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Revised state UI data validation operations guide
Summary ETA transmitted a revised Employment and Training Operations Guide 411 for state unemployment data validation. The letter summarizes changes to the guide and directs states to distribute the attached full version to its holders.
Document
Federal guidance
Agency
U.S. Department of Labor, Employment and Training Administration (ETA)
Document number
UIPL No. 01-11, Change 2
Date issued
November 29, 2012
Status
Active
ETA's advisory listing marks this change Active, and its PDF prints an expiration date of Continuing.
Status last verified October 24, 2026
Apply this to your situation
This page explains the general guidance. Ask about your specific situation and see what current federal labor law says, with citations.
About this page: The full text below is the official document from U.S. Department of Labor, Employment and Training Administration (ETA). Ezel adds the plain-English summary and tracks the document's status. The official source linked on this page is authoritative for any reliance.
CLASSIFICATION
EMPLOYMENT AND TRAINING ADMINISTRATION Unemployment Insurance
ADVISORY SYSTEM CORRESPONDENCE SYMBOL
OUI/DPM
U.S. DEPARTMENT OF LABOR
DATE
Washington, D.C. 20210 November 29, 2012
ADVISORY: UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 01-11
Change 2
TO: STATE WORKFORCE AGENCIES
FROM: JANE OATES /s/
Assistant Secretary
SUBJECT: Revisions to the State Unemployment Insurance (UI) Data Validation (DV)
Operations Guide (Employment and Training (ET) Operations Guide 411)
1. Purpose. To transmit a revised version of the State UI DV Operations Guide (ET Operations
Guide 411).
2. References.
• ET Handbook No. 361, UI Data Validation Handbook, Benefits and Tax;
• Unemployment Insurance Program Letter (UIPL) No. 17-10, Revisions to the State
Unemployment Insurance (UI) Data Validation (DV) Handbook, Benefits and UIPL No.
17-10, Change 1;
• UIPL No. 18-11, Revisions to the State Unemployment Insurance (UI) Data Validation
(DV) Handbook, Tax;
• UIPL No. 01-11, Issuance of State Unemployment Insurance Data Validation Operations
Guide (ET Operations Guide 411), and UIPL No. 01-11, Change 1; and
• UIPL No. 08-12, Consolidation of the Employment and Training Administration (ETA)
9000 and ETA 227 Reports.
3. Background. UI DV is necessary to ensure that data reported by states and used for
measuring performance, administrative funding allocations, economic analysis, and other
purposes, are accurate and comparable across states. States are required to file a series of
standardized reports on their UI operations with the U.S. Department of Labor, ETA.
Reports covered by DV are required on a monthly or quarterly basis. The DV State Software
facilitates the validation process and generates standardized outputs that document the DV
results. With the revision of the ETA 227 Overpayment Detection and Recovery Activities
report and the consolidation of the ETA 9000 and ETA 227 reports, to validate new report
cells the DV State Software was modified. This new revision of the ET Operations Guide
411 reflects these recent modifications to the DV State Software.
The Office of Management and Budget (OMB) has approved this new revision of ET
Operations Guide 411 (OMB Control No. 1205-0431) (attached), for use through
July 31, 2014.
RESCISSIONS EXPIRATION DATE
None Continuing
4. ET Operations Guide 411 Modification Summary. The ET Operations Guide 411 has
been revised to reflect changes in the DV State Software due to the revision of the ETA 227
report. Because of the numerous changes to the previous handbook, ET Operations Guide
411 has been reissued in its entirety. The changes are summarized below:
• Updated the OMB Notice (OMB Control No. 1205-0431) to reflect the new expiration
date of July 31, 2014.
• Changed the number of benefits populations from 15 to 16.
• Updated populations 12 through 14, and added values for Population 15, to Appendix A.
• Revised Chapters 2, 3, 4, 8 and 9.
These technical corrections to the ET Operations Guide 411 are effective immediately.
5. Action Requested. Distribute the attached reissued ET Operations Guide 411 to all
appropriate staff. Please disregard all previous versions of the UI DV Operations Guide
(ET Operations Guide 411), as modified by UIPL No. 01-11, Change 1. Users should
replace the October 2011 guide with the attached. States should review these changes and
adjust their procedures, as necessary.
6. Inquiries. All questions should be directed to the appropriate Regional Office.
7. Attachment. ET Operations Guide 411, UI Data Validation Operations Guide
(November 2012).
2
Attachment 1 (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2012/UIPL_1_11_Chg2_Att.pdf)
Unemployment Insurance
Data Validation
Operations Guide
ETA Operations Guide 411
U.S. Department of Labor
Employment and Training Administration
Office of Unemployment Insurance
November 2012
OMB No: 1205-0431
OMB Expiration Date: July 31, 2014
Estimated Average Response Time: 550 hours.
OMB Approval. The reporting requirements for ETA Handbook 361 are
approved by OMB according to the Paperwork Reduction Act of 1995 under
OMB No. 1205-0431 to expire July 31, 2014. The respondents' obligation to
comply with the reporting requirements is required to obtain or retain benefits
(Section 303(a)(6), SSA). Persons are not required to respond to this collection
of information unless it displays a currently valid OMB control number.
Burden Disclosure. SWA response time for this collection of information is
estimated to average 550 hours per response (this is the average of a full
validation every third year with an estimated burden of 900 hours, and partial
validations in the two intervening years), including the time for reviewing
instructions, searching existing data sources, gathering and maintaining the data
needed, and completing and reviewing the collection of information. Send
comments regarding this burden estimate or any other aspect of this collection of
information, including suggestions for reducing this burden to the U. S.
Department of Labor, Employment and Training Administration, Office of
Workforce Security (Attn: Burman Skrable), 200 Constitution Avenue, NW, Room
S-4522, Washington, D.C. 20210 (Paperwork Reduction Project 1205-0431).
TABLE OF CONTENTS
Chapter 1 ........................................................................................................................... 1
About This Operations Guide .......................................................................................... 1
Technical Support ............................................................................................................. 1
Typographic Conventions ................................................................................................ 1
Software Requirements .................................................................................................... 1
The Data Validation Program ......................................................................................... 2
Navigating the System ...................................................................................................... 3
Definitions .......................................................................................................................... 4
Chapter 2 ........................................................................................................................... 6
Logging On ........................................................................................................................ 6
Chapter 3 ......................................................................................................................... 10
Viewing the Record Layouts .......................................................................................... 10
Chapter 4 ......................................................................................................................... 13
Importing an Extract File .............................................................................................. 13
Cancelling a Load ........................................................................................................... 24
Chapter 5 ......................................................................................................................... 26
Viewing Errors ................................................................................................................ 26
Viewing Duplicate Records ........................................................................................... 29
Chapter 6 ......................................................................................................................... 33
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TABLE OF CONTENTS
Viewing the Source Table............................................................................................... 33
Chapter 7 ......................................................................................................................... 37
Viewing Validation Counts ............................................................................................ 37
Chapter 8 ......................................................................................................................... 40
Viewing the Report Validation Screen .......................................................................... 40
Chapter 9 ......................................................................................................................... 44
Viewing Samples ............................................................................................................. 44
Printing Sample Worksheets ......................................................................................... 48
Entering Validation Results for Non-random Samples (Minimum, Missing
Subpopulations and Outliers) ....................................................................................... 53
Entering Validation Results for Random Samples...................................................... 58
First Tier ...........................................................................................................................58
Second Tier .......................................................................................................................60
Viewing the Data Element Validation Report ............................................................... 63
Chapter 10 ....................................................................................................................... 65
Viewing Data Element Sorts in Tax .............................................................................. 65
Entering Data Element Sorts Results ........................................................................... 67
Query Screen.....................................................................................................................68
Frequency Distribution Screen..........................................................................................71
Chapter 11 ....................................................................................................................... 75
Viewing the Wage Item Validation Screen in Tax ....................................................... 75
Chapter 12 ....................................................................................................................... 80
Submitting Results to DOL ............................................................................................ 80
Adding Comments .......................................................................................................... 80
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TABLE OF CONTENTS
Transmitting Population Results .................................................................................. 84
Transmitting Wage Item Validation Results ................................................................ 91
APPENDIX A .................................................................................................................... 1
APPENDIX B .................................................................................................................... 1
APPENDIX C .................................................................................................................... 1
APPENDIX D .................................................................................................................... 1
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Unemployment Insurance Data Validation Operations Guide
Chapter 1
About This Operations Guide
This guide explains how to navigate the Benefits and Tax applications of the
Data Validation (DV) State Web Software Version 4.2.5.
Technical Support
If any problems are encountered with the software, contact the Office of
Unemployment Insurance (OUI) Technical Support Staff (Hotline) at 1-800-473-
0188 or send an email to [email protected].
Typographic Conventions
This document uses the following typographic conventions.
Visual Cue Meaning
Sequenced steps to follow when completing a
1 task
2
Black bold type Button
Blue type Box title
Purple underlined type Links on the software that you can click on
Blue underline type Web or email address
Italics Documents, screen names and menu options
Indicates where to click on the software screen
Note with additional information
Tip
Software Requirements
To use the Data Validation State Web Software you will need a computer with
Internet Explorer Version 6.0 or later.
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You will also need a user name and a password which you should obtain from
your system administrator.
In order to perform data validation you need to load extract files into the software.
Specifications on how to build these extract files are available in Appendix A, UI
Benefits Record Layouts and Appendix B, UI Tax Record Layouts of this
Operations Guide. All extract files to be loaded into the software must be copied
to the “/opt/dv/data/” directory in your state SUN server. Extract file names must
have a .txt extension and contain no spaces.
The Data Validation Program
Welcome to the world of data validation! This operations guide is both an
introduction to the Data Validation automated system and a reference source for
continual use.
States are required to file a series of standardized reports on their
Unemployment Insurance (UI) operations with the Employment and Training
Administration (ETA) of the U.S. Department of Labor (DOL). Reports covered
by the data validation program are required on a monthly or quarterly basis.
These reports are used to establish the volume of activity conducted by state UI
administrations and are a factor in establishing funding levels. They provide
information about state compliance with UI requirements. They also provide
information about the amount of benefits paid, the number of claimants served
and other information useful in measuring the U.S. economy and projecting
trends.
Since state programs differ significantly within established parameters and states
utilize a variety of accounting and data processing arrangements, the issue of the
comparability among state reports has emerged. State reporting requirements
are standardized, but states use a variety of reporting procedures and must
interpret reporting requirements within the context of their own laws and
accounting conventions.
The UI Data Validation (DV) program was established in an attempt to identify
and address discrepancies in reported numbers. The program requires that
states recreate reported numbers independently from their reporting process and
compare these numbers with actual numbers reported to DOL. States must
address any discrepancies found that exceed the established tolerance error
rate. The DV program also requires that states examine a sample of reported
cases to verify that the correct information is being counted.
The Data Validation State Web Software facilitates the validation process and
generates standardized outputs which document the state data validation results.
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The data validation process is divided into two main validation processes: Report
Validation (RV) and Data Element Validation (DEV). RV verifies that reported
numbers in ETA reports are accurate, i.e., that the process which the state uses
to count transactions is correct. DEV refers to the investigation of samples of
records to establish that the information in individual records is accurate and
conforms to federal reporting requirements, i.e., that the state is counting the
right transactions.
The Benefits application uses random, missing, minimum and outliers samples
for the DEV process. The Tax application uses minimum samples, formerly
known as “File Integrity Validation” or FIV samples, which consist of two records
per sub-population within an extract file. The sample frame for each sample
consists of a set of specific sub-populations within an extract file. Records
included in a sample are displayed along with the data elements to be validated
in a data entry screen. Investigators review each record, identify any elements
found to be erroneous, and data-enter this information into the system. In Tax,
even one error causes a sample to fail.
The Tax application also provides a sort utility for Populations 1 – 4 as part of the
DEV process. It tests whether any secondary codes or Employer Account
Number values support the primary codes (such as A for Active or C for
Contributory employers) used to classify extracted transactions. Sorts pass if
fewer than 2% of the sorted of the sorted transactions involve discrepancies.
Tax Population 5 has no sort utility.
The Tax application includes a Wage Item Validation component that requires
validation of incoming information provided by employers pertaining to wages
paid to individuals on a quarterly basis (wage Records). This information is not
included in extract files. Validation of wage record information requires a review
of incoming information and a comparison of reported numbers included in ETA
581 Report count with re-constructed counts. This information is key-entered
into the software and forwarded to DOL.
Navigating the System
The DV software is a web-based application with certain characteristics that the
user should be aware of.
