race code in the second position. 99 If neither race nor Hispanic Latino ethnicity is known -2 Not applicable if claimant withdrew claim after denial was issued FIRST POSITION SECOND POSITION 0 Not Hispanic or Latino 1 Hispanic or Latino 9 Ethnicity Unknown 1 White 01 11 91 2 Black or African American 02 12 92 3 Asian 03 13 93 4 American Indian or Alaska Native 04 14 94 5 Native Hawaiian or Other Pacific Islander 05 15 95 6 Multiple Categories Reported 06 16 96 9 Race Unknown 09 19 99 Edits Must be a valid code from the above table. Can be 99. Can be -2 only if 90 - Action Flag is 8. 15 NAME Education SHORT NAME educ Definition Enter highest level of academic education completed after appropriate verifications. 00 Never attended school 1 through 11 Highest grade completed 12 High school graduate or GED 14 Some college but no degree ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-9 15 Associate s Degree 16 BA or BS Degree 20 Graduate Degree Masters MD PhD JD etc. -1 Information not available or missing -2 Not applicable Edits Must be 00 01 to 12 14 to 16 20 or -1. Can be -2 only if 90 - Action Flag is 8. Note regarding this element and 16 A distinction must be made between education and training. Attendance at one institution or facility cannot be coded under both categories. If the experience leads to a certificate it is to be considered vocational or technical voc tech school training. If the individual is awarded a degree diploma it is considered formal education. If training is post high school and claimant indicates training is for a certificate proceed to voc tech question. If it does not lead to a degree it is to be considered voc tech training. 16 NAME Vocational or Technical School Training SHORT NAME voctech Definition Enter applicable code after appropriate verification of job related course. 1 Never attended 2 Attended but not certified 3 Attended and received certificate -1 Missing or information not available -2 Not Applicable Edits Must be 1 2 3 -1 or -2. Must be -2 if 90-Action Flag is 8. 17 NAME Training Status SHORT NAME trainstat Definition Enter the applicable code after verification for the claimant s training status during the denial period. 00 Not in training UI Approved Training NOT UI Approved Training 11 Tech. voc. 21 Tech. voc. 12 WIA 22 WIA 13 Academic 23 Academic 14 Other 24 Other -1 Information not available or missing -2 Not Applicable Edits Must be 00 11 to 14 21 to 24 -1 or -2. Must be -2 if 90 - Action Flag is 8. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-10 18 NAME O Net Code for Claimant s Usual Occupation SHORT NAME usualocc Definition Enter the first three digits of the O NET code for claimant s usual occupation. The first source for this data element is the claimant s response on the claimant questionnaire. This information must be verified with either the base period employer or the separating employer. The BAM investigator must resolve any discrepancies between the claimant s statement and the employer information. If the information is not available from the claimant questionnaire or the employer verifications then use labor market information. -1 Information not available or missing -2 Information not applicable Code O NET Major Group Code O NET Major Group 11 Management Occupations 35 Food Preparation and Serving Related Occupations 13 Business and Financial Operations Occupations 37 Building and Grounds Cleaning and Maintenance Occupations 15 Computer and Mathematical Occupations 39 Personal Care and Service Occupations 17 Architecture and Engineering Occupations 41 Sales and Related Occupations 19 Life Physical and Social Science Occupations 43 Office and Administrative Support Occupations 21 Community and Social Services Occupations 45 Farming Fishing and Forestry Occupations 23 Legal Occupations 47 Construction and Extraction Occupations 25 Education Training and Library Occupations 49 Installation Maintenance and Repair Occupations 27 Arts Design Entertainment Sports and Media Occupations 51 Production Occupations 29 Healthcare Practitioners and Technical Occupations 53 Transportation and Material Moving Occupations 31 Healthcare Support Occupations 55 Military Specific Occupations 33 Protective Service Occupations Edits The first two digits must be a valid code from the above. Must be -2 if 90 - Action Flag is 8. 19 NAME Occupation Code Seeking Work SHORT NAME seekocc Definition Enter the first three digits of the O NET code for type of work that claimant is seeking. See Element 18 for list The first source for this data element is the claimant s response on the claimant questionnaire. If the information is not available from the claimant questionnaire then use information obtained from the agency records. If the claimant is not required to seek work and the claimant interview was not completed this data element should reflect the claimant s occupation for the employment on which the agency based the exemption from work search -1 Information not available or missing ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-11 -2 Information not applicable Edits The first two digits must be a valid code from the above. Must be -2 if 90 - Action Flag is 8. 20 NAME Normal Hourly Wage for Base Period Occupation SHORT NAME ushrwage Definition Enter normal hourly wage for the claimant s occupation during the base period. The first source for this information is the claimant s response on the claimant questionnaire. The BAM investigator must verify this information with the claimant s base period employer and resolve any discrepancies between the claimant s statement and information from the base period employer. If the information is not available from the claimant questionnaire or through verification with the base period and or separating employer then use labor market information. Express with decimal point in dollars and cents per hour e.g. 7.50 per hour is coded as 7.50 . Use state conversion formula when other than hourly wage is given. If no state formula use the appropriate formula provided below Weekly wages divided by 40 or normal weekly hours for claimant s usual occupation. Monthly wages divide by 4.33 then divide by 40 or normal weekly hours for claimant s usual occupation. Yearly wages divide by 52 then divide by 40 or normal weekly hours for claimant s usual occupation. Military UCX compute using the information provided on the DD-214. Military wages are based on 240 hours monthly 56 hours weekly and 8 hours daily. -1 Information not available or missing -2 Information not applicable Edits Must be in the validation range set by state agency Must be -2 if 90 - Action Flag is 8. 21 NAME Lowest Acceptable Hourly Wage SHORT NAME lohrwage Definition Enter lowest hourly wage that claimant was willing to accept. The first source for this data element is the claimant s response on the claimant questionnaire. This information must be verified with either the base period employer or the separating employer. The BAM investigator must resolve any discrepancies between the claimant s statement and the employer information. Express in dollars and cents per hour e.g. 7.50 per hour is coded as 7.50 . Use state conversion formula when other than hourly wages is given. If no state formula use the appropriate formula provided in element 20 above. -1 Information not available or missing ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-12 -2 Information not applicable Edits Must be in the validation range set by state agency. Must be -2 if 90 - Action Flag is 8. BENEFIT YEAR INFORMATION 22 NAME Program Code SHORT NAME program Definition Enter appropriate program code that identifies the type of claim that was taken 1 UI 6 UCFE-UCX 2 UI-UCFE 7 UCX 3 UI-UCX 8 Reserved for temp. programs 4 UI-UCFE-UCX 9 Deleted record did not belong in sampling 5 UCFE frame Edits Must be 1 to 8. 23 NAME Combined Wage Claim SHORT NAME cwc Definition Enter the code that applied at the time the claim was denied. 1 CWC Intrastate Claim 2 No Combined Wages Intrastate Claim 3 Pending out-of-state wages Intrastate Claim 4 CWC Interstate Claim 5 No Combined Wages Interstate Claim 6 Pending out-of-state wages Interstate Claim Use codes 1 or 4 if out-of-state wages were used for the monetary determination. Use codes 2 or 5 if there are no out-of-state wages or if the claimant declined to combine. Use codes 3 or 6 if out-of-state wages have been requested but not received or acted upon at the time the determination was made. Edits Must be 1 to 6. Cannot be 1 or 4 if 44 - BP Emps. Before is 1. 24 NAME Benefit Year Beginning SHORT NAME byb Definition Enter effective date of most recent new or transitional not reopened or additional claim for denial or payment being investigated. Entry can be 02 02 0002 Not Applicable if claimant withdrew claim after denial was issued. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-13 Edits Can not be less than 01 01 1980 . Can be 02 02 0002 . Must be 02 02 0002 if 90 - Action Flag is 8. Must be earlier than or equal to the Batch Ending Date and be greater than or equal to the Batch Ending Date minus 731 days if Claim Date is 02 02 0002 . Must be earlier than or equal to compensable week ending date if Claim Date is not 02 02 0002 . Cannot be more than 731 days prior to the Claim Date if Claim Date is not 02 02 0002 . Cannot be earlier than 12 - Date of Birth . 25 NAME Initial New Additional Claim Filing Method SHORT NAME icfilmeth Definition Enter filing method for the new initial transitional or most recent additional claim for payment determination under investigation. 1 In-person claim 2 Mail claim including e-mail 3 Telephone claim including automated interactive telephone systems 4 Employer-filed claim 5 Other including fax or electronic other than e-mail 6 Internet Claim -1 Information not available or missing -2 Not Applicable Edits Must be 1 to 6 -1 or -2. Must be -2 if 90 - Action Flag is 8. Stamp Edits Must be 1 to 6 or NULL. 26 NAME Benefit Rights Given SHORT NAME bri Definition Enter all codes that apply regarding method by which claimant was given Benefit Rights Interview. Each distinct position within the field ABCD is Boolean true false where A is In-person interview B is Group interview C is Booklet or pamphlet and D is Video Electronic including Internet telephone or other multimedia or other multimedia. The valid codes are summarized in the following table. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-14 BENEFITS RIGHTS GIVEN A In-person Interview 0 Not given 1 In-person interview given B Group Interview 0 Not given 2 Group interview given C Booklet Pamphlet 0 Not given 3 Booklet Pamphlet given D Video Electronic Other Multimedia 0 Not given 4 Video Electronic including Internet Telephone Other Multimedia -1 Information not available or missing -2 Not Applicable Edits Must be a combination of 0 to 4 -1 or -2. Must be -2 if 90 - Action Flag is 8. 27 NAME Industry Code of Primary Base Period Employer SHORT NAME priempsic Definition Enter four-digit industry group level North American Industry Classification System NAICS code for the claimant s primary base period employer as identified for the Claim Date element 5 . If only a two-digit NAICS sector level is available on the state s computer system enter the two digits followed by two zeros. If at all possible NAICS codes should be obtained for out-of-state employers non-profit employers and exempt employers. NAICS codes can be found at www.census.gov naics . -1 Information not available or missing -2 Not Applicable No base period employer or claimant withdrew claim after denial was issued. 11 Agriculture Forestry Fishing Hunting 53 Real Estate Rental and Leasing 21 Mining 54 Professional Scientific and Technical Services 22 Utilities 55 Management of Companies and Enterprises 23 Construction 56 Administrative Support Waste Management and Remediation Services 31-33 Manufacturing 61 Education Services 42 Wholesale Trade 62 Health Care and Social Assistance 44-45 Retail Trade 71 Arts Entertainment and Recreation 48-49 Transportation and Warehousing 72 Accommodation and Food Services 51 Information 81 Other Services except Public Administration 52 Finance and Insurance 92 Public Administration Edits First two positions of code must be a valid two-digit NAICS code defined above. Must be -2 if 90 - Action Flag is 8. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-15 28 NAME Industry Code of Last Employer SHORT NAME lastempsic Definition Enter four-digit industry group level NAICS code see chart in Element 27 for the claimant s last employer as identified for the Claim Date element 5 . If only a two- digit NAICS sector level is available on the state s computer system enter the two digits followed by two zeros. -1 Information not available or missing -2 Not Applicable Edits First two positions of code must be a valid two-digit NAICS code defined above. Must be -2 if 90 - Action Flag is 8. 29 NAME Method for Filing Week Claimed SHORT NAME wkfilmeth Definition Enter filing method for claim. If Claim Type is 0 no week claimed this field will be coded 0 . If the determination that denied eligibility affected multiple weeks and the claimant used different methods to file the affected weeks code the filing method for the most recent week affected by the denial determination. 0 No week claimed 1 Mail Claim including e-mail 2 In-person Claim 3 Employer-filed Claim 4 Telephone Claim including automated interactive telephone systems 5 Other including fax or electronic other than e-mail 6 Internet Claim -1 Missing -2 Not Applicable Edits Must be 0 to 6 -1 or -2. Must be -2 if 90 - Action Flag is 8. Must be 0 if Claim Type is 0. Stamp Edits Must be 1 to 6 or NULL. 30 NAME Original Amount Paid and or Offset for Denial Period Week SHORT NAME origamtpd Definition Enter original whole dollar amount paid and or offset including any dependent allowance and or child support intercept for weeks affected by denial determination under investigation. -2 Not Applicable Edits Can be 0. Must be -2 if 90 - Action Flag is 8. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-16 Must be less than or equal to 35 - MBA Before . 31 NAME Number of Weeks Denied Before Investigation SHORT NAME wksdenbef Definition Enter the number of weeks claimant was disqualified as a result of the determination selected for investigation regardless of whether those weeks have been claimed. 99 Indefinite disqualification -2 Not Applicable Edits Must be 0 to 52 99 or -2. Must be -2 if 90 - Action Flag is 8. 32 NAME Number of Weeks Denied After Investigation SHORT NAME wksdenaft Definition Enter the number of weeks claimant should have been disqualified subsequent to investigation according to DCA findings regardless of whether those weeks have been claimed. 99 Indefinite disqualification -2 Not Applicable Edits Must be 0 to 52 99 or -2. Must be -2 if 90 - Action Flag is 8. 33 NAME Weekly Benefit Amount WBA Before Investigation SHORT NAME wbabef Definition For monetary denials sample type 2 enter claimant s WBA based on the original monetary determination at time of selection for investigation expressed in whole dollars. Disregard any adjustments to WBA resulting from a monetary redetermination caused by nonmonetary issues e.g. a separation issue or administrative penalty . Disregard any EB benefit entitlement state supplemental payments dependents allowances or any deductions. For separation non-separation determinations enter the WBA based on the original monetary determination or the adjusted WBA based on a monetary redetermination made because of a non-monetary issue. 0 Ineligible -2 Not Applicable if the claimant withdrew claim after denial issued Edits Must be in the validation range set by state agency. Can be 0. Must be -2 if 90 - Action Flag is 8. Must be 0 if 44 - BP Emps. Before 0. Must be less than or equal to 35 - MBA Before . ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-17 34 NAME Weekly Benefit Amount WBA After Investigation SHORT NAME wbaaft Definition For monetary denials sample type 2 enter claimant s WBA based on the monetary determination that should have applied after the DCA investigation expressed in whole dollars. Disregard any adjustments to WBA resulting from a monetary redetermination caused by nonmonetary issues e.g. a separation issue or administrative penalty . Disregard any EB benefit entitlement state supplemental payments dependents allowances or any deductions. For separation non-separation determinations enter the WBA based on the original monetary determination or the adjusted WBA based on a monetary redetermination made because of a non-monetary issue. 0 Ineligible -2 Not Applicable if the claimant withdrew claim after denial issued Edits Must be in the validation range set by state agency. Can be 0. Must be -2 if 90 - Action Flag is 8. Must be 0 if 45 - BP Emps. After 0. Must be less than or equal to 36 - MBA After . 35 NAME Maximum Benefit Amount MBA Before Investigation SHORT NAME mbabef Definition For monetary denials sample type 2 enter claimant s MBA based on the original monetary determination at time of selection for investigation expressed in whole dollars. Disregard any adjustments to MBA resulting from a monetary redetermination caused by nonmonetary issues e.g. a separation issue or administrative penalty . Disregard any EB benefit entitlement state supplemental payments dependents allowances or any deductions. For separation non-separation determinations enter the MBA based on the original monetary determination or the adjusted MBA based on a monetary redetermination made because of a non-monetary issue. 0 Ineligible -2 Not Applicable if the claimant withdrew claim after denial issued Edits Must be in the validation range set by state agency. Can be 0. Must be -2 if 90 - Action Flag is 8. Must be greater than the Remaining Balance RB as of Date of Determination Compensable Week Ending Date Before Investigation. Must be greater than or equal to 33 - WBA Before . ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-18 36 NAME MBA After Investigation SHORT NAME mbaaft Definition For monetary denials sample type 2 enter claimant s MBA based on the monetary determination that should have applied after the DCA investigation expressed in whole dollars. Disregard any adjustments to MBA resulting from a monetary redetermination caused by nonmonetary issues e.g. a separation issue or administrative penalty . Disregard any EB benefit entitlement state supplemental payments dependents allowances or any deductions. For separation non-separation determinations enter the MBA based on the original monetary determination or the adjusted MBA based on a monetary redetermination made because of a non-monetary issue. 0 Ineligible -2 Not Applicable if the claimant withdrew claim after denial issued Edits Must be in the validation range set by state agency. Must be -2 if 90 - Action Flag is 8. Must be 0 if 45 - BP Emps. After is 0. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-19 MONETARY INFORMATION 42 NAME Reason for Monetary Denial Before Investigation SHORT NAME monstatbef Definition Enter the code that identifies the issue used to issue the monetary denial determination. Second digit is for optional state use. Series ID 10 Insufficient wages base period wages less than minimum requirements 20 Insufficient hours weeks days 30 Failure to meet high quarter wage requirement high quarter wages less than minimum . 40 Requalification wage requirement 50 Other -2 Not Applicable if claimant withdrew claim after denial was issued OR the Sample Type is Separation 3 or Nonseparation 4 Edits Must be 10 to 59. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 3 or 4. 43 NAME Reason for Monetary Denial After Investigation SHORT NAME monstataft Definition Enter the code that the DCA investigation establishes as the correct criterion for the monetary denial determination. Second digit is for optional state use. Note For states with alternate base periods BAM is determining whether the monetary denial was proper or improper therefore the investigator must scrutinize all five quarters of wages considered in making this determination. Series ID 00 Sufficient wages hours weeks days claimant monetarily eligible 10 Insufficient wages base period wages less than minimum requirements 20 Insufficient hours weeks days 30 Failure to meet high quarter wage requirement high quarter wages less than minimum . 40 Requalification wage requirement 50 Other -2 Not Applicable if claimant withdrew claim after denial was issued OR the Sample Type is Separation 3 or Nonseparation 4 Edits Must be 00 to 59. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 3 or 4. 44 NAME Number of Base Period Employers Before Investigation ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-20 SHORT NAME bpempbef Definition Enter number of subject base period employers before investigation that were used in calculating WBA and MBA for the monetary determination under investigation even if claimant is ineligible. Include seasonal school and out-of-state employers if they paid wages that were used in the monetary determination. -2 Not Applicable if claimant withdrew claim after denial was issued OR the Sample Type is Separation 3 or Nonseparation 4 Edits Must be within the validation range set by state agency. Can be 0. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 3 or 4. 45 NAME Number of Base Period Employers After Investigation SHORT NAME bpempaft Definition Enter number of subject base period employers after investigation which should have been used to calculate WBA and MBA even if claimant is ineligible. Include wages from seasonal school and out-of-state employers if they should have been used in calculating the monetary determination. Note If applicable consider the application of regular or alternative base period. Enter 0 if it is established that there were no base period employers as a result of the investigation. -2 Not Applicable if claimant withdrew claim after denial was issued OR the Sample Type is Separation 3 or Nonseparation 4 Edits Must be within the validation range set by state agency. 34 - WBA After 36 - MBA After and 47 - BP Wages After must be 0 if 45 - BP Emps. After is 0. 49 - HQ Wages After 51 - Wks. Worked After 53 - Depend. After and 55 - Depend. Allow After must be 0 or -2 if 45 - BP Emps. After is 0. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 3 or 4. 46 NAME Base Period Wages Before Investigation SHORT NAME bpwbef Definition Enter total amount of all wages from employers identified in 44 Number of BP Employers Before Investigation . Express in whole dollars. Include seasonal school and out-of-state wages if they were used in the monetary determination. Disregard any state reduction BP wages due to administrative penalty. -2 Not Applicable if claimant withdrew claim after denial was issued OR the Sample Type is Separation 3 or Nonseparation 4 ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-21 Edits Must be within the validation range set by state agency. Can be 0. Must be greater than or equal to the 48 - HQ Wages Before . Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 3 or 4. 47 NAME Base Period Wages After Investigation SHORT NAME bpwaft Definition Enter total amount of all BP wages from employers identified in 45 Number of BP Employers After Investigation even if claimant is ineligible. Express in whole dollars. Disregard any state reduction in BP wages due to administrative penalty. Note If applicable consider the application of regular or alternative base period. -2 Not Applicable if claimant withdrew claim after denial was issued OR the Sample Type is Separation 3 or Nonseparation 4 Edits Must be within the validation range set by state agency. Must be 0 if 45 - BP Emps. After is 0. Cannot be 0 if 45 - BP Emps. After is greater than 0. Must be greater than or equal to 49 - HQ Wages After . Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 3 or 4. 48 NAME High Quarter Wages Before Investigation SHORT NAME hqwbef Definition Enter total whole dollar amount of claimant s high quarter base period wages before investigation used in the monetary determination under investigation. State formula for calculating high quarter wages is to be used. Include seasonal wages and school wages if used. Equals 99999 if greater than 99 999. -1 if information not available or missing -2 if not applicable Edits Must be within the validation range set by state agency. Can be 0 -1 or -2. Must be greater than 0 if 46 - BP Wages Before is greater than 0. Must be less than or equal to 46 - BP Wages Before . Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 3 or 4. 49 NAME High Quarter Wages After Investigation SHORT NAME hqwaft ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-22 Definition The total whole dollar amount of claimant s high-quarter base period wages from those employers identified in 45 Number of Base Period Employers After Investigation even if claimant is ineligible that should have been used for the monetary determination under investigation. Note If applicable consider the application of regular or alternative base period. Equals 99999 if greater than 99 999. -1 if information not available or missing -2 if not applicable if the claimant withdrew claim after denial issued OR the Sample Type is Separation 3 or Nonseparation 4 Edits Must be within the validation range set by state agency. Can be 0 -1 or -2. Must be less than or equal to 47 - BP Wages After . Must be 0 or -2 if 45 - BP Emps. After is 0. Cannot be 0 if 47 - BP Wages After is not 0. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 3 or 4. 50 NAME Number of Weeks Worked in BP Before Investigation SHORT NAME bpwksbef Definition Enter number of weeks as defined by state law and procedures that claimant worked in base period before investigation. Complete this item if required by state law for eligibility. 0 Earnings in week s but insufficient to establish a credited week of eligibility -2 Weeks hours of work are not required Edits Must be within the validation range set by state agency. Can be 0. Can be -2 if not required by State law for eligibility. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 3 or 4. Stamp Edits Must be 0 to 53 -2 or NULL. 51 NAME Number of Weeks Worked in BP After Investigation SHORT NAME bpwksaft Definition Enter number of weeks claimant worked in base period after investigation. Complete this item if required by state law for eligibility. Note If applicable consider the application of regular or alternative base period. 