• Multiple users. The software supports multiple, concurrent users.
However, it was not designed to allow, for example, update of a single
table by multiple users at the same time.
• Time Out. You will be automatically logged out from the application if you
are inactive for more than 59 minutes. To maintain your session hit a
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Unemployment Insurance Data Validation Operations Guide
keystroke or move your mouse. You should perform “save” operations
frequently if there is a danger of work being lost due to inactivity. During
the extract loading operation, the time-out parameter is set to four hours,
to allow large extract files to be loaded without interruption.
• Exit from Screens. The user can exit from a secondary window within the
application through use of the “X” in the upper right corner of the window.
Be aware that the “X” at the extreme upper corner of the screen will exit
the user from the entire application. This will require the user to sign on
again and may result in lost data.
• Use of the Back button. The Internet browser has a Back button that
allows the user to return to a previous screen. Users should be aware that
use of this button may result in unexpected results. This problem can be
avoided by using the links on the software screens that were designed to
navigate to previous screens. For example, the Home link at the bottom of
a screen will take you back to the Benefits Selection Criteria screen.
• <Control End> and <Control Home>. <Control End> will take you
immediately to the bottom of any screen and <Control Home> to the top.
• Print Function. To print screens, use the print function on your browser or
if available, the print button at the bottom of the screen. Some screen
sizes exceed the width of a portrait print. In this case try the landscape
option on your printer. You can also try copying the screen to Word, Excel
or some other utility and print from there. System administrators should
be able to assist you if you encounter problems.
• Save and Save As Functions. Use the Save button to save data in the DV
application. Data for a given population saved using the Save button are
overwritten when a new extract file for that population is loaded. The
Save As button allows you to save a screen shot of the current software
screen outside the DV software. Screen shots saved outside the
application are not affected by loading new extract files. The Save As
button can be used to save screen shots of summary reports and DEV
worksheets to satisfy audit requirements.
• Help functions. The application has Help links on certain screens. Click
on this link to display information relevant to the data or functions available
on the screen.
Definitions
Certain terms used in the validation process have a specialized meaning within
the context of the DV program:
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Unemployment Insurance Data Validation Operations Guide
1. Extract Files. These files consist of information extracted from state
production databases. Each state UI transaction is represented as a row
of comma-separated data fields that allow it to be identified as a countable
transaction and classified into the report cells being validated. The extract
files are used as input for the DV software.
2. Record Layouts. These documents provide detailed information on how to
build the extract files. They can be found in the software (see Viewing the
Record Layouts section) or in Appendix A, UI Benefits Record Layouts or
Appendix B, UI Tax Record Layouts of this guide.
3. Module 3. State-specific document used to map the data elements in the
record layouts and samples to elements in individual state systems.
4. Populations. Populations are sets of unique, non-overlapping types of
transactions or statuses that relate to reportable benefits or tax operations.
Benefits validation uses 15 such populations, of which 12 are transactions
during a reporting period (e.g., Population 1, Weeks Claimed) and three
are statuses at the end of a reporting period (e.g., Population 10, Age of
Pending Lower Authority Appeals). Tax validation uses five populations.
An extract file must be constructed for each population. Records in some
populations may be used to validate counts from only one UI report (e.g.
Benefits Population 1 records validate only Weeks Claimed on the ETA
5159 report); others are used to validate multiple reports (e.g., Benefits
Population 4 records validate parts of four benefits reports.)
5. Subpopulation. Populations are divided into mutually exclusive subsets
called subpopulations. Subpopulations are defined in such a way that
they can be used to reconstruct report counts; some are used in the
reconstruction of more than one reported count. Each record from a
population extract file can be assigned to only one subpopulation. For
example, in Benefits Population 1, UI weeks claimed records are assigned
to Subpopulation 1.1 and UCFE weeks claimed records are assigned to
Subpopulation 1.2.
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Unemployment Insurance Data Validation Operations Guide
Chapter 2
Logging On
To log on to the data validation software, follow the next steps.
1 Go to your state Unemployment Insurance Applications Menu screen,
select Data Validation, and then select Validation Software.
2 On the Data Validation login screen, enter your User Name. Example:
dv3
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Unemployment Insurance Data Validation Operations Guide
Screen shots in this operations guide might look different (fonts and
colors) than your screen due to your desktop and browser settings.
3 Enter your Password.
User name and password are assigned by your state system
administrator.
Passwords are case-sensitive, i.e., the operator must use capital
letters or special characters such as (#,*, or %) if these are part of the
password.
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Unemployment Insurance Data Validation Operations Guide
4 Select the application you want to log on to, i.e. Benefits or Tax (Benefits
is selected by default)
5 Click on the Login button.
The State Menu link at the bottom of the screen returns you to the state
menu. The Feedback link accesses contact information for technical
problems. The Help link accesses information on all available functions on
the screen.
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Unemployment Insurance Data Validation Operations Guide
6 You should see the Benefits Selection Criteria or the Tax Selection
Criteria screen, depending on the application you selected.
The Login link at the bottom of the screen will take you back to the login
screen. Click on Population and Choose Function for additional
information on these parameters.
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Unemployment Insurance Data Validation Operations Guide
Chapter 3
Viewing the Record Layouts
In order to use the data validation software, you need to have an extract file
which contains the required data for the reporting period you want to validate.
The data in the file should be extracted from your state production system in
accordance to the specifications described in Appendix A, UI Benefits Record
Layouts, or Appendix B, UI Tax Record Layouts of this guide. You will need 15
extract files; one for each benefit population, and 5 extract files; one for each tax
population.
The record layouts, i.e. the extract file specifications, are also available in the
software. To view them, follow the next steps.
1 On the Benefits Selection Criteria or the Tax Selection Criteria screen,
click on the Population link.
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Unemployment Insurance Data Validation Operations Guide
2 To see the record layout of a population click on the population’s link.
(Benefits are used in the example; Tax will list valid Tax populations.)
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Unemployment Insurance Data Validation Operations Guide
The record layout for the population will be displayed.
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Unemployment Insurance Data Validation Operations Guide
Chapter 4
Importing an Extract File
To use the data in an extract file to validate reported counts, you first need to
import the file into the software. To import an extract file, follow these steps:
1 Select a population from the Population drop–down menu on the Benefits
or the Tax Selection Criteria screen.
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Unemployment Insurance Data Validation Operations Guide
When you select a population, on the lower left corner of the screen you
will see the last date this population was imported and which user
imported it. If you have never imported this population it will display
“Never”.
If you have already imported the population, you will see the last day it
was imported and the user that imported it. You will also see the last date
when validation results were transmitted to DOL. If validation results have
not been transmitted to DOL you will see “Never”.
2 Select Import Data from the Choose Function drop-down menu and click
Go.
When you select Import Data in Benefits, the fields Period Start Date,
Period End Date and Import From Extract File will be displayed.
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Unemployment Insurance Data Validation Operations Guide
You can click on Period Start Date, Period End Date and Import From
Extract File for additional information on these parameters.
When you select Import Data in Tax, the fields Report Quarter and Year,
will be displayed.
You can click on Report Quarter and Year for additional information on
these parameters.
If you are loading Tax Population 2, the Tax Selection Criteria screen will
also display boxes for Contributory and Reimbursing Dates. (These boxes
do not display for other tax populations.)
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Unemployment Insurance Data Validation Operations Guide
The report due date is a state-designated date after which the state
assesses penalty or late charges to employers. The software allows
separate dates for contributory and reimbursing reports because some
states have different due dates for contributory and reimbursing reports.
3 Enter the reporting period you want to validate.
In Benefits, you need to enter the Period Start Date and Period End Date
using MM/DD/YYYY format. For example, January 1st, 2008 must be
entered as “01/01/2008.”
You can also click on the calendar icons on the right to select start and
end dates from a calendar.
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Unemployment Insurance Data Validation Operations Guide
Use the double arrows on the calendar to scroll through years and the
single arrows to scroll through months and then click on the day you want
to use as start or end date.
Scroll
months
Click on day
you want to
Scroll years select
In Tax, select the Report Quarter and insert Year corresponding to your
extract file, using the drop-down menu next to Report Quarter and type in
year using YYYY format.
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Unemployment Insurance Data Validation Operations Guide
For Tax Population 2, also enter report due dates, using MM/DD/YYYY
format.
You can also click on the calendar icon on the right of each due date to
select the report due date from a calendar, the same way you would select
the reporting dates from the calendar in Benefits.
The time period entered or selected should be the same used to
construct the extract file you are going to load.
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Unemployment Insurance Data Validation Operations Guide
In Benefits, the software allows you to load extract files that do not
conform to actual reporting time periods. This option is included for
diagnostic purposes only. You should only submit to DOL data
validation results that correspond to time periods which match the
time period covered by an actual report (e.g., the ETA 5159 Report
for January 1 – 31, 2008).
The reporting dates are needed only for the import function. Once a
population is loaded, the user may choose any other function without
entering these dates.
4 Enter the full path where the file is located and the name of the extract file
into the Import From Extract File box (example: /opt/dv/data/pop1.txt).
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Unemployment Insurance Data Validation Operations Guide
The Clear Query button on the bottom of the screen will reset the Benefits
or Tax Selection Criteria screen.
All extract files must be copied to the /opt/dv/data/ directory; hence
the path name will always be /opt/dv/data/filename.txt. This directory
was created on the Sun servers exclusively for data validation use.
The software will only accept files in text format. File names cannot
contain spaces and must end in “.txt”.
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Unemployment Insurance Data Validation Operations Guide
5 Click on the Import button to load the extract file into the system.
This will take you to the Import Messages screen for information on the
loading procedure.
On this screen you can see which user is loading the population, the start
and end times of the load, the number of errors found in the file, and the
total number of rows processed (including records in error).
Incoming extract files are subjected to various tests to identify
1) Syntax errors, 2) logic errors, and 3) duplicate records.
For large files, a new import message line will appear for each 5,000
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Unemployment Insurance Data Validation Operations Guide
records.
Load times vary depending on the number of records in the extract
file. The time-out parameter is set to 12 hours while the software is
loading to allow ample time for loading large files. Load times are
affected by the size of the file, the population being loaded, and the
number of error conditions encountered during the load.
The software allows different populations to be resident in the
application at the same time, but only one data set for each
population.
If the same population is loaded a second time, the new data set will
over-write the former. Re-loading the same extract file will produce
identical results for report validation, but different samples.
While the file is loading you can go back to the Benefits or Tax Selection
Criteria screen and access screens for other populations. You cannot,
however, load another population or access any of the screens of the
population being loaded. A message in red will appear on the screen
letting you know that the population is being loaded and the user that is
loading it.
In addition, the Population drop-down menu will not display the population
being loaded and the Choose Function drop-down menu will not display
the Import function.
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Unemployment Insurance Data Validation Operations Guide
To return to the Import Messages, select View Import Messages from the
Choose A Function drop-down menu on the Benefits Selection Criteria
screen. You don’t need to select a Population.
Messages displayed on the Import Messages screen are available
during the loading operation, but are not available after the file has
been loaded and the user has left this screen. Information about
previous population loads is not available. Users have the option of
printing this screen when it is displayed, for future reference.
To accurately validate Benefits Population 3 reported numbers, i.e.,
RV, the extract file for Benefits Population 3a must also be loaded on
the software for the same reporting period. When the software
generates the RV for Benefits Population 3, it retrieves validation
counts for new and transitional claims from the Benefits Population 3
extract file and additional claim counts from the Benefits Population 3a
extract file. For more information, please refer to Appendix A, UI
Benefits Report Validation Specifications of the ETA Handbook 361- A
Benefits.
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Unemployment Insurance Data Validation Operations Guide
Cancelling a Load
To cancel a load in progress, follow the next steps.
1 To cancel a load in progress, click the Cancel Import button on the Import
Messages screen.
You should get a message saying that the load was cancelled and the
time it was cancelled.
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Unemployment Insurance Data Validation Operations Guide
When you return to the Benefits or the Tax Selection Criteria screen, using
the Home link, you will see a message in red indicating that the load was
cancelled and the Last Import date will display “Cancelled.”
When you cancel a load, the only screen available for the population for
which the load was cancelled is the Errors screen.
If you are loading a large file and the number of errors is excessive,
you don’t need to wait until the load finishes, to check the type of
errors you are getting. Instead, cancel the load and check the Errors
screen. You will be able to see the errors that were processed up to
the point where you cancelled the load.
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Unemployment Insurance Data Validation Operations Guide
Chapter 5
Viewing Errors
When extract files are loaded, the software reads each record to ensure that all
fields are valid with reference to specifications provided in the ETA Handbook
361 Benefits and 361 Tax.
There are three kinds of error conditions detected during the import and loading
process:
Syntax errors. This refers to records that are not formatted according to
instructions in the population-specific record layouts. Example: alpha characters
in the social security number field or dollars field.
Parsing errors. This refers to records that cannot be assigned to a
subpopulation because the values in the fields do not match the required criteria
for any of the subpopulations.
Duplicate records. This refers to records that are found to be duplicates based
on the criteria described in Appendix C, UI Benefits Duplicate Detection Criteria
or Appendix D, UI Tax Duplicate Detection Criteria, of this guide.
All records with errors are loaded to the Errors table. Records in the Errors table
are not included in any of the validation screens and hence cannot be validated.
You should inspect these records and determine whether the extract file was not
constructed correctly or there is a problem in the state database from which the
data was extracted. If the extract file was not constructed correctly, fix the file and
load it again. If the problem is in your state database, for example a field is not
being captured; your office needs to take steps to fix it. In your review, you must
try to distinguish between (a) incorrectly built records that represent countable
transactions, and (b) records that do not represent countable transactions.
Examples of the latter are one of a set of two duplicate transactions and records
with dates putting them out of range for validating the quarter you are trying to
validate. Rebuild the file to correct errors of a type (a); you may eliminate errors
of type (b) from the extract file or just ignore them as they do not enter into
validation counts or appear in samples.
The Errors screen allows the user to view the records that were found to have
errors during the loading operation. To view the Errors screen follow the next
steps.
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Unemployment Insurance Data Validation Operations Guide
1 In the Benefits or Tax Selection Criteria screen, select the Population for
which you want to see the errors table. Benefits screens will be displayed
in the following examples.
2 Select View Errors from the Choose Function drop-down menu and click
Go.
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Unemployment Insurance Data Validation Operations Guide
The Errors screen displays records with errors along with an error
message for each record.
The Errors screen displays 100 records at a time. To see the next 100
records, click on the Next link at the bottom of the screen. This link is
visible only when there are more than 100 records. If the loaded file
contains more than 1,000 errors only the first 1,000 can be viewed, and
the software will display a red message to inform you of this.
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Unemployment Insurance Data Validation Operations Guide
When a file with no errors is loaded, the Errors screen displays “No Rows
Found” in red.
Viewing Duplicate Records
Duplicate errors are displayed in the Errors screen along with all other
errors, but can be viewed separately by accessing the Duplicate Detection
Report screen. To access this screen follow the steps below.
1 Click on the Duplicate Detection Report link at the bottom of the Errors
screen.
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The Duplicate Detection Report screen displays duplicates only.
Like in the Errors screen, the screen displays only 100 records at a time.
To see the next 100 records, click on the Next link at the bottom of the
screen. This link is visible only when there are more than 100 records. If
the loaded file contains more than 1,000 duplicates only the first 1,000 can
be viewed, and the software will display a red message to inform you of
this.
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To go back to the Errors screen click on the All Errors link at the bottom of
the screen.
When a file with no duplicates is loaded, the Duplicate Detection Report
screen displays “No Rows Found” in red.
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Chapter 6
Viewing the Source Table
The Source Table displays all the records that were successfully loaded to the
application. To access the Source Table follow the steps below.
1 From the Benefits or Tax Selection Criteria screen select a Population that
has been loaded. Benefits screens will be displayed in the following
examples.
2 Select View Source Table from the Choose Function drop-down menu and
click Go.
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The Source Table screen contains all records parsed, but displays only
100 records at a time. At the bottom of the Source Table screen, you can
see a count of the number of errors found during the loading process and
the error rate. You can access the Errors screen from the Source Table
screen by clicking on the Show Errors link at the bottom of the screen.
You can sort records by any field by clicking at the field header. Click once
to sort in ascending order, and twice for descending. (Applies only to
Benefits)
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You can sort records by a field to quickly find records with outlier
values. For example, sort on Weekly Benefit Allowance (WBA) to
find records with values exceeding the state established WBA.
The Source Table screen displays 100 records at a time. To see the next
100 records, click on the Next link at the bottom of the screen. This link is
visible only when there are more than 100 records. If the table contains
more than 1,000 records only the first 1,000 can be viewed.
The Source Table screen shows the number of errors found during the
loading process and the error rate at the bottom of the screen. You can
access the Errors screen from the Source Table screen by clicking on the
Show Errors link at the bottom of the screen.
If no record was successfully loaded, the Source Table screen displays a
warning message in red.
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Chapter 7
Viewing Validation Counts
The Validation Counts screen displays all the subpopulations in the population
and the number of records from the extract file that were assigned to each
subpopulation. To view the Validation Counts screen, follow the next steps.
1 From the Benefits or Tax Selection Criteria screen select a Population that
has been loaded. Benefits screens will be displayed in the following
examples.
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2 Select View Validation Counts from the Choose Function drop- down
menu and click on Go.
The screen displays the subpopulations, the report cells for which they are
used, the type of values expected for records in them, and the number of
records assigned to each.
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3 Click on the subpopulation number to view records that were parsed into
that subpopulation.
You can sort records by any field by clicking at the field header. Click once
to sort in ascending order, and twice for descending.
You can print the screen by clicking on the Print button at the bottom of
the screen.
The screen displays 100 records at a time. To see the next 100 records,
click on the Next link at the bottom of the screen. This link is displayed
only when there are more than 100 records.
4 Click on the “X” in the upper right hand corner of the screen to close the
screen and return to the Validation Counts screen.
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Chapter 8
Viewing the Report Validation Screen
Report validation (RV) consists of establishing the extent to which reported
numbers match report counts reproduced through the data validation process.
This comparison process is automated and requires no additional input from
state staff.
The software retrieves reported numbers from the state UI database and
compares them to the validation numbers derived from the extract files. In
Benefits, percent errors are displayed for each report cell, but pass/fail scores
are displayed for groups. A group passes validation if the percent error is 2% or
less, except for groups which contain report cells that are used for Government
Performance and Results Act (GPRA) measures, which should have a percent
error of 1% or less (i.e., Groups 4.01, 4.02 and 12.04). If all groups pass, the
population passes report validation; otherwise, it fails; except in Populations 10
and 11, where there are individual report cells that must also pass in addition to
the groups.
In Tax, percent errors are displayed for each report cell. A report cell passes
validation if the percent error is 2% or less, except for cells which are used for
Government Performance and Results Act (GPRA) measures, which should
have a percent error of 1% or less (ETA 581, cells 11 and 61). If all cells pass,
the population passes report validation; otherwise, it fails.
The Report Validation screen displays the results of report validation. To display
the screen follow the steps below.
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1 From the Benefits or Tax Selection Criteria screen select a Population that
has been loaded. Tax screens will be displayed in the following examples,
unless otherwise noted.
2 Select View Report Validation from the Choose Function drop-down menu
and click on Go.
The Report Validation screen displays each report cell in the population,
its description, validation count (derived from the extract file), reported
count (retrieved from the UI database), count difference, and percent
difference, cumulative counts for some groups of report cells, and pass/fail
scores for items that are used to determine the score of RV. If any scored
item fails, the RV fails.
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In Benefits, at the right bottom corner of the Report Validation screen you
can see the Report Validation Status of the population.
In Tax, the failure of even one count shown on the table will result in the
RV Status to Fail, while in Benefits a failure in one group will result in the
status to Fail.
At the bottom of the screen there is a button to access the View
Population Scores screen. Click on it to display the status of the RV and
DEV, which are the two components used to calculate the population
score. In Tax, DEV is composed of Sorts and Minimum samples, and in
Benefits, it’s composed of all random samples for the population. For more
information on this screen, see section on submitting results to DOL.
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To save a screen shot of the Report Validation screen outside the software,
follow the next steps.
3 Select Save As from the drop-down menu File on the top left corner of
your browser.
4 Select the location where you want to save the screen shot and write in
the File Name box the name you want to give the file and click save.
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Chapter 9
Viewing Samples
Data element validation (DEV) consists of the investigation of samples drawn
from extract files to verify that the information in the records is accurate. Four
kinds of samples are drawn: random, missing subpopulations, outliers, and
minimum,
• Random. These samples are drawn from specific subpopulations within
extract files. These were designed as two-tier samples so that the second
tier of the sample does not have to be investigated if the results of the
investigation of the first tier are conclusive. The samples are either 30/100
or 60/200, where the first number indicates the size of the first tier and the
second number the size of the whole sample. So, for example, in a 30/100
sample, 30 cases are investigated in the first tier and 70 on the second,
for a total of 100 records. These samples pass with an error rate of 5% or
less.
• Missing subpopulations. These samples are dependent on the random
samples. Each sample consists of one case from each subpopulation that
is in the universe of the related random sample but was not selected in the
random sample.
• Minimum. These samples consist of two cases from each subpopulation
included in the sample frame.
• Outliers. These samples consist of 10 records with extreme values: the
five largest and five smallest values for the variable of interest in the data
set.
Benefits DV uses all four samples, and Tax DV only uses minimum, but Tax DEV
also includes sorts. In Benefits only random samples are scored and submitted to
DOL. The other samples in Benefits are included for diagnostic purposes, but
failure of a non-random sample does not require corrective action. States should
investigate them and keep a record of their results for auditing purposes.
Tax Data Element Validation (DEV) has two parts: Minimum Samples (previously
known as File Integrity Validation (FIV) samples), and Data Element Sorts
validation (refer to Chapter 10 for more information). The minimum samples are
so small; that in order to pass this aspect of DEV all sampled records must be
free of errors.
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For both Benefits and Tax, the RV of a population is not valid unless the
population passes all applicable DEV tests.
To view the samples of a population follow the next steps.
1 From the Benefits or Tax Selection Criteria screen select a Population that
has been loaded. Benefits screens will be displayed in the following
examples.
2 Select View Samples from the Choose Function drop-down menu and
click on Go.
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The Sample ID number on the Samples screen identifies the specific
sample. Sample Type describes it as one of the four types of samples
described above (random, minimum, outlier or missing subpopulations).
Sample Description is a narrative explanation of the subpopulations
included in the sample frame for each sample.
3 Click on the Sample ID of the sample you want to view.
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The Sample Validation screen displays the records selected in the sample
that are to be investigated. The number and description of the sample are
displayed at the top of the screen.
This screen is used to enter the results of the investigation. The step
numbers on the headers of the columns refer to the steps in Module 3 of
the data validation handbook.
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Printing Sample Worksheets
Before you start investigating each record in a sample it is recommended that
you print the worksheets for all records. You can annotate validation results in
these worksheets and later enter all results in the Sample Validation screen. To
print the worksheets follow the next steps. Benefits screens will be displayed in
the following examples.
1 Click the Print Worksheets button. This button is displayed at the top and
bottom of the Sample Validation screen. Click on either button.
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2 Start Row and End Row boxes will be displayed at the bottom of the
screen. Enter the range of rows that you want to print and click Go. For
example, enter “1” in Start Row and “4” in End Row and click Go, to print
sample worksheets for rows 1 to 4.
To print the worksheet of only one record, enter the row number of
the record in the Start Row and End Row boxes. For example, to
print the record in the second row, enter “2” in both the Start Row
and End Row boxes.
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The worksheets display the records with all fields and corresponding
values in portrait orientation.
3 Scroll to the end of the screen and click on Print Preview.
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If instead of printing you want to add more records to print, click on Get
More Rows. Start Row and End Row boxes will be displayed at the
bottom of the screen. Enter the range of rows that you want to add and
click Go.
Then click on Print Preview.
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4 Click the Printer symbol on the left top corner of the screen.
5 Select a printer and click Print.
You can keep worksheets for samples you submit to the DOL as
evidence of the work done, in case you are subject to an Office of
Inspector General (OIG) audit.
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Entering Validation Results for Non-random Samples (Minimum,
Missing Subpopulations and Outliers)
After you investigate each record, you need to enter the results of the validation
into the software. To enter results for non-random samples, go to the Sample
Validation screen of the sample you are investigating and follow the next steps.
1 For each data element, go to the box next to it, click on the drop-down
menu and select pass or fail according to your findings. Tax screens will
be displayed in the following examples, unless otherwise noted.
If all elements in a record have passed you don’t have to enter results
individually for each data element. You can instead click on the Pass Row
box at the beginning of the row and all boxes for that row will be filled with
“Pass”.
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For a record that has only a few elements failed and the rest of the
elements passed, you can select “Fail” for the elements that failed and
then check the Pass Row box at the beginning of the row to change the
remaining blank boxes to “Pass”.