0 Earnings in week s but insufficient to establish a credited week of eligibility ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-23 -2 Weeks hours of work are not required Edits Must be within the validation range set by state agency. Can be 0. Can be -2 if not required by State law for eligibility. Must be 0 or -2 if 45 - BP Emps. After is 0. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 3 or 4. Stamp Edits Must be 0 to 53 -2 or NULL. 52 NAME Number of Dependents Claimed Before Investigation SHORT NAME depbef Definition Enter the number of dependents claimed. 0 None and state has a dependency provision -2 State does not have a dependency provision Edits Must be within the validation range set by state agency. Must be 0 if 54 - Depend. Allow Before is 0. Cannot be 0 if 54 - Depend. Allow Before is not 0. Must be -2 if 54 - Depend. Allow Before is -2. Cannot be -2 if 54 - Depend. Allow Before is not equal to -2. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 3 or 4. Stamp Edits Must be -2 or NULL. If 52 - Depend. Before is set to -2 or NULL then 53 - Depend. After 54 - Depend. Allow Before and 55 - Depend. Allow After will be set to -2 or NULL respectively. 53 NAME Number of Dependents Claimed After Investigation SHORT NAME depaft Definition Enter the number of dependents that should be claimed. 0 None and state has a dependency provision -2 State does not have a dependency provision Edits Must be within the validation range set by state agency. Must be 0 or -2 if 45 - BP Emps. After is 0. Must be 0 if 55 - Depend. Allow After is 0. Cannot be 0 if 55 - Depend. Allow After is not 0. Must be -2 if 55 - Depend. Allow After is -2. Cannot be -2 if 55 - Depend. Allow After is not equal to -2. Must be -2 if 90 - Action Flag is 8. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-24 Must be -2 if Sample Type is 3 or 4. Stamp Edits Must be -2 or NULL. If 53 - Depend. After is set to -2 or NULL then 52 - Depend. Before 54 - Depend. Allow Before and 55 - Depend. Allow After will be set to -2 or NULL respectively. 54 NAME Dependents Allowance Before Investigation SHORT NAME allowbef Definition Enter the whole dollar amount of dependents allowance before investigation if any that is payable to the claimant on a week-to-week basis. 0 Claimant not eligible for allowance and state has a dependency provision -2 State does not have a dependency provision Edits Must be within the validation range set by state agency. Must be less than 33 - WBA Before except for Alaska AK . Must be 0 if 52 - Depend. Before is 0. Cannot be 0 if 52 - Depend. Before is greater than 0. Must be -2 if 52 - Depend. Before is -2. Cannot be -2 if 52 - Depend. Before is not equal to -2. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 3 or 4. Stamp Edits Must be -2 or NULL. If 54 - Depend. Allow Before is set to -2 or NULL then 52 - Depend. Before 53 Depend. After and 55 - Depend. Allow After will be set to -2 or NULL respectively. 55 NAME Dependents Allowance After Investigation SHORT NAME allowaft Definition Enter the correct whole dollar amount of dependents allowance that should have been payable to the claimant on a week-to-week basis. 0 Claimant not eligible for allowance and state has a dependency provision -2 State does not have a dependency provision Edits Must be within the validation range set by state agency. Must be less than 34 - WBA After except for Alaska AK . Must be 0 or -2 if 45 - BP Emps. After is 0. Must be 0 if 53 - Depend. After is 0. Cannot be 0 if 53 - Depend. After is greater than 0. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 3 or 4. Must be -2 if 53 - Depend. After is -2. Cannot be -2 if 53 - Depend. After is not equal to -2. Stamp Edits ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-25 Must be -2 or NULL. If 55 - Depend. Allow After is set to -2 or NULL then 52 - Depend. Before 53 - Depend. After and 54 - Depend. Allow Before will be set to -2 or NULL respectively. 56 NAME Monetary Redetermination SHORT NAME monredet Definition Enter appropriate code which indicates whether state redetermined claimant s monetary eligibility prior to or during the course of the DCA investigation. Consider only monetary redeterminations conducted by the state agency independent of the DCA investigation. Do not consider monetary redeterminations conducted by the state agency because of the DCA investigation. Do not consider redeterminations resulting from a nonmonetary issue e.g. a separation issue or administrative penalty . 1 Yes Did not involve the application of an alternative base period ABP or extended base period EBP in determining monetary eligibility. 2 No 3 Yes Did involve the application of an alternative base period ABP or extended base period EBP in determining monetary eligibility. -2 Not Applicable Edits Must be 1 2 3 or -2. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 3 or 4. SEPARATION INFORMATION 57 NAME Separation Issue Number Definition Enter the Numeric 2 digit code that identifies the specific separation denial selected for the sample if multiple denial determinations were issued for the same claim on the same date. -2 Not Applicable if the claimant withdrew claim after denial issued OR Sample Type equals 2 or 4 Edits Must be 0 to 99 or -2. Default value is 0. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 4. 58 NAME Reason for Separation Determination Before Investigation SHORT NAME sepbef ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-26 Definition Enter the code that identifies the reason for claimant s separation. The separation to be coded is that separation which is subject to the DCA investigation. The second digit of the code is reserved for state use for coding more detailed issue information such as different types of Voluntary Quits or Discharges. Series ID 10 Lack of Work e.g. reduction in force temporary lay off 20 Voluntary Quit 30 Discharge 40 Labor Dispute 50 Military separation or Compelling Family Reason 60 Not separated partials job attached leave of absence -2 Not Applicable if the claimant withdrew claim after denial issued OR the Sample Type is Monetary 2 or Nonseparation 4 Edits Must be 10 to 69. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 4. 59 NAME Reason for Separation After Investigation SHORT NAME sepaft Definition Enter the code that the DCA investigation establishes as the correct reason that the claimant is separated. The second digit of the code is reserved for state use for coding more detailed issue information such as different types of Voluntary Quits or Discharges. Series ID 00 No Separation Issue 10 Lack of Work e.g. reduction in force temporary lay off 20 Voluntary Quit 30 Discharge 40 Labor Dispute 50 Military separation or Compelling Family Reason 60 Not separated partials -2 Not Applicable Sample Type equals 2 and 4 only Edits Must be 00 to 69. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 4. 60 NAME Date of Separation Before Investigation SHORT NAME sepdatebef Definition Enter date MM DD YYYY of separation as defined by state law policy from last employer used to determine code assigned in 58 . If the claimant has not been separated enter the last day worked but no later than the Key Week ending date if code in 58 is 60-69. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-27 01 01 0001 Information not available or missing 02 02 0002 Not Applicable Edits Can not be less than 01 01 1900 . Must be less than or equal to 5 - Claim Date plus 14 days and greater than or equal to 5- Claim Date minus 731 days if 5 - Claim Date is not 02 02 0002 . Must be less than or equal to the Batch Week Ending Date and greater than or equal to the Batch Week Ending Date minus 731 days if 5 - Claim Date is 02 02 0002 . Can be 01 01 0001 . Must be 02 02 0002 if 90 - Action Flag is 8. Must be 02 02 0002 if Sample Type is 2 or 4. 61 NAME Date of Separation After Investigation SHORT NAME sepdateaft Definition Enter the date MM DD YYYY of separation as defined by state law policy from last employer after investigation as identified in 59 . If the claimant has not been separated enter the last day worked but no later than the Key Week ending date if code in 59 is 60-69. 01 01 0001 Information not available or missing 02 02 0002 Not Applicable Sample Type equals 2 and 4 only or 59-Reason for Sep. After 00 series or 90-Action Flag is 8 Edits Can not be less than 01 01 1900 . Must be less than or equal to 5 - Claim Date plus 14 days and greater than or equal to 5 - Claim Date minus 731 days if 5 - Claim Date is not 02 02 0002 . Must be less than or equal to the Batch Week Ending Date and greater than or equal to the Batch Week Ending Date minus 731 days if 5 - Claim Date is 02 02 0002 . Can be 01 01 0001 . Must be 02 02 0002 if 90 - Action Flag is 8. Must be 02 02 0002 if Sample Type is 2 or 4. Must be 02 02 0002 if 59 - Reason Sep. After 00 series. NONSEPARATION INFORMATION 62 NAME Nonseparation Issue Number Definition Enter the code that identifies the specific nonseparation denial selected for the sample if multiple denial determinations were issued for the same claim on the same date. -2 Not Applicable if the claimant withdrew claim after denial issued OR Sample Type equals 2 or 3 Edits Must be 0 to 99 or -2. Default value is 0. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-28 Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. 63 NAME Reason for Nonseparation Determination Before Investigation SHORT NAME nonsepbef Definition Enter the code that represents the reason for the nonseparation determination before the DCA investigation. The second digit is for optional state use to code more detailed information. 10 Able Issue 20 Available Issue 30 Work Search Issue 40 Disqualifying unreported income Issue 50 Refusal of Suitable Work Issue 60 Reporting registration Violation Issue 70 Other Issue e.g. alien athlete school seasonality employment status -2 Not Applicable if the claimant withdrew claim after denial issued OR Sample Type equals 2 or 3 Edits Must be 10 to 79. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. 64 NAME Reason for Nonseparation Determination After Investigation SHORT NAME nonsepaft Definition Enter the code that the DCA investigation establishes as the correct nonseparation issue. The second digit is for optional state use to code more detailed information. 00 No Nonseparation Issue 10 Able Issue 20 Available Issue 30 Work Search Issue 40 Disqualifying unreported income Issue 50 Refusal of Suitable Work Issue 60 Reporting registration Violation Issue 70 Other Issue e.g. alien athlete school seasonality employment status -2 Not Applicable if the claimant withdrew claim after denial issued OR Sample Type equals 2 or 3 Edits Must be 00 to 79. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. 65 NAME Recall Status Before Investigation SHORT NAME rclstatbef ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-29 Definition Enter code that indicates claimant s recall status for the determination under investigation. 0 No recall 1 Definite recall specific return date 2 Indefinite recall no specific return date -1 Information not available or missing -2 Not Applicable if the claimant withdrew claim after denial issued OR Sample Type equals 2 or 3 Edits Must be 0 1 2 -1 or -2. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. 66 NAME Recall Status After Investigation SHORT NAME rclstataft Definition Enter the correct recall status code for the denial determination after investigation. 0 No recall 1 Definite recall specific return date 2 Indefinite recall no specific return date -1 Information not available or missing -2 Not Applicable if the claimant withdrew claim after denial issued OR Sample Type equals 2 or 3 Edits Must be 0 1 2 -1 or -2. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. 67 NAME Total Earnings for Week s Before Investigation SHORT NAME totearnbef Definition Enter total amount of earnings for weeks affected by the determination under investigation. Do not include other income such as pensions holiday pay vacation pay pay in lieu of notice separation pay etc. 0 None Equals 9999 If 9 999 or more -2 Not Applicable if the claimant withdrew claim after denial issued OR Sample Type equals 2 or 3 Edits Can be 0 or -2. 69 - Earn. Deduct. Before must be 0 if 67 - Earnings Before is 0. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-30 Must be greater than or equal to 69 - Earn. Deduct. Before . Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. 68 NAME Total Earnings for Week s After Investigation SHORT NAME totearnaft Definition Enter whole dollar amount of earnings for weeks affected by the determination after investigation. Do not include other income such as pensions holiday pay vacation pay pay in lieu of notice separation pay etc. 0 None Equals 9999 If 9 999 or more -2 Not Applicable if the claimant withdrew claim after denial issued OR Sample Type equals 2 or 3 Edits Can be 0 or -2. Must be greater than or equal to 70 - Earn. Deduct. After . Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. 69 NAME Earnings Deduction for Week s Before Investigation SHORT NAME earndedbef Definition Enter total amount deducted for all weeks affected by determination before investigation. Total deduction cannot exceed WBA times the number of weeks denied. Do not include other income such as pensions holiday pay vacation pay pay in lieu of notice separation pay etc. This amount may be less than amount reported on the certification by claimant because of earnings disregarded by law in computation of amount deducted. 0 None -2 Not Applicable if the claimant withdrew claim after denial issued OR Sample Type equals 2 or 3 Edits Can be -2. Cannot be greater than 33 - WBA Before times 31 - No. Wks. Denied Before if 31 - No. Wks. Denied Before is greater than 0. Must be less than 33 - WBA Before if 31 - No. Wks. Denied Before is 0. Must be 0 if 67 - Earnings Before is 0. Must be less than or equal to 67 - Earnings Before . Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. 70 NAME Earnings Deduction for Week s After Investigation SHORT NAME earndedaft Definition Enter the total amount deducted for all weeks affected by the determination after investigation. Total cannot exceed WBA times the number of weeks denied. Do not ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-31 include other deductible income such as pensions holiday pay vacation pay pay in lieu of notice separation pay etc. 0 None -2 Not Applicable if the claimant withdrew claim after denial issued OR Sample Type equals 2 or 3 Edits Cannot be greater than 32 - No. Wks. Denied After times the sum of 34 - WBA After plus b dca vallim.max val for allowaft 55 if 32 - No. Wks. Denied After is greater than 0. Must be less than the sum of 34 - WBA After plus b dca vallim.max val for allowaft 55 if 32 - No. Wks. Denied After is 0. Must be 0 if 68 - Earnings After is 0. Must be less than or equal to 68 - Earnings After . 70 - Earn. Deduct. After plus 74 - Other Income Deductions Aft must be less than equal to 36 - MBA After . Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. 71 NAME Total Other Deductible Income for Week s Before Investigation SHORT NAME othdedincbef Definition Enter total whole dollar amount of other income deductible under state law and which was included in the determination before investigation. Include pension received for the denial period regardless of effect on the payment amount using the state s method of determining the weekly amount of the pension. Include all types of deductable income for the denial period such as holiday pay vacation pay pay in lieu of notice separation pay etc. 0 None -2 Not Applicable if the claimant withdrew claim after denial issued OR Sample Type equals 2 or 3 EXAMPLE Claimant has a WBA of 225. During the period under investigation the claimant received payment in lieu of notice of 200 and a pension payment of 100 financed by a base period employer. In this state both types of income are deductible however the pension provision requires only a 50 percent deduction. The amount entered in this field would be 300 not 250 because of the instruction to enter a figure including the total amount of pension regardless of its effect on the amount of benefit payment the claimant received. Edits Can be 0 or -2. Must be greater than or equal to 73 - Other Income Deductions Bef . 73 - Other Income Deductions Bef must be 0 if 71 - Other Deductible Inc. Before is 0. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. 72 NAME Total Other Deductible Income for Week s After Investigation ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-32 SHORT NAME othdedincaft Definition Enter the total whole dollar amount of other income deductible under state law affected by determination after investigation. Include pension received for the denial period regardless of effect on the payment amount using the state s method to determine the weekly amount of the pension. Also include all deductible income such as holiday pay vacation pay pay in lieu of notice separation pay etc. See example for 71 Total Other Deductible Income for Week s Before Investigation. 0 None -2 Not Applicable if the claimant withdrew claim after denial issued OR Sample Type equals 2 or 3 Edits Can be 0 or -2. Must be greater than or equal to 74 - Other Income Deductions Aft . 74 - Other Income Deductions Aft must be 0 if 72 - Other Deductible Inc. After is 0. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. 73 NAME Other Income Deductions for Week s Before Investigation SHORT NAME othdedsbef Definition Enter total amount in whole dollars deducted due to pension holiday pay vacation pay pay in lieu of notice separation pay etc. in all weeks affected by determination under investigation. Total deduction cannot exceed WBA times the number of weeks denied. 0 None -2 Not Applicable if the claimant withdrew claim after denial issued OR Sample Type equals 2 or 3 Edits Can be 0. Cannot be greater than 33 - WBA Before times 31 - No. Wks. Denied Before if 31 - No. Wks. Denied Before is greater than 0. Must be less than 33 - WBA Before if 31 - No. Wks. Denied Before is 0. Must be 0 if 71 - Other Deductibles Inc. Before is 0. Must be less than or equal to 71 - Other Deductibles Inc. Before . Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. 74 NAME Other Income Deductions for Week s After Investigation SHORT NAME othdedsaft Definition Enter total amount in whole dollars deducted due to a pension holiday pay vacation pay pay in lieu of notice separation pay etc. in all weeks affected by the ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-33 determination after investigation. Total cannot exceed WBA times the number of weeks denied. 0 None -2 Not Applicable if the claimant withdrew claim after denial issued OR Sample Type equals 2 or 3 Edits Can be 0. Cannot be greater than 32 - No. Wks. Denied After times the sum of 34 - WBA After plus b dca vallim.max val for allowaft 55 if 32 - No. Wks. Denied After is greater than 0. Must be less than the sum of 34 - WBA After plus b dca vallim.max val for allowaft 55 if 32 - No. Wks. Denied After is 0. Must be 0 if 72 - Other Deductibles Inc. After is 0. Must be less than or equal to 72 - Other Deductibles Inc. After . 70 - Earn. Deduct. After plus 74 - Other Income Deductions Aft must be less than equal to 36 - MBA After . Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. 75 NAME Work Search Requirements SHORT NAME wsreq Definition Enter the appropriate code that applied to the determination under investigation according to UI law and policy. 1 Required to actively seek work in addition to union contact if applicable 2 An agency directive written or verbal temporarily suspended the claimant s normal work search for the Denial period affected by the determination. 3 Union deferral seeking work only through union 4 Job attached deferral temporary lay-off recall partial industry attached 5 Other deferrals disability school etc. -2 Not Applicable no active work search policy or Sample Type equals 2 or 3 . Edits Must be 1 to 5 or -2. Cannot be 1 if 76 - Contacts is -2. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. Stamp Edits Must be 1 2 -2 or NULL. Cannot be 1 if 76 - Contacts is -2. 76 NAME Number of Job Contacts Listed SHORT NAME jobcon Definition Enter number of all job contacts indicated from any source. Note If claimant sought work in denial period although not required to do so enter number of contacts and make appropriate verifications. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-34 0 No contacts were indicated -1 Information is missing or not available -2 Not Applicable if claimant not required to seek work and claimant did not seek work OR Sample Type equals 2 or 3 Edits Must be within the validation range set by state agency. Can be 0 -1 or -2. Must be -2 if 75 - WS Requirement is -2. Cannot be -2 if 75 - WS Requirement is 1. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. Stamp Edits Must be -2 or NULL. Cannot be -2 if 75 - WS Requirement is 1. 77 NAME Number of Job Contacts Made Prior to the Denial Period but Used to Satisfy Work Search Requirements for the Denial Period SHORT NAME prjobcon Definition Enter number of work search contacts made prior to the denial period if used to satisfy the state s work search requirements. 0 No contacts were indicated -1 Information is missing or not available -2 Not Applicable if the claimant withdrew claim after denial issued OR Sample Type equals 2 or 3 Edits Must be within the validation range set by state agency. Can be 0 -1 or -2. Must be -2 if 75 - WS Requirement is -2. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. Stamp Edits Must be -2 or NULL. 78 NAME Number of Work Search Contacts Investigated for Eligibility SHORT NAME wsconinv Definition Enter total number of work search contacts investigated regardless of investigator s determination regarding acceptability. Do not include here any work-search contacts that were not investigated for DCA. 0 No contacts were investigated -2 Not Applicable if the claimant withdrew claim after denial issued OR Sample Type equals 2 or 3 Edits ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-35 Can be 0 or -2. Must be -2 if 75 - WS Requirement is -2. Must be -2 if 76 - Contacts and 77 - Prior Contacts are less than 0. Must be less than or equal to 76 - Contacts if 77 - Prior Contacts is less than 0 . Must be less than or equal to 77 - Prior Contacts if 76 - Contacts is less than 0. Must be less than or equal to the total of 76 - Contacts and 77 - Prior Contacts . Must be equal to the total of 79 - Contacts Acc. and 80 - Contacts Unacc and 81 - Contacts Unver . Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. Stamp Edits Must be 0 -2 or NULL. 79 NAME Number of Acceptable Work Search Contacts SHORT NAME wsconok Definition Include only work search contacts for which documentation exists in DCA file that such contacts were made by claimant and were acceptable contacts within state s written law policy on active search for work. -2 Not Applicable no WS Contacts investigated OR if the claimant withdrew claim after denial issued OR Sample Type equals 2 or 3 Edits Can be -2. Must be -2 if 75 - WS Requirement is -2. Must be -2 if 78 - Contacts Inv is -2. cannot be -2 if 78 - Contacts Inv is not -2. Must be 0 if 78 - Contacts Inv is 0. Must be less than or equal to 78 - Contacts Inv . 79 - Contacts Acc plus 80 - Contacts Unacc plus 81 - Contacts Unver must be equal to 78 - Contacts Inv . Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. 80 NAME Number of Unacceptable Work Search Contacts SHORT NAME wsconnotok Definition Include only job contacts for which written documentation exists in DCA file that such contacts were not made by the claimant or were made but are unacceptable within the framework of state s written law or policy. -2 Not Applicable no WS Contacts investigated OR if the claimant withdrew claim after denial issued OR Sample Type equals 2 or 3 Edits Can be -2. Must be -2 if 75 - WS Requirement is -2. Must be -2 if 78 - Contacts Inv is -2. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-36 Cannot be -2 if 78 - Contacts Inv is not -2. Must be 0 if 78 - Contacts Inv is 0. Must be less than or equal to 78 - Contacts Inv . 79 - Contacts Acc plus 80 - Contacts Unacc plus 81 - Contacts Unver must be equal to 78 - Contacts Inv . Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. 81 NAME Number of Work Search Contacts for the Denial Period that Could Not Be Verified as Either Acceptable or Unacceptable SHORT NAME wsconunver Definition Include the work search contacts for which there was insufficient information to make a judgment of their acceptability within the state s written law policy on work search. -2 Not Applicable no WS Contacts investigated OR if claimant withdrew claim after denial issued OR Sample Type equals 2 or 3 Edits Can be -2. Must be -2 if 75 - WS Requirement is -2. Must be -2 if 78 - Contacts Inv is -2. Cannot be -2 if 78 - Contacts Inv is not -2. Must be 0 if 78 - Contacts Inv is 0. Must be less than or equal to 78 - Contacts Inv . 79 - Contacts Acc plus 80 - Contacts Unacc plus 81 - Contacts Unver must be equal to 78 - Contacts Inv . Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. 82 NAME Labor Exchange Registration Required SHORT NAME leregreq Definition Enter the appropriate code that applies according to law and policy. Use code 2 only if the state does not require registration or there is written law policy that provides for non-registration under certain circumstances e.g. temporary lay-off union membership and such non-registration policy is applicable to claimant. 1 Yes per state law 2 No 3 Yes as a result of profiling 4 Yes for both reasons -2 Not Applicable Edits Must be 1 to 4 or -2. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-37 84 - LE Deferred must be -2 if 82 - LE Reg. Req. is 1 3 or 4. 84 - LE Deferred must be 1 to 7 if 82 - LE Reg. Req. is 2. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. Stamp Edits Must be 1 to 4 -2 or NULL. 83 NAME Actively Currently Registered with Labor Exchange as of Determination Under Investigation SHORT NAME lereg Definition Enter the appropriate code that applies to the denial period. State s written law policy and procedures govern whether claimants are required to be registered with the Employment Services and what constitutes registration. DCA coding should be consistent with such law policy and procedures. 1 Registered with the Employment Services and has received one or more staff assisted services during the current benefit year 2 Not registered with Employment Services and has not used self-help services from the One Stop delivery system during the current benefit year 3 Not registered with Employment Services but has received staff assisted services or has used self-help services from the One Stop delivery system during the current benefit year 4 Registered with the Employment Services but has received no staff assisted services during the current benefit year -1 Information not available or missing -2 Not Applicable if the claimant withdrew claim after denial issued OR the Sample Type is Monetary 2 or Separation 3 Edits Must be 1 to 4 -1 or -2. 