If all of the records within the sample have passed all data elements you
can select the Check All box on the top left corner of the table to change
all blank boxes to “Pass”.
You can enter “Fail” for the elements that have failed for the whole
sample and then click the Check All box to change the remaining blank
boxes to “Pass”.
2 Click Save to save all entered results. When you click Save the software
will display a summary of your results at the bottom of the screen,
including the number of cases reviewed and the number of cases in error.
The Save button will save your results in the software. You can use this
button to save partial results if you need to log out from the software.
When you return to this screen, all results you have entered so far will be
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displayed. (for Taxes the Save button saves your data to your state’s
database).
3 When you finish validating all records, click on the Save Final Validation
Results (only appears on Benefits screen) button at the top or bottom
of the screen, to save your data in your state’s database.
Click OK.
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Click OK.
You can later access these data by querying your database, but the data
will be erased from the software when the population is reloaded.
The Save As button displayed at the top and bottom of the screen can be
used to save a screen shot of your results outside the software. To do this,
follow the next steps.
4 Click on Save As.
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5 Select the location where you want to save the screen shot and write in
the File name box the name you want to give the file. Click on Save.
6 When you finish entering and saving your sample validation results, close
the Sample Validation screen by clicking the X in the upper right-hand
corner.
Click OK
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Entering Validation Results for Random Samples
When validating random samples (Benefits) you first have to validate records on
the first tier of the sample. If the results are conclusive, you don’t need to validate
the second tier (rest of the sample). If results are inconclusive you need to go to
the second tier and enter results for the rest of the sample. To enter results for
random samples follow the next steps.
First Tier
1 When you first open the Sample Validation screen for a random sample
you will see the records in the first tier of the sample, i.e., the first 30
records for a 30/100 sample or the first 60 records for a 60/200 sample.
Enter validation results for all records on the screen by following the
instructions described in Step 1 of the previous section for non-random
samples.
If the sample’s universe size is less than 100 for 30/100 samples or
200 for 60/200 samples, i.e., if the extract file has less than 100 or
200 records respectively from which to select that sample, you will
see all records selected for the sample on the screen and you will
not have to complete a second tier. The software will use the error
rates in Table B.2 of the Benefits Handbook to score the sample.
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2 Click Save. If the results are conclusive, the screen will display a summary
of your results at the bottom of the page, along with a pass or fail score.
You have finished the validation and don’t need to complete the second
tier. If the sample universe is smaller than the 30- or 60-case tier one
sample, the results will be conclusive regardless of the number of errors.
If the results are inconclusive, clicking on Save will bring up the following
pop-up window informing you that you need to go to the second tier. Click
OK.
If you need to exit the software before entering all your results,
click Save before you do so, so that you don’t lose any of your
results. Also, if you are inactive for more than 59 minutes (the
time-out limit), save your work before, to avoid losing your
results.
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Second Tier
3 To go to the second tier, click on one of the Switch to Tier 2 buttons
available at the top and bottom of the screen.
The first tier’s records are going to be disabled but still visible on the
screen and the records for the second tier are going to be displayed.
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If you want to edit results for any records on the first tier, you can click on
either of the Back to Tier 1 buttons available at the top and bottom of the
screen.
However, if you had entered any results for records on the second tier,
you will lose them. The software will give you a warning before going back
to tier 1. Click OK if you want to go to tier 1 or Cancel to return to Tier 2.
Be aware that returning to tier 1 from tier 2 might take a long time.
4 Enter results for all records on the second tier the same way you entered
results on the first tier. Follow the first tier instructions described under
Step 1.
5 When you finish entering results click Save. A summary of your results will
be displayed at the bottom of the page along with a pass or fail score.
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6 If you want to save a screen shot click Save As and follow the steps
described in the previous section.
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Viewing the Data Element Validation Report
The Data Element Validation Report screen provides summary information about
completed sample investigations for a given population. This report is for
informational purposes only. It provides, for example, the number of cases in
error and the derived percent of errors established through the sample
investigation process. The report can be printed and/or saved outside the
application, but there is no Transmit button for export to DOL. To access this
screen follow the next steps.
1 Click on the link Data Element Validation Report screen located at the
bottom of the Samples screen.
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The screen will show results that you have entered for all samples. You
can print this screen by clicking on Print and save it outside the software
by clicking on Save As.
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Chapter 10
Viewing Data Element Sorts in Tax
The purpose of data element sorts validation is to determine whether the generic
primary codes used to assign transactions (e.g. C (Contributory) and R
(Reimbursing) in Populations 1 and 2) are accurately supported by state-specific
secondary codes or specific ranges of employer account numbers (EANs). If a
state’s database does not have more than one state-specific code for a given
generic code, or does not use EAN ranges, these tests do not apply. Also, these
tests do not apply to Population 5.
A data element passes sort validation if no more than 2% of the sorted
transactions include an incorrect state-specific code. For detailed information on
data element sort validation check Module 2.3 of the tax handbook.
The following table illustrates the relationship between tax populations, sorts, and
sub-populations. The Test Data Element column identifies the data element used
by the software to perform the sort.
Tax Populations, Sorts and Sub-populations
Population Sort Subpopulations Examined Test Data Element
1 S1.1 1.1 (Contributory Employers) EAN
1 S1.2 1.2 (Reimbursing Employers) EAN
1 S1.3 1.1 + 1.2 (All employers) Employer Status Indicator
1 S1.4 1.1 (Contributory Employers) Employer Type Indicator
1 S1.5 1.2 (Reimbursing Employers) Employer Type Indicator
2 S2.1 2.1 – 2.8 (Contributory Employers) EAN
2 S2.2 2.9 – 2.16 (Reimbursing Employers) EAN
2 S2.3 2.1 – 2.8 (Contributory Employers) Employer Type Indicator
2 S2.4 2.9 – 2.16 (Reimbursing Employers) Employer Type Indicator
3 S3.1 3.1 – 3.3 (New Status Det.) Status Determination Type
3 S3.2 3.4 – 3.6 (Successor Status Det.) Status Determination Type
3 S3.3 3.7 (Inactivation Det.) Status Determination Type
3 S3.4 3.8 (Termination Det.) Status Determination Type
4 S4.1 4.1, 4.9 (Establishment Transaction) Transaction Type Indicator
4 S4.2 4.2, 4.10 (Liquidation Transaction) Transaction Type Indicator
4 S4.3 4.3, 4.4, 4.11, 4.12 (Uncollectible Transaction Type Indicator
Transactions)
The software has two different sorting methods to determine which employers or
transactions are out of range: query and frequency distribution. The query is
available for EANs and the frequency distribution for all other data elements. The
next sections will explain each method in detail.
To access the Data Element Sorts screen follow the next steps.
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1 From the Tax Selection Criteria screen select a Population that has been
loaded.
2 Select View Data Element Sorts from the Choose Function drop-down
menu and click Go.
The Data Element Sorts screen displays each data element to be sorted,
the corresponding step in Module 3 that is used to validate it, and the
number of cases to be validated. Each data element has a sort number
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assigned to it, e.g., S1.1. The sort numbers are displayed as links that
take you to the sorting function.
Entering Data Element Sorts Results
To enter results for data element sorts follow the next steps.
1 If your state does not have secondary codes for the data element, you
cannot do sort validation for that data element. In that case, click on the
N/A box next to the data element.
The data element is disabled and the Status column displays “N/A”.
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2 If your state has secondary codes for the data element or assigns EAN
ranges to contributory and reimbursing employers, click on the sort
number link. For example, click on S1.1.
If the data element is EAN, you will get a query screen. For other data
elements you will get a screen showing a frequency distribution of codes.
Query Screen
If your state assigns a certain range of EAN numbers to contributory
employers and another range to reimbursing employers, you can query
against the EANs in your extract file to determine if there are any numbers
out of range.
Select the type of query you want to execute and the parameters for the
query. The software offers three possible queries: starts with, ends with
and is between.
Starts with retrieves all employers whose EANs begin with the sequence
you identify. For example, to get all the records with an EAN starting with
3000, click the starts with option, and enter 3000 in the first box.
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Ends with retrieves all employers whose EAN ends with the sequence you
identify. For example, to get all the records with an EAN ending in 1230,
click the ends with option, and enter 1230 in the first box.
Is between allows you to specify a range starting with an EAN value in the
first box and an ending value in the second box. The query returns the set
of employers that falls within the specified range. For example, to get all
the records with an EAN between 3000 and 502222, click the is between
option, enter 3000 in the first box and 502222 in the second box.
You can save your parameters by clicking on Save Parameters.
Click on the Query button.
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The software displays a screen with all records that satisfy the query
parameters. At the bottom of the screen the total number of records
retrieved is displayed.
If the number returned by the query exceeds 10,000, the
software displays the first 10,000, beginning with the lowest
EAN.
If you query for valid values, for example if your state’s EANs always start
with 4, and you query for those records, then the records the software
retrieves are all correct. In this case, compare the number of records
retrieved with the number of cases in the Data Element Sort screen.
The difference between these numbers equals the number of records that
have an incorrect EAN, i.e. the number of errors. For example, if you
retrieved 4 correct records using the query and the number of cases is 12,
then there are 8 records in error.
If you query for invalid values, for example if all EANs in your state can
end in any digit but 9 and you query for all EANs ending in 9, then the total
number of records retrieved equals the number of errors.
In some cases you might want to execute multiple queries to find the
number of errors. For example, if the EANs in your state should be
between 007900000 and 007999999, then you can query for records
above the upper limit and below the lower limit of your state’s EAN
range, i.e., run a query for records beginning with 000000000 and
ending with 007899999 and another query for 008000000 and above.
Add the number of records returned by both queries to get the total
number of errors.
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Frequency Distribution Screen
If your state has multiple codes for active employers, employer type, or
types of transactions, you can determine which records have an incorrect
code by looking at their frequency distribution of codes.
1 After you click on the sort number link of a data element that is not an
EAN, a window will come up showing a frequency distribution of all codes.
Look at all the codes and determine whether these are correct. Add up all
the counts of incorrect codes to determine the total number of errors for
the data element you are validating.
For example, in the previous screen, if you are validating Inactive codes
and 315 and 316 are not Inactive codes in your state system, then you
have a total of 11 (8+3) errors for Inactive.
2 To view all records that were counted for a code, click on the code link.
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The software can only display the first 10,000 records.
After you determine how many errors you have for a data element, either
by querying or by using the codes frequency distribution, enter that number
in the Data Element Sorts screen. To do this, follow the next steps.
3 Enter the number of records in error for the data element you are
validating, in the # of Errors field on the Data Element Sorts screen.
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4 Click the Save button at the bottom of the screen.
5 You will get a pop up window confirming that you have saved the data.
Click OK.
The software calculates the percentage of errors and determines whether
the data element passed sort validation. It also calculates the Data
Element Sorts Status.
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If you haven’t completed all the sorts, the status will display “Incomplete”.
In order to submit results to the DOL, you first need to complete all sorts,
by either entering the number of errors or checking the N/A box, and click
Save.
When you complete and save all sorts for a population, the status field will
display Pass or Fail.
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Chapter 11
Viewing the Wage Item Validation Screen in Tax
Wage item validation consists of reviewing counts of wage record transactions
which appear on the ETA 581 report to verify their accuracy. A wage record is
the listing of an individual’s earnings in covered employment. Employers are
required to provide this information to the Unemployment Insurance program four
times per year.
To validate wage items you need to compare counts from the ETA 581 with
reconstructed counts produced under controlled conditions. You should test that
every wage item is counted and that the count does not include corrections
(counted twice), incomplete wage records or duplicate records. You can find a
detailed explanation in Module 5 of the ETA Handbook 361- Tax.
To enter wage item validation results into the software follow the next steps.
1 Select Wage Item Validation from the Other Validations box on the Tax
Selection Criteria screen and click View.
When you select Wage Item Validation, you will see the date results were
last transmitted to the National Office at the bottom of the Other
Validations box. If you have not transmitted any results, the Last
Transmitted field will display “Never”.
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2 Click on View to get to the Wage Item Validation screen.
If you have never entered results before you might get a screen with no
wage items.
3 Select the quarter from the Report Quarter drop down menu, then input
year (year must be 4 characters long).
If you have previously entered results, you will see them and you can edit
or delete them. Wage items do not get overwritten when you load extract
files and are not dependent on any population.
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4 To add a wage item. Click on the Add Wage Item button located at the
bottom of the screen.