85 - LE Referrals cannot be -2 if 83 - LE Reg Services is 1. 85 - LE Referrals must be -2 if 83 - LE Reg Services is 2. 85 - LE Referrals must be 0 if 83 - LE Reg Services is 4. Must be -2 if 82 - LE Requirement is -2. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. Stamp Edits Must be 1 -2 or NULL. 84 NAME Reason Labor Exchange Registration Deferred SHORT NAME leregdef ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-38 Definition Enter appropriate code. 1 Union member 2 Job attached 3 Partial 4 Seasonal 5 Approved training 6 Local Office Policy 7 Other -2 Not Applicable if the claimant withdrew claim after denial issued OR the Sample Type is Monetary 2 or Separation 3 Edits Can be 1 to 7 or -2. Must be -2 if 82 - LE Reg. Req is 1 3 4 or -2. Must be 1 to 7 if 82 - LE Reg. Req is 2. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. Stamp Edits Must be -2 or NULL. 85 NAME Number of Labor Exchange Referrals SHORT NAME lerefers Definition Enter number of times Employment Services referred claimant for employment during current benefit year up to and including the period affected by the denial determination. 0 No referrals while registered in current benefit year -1 Information missing or not available or missing -2 Not Applicable not registered during current benefit year OR claimant withdrew claim after denial issued OR Sample Type equals 2 or 3 Edits Must be within the validation range set by state agency. Can be -1 or -2. Cannot be -2 if 83 - LE Reg Services is 1. Can be 0 if 83 - LE Reg Services is 1. Must be 0 if 83 -LE Reg Services is 4. Must be -2 if 83 - LE Reg Services is 2 or -2. Must be -1 if 83 - LE Reg Services is -1. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. 86 NAME Registered with Private Employment Agency SHORT NAME privagreg Definition Enter code that applied as of the denial period. 1 Yes ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-39 2 No -1 Information missing or not available -2 Not Applicable if the claimant withdrew claim after denial issued OR the Sample Type is Monetary 2 or Separation 3 Edits Must be 1 2 -1 or -2. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. 87 NAME Number of Private Employment Agency Referrals SHORT NAME privagref Definition Enter the number of times the claimant was referred for employment by a Private Employment Agency during the Denial period. Do not include leasing agencies. 0 registered but not referred -1 Information not available or missing -2 Not Applicable Edits Must be within the validation range set by state agency. Cannot be -2 if 86 - Regis. Priv. Agency is 1. Must be -2 if 86 - Regis. Priv. Agency is 2. Must be -1 if 86 - Regis. Priv. Agency is -1. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 88 NAME Union Referral Status SHORT NAME unrefstat Definition Enter appropriate code that applies to the denial period after appropriate verification. 0 Claimant NOT a member of a union 1 Claimant is a member in good standing of a union with a hiring hall and was eligible to be referred by the union during the denial period 2 Claimant is a member of a union with a hiring hall but was not eligible for union referral 3 Claimant is a member of a non-hiring hall union -1 Information is missing or not available -2 Not Applicable Edits Must be 0 to 3 -1 or -2. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. 89 NAME Number of Union Referrals ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-40 SHORT NAME unref Definition Enter number of times that a union with a hiring hall referred claimant for employment during the denial period. All such referrals should be verified. Do not include referrals associated with a non-hiring-hall union. -1 Information is missing or not available -2 Not Applicable Edits Must be within the validation range set by state agency. Can be -2. Must be -1 if 88 - Union Referral Status is -1. Must be -2 if 88 - Union Referral Status is 0 2 or 3. Can be 0 only if 88 - Union Referral Status is 1. Can not be -2 if 88 - Union Referral Status is 1. Must be -2 if 90 - Action Flag is 8. Must be -2 if Sample Type is 2 or 3. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-41 CASE ACTION AND ERROR ISSUE INFORMATION The outcome of each case investigated is a set of data about that claim and classification as to whether or not the denial was proper. Each denial sampled for BAM must be accounted for in the coding and analysis of program data because a single case represents a very large number of denials in the statewide population. At the end of a set measurement period the coded findings of all completed cases are analyzed based on information available. This part provides specific instructions for recording the propriety of denials and for closing cases and classifying errors detected during the investigations. 90 NAME Action Code Flag SHORT NAME actflag Definition Enter the appropriate code. 0 Monetary eligibility established upon receipt of CWC UCFE and or UCX wage credits or monetary eligibility established as a result of the application of an alternate base period ABP or extended base period EBP . Claimant eligibility initially denied. 1 Proper denial determination payment. 2 Overpayment established or WBA dependent s allowance entitlement MBA or remaining balance RB decreased which was later officially reversed. DCA agrees with the official action. 3 Supplemental check issued offset applied or WBA dependent s allowance entitlement MBA or remaining balance RB increased which was later officially reversed. DCA agrees with the official action. 8 Claimant withdrew claim after denial issued. 9 Improper payment determination. Edits Must be 0 1 2 3 8 or 9. If 90 - Action Flag is 0 3 - Sample Type must be 2 Monetary AND 43 - Reason for Monetary Denial After Investigation must be 00-09 AND o 22 - Program must be 2 3 4 5 6 or 7 OR o 23 - CWC must be 1 3 4 or 6 OR o 56 - Monetary Redetermination must be 3. If 90 - Action Flag is 8 Neither 22 - Program nor 23 - CWC can be NULL. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-42 91 NAME Initial Determination Appealed SHORT NAME detapp Definition Enter the appropriate code as of the date the investigator completed the case. 0 Denial not appealed 1 Claimant appealed 2 Employer appealed 3 Other interested party appealed -2 Not applicable Edits Must be 0 to 3 or -2. 92 - Results of Appeal of Initial Determination must be 0 if 91 - Initial Det. Appealed is 0. 92 - Results of Appeal of Initial Determination must be 1 to 6 if 91 - Initial Det. Appealed is 1 2 or 3. 92 NAME Results of Appeal of Initial Determination SHORT NAME apprslt Definition Enter the appropriate code denoting the results of the appeal of the initial determination that denied eligibility. Record status of the appeal as of the date the investigator completed of the case. 0 No appeal filed 1 Affirmed eligible 2 Affirmed ineligible 3 Reversed eligible 4 Reversed ineligible 5 Appeal decision pending 6 Original determination redetermined by state -2 Not applicable Edits Must be 0 to 6 or -2. 91 - Initial Det. Appealed must be 0 if 92 - Results of Appeal of Initial Determination is 0. 91 - Initial Det. Appealed must be 1 to 3 if 92 - Results of Appeal of Initial Determination is 1 to 6. 91 - Initial Det. Appealed must be -2 if 92 - Results of Appeal of Initial Determination is -2. 93 NAME Investigation Completed SHORT NAME invcomp Definition Enter code of 1 when case investigation has been completed i.e. after the investigator has finished all fieldwork reports determinations and coding. Entry of this character will only be allowed if all previous required data elements have been coded. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-43 Entering 1 will automatically enter the current date in the next field of the computer record. Edits Must be 1 . No DCI field can be NULL. Claim Type cannot be 0 when claim date is 02 02 0002 for Sample Type 2 case. Claim Type cannot be greater than 0 when claim date is 02 02 0002. 94 NAME Date Investigator Completed Case SHORT NAME invcompdate Definition Automatically filled upon entry of code 1 in Investigation Completed . Edits None Automatically filled 95 NAME Supervisory Review Completed SHORT NAME suprevcomp Definition Enter code of 1 when supervisor has reviewed and approved completed case. Enter code 0 when the supervisor has cleared the completed case without review. Entry in this filed will is only allowed if item Investigation Completed above has been coded 1 . Entering 1 or 0 will automatically enter the current date in the next field of the computer record. Edits Must be 0 or 1 . Will be allowed only if 93 - Inv. Completed is 1. 96 NAME Date Supervisor Completed Case SHORT NAME supcompdate Definition Automatically filled upon entry of code 0 or 1 in field Supervisory Approval Completed . Edits None Automatically filled 97 NAME Supervisor Identification SHORT NAME supvid Definition The supervisor identification name is the name of the supervisor who completed the case investigation. The login name is obtained from the etc passwd system file. Edits None Automatically filled ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-44 CODING DCA ERROR ISSUES When the denial is not a proper denial code 9 is entered into DCA Element 90-Action Code Flag. When code 9 is entered the system retrieves a new screen Error Issue Information screen for data entry of issues. This interrupts completion of DCA Elements 91 through 97. The user will see a new screen into which individual issues or wrong denials are to be recorded. Please note that if Action Code Flag equals 0 1 2 3 or 8 the Error Issue Information screen will not be displayed. The Error Issue Information screen records the following information for each issue 98 Dollar Amount of Error 99 Error Issue Action Code 100 Error Cause 101 Error Responsibility 102 Error Detection Point 103 Prior Agency Action 104 Prior Employer Action 105 DCA Action Appealed 106 Prior Claimant Action States may modify the last digits of the codes for five of these items to provide more detailed information for their use Error Cause 100 Error Detection Point 102 Prior Agency Action 103 Prior Employer Action 104 and Prior Claimant Action 106 . The last digit in each of these codes is zero. State s may choose to develop additional categories using any digits from 1-9 to provide further detail in these areas. Definitions and explanations for the above data elements are detailed below 98 NAME Dollar Amount of Error SHORT NAME totamt Definition Enter the total amount of error only for the week s affected by the denial determination selected for investigation. Round to nearest whole dollar amount. Edits Can be 0. Must be 0 if 99 - Action Code is 24. Cannot exceed State Maximum Benefit Amount MBA plus State Maximum Dependents Allowance b vallim.max val mbaaft b vallim.max val allowaft . 99 NAME Error Issue Action Code SHORT NAME action Definition The Error Issue Action Code identifies the type of error using numeric codes. The three 3 type of error action codes include a PROPER DENIAL DIFFERENT WRONG ISSUE OR REASON ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-45 30 Claimant was properly denied but for wrong or different reason section of law. b IMPROPER DENIAL DETERMINATIONS UNDERPAYMENTS 20 DCA investigation determines that the denial determination was improper or benefit payment was too small and official agency action now finds the claimant to be eligible or entitled to a supplemental check issued offset applied or increase in WBA dependents allowance entitlement MBA or remaining balance RB . 21 DCA investigation determines denial determination was improper or payment was too small although technically proper due to finality rules. 22 DCA investigation determines denial determination was improper or payment was too small although technically proper due to rules other than finality. 23 DCA investigation determines denial determination was improper or payment was too small supplemental check issued offset applied which was later officially reversed revised adjusted or modified and BAM disagrees with the official action. 24 DCA investigation determines that the denial determination was improper but no payment is due to the claimant. Requires Error Cause code 710 or 720 . Note Code 24 is used to code DCA investigation findings in which the claimant was improperly denied for the specific issue selected for the DCA sample but the claimant is not entitled to UI benefits as of the date that the DCA case is closed by the supervisor. This is due to either 1 a separate official action s by the state agency or 2 the state has issued a nonmonetary determination denying eligibility for UI benefits but no weeks have been claimed as of the date that the DCA case was completed. c OVERPAYMENTS 10 Fraud Overpayment Voided Offset. 11 Nonfraud Recoverable overpayment voided offset. 12 Nonfraud Non-recoverable Overpayment or official action taken to adjust future benefits by decreasing WBA MBA KWDA or RB. 13 DCA investigation determines payment was too large although payment is technically proper due to finality rules. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-46 14 DCA investigation determines payment was too large except for formal warning rule that prohibits official action. Payment technically proper due to law rules requiring formal warnings for unacceptable work search efforts. 15 DCA investigation determines payment was too large although payment technically proper due to rules other than finality or formal warning rules for unacceptable work search efforts. 16 Overpayment established or WBA KWDA entitlement or RB decreased which was later officially reversed revised adjusted or modified and DCA disagrees with the official action. Edits Must be 10-16 20-24 or 30. 100 - Cause must be a 700-709 if 99 - Action Code is 30. 100 - Cause must be a 710-729 if 99 - Action Code is 24. Cannot be 14 if 75 - WS Requirement is -2. Cannot be 10-16 if Sample Type is 2 and 30 - Original Amount Paid is 0. 100 NAME Error Cause SHORT NAME cause Definition Enter the code to indicate the cause reason for the error. Enter appropriate code from below. The last digit of this code is reserved for state use to provide greater detail as to the cause of error. a In the Benefit Year unreported or errors in reporting recording earnings or days hours of work affecting the determination under investigation due to 100 Unreported concealed earnings or days hours of work. 110 Earnings or days hours of work incorrectly estimated reported recorded or deducted. 120 Errors in reporting or unreported Severance Pay. 130 Errors in reporting or unreported Vacation Pay. 140 Errors in reporting or unreported Social Security or pension benefits. 150 Other causes related to reporting or recording of earnings or days hours of work for the denial period. b In the Base Period errors in Reporting Recording Earnings or Weeks Days or Hours of Work affecting the determination due to ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-47 200 Earnings or weeks days hours of work incorrectly estimated reported recorded. 210 One or more base period employers not reported by claimant. 220 Earnings or weeks days hours of work not reported by employer. 230 Other causes related to reporting recording of earnings or weeks days hours of work for base period. 240 Misclassified worker. Employer misclassified the claimant as an independent contractor 248 Misclassified worker. Claimant improperly classified as an independent contractor however the employer furnished claimant a 1099 earnings statement 249 Misclassified worker. Claimant improperly classified as an independent contractor and the employer did not furnish the claimant with a 1099 earnings statement c Separation Issues due to 300 Voluntary Quits 310 Discharges 320 Other causes related to separation issues. d Eligibility Issues due to 400 Ability to work 410 Availability for work 420 Active work search 430 Refusal of suitable work 440 Self-employment 450 Illegal alien status 460 Reporting requirements Failed to report 470 Other causes related to eligibility issues. 480 Claimant filed UI claim knowingly using the identity name social security number address employer or other information identifying a ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-48 specific individual of another person without that person s knowledge or permission in order to obtain UI benefits e Dependents Allowances Incorrect due to 500 Dependents information incorrectly reported recorded or allowance incorrectly calculated. 510 Other causes related to dependents allowances. f Other Causes due to 600 Benefits paid during a period of disqualification even though a stop- pay order was in effect. 610 Redetermination at deputy level or reversal appeal or higher authority . 620 Back pay award. 630 All other causes. 638 Fraud outside of Key Week caused the Key Week to be improper g Other causes due to a claimant being properly denied but for wrong reason or section of law. 700 Claimant properly denied but the determination had a procedural implementation error e.g. denial based on wrong reason or section of law applicable dates of the denial are incorrect . Code valid only for Error Issue Action code 30 . Default code is 700 codes 701-709 are reserved for state option use. Note The definition of this code has been broadened to include any procedural or implementation error to reflect DCA findings that the claimant was properly denied but an error was committed in the way that state law was applied or cited in the determination or how the determination was implemented. 710 Denial issue subject to DCA investigation was decided improperly but claimant not entitled to benefits as of the date that the DCA investigation was completed due to other issues affecting the claim. Code valid only for Error Issue Action code 24 . Default code is 710 codes 711-719 are reserved for state option use. Note This code is used when the claimant is ineligible for UI benefits as of the date that the DCA case was completed due to a separate official agency action s . BAM DCA investigators should not make any determination of the propriety of the other actions that have resulted in the claimant s ineligibility for UI benefits. 720 Denial issue subject to DCA investigation was decided improperly but claimant not entitled to benefits as of the date the DCA investigation was completed because no week was claimed. Code ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-49 valid only for Sample Type 3 or 4 and Error Issue Action code 24. Default code is 720 codes 721-729 are reserved for state option use. Note This code is used when the agency has issued a nonmonetary determination denying eligibility for UI benefits but no weeks have been claimed as of the date that the DCA case was completed. Edits Must be 100-159 200-249 300-329 400-489 500-519 600-639 or 700-729. Must be 420 if 99 - Action Code is 14. Must be 700-709 if 99 - Action Code is 30. Must be 710-719 if 99 - Action Code is 24 and sample type is 2 Must be 710-729 if 99 - Action Code is 24 and Sample Type is 3 or 4 . Cannot be 420 if 75 - WS Requirement is -2. 101 NAME Error responsibility SHORT NAME resp Definition Enter ALL the appropriate codes to indicate the party or parties responsible by action or inaction for the payment error. Do not repeat a given code even if more than one party per category applied e.g. if more than one employer or more than one third party was responsible . Responsibility is a four-position data element. Each position is coded with the appropriate code for the responsible party or zero 0 according to the following table ERROR RESPONSIBILITY A Claimant 0 Not responsible 1 Responsible B Employer 0 Not responsible 2 Responsible C Agency 0 Not responsible 3 Responsible D Third Party 0 Not responsible 4 Responsible Edits Cannot have an Employer Responsibility entry if 104 - Prior Employer Action has a series code of 70. Must contain a 2 if 104 - Prior Employer Action equals 20 to 59. Must contain a 1 if 106 - Prior Claimant Action equals 20 to 59. Must contain a 1 if 99 - Error Action Code equals 10. Must have an Agency Responsibility entry if 103 - Prior Agency Action has a series code of 30 40 50 or 80. 102 NAME Error Detection Point SHORT NAME detectpt ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-50 Definition Enter the code that indicates the point where the error was first detected in the DCA investigation. The last digit of this code is reserved for state use in providing greater detail 10 Verification of work search contact 20 Verification of wages and or separation 30 Claimant interview 40 Verification of eligibility with 3rd parties 50 UI Records 60 Employment Service records 70 Verification with union 80 Crossmatch of claimant SSN with state or National Directory of New Hires States can use codes 81 through 89 to document point of detection subsequent to new hire directory match. 81 Verification of work search contact 82 Verification of wages and or separation 83 Claimant interview 84 Verification of eligibility with 3 rd parties 85 UI records 86 Employment Services records 87 Verification with a labor union 88 Second digit reserved for state use 89 Second digit reserved for state use 90 Crossmatch of claimant SSN with state or national wage record files States can use codes 91 through 99 to document point of detection subsequent to wage record match. 91 Verification of work search contact 92 Verification of wages and or separation 93 Claimant interview 94 Verification of eligibility with 3 rd parties 95 UI records 96 Employment Services records 97 Verification with a labor union 98 Second digit reserved for state use 99 Second digit reserved for state use ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-51 Edits Must be 10 to 99. 103 NAME Prior Agency Action SHORT NAME agact Definition A code is assigned which indicates any actions taken by the state on the issue as of the date sample selected. Enter the appropriate code from below. The last digit of this code is reserved for state use in providing greater detail 10 Official procedures had been followed and forms had been fully completed but issue was not detectable by normal procedures. 20 State was in the process of resolving issue and took correct action before DCA investigation completed or state had correctly resolved issue prior to sample being selected. 30 State identified issue prior to selection but took incorrect action. 40 State had sufficient documentation to identify that there was an issue but did not resolve the issue. 50 Official procedures forms had not been properly followed completed by state thereby precluding ability to detect issue. 60 State agency had detected payment error as a result of crossmatch of claimant SSN with state or National Directory of New Hires and had taken official action to establish overpayment for recovery or issued supplemental check or increased claimant s WBA MBA RB before the BAM investigation was completed. 70 State agency had detected payment error as a result of crossmatch of claimant SSN with state or national wage record files and had taken official action to establish overpayment for recovery or issued supplemental check or increased claimant s WBA MBA RB before the BAM investigation was completed. 80 Agency provided incorrect information or instructions to claimant employer or third party. 90 Agency based determination on incorrect information provided by another state workforce agency. Edits Must be 10 to 99. Cannot have a series entry of 30 40 50 or 80 if 101 - Responsibility does not have an Agency Responsible entry 3 . 104 NAME Prior Employer Action SHORT NAME empact ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-52 Definition A code is assigned to indicate any actions taken by the employer affecting the issue as of the date sample was selected. Enter the appropriate code from below. The last digit of this code is reserved for state use to provide greater detail regarding employer action. 10 Employer provided adequate information to state in a timely manner for determination. 20 Employer provided adequate information after due date for determination. 30 Employer provided inadequate incorrect information in a timely manner for determination. 40 Employer provided inadequate incorrect information after due date for determination. 50 Employer did not respond to request for information. 60 Employer as an interested party was not requested by agency to provide information for determination. 70 Not an employer related issue. 80-89 Employer failed to report the claimant as a new hire as mandated by law and this lack of action permitted the overpayment to occur. e.g. concealed earnings separation error . 91 Employer representative provided adequate information to state in a timely manner for denial determination. 92 Employer representative provided adequate information after due date for denial determination. 93 Employer representative provided inadequate incorrect information in a timely manner for denial determination. 94 Employer representative provided inadequate incorrect information after due date for denial determination. 95 Employer representative did not respond to request for information. 96 Employer representative on behalf of the Employer as an interested party was not requested by agency to provide information for denial determination. Edits Must be 10 to 79 80 to 89 91 to 96. Note The 90 series codes will be available with the software release greater than 10.0 ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-53 Cannot have a series entry of 70 if 101 - Responsibility has a Employer Responsible entry 2 . 105 NAME DCA Action Appealed SHORT NAME actapp Definition Enter the appropriate code from below for appeals filed as a result of DCA action on the denial determination. The last digit of this code is reserved for state use to provide greater detail regarding the appeal. 10 No appeal filed against DCA determination. 20 Claimant appealed DCA determination and employer was an interested party. 30 Claimant appealed DCA determination and employer was not an interested party. 40 Employer appealed DCA determination and claimant was an interested party. 50 Both claimant and employer appealed DCA determination. 60 State appealed DCA determination. 70 Not an appealable DCA determination. Edits Must be 10 to 79. 