5 In the Add Wage Items for Validation pop up window enter the information
for the wage item you want to add and click Save.
• Select the Mode Type; from the drop down menu this is a general
description of the item you are validating.
• Enter the Mode; this is a brief description of the item you are
validating. If Mode Type is used more than once each Mode should
have a unique name/description. For example, if CD/Diskette is
selected twice as your Mode Type the Mode could be entered as
CD1 and CD2 with a brief description like CD1 – First Month, CD2
Second Month.
• Next, enter Sample Size; which cannot be zero or greater than 150.
If Sample Size is less than 150 the software will automatically fill in
the Cases Reviewed field with the same number as the Sample
Size. If 150 is entered as the Sample Size, then for the Cases
Reviewed field you must enter 50 if you are reviewing Stage 1 or
enter 150 if you are reviewing Stage 2. Refer to UI DV Handbook
361, Tax for more information on when Stage 1 or Stage 2 are
required.
• Enter the recount for that category in the Validation Count field.
• Enter the counts for the applicable time period that are reflected in
the ETA 581 Report in the Reported Count field.
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When you save the item, the Wage Item Validation screen displays the
item added and calculates the Difference between the Reported Count
and Validation Count fields, and whether the item Passed or Failed
validation.
Repeat this procedure to ensure that you have validated wage items for
every mode your state’s employers use to submit them.
6 To update any field of a wage item other than the Mode Type and Mode
fields, click on the field box you want to edit and edit the field. Then click
the Save button at the bottom of the screen to save your changes.
You cannot update the Mode Type or Mode fields. Instead, you need to
delete the wage item and add a new one with the correct Mode.
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7 To delete a wage item click on the Delete button next to the wage item,
located on the column Delete Wage Item?
A pop-up window will be displayed to confirm your request. Click OK to
delete the item or Cancel if you don’t want to delete it.
8 After you finish entering your validation results, click the Save button at
the bottom of the screen to save your work.
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Chapter 12
Submitting Results to DOL
Adding Comments
You can add individual comments to your RV, samples, sorts, and wage items
results before transmitting them to DOL by using the Comments buttons on the
Report Validation, Sample Validation, Data Element Sorts, and Wage Item
Validation screens. To add comments, follow the steps below. Tax screens will
be displayed in the following examples.
1 From the Benefits or Tax Selection Criteria screen select the Population
for which you want to add comments.
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2 Select the screen for which results you want to add comments from the
Choose Function drop-down menu and click on Go.
For adding comments to wage item validation results, select View Wage
Item Validation from the Other Validations box on the Tax Selection
Criteria screen and click View.
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3 Click on the Add Comments button.
In the Report Validation screen, the Add Comments button is located at
the bottom of the screen.
In the Sample Validation screen, the Add Comments button is displayed
at the top and bottom of the screen. Click on either one.
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In both the Data Element Sorts and the Wage Item Validation screens,
only available in Tax, the Add Comments button is displayed at the
bottom of the screen.
Click on the Add Comment button to bring up the comment box.
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4 Write your comments in the comment box and click Save. You have a limit
of 512 characters. Only saved comments will be transmitted.
5 Close the comments window by clicking on the X located on the top right
corner of the window.
The Clear button at the bottom of the Comments screen will erase the
contents of the comment box. The Reset button will erase any additional
comments written after the comments were last saved.
Transmitting Population Results
After you complete RV and DEV, you can transmit the results to DOL with or
without comments. Only completed and conclusive sample investigations can be
transmitted. Results are transmitted jointly for RV and DEV samples.
You may choose not to submit the results of a validation exercise, but
keep in mind that any results resident in the software for a given
population will be lost when a new extract file for that population is
imported it overwrites the prior data.
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When you transmit results to DOL, only summary information and
comments are transmitted. Detailed information from individual
records is not transmitted to DOL. This means that sensitive
information, such as SSNs, stays at the state level.
You can forward RV and DEV results to DOL using the Transmit button at the
bottom of the Population Scores screen. Submissions are transferred to DOL
overnight, so they will be received the next day. To submit results along with
comments saved, if any, follow the next steps.
1 From the Benefits or Tax Selection Criteria screen select the Population
for which you want to submit results.
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2 Select View Population Scores from the Choose Function drop-down
menu and click on Go.
The Population Scores screen can also be accessed from the Report
Validation, Sample Validation or Data Element Sorts (Tax only) screens by
clicking on the View Population Scores button.
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In Benefits, the Population Scores screen displays scores for the RV and
all the random samples, and an overall score for the population. It also
displays the date when results for the population were last transmitted to
the National Office.
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In Tax, he Population Scores screen displays scores for the RV, minimum
sample, and sorts, and an overall score for the population. It also displays
the date when results for the population were last transmitted to the
National Office.
3 Click on the Transmit button located at the bottom of the screen.
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You can only transmit results if you have completed DEV. If you haven’t,
you will get the following message.
Click OK and complete all samples and sorts (if applicable). After you
complete all DEV return to the Population Scores screen. Click on the
Transmit button to submit your results.
4 Click OK on the pop up window if you want to transmit the results. Click
Cancel if you don’t.
You will get a message confirming that your results were submitted. Click
OK.
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In the Population Scores of Benefits or Tax Selection Criteria screens, the
Last Transmitted date should reflect the date when you last transmitted
results for the population. If you have never submitted results the field
would display “Never”.
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Transmitting Wage Item Validation Results
You submit wage item validation results to DOL using the Transmit button at the
bottom of the Wage Item Validation screen. To transmit wage item validation
results follow the next steps.
1 Click on the Transmit button. The Transmit button is located at the
bottom of the Wage Item Validation screen.
Clicking the transmit button multiple times or closing the
application before the submission process is complete could
cause problems with your submission. Click only one time and
wait until you get the window saying “Wage Item Validation has
been submitted”.
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2 Click OK on the pop up window if you want to transmit the results. Click
Cancel if you don’t.
You will get a pop up window confirming your action. Click OK.
When you return to the Tax Selection Criteria screen, the Last Transmitted
field at the bottom of the Other Validations box will be updated.
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APPENDIX A
Unemployment Insurance Data Validation Operations Guide
EXPLANATION OF UI BENEFITS DATA FORMATS
There are five types of data formats referred to in Appendix A.
1. Required. These fields cannot be blank. They may be mandatory dates and
dollar values.
2. Text. These fields have text values that must be entered, such as UI, partial,
voluntary quit, etc. All of the allowable generic text values for each field are
listed in the record layout. The generic text values must be followed by a
dash and the corresponding state-specific value.
3. Optional (these fields are gray in Appendix A). The software does not
look at these fields at all. Any values can be entered or they can be left
blank.
4. Must be blank. These are text or date fields where the presence of data
indicates an error. Therefore, they must be left blank (such as monetary date
where the subpopulation is for a claim with no monetary determination or a
UCFE amount for a UI only payment).
5. Must be blank or 0. These are numeric fields where the presence of data
other than “0” indicates an error.
Some values are abbreviated in the record layouts (Appendix A) but are shown in
the report validation specifications (Appendix A) in their entirety for informational
purposes.
Notes:
For most steps referenced in Appendix A column headers, Rule 1 is the indicator
in the state system. However, if a state does not maintain the indicator specified
in Rule 1, then the state programmer must review the other rules in that step in
order to develop the required validation logic.
Unique ID is required for populations 2, 4, 6, 7, 8, 9, 10, and 11 and optional for
populations 5, 12, 13, and 14 because not all states maintain the indicators for
these four populations. There is no unique ID field for populations 1 and 3.
Federal Wages are required in certain situations. In population 4, for Joint
UI/Federal payments UCFE amount and/or UCX amount is required. In
population 4 for UCFE or UCFE/UCX payments, UCX amount is only required for
joint UCFE and UCX claims. In populations 12, 13 and 14 federal amount is
required for UI overpayments when there are also federal wages.
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BENEFITS RECORD LAYOUT FOR POPULATION 1
This record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for UI Program Type is 01, then the data format would be UI-01.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS State assigned sequential unique Number - 00000000 INTEGER NOT NULL
identifier for each record in the (Required)
extract file.
2 Claim Week- Step 1A - Rule 2 The week-ending date of the Date - MM/DD/YYYY DATE NOT NULL
ending Date week claimed. (Required)
3 SSN Step 1A - Rule 1 Social Security Number Number - 000000000 CHAR (9) NOT NULL
(Required)
4 Type of UI Regular UI: Step 2A - Rule 1 Regular UI claim. Text - Regular UI CHAR (20) NOT NULL
Program (Required)
5 Program Type UI: Step 4A - Rule 1 UI, UCFE, or UCX. Text - UI CHAR (30) NOT NULL
UCFE: Step 4B - Rule 1 UCFE
UCX: Step 4C - Rule 1 UCX
(Required)
6 Intrastate/ Intrastate: Step 5A - Rules 1 Intrastate, Interstate received as Text - Intrastate CHAR (30) NOT NULL
Interstate and 2 liable state, or Interstate filed Interstate liable
Interstate Received as Liable from agent state. Interstate agent
State: Step 5B - Rules 1 and 2 (Required)
Interstate Filed From Agent
State: Step 5D - Rules 1
and 2
7 Date Week Step 11 - Rule 1 The date the week was claimed. Date - MM/DD/YYYY DATE NOT NULL
Claimed (Required)
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
8 Monetarily Eligible Step 11 - Rule 2 Claimant is monetarily eligible for Text - CHAR (30)
or Pending benefits when the week was EligiblePending(Optional)
claimed if: benefits have not
been exhausted or monetary
eligibility is pending, i.e. eligibility
has not been finally determined.
9 Earnings Step 11 - Rule 3 Earnings for the week claimed Number - 0000000.00 DECIMAL (9,2)
except for interstate filed from (Required except optional for
agent state claims. Interstate filed from agent state
claims)
10 WBA Step 11 - Rule 3 Weekly benefit allowance Number - 0000000.00 DECIMAL (9,2) NOT NULL
(Required)
11 User User defined field. Can be used Text CHAR (100)
for any additional data element. (Optional)
Not mandatory.
APPENDIX A RECORD LAYOUT
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BENEFITS RECORD LAYOUT FOR POPULATION 2
This record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for UCFE is 5, then the data format would be UCFE-5.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS Sequential number, start at 1. Number - 00000000 INTEGER NOT NULL
Provides for a unique identifier (Required)
for each record in the extract
file.
2 SSN Step 1C - Rule 1 Social Security Number Number - 000000000 CHAR (9) NOT NULL
(Required)
3 Check Number Step 1C - Rule 2 The check number or other Number - 0000000000 CHAR (30) NOT NULL
Unique ID unique ID. (Required)
4 Type of UI Regular UI: Step 2A - Rule 1 Regular UI claim. Text - Regular UI CHAR (20) NOT NULL
Program (Required)
5 Program Type UI: Step 4A - Rule 1 UI, UCFE or UCX. Text - UI CHAR (30) NOT NULL
UCFE: Step 4B - Rule 1 UCFE
UCX: Step 4C - Rule 1 UCX
(Required)
6 MBA Step 9A and 9B - Rule 1 The maximum benefit Number - 0000000.00 DECIMAL (9,2) NOT NULL
allowance. (Required)
7 WBA Step 7 - Rules 1 and 2 The weekly benefit allowance. Number - 0000000.00 DECIMAL (9,2) NOT NULL
(Required)
8 Actual Weeks of Step 9A - Rules 1 and 2 The number of actual weeks of Number - 00 INTEGER
Duration duration of the claim. (Required except optional for
UCFE and UCX claims)
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
9 Maximum Weeks Steps 9B and 9C - Rule 1 The number of actual weeks of Text - Y CHAR (20)
of Duration duration at the maximum or N
not. (Required except optional for
UCFE and UCX claims)
10 Mail Date of Final Step 10C - Rule 3 The mail date of the final Date - MM/DD/YYYY DATE NOT NULL
Payment payment. (Required)
11 Balance Step 10C - Rule 2 The balance left on the claim Number - DECIMAL (9,2) NOT NULL
at the time of the final 0000000.00(Required)
payment.
12 User User defined field. Can be Text CHAR (100)
used for any additional data (Optional)
element. Not mandatory.
APPENDIX A RECORD LAYOUT
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BENEFITS RECORD LAYOUT FOR POPULATION 3
This record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for Transitional claim is T, then the data format would be TRANSITIONAL-5.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS State assigned sequential Number - 00000000 INTEGER NOT NULL
unique identifier for each (Required)
record in the extract file.
2 SSN Step 1B - Rule 1 Social Security Number Number - 000000000 CHAR (9) NOT NULL
(Required)
3 Date Claim Step 3A - Rules 1 and 6 The date the claim was filed in Date - MM/DD/YYYY DATE NOT NULL
Filed/IB-4 Sent Step 3C - Rule 1 person, by mail or telephone, (Required)
or by other means.
4 Type of UI Regular UI: Step 2A - Rule 1 Regular UI claim. Text - Regular UI CHAR (20) NOT NULL
Program (Required)
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
5 Type of Claim New: Step 3A - Rule New claim,Transitional Text - NewTransitional Entering Self- CHAR (30) NOT NULL
2Transitional: Step 3C - claim,Entering self- EmploymentAdditionalReopenedCWC
Rule 2Entering Self- employment,Additional NewPrior Qtr New CWCPrior Qtr New
Employment: Step 3D - claim,Reopened claim,New Claim(Required)
Rule 2Additional: Step CWC claim,New CWC claim
3B - Rule 2Reopened: filed in a prior quarter,
Step 3B - Rule 7New orNew claim filed in a prior
CWC claim:Step 3A - quarter.
Rule 6New CWC claim
filed in prior quarter:
Step 3A - Rule 7New
claim filed in prior
quarter: Step 3A - Rule
5
6 Program Type UI: Step 4A - Rule 1 UI, UCFE or UCX. Text - UI CHAR (30)
UCFE: Step 4B - Rule 1 UCFE
UCX: Step 4C - Rule 1 UCX
(Required except optional for CWC and
entering self-employment program claims)
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
7 Intrastate/ Intrastate: Step 5A - Intrastate, Text - Intrastate CHAR (30)
Interstate Rules 1 and 2 Interstate received as liable, Interstate liable
Interstate Received as Liable Interstate taken as agent, Interstate taken
State: Step 5B - Interstate filed from agent Interstate agent
Rules 1 and 2 state, CWC Intrastate
Interstate Taken as Agent Intrastate combined wage CWC Interstate
State: Step 5C - claim, or (Required except optional for
Rules 1 and 2 Interstate combined wage transitional claims, new claims
Interstate Filed From Agent claim. filed during a prior quarter, and
State: Step 5D - entering self-employment
Rules 1 and 2 program claims)
Intrastate CWC: Step 5E -
Rules 1 and 2
Interstate CWC: Step 5F -
Rules 1 through 4
8 Date of Original Step 6A - Rules 1 and 2 Date the original determination Date - MM/DD/YYYY DATE
Monetary Step 6B - Rule 1 was made on whether the (Required except must be
claimant has sufficient base- blank for "No Monetary" claim
period wages and/or and CWC claims with
employment to establish a insufficient wages and optional
benefit year. for UCFE, UCX, interstate filed
from agent state, interstate
taken as agent state, and
entering self-employment
program claims)
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
9 Sufficient/ Sufficient Wages: New The status of the new UI or Text - Insufficient CHAR (30)
Insufficient/ Benefit Year: CWC claim at the time the 218 Sufficient New BY
Combined Step 6C - Rules 1 and 2 report was run: Sufficient-new Sufficient No BY
Wages Sufficient Wages - No benefit year established; Sufficient New CWC BY
New Benefit Year: Sufficient-no new benefit year (Required except must be
Step 6C - Rule 3 established; Insufficient; blank for "No Monetary" claim
Insufficient Wages: Sufficient-new CWC benefit and optional for UCFE, UCX,
Step 6D - Rule 1 year established. interstate filed from agent
New CWC Wages: state, interstate taken as
Step 6C - Rule 4 agent state, and entering self-
No New CWC Wages: employment program claims)
Step 6D - Rules 2 and 3
10 WBA Step 7 - Rules 1 and 2 Weekly benefit allowance is Text - Maximum CHAR (30)
the maximum or less than Less than Maximum
maximum. (Required except must be
blank for insufficient, sufficient
but no benefit year, and "No
Monetary" claim, and optional
for UCFE, UCX, interstate
filed from agent state,
interstate taken as agent
state, CWC, and entering self-
employment program claims)
(States should include the
WBA after the dash which
follows the generic federal
value.)
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
11 MBA Steps 8A and 8B - Rule 1 Maximum benefit allowance Number - 0000000.00 DECIMAL (9,2)
(Required except must be
blank or 0 for insufficient,
sufficient but no benefit year,
and "No Monetary" claim, and
optional for UCFE, UCX,
interstate filed from agent
state, interstate taken as agent
state, CWC, and entering self-
employment program claims)
12 Potential Weeks Step 8A - Rule 1 The number of full weeks of Number - 00 INTEGER
of Duration benefits for which a claimant is (Required except must be
determined to be eligible within blank or 0 for insufficient,
a benefit year. sufficient but no benefit year,
and "No Monetary" claim, and
optional for UCFE, UCX,
interstate filed from agent
state, interstate taken as agent
state, CWC, and entering self-
employment program claims)
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
13 Potential Step 8B - Rules 1 and 2 The duration of the benefit Text - Y CHAR (20)
Weeks year is or is not the maximum N
Maximum for the State. (Required except must be
Duration blank for insufficient, sufficient
but no benefit year, and "No
Monetary" claim, and optional
for UCFE, UCX, interstate filed
from agent state, interstate
taken as agent state, CWC,
and entering self-employment
program claims)
14 User User defined field. Can be Text CHAR (100)
used for any additional data (Optional)
element. Not mandatory.
APPENDIX A RECORD LAYOUT
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BENEFITS RECORD LAYOUT FOR POPULATION 3a
This record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for Additional Claim is A, then the data format would be ADDITIONAL-A.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS State assigned sequential Number - 00000000 INTEGER NOT NULL
unique identifier for each (Required)
record in the extract file.
2 SSN Step 1B - Rule 1 Social Security Number Number - 000000000 CHAR (9) NOT NULL
(Required)
3 Date Claim Filed Step 3B - Rule 1 The date the claim was filed in Date - MM/DD/YYYY DATE NOT NULL
person, by mail or telephone. (Required)
4 Type of UI Regular UI: Step 2A - Rule 1 Regular UI claim. Text - Regular UI CHAR (20) NOT NULL
Program (Required)
5 Type of Claim Additional: Step 3B - Rule 2 Additional claim. Text - Additional CHAR (20) NOT NULL
(Required)
6 Program Type UI: Step 4A - Rule 1 Program type is UI, UCFE or Text - UI CHAR (30) NOT NULL
UCFE: Step 4B - Rule 1 UCX. UCFE
UCX: Step 4C - Rule 1 UCX
(Required)
7 Intrastate/ Intrastate: Step 5A - Rules 1 Claim is intrastate, or interstate Text - Intrastate CHAR (30) NOT NULL
Interstate and 2 received as liable. Interstate liable
Interstate Received as Liable (Required)
State: Step 5B - Rules 1 and 2
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
8 Unclaimed Week Step 3B - Rule 3 The week-ending date of the Date - MM/DD/YYYY DATE
unclaimed week prior to the (Optional)
additional claim.
9 Separation Date Step 3B - Rule 4 The date of separation from an Date - MM/DD/YYYY(Required) DATE NOT NULL
employer since the last claim
was filed.
10 Last Employer Step 3B - Rule 5 The name of the separating Text CHAR (50) NOT NULL
employer. (Required)
11 Separation Step 3B - Rule 6 The reason for separation. Text CHAR (30) NOT NULL
Reason (Required)
12 User User defined field. Can be used Text CHAR (100)
for any additional data element. (Optional)
Not mandatory.
APPENDIX A RECORD LAYOUT
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BENEFITS RECORD LAYOUT FOR POPULATION 4
This record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for Adjustment payment is 13, then the data format would be ADJUSTMENT-13.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS State assigned sequential Number - 00000000 INTEGER NOT NULL
unique identifier for each record (Required)
in the extract file.
2 SSN Step 1C - Rule 1 Social Security Number Number - 000000000 CHAR (9) NOT NULL
(Required)
3 Check Number Step 1C - Rule 2 The check number ID or other Number - 0000000000 CHAR (30) NOT NULL
Unique ID unique check ID. For offsets (Required)
assign a unique ID number.
4 Type of UI Regular UI: Step 2A - Rule 1 Regular UI claim. Text - Regular UI CHAR (20) NOT NULL
Program (Required)
5 Program Type UI: Step 4A - Rule 1 Type of Program is UI only, Text - UI Only CHAR (30)
UCFE: Step 4B - Rule 1 UCFE, UCFE/UCX, UCX only, UCFE Only
UCX Only: Step 4C - Rule 1 Joint UI/Federal, or Self- UCFE/UCX
UI/Federal: Step 4D - Rule 1 Employment. UCX Only
Self-Employment: Joint UI/Federal
Step 4E - Rule 1 Self-employ
(Required except optional for
CWC payments)
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
6 Intrastate/ Intrastate: Step 5A - Rule Intrastate, Interstate, Intrastate Text - CHAR (30)
Interstate 1Interstate Received as Liable CWC, or Interstate CWC claim. InterstateIntrastateIntrastate
State: Step 5B - Rule CWC Interstate CWC(Required
1Intrastate CWC:Step 5E - Rule except optional for UCFE only,
1Interstate CWC:Step 5F - UCFE/UCX, and UCX only
Rule 1 adjustments)
7 Type of First: Step 10A - Rule 1 First Payment, Continued Text - First Payment CHAR (50) NOT NULL
Compensation Continued: Step 10B - Rule 1 Payment, Adjustment, Self- Continued Payment
Adjustment: Step 10F - Rule 1 Employment, Prior Weeks Adjustment
Prior Weeks Compensated: Compensated. Self-Employment
Step 10G - Rule 1 Prior Weeks Compensated
(Required)
8 Partial/Total Partial: Step 10D - Rule 1 Week of partial or total Text - Partial CHAR (20)
Weeks of Total: Step 10E - Rule 1 unemployment. Total
Unemployment (Required except optional for
UCFE only, UCFE/UCX, and
UCX only adjustments, and for
self-employment and CWC
payments)
9 Earnings Step 10D - Rule 2 The earnings for the week Number - 0000000.00 DECIMAL (9,2)
Step 10E - Rule 2 claimed. (Required except optional for
UCFE only, UCFE/UCX, and
UCX only adjustments, and self-
employment and CWC
payments)
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
10 WBA Step 10D - Rule 3 The weekly benefit allowance. Number - 0000000.00 DECIMAL (9,2)
Step 10E - Rule 3 (Required except optional for
UCFE only, UCFE/UCX, and
UCX only adjustments, and self-
employment and CWC
payments)
11 UI Amount Step 12A - Rule 1 The amount of benefits paid Number - 0000000.00 DECIMAL (9,2)
from State Unemployment (Required except must be blank
Funds. or 0 for UCFE only, UCFE/UCX,
UCX only, self-employment,
and CWC payments)
12 UCFE Amount Step 12B - Rule 1 The amount of benefits paid Number - 0000000.00 DECIMAL (9,2)
from Federal Funds. (Required for UCFE only, Joint
UI/Federal, and UCFE/UCX
payments; must be blank or 0
for all other payment types)
13 UCX Amount Step 12C - Rule 1 The amount of benefits paid Number - 0000000.00 DECIMAL (9,2)
from military funds. (Required for UCX only, Joint
UI/Federal, and UCFE/UCX
payments; must be blank or 0
for all other payment types)
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
14 CWC Amount Step 12D - Rule 1 The amount of benefits paid for Number - 0000000.00 DECIMAL (9,2)
a combined wage claim (Required for all CWC
payment. payments; must be blank or 0
for all other payment types)
15 Self-Employ Step 12E - Rule 1 The total dollars paid under the Number - 0000000.00 DECIMAL (9,2)
Amount SEA program. (Required for self-employment
payments; must be blank or 0
for all other payment types)
16 Week End Date Step 13 - Rule 1 The week-ending date of the Date - MM/DD/YYYY DATE
week compensated. (Required except optional for
adjustment, self-employment,
and all CWC payments with the
exception of CWC first
payments)
17 Mail Date Step 14 - Rule 1 The date on which the payment Date - MM/DD/YYYY DATE NOT NULL
is actually mailed to the (Required)
claimant.
18 User User defined field. Can be used Text CHAR (100)
for any additional data element. (Optional)
Not mandatory.
APPENDIX A RECORD LAYOUT
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BENEFITS RECORD LAYOUT FOR POPULATION 5
This record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for UI Program Type is 01, then the data format would be UI-01
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS State assigned sequential Number - 00000000 INTEGER NOT NULL
unique identifier for each (Required)
record in the extract file.