106 NAME Prior Claimant Action SHORT NAME clmtact Definition A code is assigned to indicate any actions taken by the claimant affecting the issue as of the date sample was selected. Enter the appropriate code from below. The last digit of this code is reserved for state use to provide greater detail regarding claimant action. 10 Claimant provided adequate and timely information to state for determination. 20 Claimant provided adequate information to state after due date for determination. 30 Claimant provided timely but inadequate incorrect information to state for determination. 40 Claimant provided inadequate incorrect information to state after due date for determination. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-54 50 Claimant did not respond to state request for information. 60 State did not request the claimant to provide information. Edits Must be 10 to 69. Reopening Cases . On occasion completed cases must be reopened to make corrections or to update coded records. The following elements are used reoptype NAME Reopen Case SHORT NAME Reopen Case Definition Enter one of the following codes 3 State has recognized an error in the data of this closed case and has made the correction s . 4 An appeal decision requires changes to the data of a closed case. 5 Data of a closed case were changed as a result of a monitor review. 6 Case reopened pending further information. 9 Data of a closed case were changed or payment accuracy status updated as a result of additional information obtained through investigation methods other than crossmatch with new hire or wage records. Edits Must be 3 4 5 6 9 or null reopdate NAME Reopen Case Date SHORT NAME Reopen Case Date Definition The date that identifies when a case was reopened. The BAM software system will automatically set it as current date for the Reopen Case Codes 3 4 or 5. The field will remain NULL when the Reopen Case Code is 6. Edits System entered date reopid NAME Reopen Case Identification SHORT NAME Reopen ID Definition The login ID of the person performing the reopen function. ET HANDBOOK NO. 395 5 th EDITION November 2009 VIII-55 APPENDIX A BAM QC REGULATION Employment and Training Administration Labor Pt. 602 App. A A-1 November 2009 PART 602 QUALITY CONTROL IN THE FEDERAL-STATE UNEMPLOYMENT INSURANCE SYSTEMT Subpart A General Provisions Sec. 602.1 Purpose. 602.2 Scope. Subpart B Federal Requirements 602.10 Federal law requirements. 602.11 Secretary s interpretation . Subpart C State Responsibilities 602.20 Organization. 602.21 Standard methods and procedures. 602.22 Exceptions. Subpart D Federal Responsibilities 602.30 Management. 602.31 Oversight . Subpart E Quality Control Grants to States 602.40 Funding. 602.41 Proper expenditure of Quality Control granted funds. 602.42 Effect of failure to implement Quality Control program. 602.43 No incentives or sanctions based on specific error rates. APPENDIX A TO PART 602 STANDARD FOR CLAIM DETERMINATIONS SEPARATION INFORMATION AUTHORITY 42 U.S.C. 1302. SOURCE 52 FR 33528 Sept. 3 1987 unless otherwise noted. Subpart A General Provisions 602.1 Purpose. The purpose of this part is to prescribe a Quality Control QC program for the Federal-State unemployment insurance UI system which is applicable to the State UI programs and the Federal unemployment benefit and allowance programs administered by the State Employment Security Agencies SESA under agreements between the States and the Secretary of Labor Secretary . QC will be a major tool to assess the timeliness and accuracy of State administration of the UI program. It is designed to identify errors in claims processes and revenue collections including payments in lieu of contributions and Extended Unemployment Compensation Account collections analyze causes and support the initiation of corrective action. 602.2 Scope. This part applies to all State laws approved by the Secretary under the Federal Unemployment Tax Act section 3304 of the Internal Revenue Code of 1954 26 U.S.C. section 3304 to the administration of the State laws and to any Federal unemployment benefit and allowance program administered by the SESAs under agreements between the States and the Secretary. QC is a requirement for all States initially being applicable to the largest permanently authorized programs regular UI including Combined-Wage- Claims and federally-funded programs Unemployment Compensation for Ex-Servicemen and Unemployment Compensation for Federal Employees . Other elements of the QC program e.g. interstate extended benefit programs benefit denials and revenue collections will be phased in under a schedule determined by the Department in consultation with State agencies. Subpart B Federal Requirements 602.10 Federal law requirements. a Section 303 a 1 of the Social Security Act SSA 42 U.S.C. 503 a 1 requires that a State law include provision for Such methods of administration . . . as are found by the Secretary of Labor to be reasonably calculated to insure full payment of unemployment compensation when due. b Section 303 a 6 SSA 42 U.S.C. 505 a 6 requires that a State law include provision for The making of such reports in such form and containing such information as the Secretary of Labor may from time to time require and compliance with such provisions as the Secretary of Labor may from time to time find necessary to assure the correctness and verification of such reports. c Section 303 b SSA 42 U.S.C. 503 b provides in part that Whenever the Secretary of Labor after reasonable notice and opportunity for hearing to the State agency charged with the administration of the State law finds that in the administration of the law there is 2 a failure to comply substantially with any provision specified in subsection a the Secretary of Labor shall notify such State agency that further payments will not be made to the State until the Secretary of Labor is satisfied that there is no longer any such denial or failure to comply. Until he is so satisfied he shall make no further certification to the Secretary of the Treasury with respect to such State . . . . . d Certification of payment of granted funds to a State is withheld only when the Secretary finds after reasonable notice and opportunity for hearing to the State agency 1 That any provision required by section 303 a of the Social Security Act is no longer included in the State unemployment compensation law or 2 That in the administration of the State unemployment compensation law there has been a failure to comply substantially with any required provision of such law. A-2 November 2009 602.11 Secretary s interpretation. a The Secretary interprets section 303 a 1 SSA to require that a State law provide for such methods of administration as will reasonably ensure the prompt and full payment of unemployment benefits to eligible claimants and collection and handling of income for the State unemployment fund particularly taxes and reimbursements with the greatest accuracy feasible. b The Secretary interprets sections 303 a 1 and 303 a 6 SSA to authorize the Department of Labor to prescribe standard definitions methods and procedures and reporting requirements for the QC program and to ensure accuracy and verification of QC findings. c The Secretary interprets section 303 b 2 SSA to require that in the administration of a State law there shall be substantial compliance with the provisions required by sections 303 a 1 and 6 . Further conformity of the State law with those requirements is required by section 303 a and 601.5 a of this chapter. d To satisfy the requirements of sections 303 a 1 and 6 a State law must contain a provision requiring or which is construed to require the establishment and maintenance of a QC program in accordance with the requirements of this part. The establishment and maintenance of such a QC program in accordance with this part shall not require any change in State law concerning authority to undertake redeterminations of claims or liabilities or the finality of any determination redetermination or decision. Subpart C State Responsibilities 602.20 Organization. Each State shall establish a QC unit independent of and not accountable to any unit performing functions subject to evaluation by the QC unit. The organizational location of this unit shall be positioned to maximize its objectivity to facilitate its access to information necessary to carry out its responsibilities and to minimize organizational conflict of interest. 602.21 Standard methods and procedures. Each State shall a Perform the requirements of this section in accordance with instructions issued by the Department pursuant to 602.30 a of this part to ensure standardization of methods and procedures in a manner consistent with this part b Select representative samples for QC study of at least a minimum size specified by the Department to ensure statistical validity for benefit payments a minimum of 400 cases of weeks paid per State per year c Complete prompt and in-depth case investigations to determine the degree of accuracy and timeliness in the administration of the State UI law and Federal programs with respect to benefit determinations benefit payments and revenue collections and conduct other measurements and studies necessary or appropriate for carrying out the purposes of this part and in conducting investigations each State shall 1 Inform claimants in writing that the information obtained from a QC investigation may affect their eligibility for benefits and inform employers in writing that the information obtained from a QC investigation of revenue may affect their tax liability 2 Use a questionnaire prescribed by the Department which is designed to obtain such data as the Department deems necessary for the operation of the QC program require completion of the questionnaire by claimants in accordance with the eligibility and reporting authority under State law 3 Collect data identified by the Department as necessary for the operation of the QC program however the collection of demographic data will be limited to those data which relate to an individual s eligibility for UI benefits and necessary to conduct proportions tests to validate the selection of representative samples the demographic data elements necessary to conduct proportions tests are claimants date of birth sex and ethnic classification and 4 Conclude all findings of inaccuracy as detected through QC investigations with appropriate official actions in accordance with the applicable State and Federal laws make any determinations with respect to individual benefit claims in accordance with the Secretary s Standard for Claim Determinations Separation Information in the Employment Security Manual part V sections 6010 6015 appendix A of this part d Classify benefit case findings resulting from QC investigations as 1 Proper payments underpayments or overpayments in benefit payment cases or 2 Proper denials or underpayments in benefit denial cases e Make and maintain records pertaining to the QC program and make all such records available in a timely manner for inspection examination and audit by such Federal officials as the Secretary may designate or as may be required or authorized by law f Furnish information and reports to the Department including weekly transmissions of case data entered into the automated QC system and annual reports without in any manner identifying individuals to whom such data pertain and g Release the results of the QC program at the same time each year providing calendar year results using a standardized format to present the data as prescribed by the Department States will have the opportunity to release this information prior to any release by the Department. Approved by the Office of Management and Budget under Control Number 1205 0245 602.22 Exceptions. If the Department determines that the QC program or any constituent part of the QC program is not necessary for the proper and efficient administration of a State law or in the Department s view is not cost effective the Department shall use established procedures to advise the State that it is partially or totally excepted from the specified requirements of this part. Any determination under this section shall be made only after consultations with the State agency. A-3 November 2009 Subpart D Federal Responsibilities 602.30 Management. a The Department shall establish required methods and procedures as specified in 602.21 of this part and provide technical assistance as needed on the QC process. b The Department shall consider and explore alternatives to the prescribed sampling study recordkeeping and reporting methodologies. This shall include but not be limited to testing the obtaining of information needed for QC by telephone and mail rather than in face-to-face interviews. c The Department shall maintain a computerized data base of QC case data which is transmitted to the Department under 602.21 which will be combined with other data for statistical and other analysis such as assessing the impact of economic cycles funding levels and workload levels on program accuracy and timeliness. 602.31 Oversight. The Department shall review QC operational procedures and samples and validate QC methodology to ensure uniformity in the administration of theQC program and to ensure compliance with the requirements of this part. The Department shall for purposes of determining eligibility for grants described in 602.40 annually review the adequacy of the administration of a State s QC program. Subpart E Quality Control Grants to States 602.40 Funding. a The Department shall use established procedures to notify States of the availability of funds for the operation of QC programs in accordance with this part. b The Department may allocate additional resources if available to States for analysis of date generated by the QC program to increase the number of claims sampled in areas where more information is needed for pilot studies for the purpose of expanding the QC program and for corrective action. 602.41 Proper expenditure of Quality Control granted funds. The Secretary may after reasonable notice and opportunity for hearing to the State agency take exception to and require repayment of an expenditure for the operation of a QC program if it is found by the Secretary that such expenditure is not necessary for the proper and efficient administration of the QC program in the State. See sections 303 a 8 303 a 9 and 303 b 2 SSA and 20 CFR 601.5. For purposes of this section an expenditure will be found not necessary for proper and efficient administration if such expenditure fails to comply with the requirements of subpart C of this part. 52 FR 33528 Sept. 3 1987 as amended at 52 FR 34343 Sept. 10 1987 602.42 Effect of failure to implement Quality Control program Any State which the Secretary finds after reasonable notice and opportunity for hearing has not implemented or maintained a QC program in accordance with this part will not be eligible for any grants under title III of the Social Security Act until such time as the Secretary is satisfied that there is no longer any failure to conform or to comply substantially with any provision specified in this part. See sections 303 a 1 303 a 6 and 303 b 2 SSA and 20 CFR 601.5. 602.43 No incentives or sanctions based on specific error rates. Neither sanctions nor funding incentives shall be used by the Department to influence the achievement of specified error rates in State UI programs. APPENDIX A TO PART 602 STANDARD FOR CLAIM DETERMINATIONS SEPARATION INFORMATION Employment Security Manual Part V Sections 6010 6015 6010 Federal Law Requirements. Section 303 a 1 of the Social Security Act requires that a State law include provision for Such methods of administration . . . as are found by the Secretary to be reasonably calculated to insure full payment of unemployment compensation when due. Section 303 a 3 of the Social Security Act requires that a State law include provision for Opportunity for a fair hearing before an impartial tribunal for all individuals whose claims for unemployment compensation are denied. Section 3304 a 4 of the Federal Unemployment Tax Act and section 303 a 5 of the Social Security Act require that a State law include provision for Expenditure of all money withdrawn from an unemployment fund of such State in the payment of unemployment compensation... . Section 3306 h of the Federal Unemployment Tax Act defines compensation as cash benefits payable to individuals with respect to their unemployment. 6011 Secretary s Interpretation of Federal Law Requirements. The Secretary interprets the above sections to require that a State law include provisions which will insure that A. Individuals who may be entitled to unemployment compensation are furnished such information as will reasonably afford them an opportunity to know establish and protect their rights under the unemployment compensation law of such State and B. The State agency obtains and records in time for the prompt determination and review of benefit claims such information as will reasonably insure the payment of benefits to individuals to whom benefits are due. 6012 Criteria for Review of State Law Conformity with Federal Requirements In determining the conformity of a State law with the above requirements of the Federal Unemployment Tax Act and the Social Security Act as interpreted by the Secretary the following criteria will be applied A. Is it required that individuals who may be entitled to unemployment compensation be furnished such information of their potential rights to benefits including the manner and places of filing claims the reasons for determinations and their rights of appeal as will insure them a reasonable opportunity to know establish and protect their rights under the law of the State B. Is the State agency required to obtain in time for prompt determination of rights to benefits such information as will reasonably insure the payment of benefits to individuals to whom benefits are due C. Is the State agency required to keep records of the facts considered in reaching determinations of rights to benefits 6013 Claim Determinations Requirements Designed To Meet Department of Labor Criteria A. Investigation of claims. The State agency is required to obtain promptly and prior to a determination of an individual s right to benefits such facts pertaining thereto as will be sufficient reasonably to insure the payment of benefits when due. This requirement embraces five separate elements 1. It is the responsibility of the agency to take the initiative in the discovery of information. This responsibility may not be passed on to the claimant or the employer. In addition to the agency s own records this information may be obtained from the worker the employer or other sources. If the information obtained in the first instance discloses no essential disagreement and provides a sufficient basis for a fair A-4 November 2009 determination no further investigation is necessary. If the information obtained from other sources differs essentially from that furnished by the claimant the agency in order to meet its responsibility is required to inform the claimant of such information from other sources and to afford the claimant an opportunity to furnish any further facts he may have. 2. Evidentiary facts must be obtained as distinguished from ultimate facts or conclusions. That a worker was discharged for misconduct is an ultimate fact or conclusion that he destroyed a machine upon which he was working is a primary or evidentiary fact and the sort of fact that the requirement refers to. 3. The information obtained must be sufficient reasonably to insure the payment of benefits when due. In general the investigation made by the agency must be complete enough to provide information upon which the agency may act with reasonable assurance that its decision is consistent with the unemployment compensation law. On the other hand the investigation should not be so exhaustive and time- consuming as unduly to delay the payment of benefits and to result in excessive costs. 4. Information must be obtained promptly so that the payment of benefits is not unduly delayed. 5. If the State agency requires any particular evidence from the worker it must give him a reasonable opportunity to obtain such evidence. B. Recording of facts. The agency must keep a written record of the facts considered in reaching its determinations. C. Determination notices. 1. The agency must give each claimant a written notice of a. Any monetary determination with respect to his benefit year b. Any determination with respect to purging a disqualification if under the State law a condition or qualification must be satisfied with respect to each week of disqualification but in lieu of giving written notice of each determination for each week in which it is determined that the claimant has met the requirements for purging the agency may inform the claimant that he has purged the disqualification for a week by notation of his applicant identification card or otherwise in writing. c. Any other determination which adversely affects1 his rights to benefits except that written notice of determination need not be given with respect to 1 A week in a benefit year for which the claimant s weekly benefit amount is reduced in whole or in part by earnings if the first time in the benefit year that there is such a reduction he is required to be furnished a booklet or leaflet containing the information set forth below in paragraph 2f 1 . However a written notice of determination is required if a there is a dispute concerning the reduction with respect to any week e.g. as to the amount computed as the appropriate reduction etc. or b there is a change in the State law or in the application thereof affecting the reduction or 2 Any week in a benefit year subsequent to the first week in such benefit year in which benefits were denied or reduced in whole or in part for reasons other than earnings if denial or reduction for such subsequent week is based on the same reason and the same facts as for the first week and if written notice of determination is required to be given to the claimant with respect to such first week and with such notice of determination he is required to be given a booklet or pamphlet containing the information set forth below in paragraphs 2f 2 and 2h. However a written notice of determination is required if a there is a dispute concerning the denial or reduction of benefits with respect to such week or b there is a change in the State law or 1 A determination adversely affects claimant s right to benefits if it 1 results in a denial to him of benefits including a cancellation of benefits or wage credits or any reduction in whole or in part below the weekly or maximum amount established by his monetary determination for any week or other period or 2 denies credit for a waiting week or 3 applies any disqualification or penalty or 4 determines that he has not satisfied a condition of eligibility requalification for benefits or purging a disqualification or 5 determines that an overpayment has been made or orders repayment or recoupment of any sum paid to him or 6 applies a previously determined overpayment penalty or order for repayment or recoupment or 7 in any other way denies claimant a right to benefits under the State law. in the application thereof affecting the denial or reduction or c there is a change in the amount of the reduction except as to the balance covered by the last reduction in a series of reductions. NOTE This procedure may be applied to determinations made with respect to any subsequent weeks for the same reason and on the basis of the same facts a that claimant is unable to work unavailable for work or is disqualified under the labor dispute provision and b reducing claimant s weekly benefit amount because of income other than earnings or offset by reason of overpayment. 2. The agency must include in written notices of determinations furnished to claimants sufficient information to enable them to understand the determinations the reasons therefore and their rights to protest request reconsideration or appeal. The written notice of monetary determination must contain the information specified in the following items except h unless an item is specifically not applicable. A written notice of any other determination must contain the information specified in as many of the following items as are necessary to enable the claimant to understand the determination and to inform him of his appeal rights. Information specifically applicable to the individual claimant must be contained in the written notice of determination. Information of general application such as but not limited to the explanation of benefits for partial unemployment information as to deductions seasonality factors and information as to the manner and place of taking an appeal extension of the appeal period and where to obtain information and assistance may be contained in a booklet or leaflet which is given the claimant with his monetary determination. a. Base period wages. The statement concerning base-period wages must be in sufficient detail to show the basis of computation of eligibility and weekly and maximum benefit amounts. If maximum benefits are allowed it may not be necessary to show details of earnings. b. Employer name. The name of the employer who reported the wages is necessary so that the worker may check the wage transcript and know whether it is correct. If the worker is given only the employer number he may not be able to check the accuracy of the wage transcript. c. Explanation of benefit formula weekly and maximum benefit amounts. Sufficient information must be given the worker so that he will understand how his weekly benefit amount including allowances for dependents and his maximum benefit amount were figured. If benefits are computed by means of a table contained in the law the table must be furnished with the notice of determination whether benefits are granted or denied. The written notice of determination must show clearly the weekly benefit amount and the maximum potential benefits to which the claimant is entitled. The notice to a claimant found ineligible by reason of insufficient earnings in the base period must inform him clearly of the reason for ineligibility. An explanation of the benefit formula contained in a booklet or pamphlet should be given to each claimant at or prior to the time he receives written notice of a monetary determination. d. Benefit year. An explanation of what is meant by the benefit year and identification of the claimant s benefit year must be included in the notice of determination. e. Information as to benefits for partial unemployment. There must be included either in the written notice of determination or in a booklet or pamphlet accompanying the notice an explanation of the claimant s rights to partial benefits for any week with respect to which he is working less than his normal customary full-time workweek because of lack of work and for which he earns less than his weekly benefit amount or weekly benefit amount plus earnings whichever is provided by the State law. If the explanation is contained in the notice of determination reference to the item in the notice in which his weekly benefit amount is entered should be made. f. Deductions from weekly benefits. 1 Earnings. Although written notice of determinations deducting earnings from a claimant s weekly benefit amount is generally not required see paragraph 1 c 1 above where written notice of determination is required or given it shall set forth the amount of earnings the method of computing the deduction in sufficient detail to enable the claimant to verify the accuracy of the deduction and his right to protest request redetermination and appeal. Where a written notice of determination is given to the claimant because there has been A-5 November 2009 a change in the State law or in the application of the law an explanation of the change shall be included. Where claimant is not required to receive a written notice of determination he must be given a booklet or pamphlet the first time in his benefit year that there is a deduction for earnings which shall include the following information a The method of computing deductions for earnings in sufficient detail to enable the claimant to verify the accuracy of the deduction b That he will not automatically be given a written notice of determination for a week with respect to which there is a deduction for earnings unless there is a dispute concerning the reduction with respect to a week or there has been a change in the State law or in the application of the law affecting the deduction but that he may obtain such a written notice upon request and c A clear statement of his right to protest request a redetermination and appeal from any determination deducting earnings from his weekly benefit amount even though he does not automatically receive a written notice of determination and if the State law requires written notice of determination in order to effectuate a protest redetermination or appeal he must be so advised and advised also that he must request a written notice of determination before he takes any such action. 2 Other deductions. a A written notice of determination is required with respect to the first week in claimant s benefit year in which there is a reduction from his benefits for a reason other than earnings. This notice must describe the deduction made from claimant s weekly benefit amount the reason for the deduction the method of computing it in sufficient detail to enable him to verify the accuracy of such deduction and his right to protest request redetermination or appeal. b A written notice of determination is not required for subsequent weeks that a deduction is made for the same reason and on the basis of the same facts if the notice of determination pursuant to 2 a or a booklet or pamphlet given him with such notice explains i the several kinds of deductions which may be made under the State law e.g. retirement pensions vacation pay and overpayments ii the method of computing each kind of deduction in sufficient detail that claimant will be able to verify the accuracy of deductions made from his weekly benefit payments iii any limitation on the amount of any deduction or the time in which any deduction may be made iv that he will not automatically be given a written notice of determination for subsequent weeks with respect to which there is a deduction for the same reason and on the basis of the same facts but that he may obtain a written notice of determination upon request v his right to protest request redetermination or appeal with respect to subsequent weeks for which there is a reduction from his benefits for the same reason and on the basis of the same facts even though he does not automatically receive a written notice of determination and vi that if the State law requires written notice of determination in order to effectuate a protest redetermination or appeal he must be so advised and advised also that he must request a written notice of determination before he takes any such action. g. Seasonality factors. If the individual s determination is affected by seasonality factors under the State law an adequate explanation must be made. General explanation of seasonality factors which may affect determinations for subsequent weeks may be included in a booklet or pamphlet given claimant with his notice of monetary determination. h. Disqualification or ineligibility. If a disqualification is imposed or if the claimant is declared ineligible for one or more weeks he must be given not only a statement of the period of disqualification or ineligibility and the amount of wage-credit reductions if any but also an explanation of the reason for the ineligibility or disqualification. This explanation must be sufficiently detailed so that he will understand why he is ineligible or why he has been disqualified and what he must do in order to requalify for benefits or purge the disqualification. The statement must be individualized to indicate the facts upon which the determination was based e.g. state It is found that you left your work with Blank Company because you were tired of working the separation was voluntary and the reason does not constitute good cause rather than merely the phrase voluntary quit. Checking a box as to the reason for the disqualification is not a sufficiently detailed explanation. However this statement of the reason for the disqualification need not be a restatement of all facts considered in arriving at the determination. i. Appeal rights. The claimant must be given information with respect to his appeal rights. 1 The following information shall be included in the notice of determination a A statement that he may appeal or if the State law requires or permits a protest or redetermination before an appeal that he may protest or request a redetermination. b The period within which an appeal protest or request for redetermination must be filed. The number of days provided by statute must be shown as well as either the beginning date or ending date of the period. It is recommended that the ending date of the appeal period be shown as this is the more understandable of the alternatives. 2 The following information must be included either in the notice of determination or in separate informational material referred to in the notice a The manner in which the appeal protest or request for redetermination must be filed e.g. by signed letter written statement or on a prescribed form and the place or places to which the appeal protest or request for redetermination may be mailed or hand- delivered. b An explanation of any circumstances such as nonworkdays good cause etc. which will extend the period for the appeal protest or request for redetermination beyond the date stated or identified in the notice of determination. c That any further information claimant may need or desire can be obtained together with assistance in filing his appeal protest or request for redetermination from the local office. If the information is given in separate material the notice of determination would adequately refer to such material if it said for example For other information about your appeal protest redetermination rights see pages ll to ll of the llll name of pamphlet or booklet heretofore furnished to you. 6014 Separation Information Requirements Designed To Meet Department of Labor Criteria A. Information to agency. Where workers are separated employers are required to furnish the agency promptly either upon agency request or upon such separation a notice describing the reasons for and the circumstances of the separation and any additional information which might affect a claimant s right to benefits. Where workers are working less than full time employers are required to furnish the agency promptly upon agency request information concerning a claimant s hours of work and his wages during the claim periods involved and other facts which might affect a claimant s eligibility for benefits during such periods. When workers are separated and the notices are obtained on a request basis or when workers are working less than full time and the agency requests information it is essential to the prompt processing of claims that the request be sent out promptly after the claim is filed and the employer be given a specific period within which to return the notice preferably within 2 working days. When workers are separated and notices are obtained upon separation it is essential that the employer be required to send the notice to the agency with sufficient promptness to insure that if a claim is filed it may be processed promptly. Normally it is desirable that such a notice be sent to the central office of the agency since the employer may not know in which local office the workers will file his claim. The usual procedure is for the employer to give the worker a copy of the notice sent by the employer to the agency. B. Information to worker. 1. Information required to be given. Employers are required to give their employees information and instructions concerning the employees potential rights to benefits and concerning registration for work and filing claims for benefits. The information furnished to employees under such a requirement need not be elaborate it need only be adequate to insure that the worker who is separated or who is working less than full time knows he is potentially eligible for benefits and is informed as to what he is to do or where he is to go to file his A-6 November 2009 claim and register for work. When he files his claim he can obtain more detailed information. In States that do not require employers to furnish periodically to the State agency detailed reports of the wages paid to their employees each employer is required to furnish to his employees information as to a the name under which he is registered by the State agency b the address where he maintains his payroll records and c the workers need for this information if and when they file claims for benefits. 2. Methods for giving information. The information and instructions required above may be given in any of the following ways a. Posters prominently displayed in the employer s establishment. The State agency should supply employers with a sufficient number of posters for distribution throughout their places of business and should see that the posters are conspicuously displayed at all times. b. Leaflets. Leaflets distributed either periodically or at the time of separation or reduction of hours. The State agency should supply employers with a sufficient number of leaflets. c. Individual notices. Individual notices given to each employee at the time of separation or reduction in hours. It is recommended that the State agency s publicity program be used to supplement the employer- information requirements. Such a program should stress the availability and location of claim-filing offices and the importance of visiting those offices whenever the worker is unemployed wishes to apply for benefits and to seek a job. 6015 Evaluation of Alternative State Provisions with Respect to Claim Determinations and Separation Information. If the State law provisions do not conform to the suggested requirements set forth in sections 6013 and 6014 but the State law contains alternative provisions the Bureau of Employment Security in collaboration with the State agency will study the actual or anticipated effects of the alternative provisions. If the Administrator of the Bureau concludes that the alternative provisions satisfy the criteria in section 6012 he will so notify the State agency. If the Administrator of the Bureau does not so conclude he will submit the matter to the Secretary. If the Secretary concludes that the alternative provisions satisfy the criteria in section 6012 the State agency will be so notified. If the Secretary concludes that there is a question as to whether the alternative provisions satisfy the criteria the State agency will be advised that unless the State law provisions are appropriately revised a notice of hearing will be issued as required by the Code of Federal Regulations title 20 section 601.5. PART 603 INCOME AND ELIGIBILITY VERIFICATION SYSTEM Sec. 603.1 Purpose. Subpart A Income and Eligibility Verification System 603.2 Definitions. 603.3 Eligibility condition for claimants. 603.4 Notification to claimants. 603.5 Disclosure of information. 603.6 Agreement between State unemployment compensation agency and requesting agency. 603.7 Protection of confidentiality. 603.8 Obtaining information from other agencies and crossmatching with wage information. 603.9 Effective date of rule. Subpart B Quarterly Wage Reporting 603.20 Effective date of rule. 603.21 Alternative system. AUTHORITY Sec. 1102 Social Security Act ch. 531 49 Stat. 647 as amended 42 U.S.C 1302 Reorganization Plan No. 2 of 1949 63 Stat. 1065 14 FR 5225. SOURCE 51 FR 7207 Feb. 28 1986 unless otherwise noted. 603.1 Purpose. a Section 2651 of Public Law 98 369 the Deficit Reduction Act of 1984 amended title XI of the Social Security Act to include a requirement that States have an income and eligibility verification system in effect which would be used in verifying eligibility for and the amount of benefits available under several Federally assisted programs including the Federal-State unemployment compensation program. The Act requires that employers in each State make quarterly wage reports to a State agency which may be the State unemployment compensation agency and that wage information and benefit information obtained from other agencies be used in verifying eligibility for benefits. The requirement of quarterly wage reporting may be waived if the Secretary of Labor in consultation with the Secretary of Health and Human Services and the Secretary of Agriculture determines the State has in effect an alternative system which is as effective and timely as quarterly wage reporting for the purposes of providing employment related income and eligibility data. b Section 2651 d of Public Law 98 396 added a new section 303 f of the Social Security Act 42 U.S.C. 503 f to provide that the agency charged with the administration of the State unemployment compensation law shall provide that information shall be requested and exchanged for purposes of income and eligibility verification in accordance with a State system which meets the requirements of section 1137 of the Social Security Act as added by Public Law 98 369. The regulations in this part are issued to implement this requirement. Subpart A Income and Eligibility Verification System 603.2 Definitions. For the purposes of this part a State unemployment compensation agency means the agency charged with the administration of the unemployment compensation law approved by the Secretary of Labor under section 3304 of the Internal Revenue Code of 1954 26 U.S.C. 3304 . b Wage information means information about wages as defined in the State s unemployment compensation law and includes the Social Security Number or numbers if more than one and quarterly wages of an employee and the name address State and when known Federal employer identification number of an employer reporting wages under a State unemployment compensation law except that in a State in which wages are not required ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 1 November 2009 APPENDIX B Claimant Questionnaires y BAM Paid Claims Claimant Questionnaire B-2 y Denials Monetary Claimant Questionnaire B-10 y Denials Separations Claimant Questionnaire B-14 y Denials Nonseparations Claimant Questionnaire B-16 y Employer Questionnaire and Verification B-21 y Key Week Error Summary Worksheet B-23 ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 2 Page 1 of 8 November 2009 BENEFITS ACCURACY MEASUREMENT CLAIMANT QUESTIONNAIRE - PAID CLAIM Batch Seq Please answer the following questions as accurately as possible. If you do not know the answer leave it blank. The interviewer will discuss it with you later. It you need help please ask. Please print clearly. Your answers will be used to determine if your unemployment insurance benefits were properly paid. This information will be verified. The last page of this questionnaire is for recording your work history. Benefit Accuracy Measurement BAM audits randomly selected paid and denied Unemployment Compensation UC claims to verify their accuracy. Failures to report disclose or provide information when directed or to complete the BAM questionnaire by the due date may result in a delay or in a denial of benefits. Your responses are subject to state confidentiality statutes which must conform to Federal regulations 20 CFR Part 603 . State and Federal agencies safeguard the confidentiality of the BAM information by 1 using the information only for purposes of verifying claimant eligibility for UC and identifying general descriptive characteristics about the Unemployment Insurance program 2 permitting access to the information by only authorized persons 3 ensuring that the physical and electronic storage of the information is secure and 4 publishing the results of the BAM audits in a format that precludes the identification of any individual providing the information. 1. Name First Middle Last In the past three years if you were known or earned income by another name enter it here 10. Race - Indicate by selecting one or more of the following White Black or African-American Asian American Indian or Alaska Native Native Hawaiian or other Pacific Islander Unknown 2. Social Security Number In the past three years if you earned income under another Social Security Number SSN enter the SSN here 11. Ethnic Group - Indicate by selecting one of the following Not Hispanic or Latino Hispanic or Latino Unknown 3. Street Address Apt Number 12. US Citizen Yes No If No Alien Registration 4. City State ZIP 5. Mailing Address if different 13. Highest level of education completed circle one Grade School - 0 1 2 3 4 5 6 7 8 High School - 9 10 11 12 Some College Associate Degree BA BS Graduate School Major Field of Study 6. If you have moved since you first filed for unemployment benefits on enter your address when you first filed 14. Have you had vocational or technical school training Yes No Type of certificate 7. Telephone Number include area code 15. Circle the days of the week you usually work. SUN MON TUES WED THURS FRI SAT Do you usually work part time Yes No 8. Date of Birth MM DD YYYY 16. Circle the days of the week you are willing and able to work. SUN MON TUES WED THURS FRI SAT Are you only seeking part time work Yes No 9. Gender Male Female 17. What hours or shifts do you usually work 1 st shift Day 2 nd shift Swing 3 rd shift Night Other shift including rotation ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 3 Page 2 of 8 November 2009 BENEFITS ACCURACY MEASUREMENT CLAIMANT QUESTIONNAIRE - PAID CLAIM 18. What hours are you willing and able to work on a job FROM am TO pm OR FROM am TO pm 19. Which shifts are you willing and able to work on a job 1 st shift Day 2 nd shift Swing 3 rd shift Night Other shift including rotation 20. In the last 18 months what has been your normal wage for the work you usually do per 21. What is the lowest rate of pay you will accept for a job per 22. In the last 18 months what has been your usual occupation What are your main job duties at your usual work 23. Do you expect to be called back to work by any past employer Yes No If Yes please answer the following Do you have or have you received a recall notice Yes No When were you told you would be recalled Month Day Year Who notified you When will you report back to work Name Address and Phone Number of employer WORK SEARCH The next group of questions asks about your efforts to find work. Some of these questions will refer to a specific week called THE WEEK . THE WEEK is the week that began on and ended on . Please keep these dates in mind when answering the questions about THE WEEK . 24. How many miles are you willing to travel one-way daily to a job 31. During THE WEEK did the State Employment Service refer you to any jobs Yes No 25. How many minutes or hours are you willing to travel one way daily to a job 26. Do you have a valid driver s license Yes No 32. What were the results of these referrals Have you received any referrals from the State Employment Services since you opened your current claim Yes No If Yes to how many jobs were you referred 27. By what means do you normally travel to look for work Check all that apply Personally owned vehicle Borrow a vehicle Ride with friends Public transportation or relatives Other specify Do you have transportation to get to and from a job Yes No 28. Would a job have to last a certain period of time before you would accept it Yes No If Yes explain 29. What is the type of work you are looking for a. b. What is the length and type of experience you have in these occupations a. b. 30. Have you registered with the State Employment Service to find work since you first filed for unemployment benefits on Yes No 33. Have you registered with a private employment agency since you first filed for unemployment benefits on Yes No If Yes when did you register with the agency Name Address Phone Number of Agency During THE WEEK did the Agency refer you to any jobs Yes No If Yes to how many jobs were you referred What were the results of these referrals ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 4 Page 3 of 8 November 2009 THE WEEK is the week that began on and ended on . 36. During THE WEEK did you have or a member of your immediate family any health problem handicap or disability that limited your ability to do your usual work or to look for work Yes No If Yes explain 37. During THE WEEK did you have any dependent s or other person s for whom you provided care during your normal working hours Yes No If No go to Question 38. If Yes was there some other person or place available to provide care Yes No If Yes provide the name address and phone number of the care provider 38. During THE WEEK was there any day s that you were NOT available for work Yes No If Yes list the day s and reason s you were NOT available 39. During THE WEEK was there any reason that you could NOT accept full-time work Yes No If Yes explain 34. During THE WEEK were you an active member of a union Yes No If Yes complete the following Union Name Local Number Address Phone Number Does your union a have a local hiring hall Yes No Are your dues considered current Yes No Whom do you contact at the local Do you get work ONLY through the union Yes No Will you accept a non-union job Yes No During THE WEEK were you eligible to be referred to jobs by the union Yes No If No explain During THE WEEK were you on the out-of-work list Yes No If Yes when was the last time you signed the list If No explain During THE WEEK how many jobs were you referred to by the union What were the results of these referrals 40. During THE WEEK were you an officer of a corporation union or other organization Yes No If Yes give name of organization and office held 35. During THE WEEK were you attending school or enrolled in a training program Yes No If Yes complete the following Name Address Phone Number of school or training program Is the schooling or training related either to the type of work you usually do or the type of work you are seeking Yes No Do you have or can you obtain evidence that you are making satisfactory progress Yes No 41. During THE WEEK did you need any special licenses or certificates to do the type of work you are seeking Yes No If Yes did you have the license or certificate needed Yes No What kind of license or certificate is it When does it expire ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 5 Page 4 of 8 November 2009 42. WORK SEARCH CONTACTS Complete the following information for the job contacts you made during THE WEEK. If you had more than four job contacts the interviewer will give you another worksheet. List all job contacts you made during THE WEEK including those with unions private employment agencies and the State Employment Service. THE WEEK is the week that began on and ended on . 1. Employer Name Contact Date Method of Contact In Person Mail Telephone Fax Internet Other Specify Address Employer Phone include area code Application taken Yes No Resume submitted Yes No City State Zip Type of work applied for Was a job offered Yes No 2. Employer Name Contact Date Method of Contact In Person Mail Telephone Fax Internet Other Specify Address Employer Phone include area code Application taken Yes No Resume submitted Yes No City State Zip Type of work applied for Was a job offered Yes No 3. Employer Name Contact Date Method of Contact In Person Mail Telephone Fax Internet Other Specify Address Employer Phone include area code Application taken Yes No Resume submitted Yes No City State Zip Type of work applied for Was a job offered Yes No 4. Employer Name Contact Date Method of Contact In Person Mail Telephone Fax Internet Other Specify Address Employer Phone include area code Application taken Yes No Resume submitted Yes No City State Zip Type of work applied for Was a job offered Yes No Please indicate a ny other job-development activities you engaged in during THE WEEK such as networking resume writing visiting web sites or employment agencies job clubs etc. ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 6 Page 5 of 8 November 2009 THE WEEK is the week that began on and ended on . 