2 SSN Step 1D - Rule 1 Social Security Number Number - 000000000 CHAR (9) NOT NULL
(Required)
3 Issue Number Step 1D - Rule 2 The unique issue number or Number - 000000 CHAR (50)
(Unique ID) other unique number assigned (Required if State maintains a
to the nonmonetary unique ID)
determination.
4 Type of UI Regular UI: Step 2A - Rule 1 Regular UI claim or Workshare Text - Regular UI CHAR (20) NOT NULL
Program Workshare: Step 2B - Rule 1 claim. Workshare
(Required)
5 Program Type UI: Step 4A - Rule 1 UI, UCFE, or UCX. Text - UI CHAR (30)
UCFE: Step 4B - Rule 1 UCFE
UCX: Step 4C - Rule 1 UCX
(Required except optional for
multi-claimants)
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
6 Intrastate/ Interstate Intrastate: Step 5A - Rule 1 Intrastate or interstate. Text - Intrastate CHAR (30)
Interstate Received as Liable State: Interstate
Step 5B - Rule 1 (Required except optional for
multi-claimants)
7 Determination/ Step 16A - Rule 1Step 16B - Rule 1 The decision made by the Text - Determination CHAR (30) NOT NULL
Redetermination authority on an issue was Redetermination
a determination or (Required)
redetermination.
8 Type of Determination Step 17A - Rules 1 and 2 The determination was Text - Single CHAR (20) NOT NULL
Step 17B - Rule 1 based upon facts related Multi
to an individual situation (Required)
or to groups of similarly
situated individuals.
APPENDIX A RECORD LAYOUT
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Unemployment Insurance Data Validation Operations Guide
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
9 Issue Types VL: Step 18A - Rule 1 The separating issue was Text - VL CHAR (50) NOT NULL
MC: Step 18B - Rule 1 voluntary leaving, MC
Sep/Other: Step 18C - Rule 1 misconduct, or other separation Sep/Other
A & A: Step 18D - Rule 1 issue. The nonseparation issue A&A
Ded. Income: Step 18E - Rule was Ded. Income
1 able and available for work, Suitable Work
Suitable Work: Step 18F - Rule deductible income, suitable Reporting
1 work refusal, reporting Profiling
Reporting: Step 18G - Rule 1 requirements, profiling, Other Nonsep
Profiling: Step 18H - Rule 1 other nonseparation issue, or Labor Dispute
Other/Nonsep: Step 18I - Rule 1 labor dispute or other multi- Other Multiclaimant
Labor Dispute: Step 18J - Rule claimant issue. (Required)
1
Other Multiclaimaint Issues:
Step 18K - Rule 1
10 First Week Step 19 - Rules 1 and 2 The week-ending date of the Date - MM/DD/YYYY DATE
Affected first week in a claim series to (Required except optional for
which a notice of nonmonetary redeterminations)
determination applies.
11 Detection Date Step 20 - Rule 1 The earliest date that the Date - MM/DD/YYYY DATE
agency is in possession of (Required except optional for
information indicating the redeterminations)
existence of a nonmonetary
issue.
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
12 Notice Date Step 21 - Rule 1 The date the determination Date - MM/DD/YYYY DATE NOT NULL
notice is mailed or, if no notice (Required)
is required, the date payment is
authorized, waiting week credit
is given, or an offset is applied.
13 Allow or Deny Step 23A - Rules 1 and 2 The outcome of the Text - Allow CHAR (20) NOT NULL
Step 23B - Rules 1 and 2 nonmonetary determination was Deny
an allow or a deny. (Required)
14 User User defined field. Can be used Text CHAR (100)
for any additional data element. (Optional)
Not mandatory.
APPENDIX A RECORD LAYOUT
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BENEFITS RECORD LAYOUT FOR POPULATION 6
This record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for Single Claimant is N, then the data format would be S-N.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS State assigned sequential Number - 00000000 INTEGER NOT NULL
unique identifier for each (Required)
record in the extract file.
2 SSN Step 1E - Rule 1 Social Security Number Number - 000000000 CHAR (9) NOT NULL
(Required)
3 Docket Number Step 1E - Rule 2 The Docket Number of the Number - 0000000000 CHAR (30) NOT NULL
Unique ID lower authority appeal. (Required)
4 Appeal Level Step 24A - Rule 1 The appeal type was a lower Text - Lower CHAR (20) NOT NULL
authority appeal. (Required)
5 Type of Appeal Single: Step 25A - Rule 1 The appeals case involves one Text - S CHAR (20) NOT NULL
(Single or Multi: Step 25B - Rule 1 or more than one claimant. M
Multiclaimant) (Required)
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
6 Number of Step 25B - Rules 3 and 5 The number of claimants in a Number => 1(Required for INTEGER
Claimants multiclaimant appeal.If the State mutiple claimant appeals;
stores a single record for a optional for single claimant
multi-claimant appeal with a appeals)
field for the number of
claimants, insert the number in
this field. If the State stores a
record for each claimant
involved in a multi-claimant
appeal, include all of the
records in the file and insert a '1'
in this field.
7 Filed Date Step 32 - Rule 1 The date on which the appeal Date - MM/DD/YYYY DATE NOT NULL
was filed. (Required)
8 User User defined field. Can be used Text CHAR (100)
for any additional data element. (Optional)
Not mandatory.
APPENDIX A RECORD LAYOUT
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BENEFITS RECORD LAYOUT FOR POPULATION 7
This record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for Higher Authority Appeal is B, then the data format would be Higher-B.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS State assigned sequential Number - 00000000 INTEGER NOT NULL
unique identifier for each (Required)
record in the extract file.
2 SSN Step 1F - Rule 1 Social Security Number Number - 000000000 CHAR (9) NOT NULL
(Required)
3 Docket Number Step 1F - Rule 2 The Docket Number of the Number - 0000000000 CHAR (30) NOT NULL
Unique ID higher authority appeal. (Required)
4 Appeal Level Step 24B - Rule 1 The appeal type was a higher Text - Higher CHAR (20) NOT NULL
authority appeal. (Required)
5 Type of Appeal Single: Step 25A - Rule 1 The appeals case involves one Text - S CHAR (20) NOT NULL
(Single or Multi: Step 25B - Rule 1 or more than one claimant. M
Multiclaimant) (Required)
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
6 Number of Step 25B - Rules 3 and 5 The number of claimants in a Number => 1(Required for INTEGER
Claimants multiclaimant appeal. If the multiple claimant appeals;
State stores a single record for optional for single claimant
a multi-claimant appeal with a appeals)
field for the number of
claimants, insert the number in
this field. If the State stores a
record for each claimant
involved in a multi-claimant
appeal, include all of the records
in the file and insert a '1' in this
field.
7 Filed Date Step 32 - Rule 1 The date on which the appeal Date - MM/DD/YYYY DATE NOT NULL
was filed. (Required)
8 User User defined field. Can be used Text CHAR (100)
for any additional data element. (Optional)
Not mandatory.
APPENDIX A RECORD LAYOUT
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BENEFITS RECORD LAYOUT FOR POPULATION 8
This record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for UI Program Type is 01, then the data format would be UI-01.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS State assigned sequential unique Number - 00000000 INTEGER NOT NULL
identifier for each record in the extract (Required)
file.
2 SSN Step 1E - Rule 1 Social Security Number Number - 000000000 CHAR (9) NOT NULL
(Required)
3 Docket Number Step 1E - Rule 2 The Docket Number or other unique ID Number - 0000000000 CHAR (30) NOT NULL
Unique ID assigned to the appeal. (Required)
4 Type of UI Regular UI: Step 2A - Rule 1 Regular UI claim or Workshare claim. Text - Regular UI CHAR (20) NOT NULL
Program Workshare: Step 2B - Rule 1 Workshare
(Required)
5 Program Type UI: Step 4A - Rule 1 UI, UCFE, or UCX. Text - UI CHAR (20) NOT NULL
UCFE: Step 4B - Rule 1 UCFE
UCX: Step 4C - Rule 1 UCX
(Required)
6 Intrastate/ Intrastate: Step 5A - Intrastate or Interstate. Text - Intrastate CHAR (30) NOT NULL
Interstate Rules 1 and 2 Interstate
Interstate Received as Liable (Required)
State: Step 5B - Rules 1 and 2
7 Appeal Level Step 24A - Rule 1 The appeal type is a lower authority Text - Lower CHAR (20) NOT NULL
appeal. (Required)
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
8 Type of Appeal Single: Step 25A – Rule 1 The determination is based upon facts Text - S CHAR (20) NOT NULL
(Single or Multi: Step 25B - Rule 1 related to an individual situation or to groups M-1
Multiclaimant) of similarly situated individuals. M-Lead
M-Nonlead
States which maintain a single record for (Required)
multi-claimant appeals with a field for the
number of claimants involved should insert a
text prefix of 'M-1' for a multi-claimant
appeal with only one record for the whole
appeal.
States which maintain multiple records (one
for each claimant) for a multi-claimant appeal
should designate one of the records as the
lead claimant. States should insert a text
prefix of 'M-Lead’ in this field for the lead
claimant record. Both of these types of
records will be assigned to subpopulations
8.45 to 8.52 (lower) or 9.13 to 9.20 (higher).
States which maintain multiple records
should insert a prefix of 'M-Nonlead' in the
multi-claimant field for the non-lead
claimants. These records will be assigned to
subpopulations 8.53 (lower) or 9.21 (higher).
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
9 Number of Step 25B - Rules 3 and 5 The number of claimants involved in a Number => 1 INTEGER
Claimants in multiclaimant appeal (could be one if separate (Required for multiple
Multiclaimant records are provided for each participating claimant appeals; must be
Appeal claimant) blank or 0 for single
claimant appeals)
10 Appellant Claimant: Step 26A - Rule The appellant is the claimant, employer, or Text - Claimant CHAR (20)
1 other than claimant or employer. Employer
Employer: Step 26B - Other
Rule 1 (Required except optional
Other: Step 26C - Rule 1 for UCFE, UCX, and non-
lead multi-claimant claims)
11 In Favor of In Favor: Step 27A - Rule The decision was or was not in favor of the Text - Y CHAR (20)
Appellant 1 appellant. N
Not in Favor: Step 27B - (Required except optional
Rule 1 for UCFE, UCX, and non-
lead multi-claimant claims)
12 Filed Date Step 32 - Rule 1 The date on which the appeal was filed. Date - MM/DD/YYYY DATE NOT NULL
(Required)
13 Decision Date Step 28 - Rule 1 The date the decision was mailed to the Date - MM/DD/YYYY DATE NOT NULL
interested parties concerned. (Required)
14 Disposed of by By Decision: Step 30A - The appeals case was disposed of by a written Text - Y CHAR (20)
Decision Rule 1 ruling. N
Not by Decision: Step 30B (Optional)
-
Rule 1
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
15 Issue Code VL: Step 31A - Rule 1 The issue code of the appeal was voluntary Text - VL CHAR (30)
MC: Step 31B - Rule 1 leaving, misconduct, refusal MC
Suit: Step 31C - Rule 1 of suitable work, able and available to work, Suit
A&A: Step 31D - Rule 1 other issues, or labor dispute. A&A
Other: Step 31E - Rule 1 Other
Labor Disp: Step 31F - Rule 1 Labor Disp
(Required except optional
for UCFE and UCX claims)
16 User User defined field. Can be used for any Text CHAR (100)
additional data element. Not mandatory. (Optional)
APPENDIX A RECORD LAYOUT
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BENEFITS RECORD LAYOUT FOR POPULATION 9
This record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for In Favor Of is F, then the data format would be Y-F.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS State assigned sequential unique Number - 00000000 INTEGER NOT NULL
identifier for each record in the extract (Required)
file.
2 SSN Step 1F - Rule 1 Social Security Number Number - 000000000 CHAR (9) NOT NULL
(Required)
3 Docket Number Step 1F - Rule 2 The Docket ID or other unique number Number - 0000000000 CHAR(30) NOT NULL
Unique ID assigned to the appeal. (Required)
4 Type of UI Regular UI: Step 2A - Rule 1 Regular UI claim or Workshare claim. Text - Regular UI CHAR(20) NOT NULL
Program Workshare: Step 2B - Rule 1 Workshare
(Required)
5 Program Type UI: Step 4A - Rule 1 UI, UCFE, or UCX. Text - UI CHAR (20) NOT NULL
UCFE: Step 4B - Rule 1 UCFE
UCX: Step 4C - Rule 1 UCX
(Required)
6 Intrastate/ Intrastate: Step 5A - Rules 1 and Intrastate or interstate. Text - Intrastate CHAR (20)
Interstate 2 Interstate
Interstate Received as Liable (Required except optional
State: Step 5B - Rules 1 and 2 for non-lead claimant
multi-claimant appeals)
7 Appeal Level Step 24B - Rule 1 The appeal is a higher authority appeal. Text - Higher CHAR (20) NOT NULL
(Required)
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
8 Type of Appeal Single: Step 25A - Rule 1Multi: The determination is based upon facts Text - SM-1M-LeadM- CHAR (20) NOT NULL
(Single or Step 25B - Rule1 related to an individual situation or to Nonlead (Required)
Multiclaimant) groups of similarly situated individuals.