43. During THE WEEK did you get any job offers either from the contacts you listed in question 42 or from contacts you made in previous weeks Yes No If Yes did you accept any jobs offered to you Yes No If No why not If Yes complete the following Date you accepted the offer Date you began or will begin work Name address and phone number of employer 45a. Check all of the following sources of income you had during THE WEEK excluding unemployment compensation and list the amount you received from each source for THE WEEK even if you were paid at some other time. None If None go to Question 45b Wages Earnings from self-employment or contract labor Commission Payments Reserve or National Guard Pay Separation or Severance Pay Holiday Pay Wages in Lieu of Notice Vacation Pay Tips or Gratuities Workers Compensation Disability Payments Do NOT include Social Security or Veteran s Benefits Other specify 44. During THE WEEK did you do work of any kind Yes No If Yes what type of work did you do Days and times worked Name address and phone number of employer Are you still working for this employer Yes No If no provide the reason you are no longer employed 45b. During THE WEEK were you entitled to any Social Security pension or retirement fund payments Yes No If No go to Question 46 If Yes give the amount you received Social Security Veterans Benefits Railroad Retirement Federal Civil Service Retirement U.S. Military Retirement State Local Government Retirement Private Employer or Union Pension Other ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 7 Page 6 of 8 November 2009 BENEFITS ACCURACY MEASUREMENT CLAIMANT QUESTIONNAIRE - PAID CLAIM 47. Have you had any problems with your unemployment insurance claim Yes No If Yes explain 46. Did you receive information about your unemployment benefits rights and responsibilities when you first filed for benefits Yes No If Yes how was this information given to you Check ALL that apply In-person individual interview Group interview Booklet or Pamphlet Internet telephone other multimedia Other specify 48. Do you have any questions to ask about your unemployment insurance claim or about your responsibilities and rights as an unemployment insurance claimant Yes No If Yes explain Please complete your work history on the following page. 49. Between the day you filed for unemployment benefits and day that you completed this questionnaire have you worked for any employers Yes No If yes are you still working for this employer Yes No If No Why are you no longer working for this employer I have understood the questions on this questionnaire and I have answered them truthfully to the best of my knowledge. I know my answers will be used to determine if my unemployment benefits were paid properly. I know the law provides penalties for false statements made to obtain benefits. I also know that my answers will be verified. Claimant s Signature Date Signed Interviewer s Signature Date Signed AGENCY USE ONLY Information obtained by Mail Fax Phone In-person E-mail Please complete your work history on the following page s . ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 8 Page 7 of 8 November 2009 BENEFITS ACCURACY MEASUREMENT CLAIMANT QUESTIONNAIRE - PAID CLAIM EMPLOYMENT HISTORY PAGE 1 Please provide the following information about employers for whom you worked. Begin with your most recent employer and work back to the date shown. Include ALL employment i.e. full time part time out of state federal employment or contract work . FROM THE PRESENT BACK TO MONTH DAY YEAR CURRENT OR MOST RECENT 2 ND MOST RECENT 3 RD MOST RECENT 4 TH MOST RECENT Employer Name Employer Name Employer Name Employer Name Address Address Address Address Location of Job Site Location of Job Site Location of Job Site Location of Job Site Telephone Number Telephone Number Telephone Number Telephone Number Type of work Check all that apply Full time Part Time Contract Federal Military Type of work Check all that apply Full time Part Time Contract Federal Military Type of work Check all that apply Full time Part Time Contract Federal Military Type of work Check all that apply Full time Part Time Contract Federal Military Length of Employment First day Last day Length of Employment First day Last day Length of Employment First day Last day Length of Employment First day Last day Your Job Title Your Job Title Your Job Title Your Job Title Your Wages on this Job Per Your Wages on this Job Per Your Wages on this Job Per Your Wages on this Job Per What were your main job duties What were your main job duties What were your main job duties What were your main job duties Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 9 Page 8 of 8 November 2009 BENEFITS ACCURACY MEASUREMENT CLAIMANT QUESTIONNAIRE - PAID CLAIM EMPLOYMENT HISTORY PAGE 2 Please continue to provide the following information about employers for whom you worked. Continue your work history from the prior page and work back to the date shown below. Include ALL employment i.e. full time part time out of state federal employment or contract work . FROM THE PRESENT BACK TO MONTH DAY YEAR 5 TH MOST RECENT 6 TH MOST RECENT 7 RD MOST RECENT 8 TH MOST RECENT Employer Name Employer Name Employer Name Employer Name Address Address Address Address Location of Job Site Location of Job Site Location of Job Site Location of Job Site Telephone Number Telephone Number Telephone Number Telephone Number Type of work Check all that apply Full time Part Time Contract Federal Military Type of work Check all that apply Full time Part Time Contract Federal Military Type of work Check all that apply Full time Part Time Contract Federal Military Type of work Check all that apply Full time Part Time Contract Federal Military Length of Employment First day Last day Length of Employment First day Last day Length of Employment First day Last day Length of Employment First day Last day Your Job Title Your Job Title Your Job Title Your Job Title Your Wages on this Job Per Your Wages on this Job Per Your Wages on this Job Per Your Wages on this Job Per What were your main job duties What were your main job duties What were your main job duties What were your main job duties Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 10 Page 1 of 4 November 2009 BENEFITS ACCURACY MEASUREMENT CLAIMANT QUESTIONNAIRE - MONETARY DENIAL CLAIM Batch Seq Please answer the following questions as accurately as possible. If you do not know the answer leave it blank. The interviewer will discuss it with you later. It you need help please ask. Please print clearly. Your answers will be used to determine if the decision to deny your unemployment insurance benefits was proper. This information will be verified. The last page of this questionnaire is for recording your work history. Benefit Accuracy Measurement BAM audits randomly selected paid and denied Unemployment Compensation UC claims to verify their accuracy. Failures to report disclose or provide information when directed or to complete the BAM questionnaire by the due date may result in a delay or in a denial of benefits. Your responses are subject to state confidentiality statutes which must conform to Federal regulations 20 CFR Part 603 . State and Federal agencies safeguard the confidentiality of the BAM information by 1 using the information only for purposes of verifying claimant eligibility for UC and identifying general descriptive characteristics about the Unemployment Insurance program 2 permitting access to the information by only authorized persons 3 ensuring that the physical and electronic storage of the information is secure and 4 publishing the results of the BAM audits in a format that precludes the identification of any individual providing the information. 1. Name First Middle Last In the past three years if you were known or earned income by another name enter it here 11. Ethnic Group - Indicate by selecting one of the following Not Hispanic or Latino Hispanic or Latino Unknown 2. Social Security Number In the past three years if you earned income under another Social Security Number SSN enter the SSN here 12. US Citizen Yes No If No Alien Registration 3. Street Address Apt Number 4. City State ZIP code 13. Highest level of education completed circle one Grade School - 0 1 2 3 4 5 6 7 8 High School - 9 10 11 12 Some College Associate Degree BA BS Graduate School Major Field of Study 5. Mailing Address if different 14. Have you had vocational or technical school training Yes No Type of certificate 6. If you have moved since you first filed for unemployment benefits on enter your address when you first filed 7. Telephone Number include area code 8. Date of Birth MM DD YYYY 9. Gender Male Female 15. Are you currently attending school or enrolled in a training program Yes No If Yes provide the following Name Address Phone Number of school or training program Do you have or can you obtain evidence that you are making satisfactory progress Yes No 10. Race - Indicate by selecting one or more of the following White Black or African-American Asian American Indian or Alaska Native Native Hawaiian or other Pacific Islander Unknown 16. In the last 18 months what has been your usual occupation What are your main job duties at your usual work ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 11 Page 2 of 4 November 2009 BENEFITS ACCURACY MEASUREMENT CLAIMANT QUESTIONNAIRE - MONETARY DENIAL CLAIM 17. What type of work are you looking for Months Years experience in this type of work Are you only seeking part time work Yes No 18. In the last 18 months what has been your normal wage for the work you usually do per What is the lowest rate of pay you will accept for a job per 20. Do you need any special licenses or certificates to do the type of work you are seeking Yes No If Yes did you have the license or certificate needed Yes No What kind of license or certificate is it When does it expire 19. Did you receive information about your unemployment benefits rights and responsibilities when you first filed for benefits Yes No If Yes how was this information given to you Check ALL that apply In-person individual interview Group interview Booklet or Pamphlet Internet telephone other multimedia Other specify 21. Were you entitled to any Social Security pension or retirement fund payments since the effective date of your current claim Yes No If Yes give the amount you received Social Security Veterans Benefits Railroad Retirement Federal Civil Service Retirement U.S. Military Retirement State Local Government Retire. Private Employer or Union Pension Other specify Please complete your work history on the following page and sign the form. ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 12 Page 3 of 4 November 2009 BENEFITS ACCURACY MEASUREMENT CLAIMANT QUESTIONNAIRE - MONETARY DENIAL CLAIM EMPLOYMENT HISTORY PAGE 1 Please provide the following information about employers for whom you worked. Begin with your most recent employer and work back to the date shown. Include ALL employment i.e. full time part time out of state federal employment or contract work . FROM THE PRESENT BACK TO MONTH DAY YEAR CURRENT OR MOST RECENT 2 ND MOST RECENT 3 RD MOST RECENT 4 TH MOST RECENT Employer Name Employer Name Employer Name Employer Name Address Address Address Address Location of Job Site Location of Job Site Location of Job Site Location of Job Site Telephone Number Telephone Number Telephone Number Telephone Number Check all that apply Type of work Full time Part Time Contract Federal Military Check all that apply Type of work Full time Part Time Contract Federal Military Check all that apply Type of work Full time Part Time Contract Federal Military Check all that apply Type of work Full time Part Time Contract Federal Military Length of Employment First day Last day Length of Employment First day Last day Length of Employment First day Last day Length of Employment First day Last day Your Job Title Your Job Title Your Job Title Your Job Title Your Wages on this Job Per Your Wages on this Job Per Your Wages on this Job Per Your Wages on this Job Per What were your main job duties What were your main job duties What were your main job duties What were your main job duties Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons I have understood the questions on this questionnaire and I have answered them truthfully to the best of my knowledge. I know my answers will be used to determine if my unemployment benefits were denied properly. I know the law provides penalties for false statements made to obtain benefits. I also know that my answers will be verified. Claimant s Signature Date Signed Interviewer s Signature Date Signed AGENCY USE ONLY Information obtained by Mail Fax Phone In-person E-mail ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 13 Page 4 of 4 November 2009 BENEFITS ACCURACY MEASUREMENT CLAIMANT QUESTIONNAIRE - MONETARY DENIAL CLAIM EMPLOYMENT HISTORY PAGE 2 Please continue to provide the following information about employers for whom you worked. Continue your work history from the prior page and work back to the date shown below. Include ALL employment i.e. full time part time out of state federal employment or contract work . FROM THE PRESENT BACK TO MONTH DAY YEAR 5 TH MOST RECENT 6 TH MOST RECENT 7 RD MOST RECENT 8 TH MOST RECENT Employer Name Employer Name Employer Name Employer Name Address Address Address Address Location of Job Site Location of Job Site Location of Job Site Location of Job Site Telephone Number Telephone Number Telephone Number Telephone Number Type of work Check all that apply Full time Part Time Contract Federal Military Type of work Check all that apply Full time Part Time Contract Federal Military Type of work Check all that apply Full time Part Time Contract Federal Military Type of work Check all that apply Full time Part Time Contract Federal Military Length of Employment First day Last day Length of Employment First day Last day Length of Employment First day Last day Length of Employment First day Last day Your Job Title Your Job Title Your Job Title Your Job Title Your Wages on this Job Per Your Wages on this Job Per Your Wages on this Job Per Your Wages on this Job Per What were your main job duties What were your main job duties What were your main job duties What were your main job duties Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 14 Page 1 of 2 November 2009 BENEFITS ACCURACY MEASUREMENT CLAIMANT QUESTIONNAIRE - SEPARATION DENIAL CLAIM Batch Seq Please answer the following questions as accurately as possible. If you do not know the answer leave it blank. The interviewer will discuss it with you later. It you need help please ask. Please print clearly. Your answers will be used to determine if the decision to deny your unemployment insurance benefits was proper. This information will be verified. The last page of this questionnaire is for recording your work history. Benefit Accuracy Measurement BAM audits randomly selected paid and denied Unemployment Compensation UC claims to verify their accuracy. Failures to report disclose or provide information when directed or to complete the BAM questionnaire by the due date may result in a delay or in a denial of benefits. Your responses are subject to state confidentiality statutes which must conform to Federal regulations 20 CFR Part 603 . State and Federal agencies safeguard the confidentiality of the BAM information by 1 using the information only for purposes of verifying claimant eligibility for UC and identifying general descriptive characteristics about the Unemployment Insurance program 2 permitting access to the information by only authorized persons 3 ensuring that the physical and electronic storage of the information is secure and 4 publishing the results of the BAM audits in a format that precludes the identification of any individual providing the information. 1. Name First Middle Last In the past three years if you were known or earned income by another name enter it here 11. Ethnic Group - Indicate by selecting one of the following Not Hispanic or Latino Hispanic or Latino Unknown 2. Social Security Number In the past three years if you earned income under another Social Security Number SSN enter the SSN here 12. US Citizen Yes No If No Alien Registration 3. Street Address Apt Number 4. City State ZIP code 13. Highest level of education completed circle one Grade School - 0 1 2 3 4 5 6 7 8 High School - 9 10 11 12 Some College Associate Degree BA BS Graduate School Major Field of Study 5. Mailing Address if different 14. Have you had vocational or technical school training Yes No Type of certificate 6. If you have moved since you first filed for unemployment benefits on enter your address when you first filed 7. Telephone Number include area code 8. Date of Birth MM DD YYYY 9. Gender Male Female 15. Are you currently attending school or enrolled in a training program Yes No If Yes complete the following Name Address Phone Number of school or training program Do you have or can you obtain evidence that you are making satisfactory progress Yes No 10. Race - Indicate by selecting one or more of the following White Black or African-American Asian American Indian or Alaska Native Native Hawaiian or other Pacific Islander Unknown 16. In the last 18 months what has been your usual occupation What are your main job duties at your usual work ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 15 Page 2 of 2 November 2009 BENEFITS ACCURACY MEASUREMENT CLAIMANT QUESTIONNAIRE - SEPARATION DENIAL CLAIM 17. What type of work are you looking for Months Years experience in this type of work 18. In the last 18 months what has been your normal wage for the work you usually do per What is the lowest rate of pay you will accept for a job per 21. Do you need any special licenses or certificates to do the type of work that you are seeking Yes No If Yes did you have the license or certificate needed Yes No What kind of license or certificate is it When does it expire 19. Did you receive information about your unemployment benefits rights and responsibilities when you first filed for benefits Yes No If Yes how was this information given to you Check ALL that apply In-person individual interview Group interview Booklet or Pamphlet Internet telephone other multimedia Other specify 22. In your usual job do you normally work part time Yes No Are you only seeking part time work Yes No 20. Name address and telephone number of last employer Work site Your job title 23. Reason for Separation Check block that indicates why you are no longer working for this employer. Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Quit to move with spouse Other Compelling Reasons explain 24. Between the last day you worked for your last employer and the time you filed for unemployment benefits did you work for any other employer Yes No If Yes provide the name address and phone number for this employer If yes are you still working for this employer Yes No If No Why are you no longer working for this employer I have understood the questions on this questionnaire and I have answered them truthfully to the best of my knowledge. I know my answers will be used to determine if my unemployment benefits were denied properly. I know the law provides penalties for false statements made to obtain benefits. I also know that my answers will be verified. Claimant s Signature Date Signed Interviewer s Signature Date Signed AGENCY USE ONLY Information obtained by Mail Fax Phone In-person E-mail ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 16 Page 1 of 5 November 2009 BENEFITS ACCURACY MEASUREMENT CLAIMANT QUESTIONNAIRE - NONSEPARATION DENIAL CLAIM Batch Seq Please answer the following questions as accurately as possible. If you do not know the answer leave it blank. The interviewer will discuss it with you later. It you need help please ask. Please print clearly. Your answers will be used to determine if the decision to deny your unemployment insurance benefits was proper. This information will be verified. The last page of this questionnaire is for recording your work history. Benefit Accuracy Measurement BAM audits randomly selected paid and denied Unemployment Compensation UC claims to verify their accuracy. Failures to report disclose or provide information when directed or to complete the BAM questionnaire by the due date may result in a delay or in a denial of benefits. Your responses are subject to state confidentiality statutes which must conform to Federal regulations 20 CFR Part 603 . State and Federal agencies safeguard the confidentiality of the BAM information by 1 using the information only for purposes of verifying claimant eligibility for UC and identifying general descriptive characteristics about the Unemployment Insurance program 2 permitting access to the information by only authorized persons 3 ensuring that the physical and electronic storage of the information is secure and 4 publishing the results of the BAM audits in a format that precludes the identification of any individual providing the information. 1. Name First Middle Last In the past three years if you were known or earned income by another name enter it here 11. Ethnic Group - Indicate by selecting one of the following Not Hispanic or Latino Hispanic or Latino Unknown 2. Social Security Number In the past three years if you earned income under another Social Security Number SSN enter the SSN here 12. US Citizen Yes No If No Alien Registration 3. Street Address Apt Number 4. City State ZIP code 13. Highest level of education completed circle one Grade School - 0 1 2 3 4 5 6 7 8 High School - 9 10 11 12 Some College Associate Degree BA BS Graduate School Major Field of Study 5. Mailing Address if different 14. Have you had vocational or technical school training Yes No Type of certificate 6. If you have moved since you first filed for unemployment benefits on enter your address when you first filed 7. Telephone Number include area code 8. Date of Birth MM DD YYYY 9. Gender Male Female 15. Are you currently attending school or enrolled in a training program Yes No If Yes complete the following Name Address Phone Number of school or training program Do you have or can you obtain evidence that you are making satisfactory progress Yes No 10. Race - Indicate by selecting one or more of the following White Black or African-American Asian American Indian or Alaska Native Native Hawaiian or other Pacific Islander Unknown 16. In the last 18 months what has been your usual occupation What are your main job duties at your usual work ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 17 Page 2 of 5 November 2009 BENEFITS ACCURACY MEASUREMENT CLAIMANT QUESTIONNAIRE - NONSEPARATION DENIAL CLAIM 17. What type of work are you looking for Months Years experience in this type of work 18. In the last 18 months what has been your normal wage for the work you usually do per What is the lowest rate of pay you will accept for a job per 22. Do you need any special licenses or certificates to do the type of work you are seeking Yes No If Yes did you have the license or certificate needed Yes No What kind of license or certificate is it When does it expire 19. Did you receive information about your unemployment benefits rights and responsibilities when you first filed for benefits Yes No If Yes how was this information given to you Check ALL that apply In-person individual interview Group interview Booklet or Pamphlet Internet telephone other multimedia Other specify 23. Have you registered with the State Employment Service since you filing for unemployment benefits on Yes No If Yes date Number of referrals What were the results of these referrals 20. Are you entitled to any Social Security pension or retirement fund payments Yes No If Yes give the amount you received Social Security Veterans Benefits Railroad Retirement Federal Civil Service Retirement U.S. Military Retirement State Local Government Retirement Private Employer or Union Pension Other specify 24. Have you registered with a private employment agency since you first filed for unemployment benefits on Yes No If Yes number of referrals What were the results of these referrals 21. Do you expect to be called back to work by any past employer Yes No If Yes please answer the following Do you have or have you received a recall notice Yes No When were you told you would be recalled Month Day Year Who notified you When will you report back to work Name Address and Phone Number of employer 25. Are you a member of a Union Yes No If Yes complete the following Union Name Local Number Address Phone Number Whom do you contact at the local Does your union have a local hiring hall Yes No Are your dues considered current Yes No Do you get work ONLY through the union Yes No Will you accept a non-union job Yes No Are you eligible to be referred to jobs by the union Yes No If No explain Are you on the out-of-work list Yes No If Yes when was the last time you signed the list If No explain How many jobs were you referred to by the union What were the results of these referrals ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 18 Page 3 of 5 November 2009 BENEFITS ACCURACY MEASUREMENT CLAIMANT QUESTIONNAIRE - NONSEPARATION DENIAL CLAIM 26. During the period that you where denied did you have or a member of your immediate family any health problem handicap or disability that limited your ability to do your usual work or to look for work Yes No If Yes explain 27. During the period you where denied did you have any dependent s or other person s for whom you provided care during your normal working hours Yes No If No go to Question 28. If Yes was there some other person or place available to provide care Yes No If Yes provide the name address and phone number of the care provider 28. During the period you where denied did you have transportation to get to and from a job Yes No 29. Did you actively seek work during the week of Yes No If Yes complete the following 1. Employer Name Contact Date Method of Contact In Person Mail Telephone Fax Internet Other Specify Address Employer Phone include area code Application taken Yes No Resume submitted Yes No City State Zip Type of work applied for Was a job offered Yes No 2. Employer Name Contact Date Method of Contact In Person Mail Telephone Fax Internet Other Specify Address Employer Phone include area code Application taken Yes No Resume submitted Yes No City State Zip Type of work applied for Was a job offered Yes No 3. Employer Name Contact Date Method of Contact In Person Mail Telephone Fax Internet Other Specify Address Employer Phone include area code Application taken Yes No Resume submitted Yes No City State Zip Type of work applied for Was a job offered Yes No 4. Employer Name Contact Date Method of Contact In Person Mail Telephone Fax Internet Other Specify Address Employer Phone include area code Application taken Yes No Resume submitted Yes No City State Zip Type of work applied for Was a job offered Yes No Please indicate any other job-development activities you engaged in during THE WEEK such as networking resume writing visiting web sites or employment agencies. ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 19 Page 4 of 5 November 2009 BENEFITS ACCURACY MEASUREMENT CLAIMANT QUESTIONNAIRE - NONSEPARATION DENIAL CLAIM EMPLOYMENT HISTORY PAGE 1 Please provide the following information about employers for whom you worked. Begin with your most recent employer and work back to the date shown. Include ALL employment i.e. full time part time out of state federal employment or contract work . FROM THE PRESENT BACK TO MONTH DAY YEAR CURRENT OR MOST RECENT 2 ND MOST RECENT 3 RD MOST RECENT 4 TH MOST RECENT Employer Name Employer Name Employer Name Employer Name Address Address Address Address Location of Job Site Location of Job Site Location of Job Site Location of Job Site Telephone Number Telephone Number Telephone Number Telephone Number Type of work Check all that apply Full time Part Time Contract Federal Military Type of work Check all that apply Full time Part Time Contract Federal Military Type of work Check all that apply Full time Part Time Contract Federal Military Type of work Check all that apply Full time Part Time Contract Federal Military Length of Employment First day Last day Length of Employment First day Last day Length of Employment First day Last day Length of Employment First day Last day Your Job Title Your Job Title Your Job Title Your Job Title Your Wages on this Job Per Your Wages on this Job Per Your Wages on this Job Per Your Wages on this Job Per What were your main job duties What were your main job duties What were your main job duties What were your main job duties Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons I have understood the questions on this questionnaire and I have answered them truthfully to the best of my knowledge. I know my answers will be used to determine if my unemployment benefits were denied properly. I know the law provides penalties for false statements made to obtain benefits. I also know that my answers will be verified. Claimant s Signature Date Signed Interviewer s Signature Date Signed AGENCY USE ONLY Information obtained by Mail Fax Phone In-person E-mail ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 20 Page 5 of 5 November 2009 BENEFITS ACCURACY MEASUREMENT CLAIMANT QUESTIONNAIRE - NONSEPARATION DENIAL CLAIM EMPLOYMENT HISTORY PAGE 2 Please continue to provide the following information about employers for whom you worked. Continue your work history from the prior page and work back to the date shown below. Include ALL employment i.e. full time part time out of state federal employment or contract work . FROM THE PRESENT BACK TO MONTH DAY YEAR 5 TH MOST RECENT 6 TH MOST RECENT 7 RD MOST RECENT 8 TH MOST RECENT Employer Name Employer Name Employer Name Employer Name Address Address Address Address Location of Job Site Location of Job Site Location of Job Site Location of Job Site Telephone Number Telephone Number Telephone Number Telephone Number Type of work Check all that apply Full time Part Time Contract Federal Military Type of work Check all that apply Full time Part Time Contract Federal Military Type of work Check all that apply Full time Part Time Contract Federal Military Type of work Check all that apply Full time Part Time Contract Federal Military Length of Employment First day Last day Length of Employment First day Last day Length of Employment First day Last day Length of Employment First day Last day Your Job Title Your Job Title Your Job Title Your Job Title Your Wages on this Job Per Your Wages on this Job Per Your Wages on this Job Per Your Wages on this Job Per What were your main job duties What were your main job duties What were your main job duties What were your main job duties Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons Reason for Separation Still employed Lack of Work or Layoff Discharge or Fired Quit or Retired Labor Dispute Seasonal Other Compelling Reasons ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 21 Page 1 of 2 November 2009 Benefit Accuracy Measurement Employer Verification Batch Seq Claim Type Claimant Name Claimant SSN Employer Employer Acct Contact Person Employer Address Phone Fax Claimant Hired on Separated on Last Day Worked States worked in Other SSN or Name used while employed in last three years Yes No If Yes provide it Claimant provided I-9 Employment Eligibility Verification Information - US Citizen -Alien Authorized to Work Lawful Permanent Resident Alien Payroll frequency is Circle answer Daily Weekly Biweekly Semi-Monthly Monthly Commission Pay Period begins on what day of the week And ends on what day Pay Day is on what day Recall Yes No Date Claimant actively employed Yes No Rate of pay when employed Per For requalification total earnings since Type of work Check all that apply Full time Part Time Contract worker Federal Military Seasonally Claimant Job title Claimant Job Responsibilities Circle Separation type Quit Fired or Discharged for Misconduct Permanent layoff Reduction In Force Temporary layoff Still working Retirement Discharge - no misconduct unable to perform Other compelling reasons i.e. move with spouse family illness Explain separations except lack of work layoff. If wages were for any time period after last day worked please complete the following TYPE OF PAY AMOUNT OF WEEKS DATES COVERED Accrued Vacation Holiday Sick Last Pay Period Commission Bonus Wages in Lieu of Notice Severance Separation Pay Pension - Employer contribution plan Yes or No BASE PERIOD YEAR FROM TO Year Quarter Year Quarter PAY PERIOD BEGIN AND END DATES PAYDAY GROSS PAY PAY PERIOD BEGIN AND END DATES PAYDAY GROSS PAY IMPORTANT Please enter each pay period end date and gross pay for each payday in the quarter. If the amounts for all weeks do not match the original amount reported by you please call TOTAL AUDITED ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 22 Page 2 of 2 November 2009 BASE PERIOD YEAR FROM TO Year Quarter Year Quarter PAY PERIOD BEGIN AND END DATES PAYDAY GROSS PAY PAY PERIOD BEGIN AND END DATES PAYDAY GROSS PAY IMPORTANT Please enter each pay period end date and gross pay for each payday in the quarter. If the amounts for all weeks do not match the original amount reported by you please call TOTAL AUDITED CLAIM BENEFIT YEAR EARNINGS FROM TO If you hired this person after the from date above was this new hire reported to the New Hire Registry Yes No. If yes when and to which state was the new hire reported . If did not report this person as a new hire did you previously employ this person within the past 365 days Yes No. PAY PERIOD BEGIN AND END DATES PAYDAY GROSS PAY PAY PERIOD BEGIN AND END DATES PAYDAY GROSS PAY IMPORTANT Please enter each pay period end date and gross pay for each payday in the benefit claim period shown above. If the amounts for all weeks do not match the original amount reported by you please call TOTAL AUDITED I certify that the above information is correct to the best of my knowledge and belief. Employer s signature Title Date Official Use Only Auditor s signature Phone Fax Date Received Form completed Employer is Batch Seq Type Employer is represented by a third party ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 23 Page 1 of 2 November 2009 KEY WEEK ERROR SUMMARY WORKSHEET Record issues overpayments and underpayments as independent actions in section A or B below as appropriate but exclude formal warnings and officially reversed actions Key Week Action codes 14 16 11 12 13 and 15 when Prior Agency Action ei6 equals 90 to 99 23 and 24 from ei2 of Screen I . Cause Code -- Enter the Error Cause code ei3 . Amount -- Dollar Amount of Key Week issue. DQW Disqualified Week -- Enter X if this issue would cause the claimant to be disqualified for the entire week for nonmonetary reasons e.g. VQ denial not able and available paid for waiting week etc. Case ID f13 Amount Paid A. Overpayments B. Underpayments Cause Code Amount DQW Cause Code Amount 1 1 2 2 3 3 4 4 5 5 6 6 7 7 8 8 9 9 10 10 11 11 12 12 Total OP Total UP ET HANDBOOK NO. 395 5 th EDITION APPENDIX B Page 24 Page 2 of 2 November 2009 C. h2 Amount That Claimant Should Have Been Paid Complete one of the following to determine h2 1. If KW is DQW h2 0 or 2.a If KW is not DQW enter WBA After Investigation e10 2.b List specific adjustments to WBA for KW e.g. reduction for earnings Enter total amount of adjustments 2.c Subtract 2 b from 2 a h2 D. h5 Total Key Week Overpayments 1. Enter the Total OP from A page 1 2. Enter the Amount Paid for KW f13 Total KW OP equals lesser of 1 or 2 h5 E. h6 Total Key Week Underpayments 1. Enter the state maximum WBA plus Dependents Allowance 2. Enter the Amount Paid for KW f13 3. 1 2 4. Enter the Total UP from B page 1 Total KW UP equals lesser of 3 or 4 h6 ET HANDBOOK NO. 395 5 th EDITION C-1 November 2009 APPENDIX C INVESTIGATIVE GUIDE ET HANDBOOK NO. 395 5 th EDITION C- 2 November 2009 Appendix C Investigative Guide Source Action and Documentation This table is designed to provide BAM staff with a summary guide to the required investigative process. The table was developed based on the following assumptions 1. That all procedures of the BAM process are being followed. 2. That a general review of all questionnaire items is conducted with the claimant as part of the normal BAM process. 3. That the Summary of Investigation will be used to explain each case. Therefore these steps are not included in the table. Instead the initial action beyond those basic steps is presented. Following through using standard practices such as fact-finding interviews is required when issues are identified. When a source is listed it is assumed that the necessary information has already been obtained from that source. For several data items the documentation column shows only the primary document for that item. This is not meant to be all inclusive of the documents that may result. ET HANDBOOK NO. 395 5 th EDITION C- 3 November 2009 INVESTIGATIVE GUIDE PART A - MASTER TABLE DATA ELEMENTS DATA SOURCE ACTION REQUIRED DOCUMENTATION 1. Social Security Number State Records Claimant Questionnaire Employer Records Claimant S.S. Card if needed. State must capture new verification from sources against claimant system information System confirmation that a new verification was asked for. 2. Week Ending Date of KW State Records None None 3. Case Type BAM System Generated Verify the case is a regular Core BAM case and not part of special study None 4. Batch Number BAM System Generated Compare to correct number assignment from OUI Issuance None 5. Sequence Number BAM System Generated None None 6. State I.D. Code BAM System Generated None None 7. Local Office Number State Records Local Office of Record for the Claim Determine if proper local office assignment None 8. Investigator ID Code ID Number Assigned by Supervisor Compare to valid Investigator ID Nos. None ET HANDBOOK NO. 395 5 th EDITION C- 4 November 2009 PART B - CLAIMANT INFORMATION DATA ELEMENTS DATA SOURCE ACTION REQUIRED DOCUMENTATION 1. Method Claimant Information was Obtained Questionnaire Case Documentation None if obtained Explanation if not Obtained 2. U.S. Citizen Questionnaire State Records Alien Reg. Card Employer s Immigration -If citizen - None -If not verify status with INS Photocopy Alien Reg. Card INS Report Fact-finding statement if an issue 3. Education Questionnaire Employment Service Records None None 4. Voc Tech Training Questionnaire Employment Service Records Compare sources to determine proper code None 5. Current Training Status Questionnaire State Records Training Facility Verify and compare information from sources to determine proper code Fact-finding Statement if applicable 6. Occupational Code Last Occupation Employer State Records Questionnaire Proper Code Verify and compare information from sources to determine Separating Employer Verification and Claimant Questionnaire 7. Occupational Code Primary Occupation Employer State Records Questionnaire Compare sources to determine proper code BAM Wage Verification 8. Normal Hourly Wage Claimant Questionnaire Employer Questionnaire State Records Observation Compare sources to determine proper code BAM Wage Verification 9. Occupational Code Seeking Work Questionnaire State Records Employment Service if Registered Review claimant s interest and work history to determine proper code Compare sources for consistency Fact-finding Statement if an issue 10. Lowest Wage will accept Questionnaire State Records Compare claimant s wage demand to prevailing wage for occupation Fact-finding Statement if Wage Restriction 11. Date of Birth Questionnaire State Records Drivers License Compare sources for consistency Review with claimant None 12. Sex Questionnaire State Records Observation Compare sources for consistency None 13. Ethnic Group Questionnaire State Records Observation Compare sources for consistency None ET HANDBOOK NO. 395 5 th EDITION C- 5 November 2009 PART C - BENEFIT YEAR INFORMATION DATA ELEMENTS DATA SOURCE ACTION REQUIRED DOCUMENTATION 1. Program Code State Records Employer s Records Verify accuracy during wage verification Wage Verification 2. Combine Wage Claim State Records Employer s Records Review work history with claimant. Verify with employer during wage verification Wage Verification IB-4 copy 3. Benefit Year Beginning State Records Compare initial claim filing date to BYB. Initial Claim 4. Init. AC Clm Filing Method State Records None Initial Claim 5. Benefit Rights Given State Records Questionnaire Compare sources for consistency Copy of BRI Record 6. Number of ERPs State Records Sum from state records Copy of ERI Record 7. Last ERP Date State Records None Copy of ERI Record 8. Number of Nonsep Determinations issued State Records Sum from state records Copy of All Non-sep Non-mon Records 9. Number of Prior Disqualified for Nonseparation Issues State Records None Copy of All Non-sep Non-mon Records ET HANDBOOK NO. 395 5 th EDITION C- 6 November 2009 PART D - SEPARATION INFORMATION DATA ELEMENTS DATA SOURCE ACTION REQUIRED DOCUMENTATION 1. Separation Reason Before State Records None State Records 2. Separation. Reason After Questionnaire Employer Compare sources for proper determination Fact-finding Statements from ERs and Claimant 3. Date of Separation Before State Records None None 4. Date of Separation After Questionnaire Employer Compare sources for proper data and potential unreported earnings Fact-finding Statements from ERs and Claimant if an issue 5. Recall Status Before State Records None Work Search Exemption Policy if Applicable 6. Recall Status After Employer Questionnaire State Records Compare sources for proper data Fact-finding Statements from ERs and Claimant 7. Tax Rate Last Employer State Records None Employer Quarterly Report 8. Industry Code Last Employer Separation Employer State Records Questionnaire NAICS Handbook Review sources for accurate code assignment None ET HANDBOOK NO. 395 5 th EDITION C- 7 November 2009 PART ME - MONETARY ELIGIBILITY DATA ELEMENTS DATA SOURCE ACTION REQUIRED DOCUMENTATION 1.No. of Base Period Employers Before Monetary Determination None Monetary Determination 2. No. of Base Period Employers After Employer s Monetary Determination Claimant Verify wages with all base period ERs to determine proper Wage Verification 3. Base Period Wages Before Monetary Determination None Monetary Determination 4. Base Period Wages After Employer s Monetary Determination Verify wages with all base period ERs to determine proper amount Wage Verification 5. High Quarter Wages Before Monetary Determination None Monetary Determination State Records 6. High Quarter Wages After Employer s Monetary Determination Claimant Verify wages with all base period ERs to determine proper amount Wage Verification 7. Base Period Weeks Worked Before State Records None Monetary Determination 8. Base Period Weeks Worked After State Records Verify weeks with employer s to determine proper Wage Verification Base Period Employer 9. WBA Before Monetary Determination None Monetary Determination 10. WBA After Employer s Monetary Determination Claimant Verify that WBA is based on employ. Wage Verification Wage Verification Monetary Redetermination if applicable 11. MBA Before Monetary Determination None Monetary Ddetermination 12. MBA After Employer s Monetary Determination Verify that MBA is based on employ. Wage Verification Wage Verification Monetary Redetermination if applicable 13. Dependents Claimed Before State Records None None 14. Dependents Claimed After Questionnaire State Records Verify as required by State procedures Verification Document s Dependent Award 15. Dependent Allowance B State Records None None 16. Dependent Allowance A Questionnaire Dependency State records Compare sources to determine correct amount Dependent Award monetary determination 17. Primary BPE Industry Employer s State records NAICS Review sources for accurate code Wage Verification 18. Monetary Redeterminations Before Monetary Redetermination None Copy of Redetermination 19. Remaining Balance Benefit History None Benefit History ET HANDBOOK NO. 395 5 th EDITION C- 8 November 2009 INVESTIGATIVE GUIDE PART F - BENEFIT PAYMENT HISTORY DATA ELEMENTS DATA SOURCE ACTION REQUIRED DOCUMENTATION 1. Amt KW Earnings Before State Records Benefit History Weekly Certification Compare sources to determine proper amount State Records Benefit History Weekly Certification 2. Amt KW Earnings After Employer s Questionnaire State Records NDNH Crossmatch Compare sources to determine proper amount Fact-finding statement re wage verification if applicable NDNH 3. Earn. Deduction Before State Records Benefit History Weekly Certification Compare sources to determine earnings deduction State Records Benefit History Weekly Certification 4. Earn. Deduction After Employer s Questionnaire State Records Compare sources to determine proper amount deducted Wage Verification 5. Other Deductible Income B State Records Benefit History Weekly Certification Compare sources to determine all other deductible income State Records Benefit History Weekly Certification 6. Other Deductible Income A State Records Benefit History Weekly Certification Compare sources to determine proper amount Wage Verifications Pension Verification if applicable 7. Other Deductions B State records Benefit history Weekly certification Compare sources to determine amount of deduction State records Benefit history Weekly certification 8. Other Deductions A Employer s Questionnaire Compare sources to determine proper amount deducted Wage Verifications Pension Verification 9. 1st Compensable Week Ending Date State Records None Benefit History 10. Date of First Payment State Records None Benefit History 11. KW Filing Method State Records None KW Certification 12. KW Certification Procedure State Records None KW Certification 13. Amount Paid Offset State Records None Benefit History ET HANDBOOK NO. 395 5 th EDITION C- 9 November 2009 PART G - REGISTRATION WORK SEARCH INFORMATION DATA ELEMENTS DATA SOURCE ACTION REQUIRED DOCUMENTATION 1. Required to seek work State Records If required to seek work obtain official policy requirement Agency Policy Statement 2. State Employment Service Registration Required State Records If registration required obtain official policy regulation Agency Policy Statement 3. Registered with State Employment Service State Records Questionnaire Status with Employment Service Verify if claimant is referable ES 511 Records 4. Reason State Employment Service Registration Deferred State Records Questionnaire If deferred obtain explanation i.e. official policy Deferral Explanation 5. of State Employment Services Referrals State Records Questionnaire Compare sources to determine proper number ES 511 Records 6. Private Employment Registered Questionnaire None None 7. Private Employment Referrals Questionnaire Private Agency If information available verify as part of verification Work Search Verification 8. Union Referral Status Union Records State Records Questionnaire Verify with union claimant s standing and its effect on eligibility Union Verification Fact-finding Statement if applicable 9. Union Referrals KW Union Sum of Sources Questionnaire Union Verification 10. Work Search Contacts- KW Employer s Unions Private Employment Agencies Questionnaire Sum from All Sources None 11. WS Contacts Outside KW State Records Employer s Union Private Employment Agencies Sum from All Sources None 12. WS Contacts Investigated Employer s Union Private Employment Agencies Sum from All Sources Contacted for Verification Work Search Verification for Each Source 13. WS Contacts Acceptable Employer s Union Private Employment Agencies Record number of contacts verified as valid Work Search Verification 14. WS Contacts- Unacceptable Employer s Union Private Employment Agencies Record number of contacts verified as invalid Conduct fact-finding on WS issue Work Search Verification Explanation in Summary of Investigation SOI Fact-finding Statement if applicable 15. WS Contacts- Unverifiable Employer s Union Private Employment Agencies Record number of contacts that couldn t be verified Work Search Verification Explanation in SOI ET HANDBOOK NO. 395 5 th EDITION C- 10 November 2009 PART H - ERROR CLASSIFICATION COMPLETION INFORMATION DATA ELEMENTS DATA SOURCE ACTION REQUIRED DOCUMENTATION 1. Action Code BAM Investigative File None on proper payment appropriate action on improper payments Explanation in Summary of Investigation and Copy of Official Agency Actions if applicable 2. Amount should have been paid BAM Investigative File None on proper payment. Compute correct amount for improper payments Explanation in Summary of Investigation and Copy of Official Agency Actions if applicable 3. Total Amount of OP including KW BAM Investigative File Determine sum of OP and complete official action Explanation in Summary of Investigation and Copy of Official Agency Actions if applicable 4. Total Amount of UP including KW BAM Investigative File Determine sum of UP and complete official action Monetary Redeterminations Printout of Supplemental. Checks 5. Total OP for KW BAM Investigative File Determine amount of KW OP and complete official action Explanation in Summary of Investigation and Copy of Official Agency Actions if applicable 6. Total UP for KW BAM Investigative File Determine amount of KW UP and complete official action Explanation in Summary of Investigation and Copy of Official Agency Actions if applicable 7. Investigation completed Investigator All investigation information is complete and entered in database Summary of Investigation 8. Investigation completed date BAM System Generated None None 9. Supervisory Review Completed. BAM Supervisor All official action completed and approval code entered Supervisor Sign-off 10. Supervisory Complete Date BAM System Generated None None 11. Supervisor ID BAM System Generated None None ET HANDBOOK NO. 395 5 th EDITION C- 11 November 2009 PART I - ERROR ISSUE S CLASSIFICATION DATA ELEMENTS DATA SOURCE ACTION REQUIRED DOCUMENTATION 1. Dollar Amount of KW Error BAM Investigative File Determine amount Explanation in Summary Copy of Official Agency Action 2. KW Action OP codes UP codes 10 20 11 21 12 22 13 23 14 24 15 16 BAM Investigative File Complete error classification procedures Explanation in Summary Copy of Official Agency Action 3. Error Cause Series 100- Benefit Year errors 200- Base Period errors 300- Separation issue errors 400- Eligibility issue errors 500- Dependents Allow. errors 600- Other issue errors BAM Investigative File Classification Complete error classification procedures Copy of official agency procedures Explanation in Summary Copy of Official Agency Action 4. Error Responsibility BAM Investigative File Complete error classification procedures Explanation in Summary Copy of Official Agency Action 5. Detection Point 10- WS verification 20- Wage sep. verification 30- Claimant interview 40- 3rd party verification 50- UI records 60- ES records 70- Union verification 80- New Hire Crossmatch 90- Wage Record Crossmatch BAM Investigative File Complete error classification procedures Explanation in Summary Copy of Official Agency Action 6. Prior Agency Action 10- Not detectable normally 20- State in process of correction 30- Identified took wrong action 40- Suff. info. but took no action 50- Official actions not followed 60- New Hire crossmatch before BAM Investigation completed 70- Wage Record crossmatch before BAM Investigation completed 80- State provided incorrect information or instructions 90- Another state s workforce agency s procedural error or incorrect information BAM Investigative File Complete error classification procedures Explanation in Summary Copy of Official Agency Action ET HANDBOOK NO. 395 5 th EDITION C- 12 November 2009 PART I - ERROR ISSUE S CLASSIFICATION Continued DATA ELEMENTS DATA SOURCE ACTION REQUIRED DOCUMENTATION 7. Prior Employer Action 10- ER provide timely adeq. info 20- ER provide timely late info 30- ER provide wrong timely info 40- ER provide wrong late info 50- ER did not respond 60- ER not asked for info 70- Not an employer-related issue 80- Employer did not report new hire BAM Investigative File Complete error classification procedures Explanation in Summary Copy of Official Agency Action 8. Appeal Action 1- No appeal filed NA 2- Cl t appeal det ER interested 3- Cl t appeal det ER not interest 4- ER appeal det cl t interested 5- Cl t ER appeal BAM det. 6- State appealed BAM det. BAM Investigative File Complete error classification procedures Explanation in Summary Copy of official Agency Action 9. Prior Claimant Action 10- Cl t provide timely adeq. info 20- Cl t provide timely late info 30- Cl t provide wrong timely info 40- Cl t provide wrong late info 50- Cl t did not respond 60- State did not request info BAM Investigative File Complete error classification procedures Explanation in Summary Copy of Official Agency Action ET HANDBOOK NO. 395 5 th EDITION C- 13 November 2009 SCREEN R - REOPEN TABLE DATA ELEMENTS DATA SOURCE ACTION REQUIRED DOCUMENTATION Batch Number See Master Table None None Sequence Number See Master Table None None Case Type See Master Table None None Reopen Case BAM Investigative File Verify correct code has been entered None Reopen Case Date BAM System Generated None None Reopen Case Identification Staffing File Compare to list of valid ID numbers None Reopen Case Date BAM System Generated None None ET HANDBOOK NO. 395 5 th EDITION Appendix D November 2009 D-1 APPENDIX D DATA COLLECTION INSTRUMENTS D-2 DATABASE DESCRIPTION DATABASE PRIMARY TABLES D-10 ET HANDBOOK NO. 395 5 th EDITION Appendix D November 2009 D-2 PAID CLAIMS ACCURACY DATA COLLECTION INSTRUMENT DCI State Batch Sequence Sample Type SSN Key Week Investigator ID Local Office b1 Method Info Obtained . e15 Dep Allowance Before b2 U.S. Citizen e16 Dep Allowance After b3 Education .. e17 Ind Code Primary Empl. b4 Voc Tech School . e18 Mon. Redeterm. Before b5 Currently In Training .. e19 Remain Balance ..... b6 Occ Code Last b7 Occ Code Usual ... f1 KW Earnings Before ... b8 Normal Hourly Wage ...... f2 KW Earnings After ... b9 Occ Code Seeking ... f3 Earn Deduct Before ... b10 Lowest Hourly Wage ...... f4 Earn Deduct After ... b11 Date of Birth f5 Other Income Before ... b12 Gender f6 Other Income After ... b13 Race Ethnic f7 Other Deduct Before ... f8 Other Deduct After ... c1 Program Code f9 First CWK Date c2 Combined Wage Claim f10 Date First Pay c3 Benefit Year Begin f11 KW File Method 4 c4 Init Claim Filing Meth . f12 KW Certification 2 c5 Benefit Rights Given .... f13 Original Amount Paid ..... c6 ERPs . c7 Last ERPs .. .. .... g1 WS Requirement c8 Prior Nonsep Issues . g2 LE Reg Required c9 Prior Nonsep Disq . g3 LE Reg Services g4 LE Deferred d1 Reason Sep Before .. g5 LE Referrals d2 Reason Sep After .. g6 Regis Private Agency d3 Date Sep Before .. .. .... g7 Priv Agency Refers d4 Date Sep After .. .. .... g8 Union Status d5 Recall Status Before . g9 Union Referral Status d6 Recall Status After . g10 KW Contacts d7 Tax Rate Last Empl. ..... g11 Prior KW Contacts d8 Ind Code Last Empl. .... g12 Contacts Inv g13 Contacts Acceptable e1 BP Employers Before g14 Contacts Unacceptable e2 BP Employers After .. g15 Contacts Unverified e3 BP Wages Before e4 BP Wages After ...... h1 Action Code e5 High Qtr Wages Before ..... h2 Should Have Been Paid . e6 High Qtr Wages After ..... h3 Total Amount OP . e7 Weeks Worked Before h4 Total Amount UP . e8 Weeks Worked After h5 Total KW OP e9 WBA Before h6 Total KW UP e10 WBA After ... h7 Inv Completed . e11 MBA Before h8 Inv Completion Date e12 MBA After ..... h9 Supv Review Completed . e13 Dep Before h10 Supv Completion Date e14 Dep After h11 Supervisor ID ........ ET HANDBOOK NO. 395 5 th EDITION Appendix D November 2009 D-3 PAID CLAIMS ACCURACY DATA COLLECTION INSTRUMENT DCI State Batch Sequence Sample Type SSN Key Week Investigator ID Local Office ERROR ISSUES Error Issue 1 ei1 Amount Key Week Error ei5 QC Detection Point ei2 Key Week Action ei6 Prior Agency Action ei3 Error Cause ei7 Prior Employer Action ei4 Error Responsibility ei8 QC Action Appealed ei9 Claimant Action Error Issue 2 ei1 Amount Key Week Error ei5 QC Detection Point ei2 Key Week Action ei6 Prior Agency Action ei3 Error Cause ei7 Prior Employer Action ei4 Error Responsibility ei8 QC Action Appealed ei9 Claimant Action Error Issue 3 ei1 Amount Key Week Error ei5 QC Detection Point ei2 Key Week Action ei6 Prior Agency Action ei3 Error Cause ei7 Prior Employer Action ei4 Error Responsibility ei8 QC Action Appealed ei9 Claimant Action Error Issue 4 ei1 Amount Key Week Error ei5 QC Detection Point ei2 Key Week Action ei6 Prior Agency Action ei3 Error Cause ei7 Prior Employer Action ei4 Error Responsibility ei8 QC Action Appealed ei9 Claimant Action Error Issue 5 ei1 Amount Key Week Error ei5 QC Detection Point ei2 Key Week Action ei6 Prior Agency Action ei3 Error Cause ei7 Prior Employer Action ei4 Error Responsibility ei8 QC Action Appealed ei9 Claimant Action ET HANDBOOK NO. 395 5 th EDITION Appendix D November 2009 D-4 BENEFIT ACCURACY MEASUREMENT DENIED CLAIMS ACCURACY DATA COLLECTION INSTRUMENT DCI Monetary Denial 1. Batch 2. Sequence 3. Sample Type 2 Monetary Denial CLAIMANT INFORMATION MONETARY DATA 4 SSN 42 Reason Mon. Det. Before 5 Claim Date 43 Reason Mon. Det. After 6 Claim Type 44 BP Emps. Before 7 State 45 BP Emps. After 8 LO 46 BP Wages Before 9 Investigator ID 47 BP Wages After 10 Method Info Obt 48 HQ Wages Before 11 Citizen 49 HQ Wages After 12 Birth Date 50 Wks. Worked Before 13 Gender 51 Wks. Worked After 14 Ethnic Race 52 Depend. Before 15 Education 53 Depend. After 16 Voc Tech School 54 Depend. Allow Before 17 Training Status 55 Depend. Allow After 18 Usual Occ Code 56 Mon. Redet. 19 Seeking Occ Code 20 Normal Hr. Wage 21 Lowest Hr. Wage BENEFIT YEAR INFORMATION 22 Program 23 CWC 24 Ben. Yr. Beg 25 Init. Clm. File Method 26 BRI 27 Ind. Code Primary Emp 28 Ind. Code Last Emp CASE ACTION 29 File Meth 90 Action Flag 30 Orig. Amt. Paid 91 Initial Det. Appealed 31 No. Wks. Denied Before 92 Result of Init. App 32 No. Wks. Denied After 93 Inv. Completed 33 WBA Before 94 Inv. Comp. Date 34 WBA After 95 Supv. Rev. Completed 35 MBA Before 96 Supv. Comp. Date 36 MBA After 97 Supv. ID ET HANDBOOK NO. 395 5 th EDITION Appendix D November 2009 D-5 BENEFIT ACCURACY MEASUREMENT DENIED CLAIMS ACCURACY DATA COLLECTION INSTRUMENT DCI Monetary Denial 1. Batch 2. Sequence 3. Sample Type 2- Monetary Denial ERROR ISSUES Error Issue 1 98 Dollar Amount of Error 102 Detection Point 99 Action Code 103 Prior Agency Action 100 Cause 104 Prior Employer Action 101 Responsibility 105 Action Appealed 106 Claimant Action Error Issue 2 98 Dollar Amount of Error 102 Detection Point 99 Action Code 103 Prior Agency Action 100 Cause 104 Prior Employer Action 101 Responsibility 105 Action Appealed 106 Claimant Action Error Issue 3 98 Dollar Amount of Error 102 Detection Point 99 Action Code 103 Prior Agency Action 100 Cause 104 Prior Employer Action 101 Responsibility 105 Action Appealed 106 Claimant Action Error Issue 4 98 Dollar Amount of Error 102 Detection Point 99 Action Code 103 Prior Agency Action 100 Cause 104 Prior Employer Action 101 Responsibility 105 Action Appealed 106 Claimant Action ET HANDBOOK NO. 395 5 th EDITION Appendix D November 2009 D-6 BENEFIT ACCURACY MEASUREMENT DENIED CLAIMS ACCURACY DATA COLLECTION INSTRUMENT DCI REPORT Separation Denial 1. Batch 2. Sequence 3. Sample Type 3- Separation Denial CLAIMANT INFORMATION SEPARATION DATA 4 SSN 57 Sep. Issue Number 5 Claim Date 58 Reason Sep. Before 6 Claim Type 59 Reason Sep. After 7 State 60 Date Sep. Before 8 LO 61 Date Sep. After 9 Investigator ID 10 Method Info Obt 11 Citizen 12 Birth Date 13 Gender 14 Ethnic Race 15 Education 16 Voc Tech School 17 Training Status 18 Usual Occ Code 19 Seeking Occ Code 20 Normal Hr. Wage 21 Lowest Hr. Wage BENEFIT YEAR INFORMATION 22 Program 23 CWC 24 Ben. Yr. Beg 25 Init. Clm. File Method 26 BRI 27 Ind. Code Primary Emp 28 Ind. Code Last Emp CASE ACTION 29 File Meth 90 Action Flag 9 30 Orig. Amt. Paid 91 Initial Det. Appealed 0 31 No. Wks. Denied Before 92 Result of Init. App 0 32 No. Wks. Denied After 93 Inv. Completed 1 33 WBA Before 94 Inv. Comp. Date 34 WBA After 95 Supv. Rev. Completed 35 MBA Before 96 Supv. Comp. Date 36 MBA After 97 Supv. ID ET HANDBOOK NO. 395 5 th EDITION Appendix D November 2009 D-7 BENEFIT ACCURACY MEASUREMENT DENIED CLAIMS ACCURACY DATA COLLECTION INSTRUMENT DCI Separation Denial 1. Batch 2. Sequence 3. Sample Type 3 - Separation Denial ERROR ISSUES Error Issue 1 98 Dollar Amount of Error 102 Detection Point 99 Action Code 103 Prior Agency Action 100 Cause 104 Prior Employer Action 101 Responsibility 105 Action Appealed 106 Claimant Action Error Issue 2 98 Dollar Amount of Error 102 Detection Point 99 Action Code 103 Prior Agency Action 100 Cause 104 Prior Employer Action 101 Responsibility 105 Action Appealed 106 Claimant Action Error Issue 3 98 Dollar Amount of Error 102 Detection Point 99 Action Code 103 Prior Agency Action 100 Cause 104 Prior Employer Action 101 Responsibility 105 Action Appealed 106 Claimant Action Error Issue 4 98 Dollar Amount of Error 102 Detection Point 99 Action Code 103 Prior Agency Action 100 Cause 104 Prior Employer Action 101 Responsibility 105 Action Appealed 106 Claimant Action ET HANDBOOK NO. 395 5 th EDITION Appendix D November 2009 D-8 BENEFIT ACCURACY MEASUREMENT DENIED CLAIMS ACCURACY DATA COLLECTION INSTRUMENT DCI Nonseparation Denial 1. Batch 2. Sequence 3. Sample Type 4 - Nonseparation Denial CLAIMANT INFORMATION NONSEPARATION DATA 4 SSN 62 Nonsep. Issue Number 5 Claim Date 63 Reason Nonsep. Before 6 Claim Type 64 Reason Nonsep. After 7 State 65 Recall Stat. Before 8 LO 66 Recall Stat. After 9 Investigator ID 67 Earnings Before 10 Method Info Obt 68 Earnings After 11 Citizen 69 Earn. Deduct. Before 12 Birth Date 70 Earn. Deduct. After 13 Gender 71 Other Deductible Inc. Before 14 Ethnic Race 72 Other Deductible Inc. After 15 Education 73 Other Income Deductions Bef 16 Voc Tech School 74 Other Income Deductions Aft 17 Training Status 75 WS Requirement 18 Usual Occ Code 76 Contacts 19 Seeking Occ Code 77 Prior Contacts 20 Normal Hr. Wage 78 Contacts Inv 21 Lowest Hr. Wage 79 Contacts Acc BENEFIT YEAR INFORMATION Contacts Unacc 22 Program 81 Contacts Unver 23 CWC 82 LE Reg. Req 24 Ben. Yr. Beg 83 LE Reg Services 25 Init. Clm. File Method 84 LE Defer 26 BRI 85 LE Referrals 27 Ind. Code Primary Emp 86 Regis. Priv. Agency 28 Ind. Code Last Emp 87 Priv. Agency Referrals 29 File Meth 88 Union Referral Status 30 Orig. Amt. Paid 89 Union Refers 31 No. Wks. Denied Before CASE ACTION 32 No. Wks. Denied After 90 Action Flag 33 WBA Before 91 Initial Det. Appealed 34 WBA After 92 Result of Init. App 35 MBA Before 93 Inv. Completed 36 MBA After 94 Inv. Comp. Date 95 Supv. Rev. Completed 96 Supv. Comp. Date 97 Supv. ID ET HANDBOOK NO. 395 5 th EDITION Appendix D November 2009 D-9 DENIED CLAIMS ACCURACY DATA COLLECTION INSTRUMENT DCI Nonseparation Denial 1. Batch 2. Sequence 3. Sample Type 4 - Nonseparation Denial ERROR ISSUES Error Issue 1 98 Dollar Amount of Error 102 Detection Point 99 Action Code 103 Prior Agency Action 100 Cause 104 Prior Employer Action 101 Responsibility 105 Action Appealed 106 Claimant Action Error Issue 2 98 Dollar Amount of Error 102 Detection Point 99 Action Code 103 Prior Agency Action 100 Cause 104 Prior Employer Action 101 Responsibility 105 Action Appealed 106 Claimant Action Error Issue 3 98 Dollar Amount of Error 102 Detection Point 99 Action Code 103 Prior Agency Action 100 Cause 104 Prior Employer Action 101 Responsibility 105 Action Appealed 106 Claimant Action Error Issue 4 98 Dollar Amount of Error 102 Detection Point 99 Action Code 103 Prior Agency Action 100 Cause 104 Prior Employer Action 101 Responsibility 105 Action Appealed 106 Claimant Action ET HANDBOOK NO. 395 5 th EDITION Appendix D November 2009 D-10 Database Description Naming Conventions The DCA system utilizes the following naming conventions within the UI database Each table will have a prefix of b-dca-xxxx. The prefix s meaning is b- Benefits Accuracy Measurement and dca- Denied Claims Accuracy. Each table will have the same base name as the BAM PCA accuracy tables. The base names are comparison The data characteristics table provides aggregate sample and population data for several demographic data elements. master The primary table that consists of base record information. errisu The error issue table contains information on the cause responsibility point of detection and other data elements for improper denials. reopen The reopen table contains a record of any modification to a master record after the record has been closed by the supervisor. assigndate The assignment table contains the investigator s case assignment information with respect to his her master record. Paid Tables PAID CLAIMS ACCURACY TABLES Table Name Table Type b-comparison Primary b-master Primary b-errisu Primary b-assigndate Primary b-reopen Primary Denials Tables DENIED CLAIMS ACCURACY TABLES Table Name Table Type b-dca-comparison Primary b-dca-master Primary b-dca-errisu Primary b-dca-assigndate Primary b-dca-reopen Primary ET HANDBOOK NO. 395 5 th EDITION Appendix D November 2009 D-11 In addition to the five primary DCA tables DCA utilizes additional tables also used by BAM paid claims accuracy software b-uaf b-qcslo b-batch b-cre and b-vallim. The DCA software utilizes the g-states generic table as well. Primary Keys FIELD KEY DEFINITION batch Primary Batch identifies the year YYYY and week WW of the record. The format of the field is YYYYWW. seq Primary Primary Sequence Number identifies the record number within the batch by sample type. Range of values 1 - 99. At least two 2 sample cases are required for each batch and sample type because of statistical validity requirements. samptype Primary Sample Type identifies the specific record type within the batch. 1 - BAM paid claim 2 - Monetary denials 3 - Separation denials 4 - Nonmonetary nonseparation denials Example batch 200003 seq 3 samptype 2 identifies the record as the third sampled monetary denied case within the third week of 2000. ET HANDBOOK NO. 395 5 th EDITION Appendix D November 2009 D-12 BAM DATA ELEMENTS Data Elements in b master Column Data Item Column Data Item Name Type Name Name Type Name mssn char 9 SSN d5 char 2 Rec Stat B mkw date KW d6 char 2 Rec Stat A mcatyp smallint Case Type d7 dec 4 2 Tx R Last mp4 integer Serial d8 char 4 Ind Last mbatch integer Batch e1 smallint BP Emps B mseq smallint Sequence e2 smallint BP Emps A ma1 smallint Modif. Code e3 mon 6 0 BP Wages B ma2 date Modif. Date e4 mon 6 0 BP Wages A mstate char 2 State Fips e5 mon 5 0 High Qtr B mlo char 4 Local Off e6 mon 5 0 High Qtr A minv smallint Invest e7 smallint Wks Wkd B b1 char 2 Meth Info e8 smallint Wks Wkd A b2 char 2 Citizen e9 mon 3 0 WBA Before b3 char 2 Education e10 mon 3 0 WBA After b4 char 2 Voc Tech e11 mon 5 0 MBA Before b5 char 2 In Trainin e12 mon 5 0 MBA After b6 char 3 Occ Last e13 smallint Depend B b7 char 3 Occ Usual e14 smallint Depend A b8 mon 5 2 Normal Hr e15 mon 3 0 Depend Alw b9 char 3 Code Seeki e16 mon 3 0 Depend Alw b10 mon 5 2 Lowest Hr e17 char 4 Ind Cd Pri b11 date Birth Day e18 char 1 Mon Redt B b12 char 2 Sex e19 mon 4 0 Remain Bal b13 char 2 Ethnic f1 mon 3 0 KW Earn B c1 char 1 Program f2 mon 3 0 KW Earn A c2 smallint CW Clm f3 mon 3 0 Earn Ded B c3 date Yr Beg f4 mon 3 0 Earn Ded A c4 char 2 Initial Cl f5 mon 3 0 Other In B c5 char 4 BRI f6 mon 3 0 Other In A c6 smallint ERPs f7 mon 3 0 Other Dd B c7 date Last Erp D f8 mon 3 0 Other Dd A c8 smallint Pr Nons B f9 date First CWE c9 smallint Pr Nons Dq f10 date Dt 1 st Pmt d1 char 2 Resn Sep B f11 char 2 KW Method d2 char 2 Resn Sep A f12 char 1 KW Cert d3 date Date Sep B f13 mon 5 0 Orig Amt P d4 date Date Sep A g1 smallint WS Require ET HANDBOOK NO. 395 5 th EDITION Appendix D November 2009 D-13 Data Elements in b master Column Data Item Column Data Item Name Type Name Name Type Name g2 smallint JS Require g15 smallint Cts Unver g3 smallint Act Cur Rg h1 smallint ActCodeFlg g4 smallint JS Defer h2 mon 3 0 Amt S B Pd g5 smallint JS Refer h3 mon 5 0 Tot Amt OP g6 smallint Regis Priv h4 mon 5 0 Tot Amt UP g7 smallint Prv Ag Ref h5 mon 3 0 Tot KW OP g8 smallint Union Stat h6 mon 3 0 Tot KW UP g9 smallint Union Refs h7 char 1 Inv Compl Code g10 smallint KW Conts h8 date Inv Compl Date g11 smallint Pr KW Cont h9 char 1 Supv Compl Code g12 smallint Conts Inv h10 date Supv Compl Date g13 smallint Conts Acc h11 char 8 Supv ID g14 smallint Cts Unacc mdp Datetime Data Pick up flag b asigndate b reopen Column Type Name Column Type Name abatch integer Batch aseq smallint Sequence rbatch integer Batch acatyp smallint Case Type rseq smallint Sequence aidx smallint Assign Idx rcatyp smallint Case Type agp5 integer Serial ridx smallint Reopen Idx ag1 date Assign Date rop5 integer Serial ag2 smallint Investigato ro1 char 1 Reopen Code ag3 smallint QCS Id Code ro2 date Reopen Date ag4 char 1 Assign Code ro3 char 8 User Id adp Datetime Data pick up rdp Datetime Data pick up b errisu b errisu Column Type Name Column Type Name ebatch integer Batch ei6 char 2 Prior Agenc eseq smallint Sequence ei7 char 2 Prior Empl ecatyp smallint Case Type ei8 char 1 QC Act Appl eidx smallint Error Index ei9 char 2 Prior Clmt eip5 integer Serial edp Datetime Data Pick up ei1 money 3 0 Amt KW Err ei2 char 2 KW Action ei3 char 3 Error Cause ei4 char 4 Error Resp ei5 char 2 Detect. Pt. ET HANDBOOK NO. 395 5 th EDITION Appendix D November 2009 D-14 b comparison b comparison Column Type Name Column Type Name cbatch integer Batch cm38 integer Pop Amt 151 200 cidx smallint Comp Indx cm39 smallint Samp Amt 200 cm1 smallint Samp Size cm40 integer Pop Amt 200 cm2 integer Pop Size cm41 smallint Samp Amt Pd Miss cm3 money 5 0 Samp cm42 integer Pop Amt Pd Miss cm4 money 9 0 Pop cdp datetime Data Pick up cm5 dec 10 2 Samp Var. cm6 dec 10 2 Pop Var. cm7 smallint Samp Male cm8 integer Pop Male The comparison table is created cm9 smallint Samp Female by the COBOL program on the SWA cm10 integer Pop Female mainframe computer downloaded. cm11 smallint Samp Sex Missg cm12 integer Pop Sex Missg cm13 smallint Samp White cm14 integer Pop White cm15 smallint Samp Non White cm16 integer Pop Non White cm17 smallint Samp Race Missg cm18 integer Pop Race Missg cm19 smallint Samp Age U 25 cm20 integer Pop Age U 25 cm21 smallint Samp 25 34 cm22 integer Pop 25 34 cm23 smallint Samp 35 44 cm24 integer Pop 35 44 cm25 smallint Samp 45 64 cm26 integer Pop 45 64 cm27 smallint Samp Over 65 cm28 integer Pop Over 65 cm29 smallint Samp Age Missg cm30 integer Pop Age Missg cm31 smallint Samp Amt 50 cm32 integer Pop Amt 50 cm33 smallint Samp Amt 51 100 cm34 integer Pop Amt 51 100 cm35 smallint Samp Amt 101 150 cm36 integer Pop Amt 101 150 cm37 smallint Samp Amt 151 200 ET HANDBOOK NO. 395 5 th EDITION Appendix D November 2009 D-15 DCA TABLES and ELEMENTS b dca master Column Name Data Type Column Name Data Type ssn char 9 allowbef money 3 0 clmdate date allowaft money 3 0 clmtype smallint priempsic char 4 samptype smallint monredet char 2 batch integer balbef money 5 0 seq smallint balaft money 5 0 state char 2 monstatbef char 2 locoff char 4 monstataft char 2 invid smallint totearnbef money 4 0 methinfoobt char 2 totearnaft money 4 0 citizen char 2 earndedbef money 4 0 educ char 2 earndedaft money 4 0 voctech char 2 othdedincbef money 4 0 trainstat char 2 othdedincaft money 4 0 lastempsic char 4 othdedsbef money 4 0 usualocc char 3 othdedsaft money 4 0 ushrwage money 5 2 wkfilmeth char 2 seekocc char 3 origamtpd money 5 0 lohrwage money 5 2 wksdenbef smallint dob date wksdenaft smallint gender char 2 wsreq smallint ethnic char 2 jsregreq smallint program char 1 jsreg smallint cwc smallint jsregdef smallint byb date jsref smallint icfilmeth char 2 privagreg smallint bri char 4 privagref smallint sepbef char 2 unrefstat smallint sepaft char 2 unref smallint sepdatebef date unserv smallint sepdateaft date unastreq smallint nonsepbef char 2 unast smallint nonsepaft char 2 jobcon smallint rclstatbef char 2 prjobcon smallint rclstataft char 2 wsconinv smallint bpempbef smallint wsconok smallint bpempaft smallint wsconnotok smallint bpwbef money 6 0 wsconunver smallint bpwaft money 6 0 actflag smallint hqwbef money 5 0 detapp smallint hqwaft money 5 0 apprslt smallint bpwksbef smallint invcomp char 1 bpwksaft smallint invcompdate date wbabef money 3 0 supcomp char 1 wbaaft money 3 0 supcompdate date mbabef money 5 0 suplogin char 10 mbaaft money 5 0 lockid smallint depbef smallint data pickup date datetime depaft smallint ET HANDBOOK NO. 395 5 th EDITION Appendix D November 2009 D-16 b dca assigndate b dca reopen Column Name Data Type Column Name Data Type batch integer batch integer seq smallint seq smallint samptype smallint samptype smallint index smallint index smallint assigndate date reoptype char 1 invid smallint reopdate date supid smallint reopid char 10 assignflag char 1 data pickup date datetime data pickup date datetime b dca errisu Column Name Data Type batch integer seq smallint samptype smallint index smallint totamt money 5 0 action char 2 cause char 3 resp char 4 detectpt char 2 agact char 2 empact char 2 actapp char 2 data pickup date datetime b dca comparison b dca comparison Column Name Data Type Column Name Data Type batch integer age45 64samp smallint samptype smallint age45 64pop integer sampsize smallint age65oversamp smallint popsize integer age65overpop integer malesamp smallint agemisssamp smallint malepop integer agemisspop integer femsamp smallint uiprogsamp smallint fempop integer uiprogpop integer genmisssamp smallint fedprogsamp smallint genmisspop integer fedprogpop integer whsamp smallint progmisssamp smallint whpop integer progmisspop integer nonwhsamp smallint data pickup date datetime nonwhpop integerq ethmisssamp smallint ethmisspop integer ageund25samp smallint ageund25pop integer age25 34samp smallint age25 34pop integer age35 44samp smallint age35 44pop integer ET HANDBOOK NO. 395 5 th EDITION Appendix E November 2009 E-1 BAM Integrity Rate Definitions The Benefit Accuracy Measurement BAM program is designed to determine the accuracy of paid and denied claims in three major Unemployment Insurance UI programs State UI Unemployment Compensation for Federal Employees UCFE and Unemployment Compensation for Ex-Service members UCX . State Workforce Agencies SWAs select weekly random samples of UI payments and denied claims. BAM investigators audit these paid and denied claims to determine whether the claimant was properly paid or denied eligibility. The results of the BAM statistical samples are used to estimate accuracy rates for the populations of paid and denied claims. In addition BAM is a diagnostic tool for Federal and State Workforce Agency SWA staff to use in identifying systemic errors and their causes and in correcting and tracking solutions to these problems. The Improper Payments Information Act IPIA of 2002 Pub. L. No. 107-300 requires agencies to examine the risk of erroneous payments in all programs and activities they administer. An improper payment includes any payment that was made to an ineligible recipient duplicate payments and payments that are for the incorrect amount -- both overpayments and underpayments including inappropriate denials of payment or service. Agencies are required to review all programs and activities they administer and identify those that may be susceptible to significant erroneous payments. The Office of Management and Budget OMB has defined significant erroneous payments as annual erroneous payments exceeding both 2.5 percent of program payments and 10 million. UI meets both of these criteria. The Department of Labor DOL reports to OMB the Annual Report and Operational Overpayment rates as well as the underpayment rate and improper denial rates as part of its IPIA report. It is extremely important that BAM accurately measures the level of improper payments so that performance against the targets can be properly evaluated. No single measure can reflect all aspects of UI benefit payment integrity. DOL uses six analytical measures to assess payment accuracy and estimate the risk of erroneous denial of benefits. BAM captures 110 data elements for each sampled payment or denial and DOL uses these elements to produce the various integrity rates listed. Data for nine of these elements are completed only for erroneous payments or denials. Each integrity rate represents a different view of the BAM data set. The BAM data construct provides multiple perspectives and payment errors may be included or excluded for a specific rate Readers are strongly cautioned that it may be misleading to compare one state s payment accuracy rates with another state s rates. No two states written laws regulations and policies specifying eligibility conditions are identical and differences in these conditions influence the potential for error. States have developed many different ways to determine monetary entitlement to UI. Additionally nonmonetary requirements are in large part based on how a state interprets its law. Two states may have identical laws but may interpret them quite differently. States with stringent or complex provisions tend to have higher improper payment rates than those with simpler more straightforward provisions. ET HANDBOOK NO. 395 5 th EDITION Appendix E November 2009 E-2 The following charts summarize the definitions for the integrity rates included in the BAM analyses. Paid Claims Rate Sample Type Action Code Cause Annual Report 1 - Paid Claims 10 - Fraud 11 - Nonfraud recoverable 12 - Nonfraud nonrecoverable 13 - Technically proper due to finality rules 15 - Technically proper due to rules other than finality or formal warning rule All cause codes. Operational 1 - Paid Claims 10 - Fraud 11 - Nonfraud recoverable 100-159 Benefit year earnings 300-329 Separation 400-419 Able and available 430-439 Refusal of suitable work 440-449 Self-employment 450-459 Illegal alien status 470-479 Other eligibility issues 480-489 Identity theft 500-519 Dependents Fraud 1 - Paid Claims 10 - Fraud All cause codes. Agency Responsibility 1 - Paid Claims 10 - Fraud 11 - Nonfraud recoverable 12 - Nonfraud nonrecoverable 13 - Technically proper due to finality rules 15 - Technically proper due to rules other than finality or formal warning rule Includes only those overpayments for which the agency had full or partial responsibility -- codes 30 1030 230 34 1230 1034 234 1234. All cause codes. Underpayment 1 - Paid Claims BAM investigation determines that the payment was too small 20 - Supplemental check issued offset applied or increase in weekly benefit amount WBA dependents allowance DA entitlement maximum benefit amount MBA or remaining balance RB 21 - Technically proper due to finality rules 22 - Technically proper due to rules other than finality All cause codes. ET HANDBOOK NO. 395 5 th EDITION Appendix E November 2009 E-3 Denied Claims Rate Sample Type Action Code Cause Improperly Denied 2 - Monetary 3 - Separation 4 - Nonseparation BAM investigation determines that the denial determination was improper or benefit payment was too small 20 - Official agency action finds the claimant to be eligible for a supplemental check issued offset applied or increase in WBA DA MBA or RB 21 - Technically proper due to finality rules 22 - Technically proper due to rules other than finality 23 - Supplemental check issued offset applied which was later officially reversed revised adjusted or modified and BAM disagrees with the official action 24 - No payment is due to the claimant For Action codes 20-23 All causes except 700 - 729. For Action code 24 710-719 Claimant not entitled to benefits due to other issues affecting the claim 720-729 Claimant not entitled to benefits because no week was claimed Codes valid only for Sample Type 3 or 4 Adjusted Improperly Denied 2 - Monetary 3 - Separation 4 - Nonseparation Same as Improperly Denied minus Prior Agency Action codes 20-29 Agency was in the process of resolving issue and took correct action before DCA investigation completed or agency had correctly resolved issue prior to sample being selected .- or Results of Appeal of Initial Determination codes 1 - affirmed eligible or 3 - reversed eligible For Action codes 20-23 All causes except 700 - 729. For Action code 24 710-719 Claimant not entitled to benefits due to other issues affecting the claim. 720-729 Claimant not entitled to benefits because no week was claimed Codes valid only for Sample Type 3 or 4 Overpayment 3 - Separation 4 - Nonseparation Action codes 10-16 All causes except 700 - 729. Properly Denied 2 - Monetary 3 - Separation 4 - Nonseparation Action Code 30 Cause codes 700-709