States which maintain a single record
for multi-claimant appeals with a field
for the number of claimants involved
should insert a text prefix of 'M-1' for a
multi-claimant appeal with only one
record for the whole appeal.
States which maintain multiple records
(one for each claimant) for a multi-
claimant appeal should designate one
of the records as the lead claimant.
States should insert a text prefix of 'M-
Lead’ in this field for the lead claimant
record. Both of these types of records
will be assigned to subpopulations 8.45
to 8.52 (lower) or 9.13 to 9.20 (higher).
States which maintain multiple records
should insert a prefix of 'M-Nonlead' in
the multi-claimant field for the non-lead
claimants. These records will be
assigned to subpopulations 8.53
(lower) or 9.21 (higher).
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
9 Number of Step 25B - Rules 3 and 5 The number of claimants involved in a Number => 1 INTEGER
Claimants in multiclaimant appeal (could be one if (Required for multiple
Multiclaimant separate records are provided for each claimant appeals; must
Appeal participating claimant) be blank or 0 for single
claimant appeals)
10 Appellant Claimant: Step 26A - Rule 1 The appellant is the claimant, Text - Claimant CHAR (30)
Employer: Step 26B - Rule 1 employer, or other than claimant or Employer
Other: Step 26C - Rule 1 employer. Other
(Required except optional
for UCFE and UCX
claims, and non-lead
multi-claimant appeals)
11 In Favor of In Favor: Step 27A - Rule 1 The decision was or was not in favor of Text - Y CHAR (20)
Appellant Not in Favor: Step 27B - the appellant. N
Rule 1 (Required except optional
for UCFE and UCX
claims, and non-lead
multi-claimant appeals)
12 Filed Date Step 32 - Rule 1 The date on which the appeal was filed. Date - MM/DD/YYYY DATE NOT NULL
(Required)
13 Decision Date Step 28 - Rule 1 The date the decision was mailed to the Date - MM/DD/YYYY DATE NOT NULL
interested parties concerned. (Required)
14 Disposed of by By Decision: Step 30A - The appeals case was disposed of by a Text - Y CHAR (20)
Decision Rule 1 written ruling. N
Not by Decision: Step 30B - (Optional)
Rule 1
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
15 User User defined field. Can be used for any Text CHAR (100)
additional data element. Not (Optional)
mandatory.
APPENDIX A RECORD LAYOUT
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BENEFITS RECORD LAYOUT FOR POPULATION 10
This record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for Lower Authority Appeal is 100, then the data format would be LOWER-100.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS State assigned sequential Number - 00000000 INTEGER NOT NULL
unique identifier for each record (Required)
in the extract file.
2 SSN Step 1E - Rule1 Social Security Number Number - 000000000 CHAR (9) NOT NULL
(Required)
3 Docket Number Step 1E - Rule 2 The Docket Number or other Number - 0000000000 CHAR (30) NOT NULL
Unique ID unique number assigned to the (Required)
appeal.
4 Appeal Level Step 24A - Rule 1 The appeal was a lower Text - Lower CHAR (20) NOT NULL
authority appeal. (Required)
5 Appeal Pending Step 30B - Rule 1 No decision has been made on Text - No Decision CHAR (30)
an appeal. (Optional)
6 Filed Date Step 32 - Rule 1 The date on which the appeal Date - MM/DD/YYYY DATE NOT NULL
was filed. (Required)
7 User User defined field. Can be used Text CHAR (100)
for any additional data element. (Optional)
Not mandatory.
APPENDIX A RECORD LAYOUT
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BENEFITS RECORD LAYOUT FOR POPULATION 11
This record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for Higher Authority Appeal is 200, then the data format would be Higher-200.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS State assigned sequential Number - 00000000 INTEGER NOT NULL
unique identifier for each record (Required)
in the extract file.
2 SSN Step 1F - Rule 1 Social Security Number Number - 000000000 CHAR (9) NOT NULL
(Required)
3 Docket Number Step 1F - Rule 2 The Docket Number or other Number - 0000000000 CHAR (30) NOT NULL
Unique ID unique number assigned to the (Required)
appeal.
4 Appeal Level Step 24B - Rule 1 The appeal was a higher Text - Higher CHAR (20) NOT NULL
authority appeal. (Required)
5 Appeal Pending Step 30B - Rule 1 No decision has been made on Text - No Decision CHAR (30)
an appeal. (Optional)
6 Filed Date Step 32 - Rule 1 The date on which the appeal Date - MM/DD/YYYY DATE NOT NULL
was filed. (Required)
7 User User defined field. Can be used Text CHAR (100)
for any additional data element. (Optional)
Not mandatory.
APPENDIX A RECORD LAYOUT
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BENEFITS RECORD LAYOUT FOR POPULATION 12
This record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for Fraud is F, then the data format would be FRAUD-F.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS State assigned sequential Number - 00000000 INTEGER NOT NULL
unique identifier for each (Required)
record in the extract file.
2 SSN Step 1G - Rule 1 Social Security Number Number - 000000000 CHAR (9) NOT NULL
(Required)
3 Unique ID Step 1G - Rule 2 The unique ID of the Number - 0000000000 CHAR (30)
overpayment. (Required if State maintains a
unique ID)
4 Program Type UI: Step 4A - Rule 1 Type of program is UI, UCFE, Text – UI, UCFE, UCX, EB CHAR (30) NOT NULL
UCFE: Step 4B - Rule 1 or UCX or EB. (Required)
UCX: Step 4C - Rule 1
EB: Step 4F – Rule 1
5 Type of Fraud: Step 33A - Rule 1 The type of overpayment is Text - Fraud CHAR (20) NOT NULL
Overpayment Nonfraud: Step 33B - Rule 1 Fraud, Nonfraud or Penalty. Nonfraud
Penalty: Step 33C - Rule 1 Penalty
(Required)
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
6 Cause of Overpayment Multi Claimant Scheme: The cause of the overpayment was Text – Multiclaimant; Single CHAR (30)
Step 34A - Rule 1 a fraud committed by Multi Claimant Claimant; Agency
Single Claimant: Step 34H – Rule 1 Scheme, Single Claimant, or Agency Employee; Reversals; State
Agency Employee Benefit Fraud: Employee; or a nonfraud by Agency; Employer;
Step 34I – Rule 1 Reversals, State Agency Errors, Claimant; Other
Reversal (JAVA): Step 34B – Rule Employer Errors, Claimant Errors, or (Required except optional
1 Other cause. for penalties)
State Agency: Step 34C – Rule 1
Employer: Step 34D – Rule 1
Claimant: Step 34E – Rule 1
Other: Step 34F – Rule 1 and 3
Penalty: Step 34G – Rule 1
7 Date Established Step 36 - Rule 1 The date that the overpayment was Date - MM/DD/YYYY DATE NOT NULL
established. (Required)
8 UI Amount Step 37A - Rule 1 The amount of benefits paid from Number - 0000000.00 DECIMAL
State Unemployment Funds. (Required for UI claims; (9,2)
must be blank or 0 for UCFE
or UCX or EB claims)
9 Federal Amount Step 37B - Rule 1 The amount of benefits paid from Number - 0000000.00 DECIMAL
Federal Funds. (Required for UCFE, UCX, (9,2)
or joint claims; must be
blank or 0 for UI or EB
claims)
10 EB Amount Step 37C – Rule 1 The amount of benefits paid through Number – 000000000.00 CHAR (100)
the permanent Extended Benefits (Required for EB claims;
(EB) program. must be blank or 0 for UI or
UCFE or UCX claims)
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
11 Accumulated UI Step 45A The UI fraud or nonfraud overpayment Number – 0000000.00 DECIMAL
Amount amount that the UI claim has (Required for UI claims; must be blank (9.2)
accumulated from previous quarters and or 0 for UCFE or UCX or EB claims)
that is used to calculate a High Dollar
Overpayment. If in the previous quarter
the claim was classified as a High Dollar
Overpayment, then the accumulated
amount is reset to 0.
12 Accumulated Step 45B The Federal fraud or nonfraud Number – 0000000.00 DECIMAL NOT NULL
Federal Amount overpayment amount that the UCFE, (Required for UCFE, UCX, or joint (9.2)
UCX or joint claim has accumulated from claims; must be blank or 0 for UI or EB
previous quarters and that is used to claims)
calculate a High Dollar Overpayment. If
in previous quarter the claim was
classified as a High Dollar Overpayment,
then the accumulated amount is reset to
0.
13 Accumulated EB Step 45C The EB fraud or nonfraud overpayment Number - 000000000.00 DECIMAL
Amount amount that the EB claim has (Required for EB claims; must be blank (9,2)
accumulated from previous quarters and or 0 for UI or UCFE or UCX claims)
that is used to calculate a High Dollar
Overpayment. If in previous quarter the
claim was classified as a High Dollar
Overpayment, then the accumulated
amount is reset to 0.
14 Date of Original Step 6A – Rules 1 and 3 Date the original determination was Date – MM/DD/YYYY DATE NOT NULL
Monetary Step 6B – Rule 1 made on whether the claimant has (Required)
sufficient base-period wages and/or
employment to establish a benefit year.
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
15 User User defined field. Can be used for CHAR (100)
any additional data element. Not Text
mandatory. (Optional)
APPENDIX A RECORD LAYOUT
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BENEFITS RECORD LAYOUT FOR POPULATION 13
This record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for Recovered Cash is C, then the data format would be CASH-C.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS State assigned sequential unique Number - 00000000 INTEGER NOT NULL
identifier for each record in the (Required)
extract file.
2 SSN Step 1H - Rule 1 Social Security Number Number - 000000000 CHAR (9) NOT NULL
(Required)
3 Unique ID Step 1H - Rule 2 The unique ID of the overpayment. Number - 0000000000 CHAR (30)
(Required if State maintains a
unique ID)
4 Program Type UI: Step 4A - Rule 1 The program type is UI, UCFE, UCX Text - UI CHAR (30) NOT NULL
UCFE: Step 4B - Rule 1 or EB. UCFE
UCX: Step 4C - Rule 1 UCX
EB: Step 4F – Rule 1 EB
(Required)
5 Type of Fraud: Step 33A - Rule 1 The type of overpayment is Fraud or Text - Fraud CHAR (20) NOT NULL
Overpayments Nonfraud: Step 33B - Rule 1 Nonfraud. Nonfraud
(Required)
APPENDIX A RECORD LAYOUT
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
6 Type of Recovered Cash: Step 38A - The reconciliation activity was Text - Cash CHAR (30) NOT NULL
Reconciliation Rule 1 cash, benefit offset, state Benefit Offset
Activity Recovered Offset: Step 38B - income tax offset, Federal State Tax Offset
Rule 1 Income tax offset, other Federal Tax Offset
State Income Tax Offset: states, write-off, waived By Other State
Step 38C - Rule 1 addition, or subtraction. Write-off
By Other State: Step 38D - Waived
Rule 1 Addition
Write-Off: Step 38G - Rule 1 Subtraction
Waived: Step 38F - Rule 1 Other
Additions: Step 38H - Rule 1 (Required)
Subtractions: Step 38I - Rule
1
Other: Step 38E - Rule 1
Federal Income Tax Offset:
Step 38J – Rule 1
7 Date of Step 39 - Rule 1 Indicate the date of the Date - MM/DD/YYYY DATE NOT NULL
Reconciliation Overpayment Activity. (Required)
Activity
8 UI Reconciliation Step 40A - Rule 1 The reconciled amount of Number - 0000000.00 DECIMAL (9,2)
Amount State Unemployment Funds. (Required for UI claims;
must be blank or 0 for UCFE
or UCX claims)
9 Federal Step 40B - Rule 1 The reconciled amount of Number - 0000000.00 DECIMAL (9,2)
Reconciliation Federal Funds. (Required for UCFE, UCX,
Amount or joint claims; must be
blank or 0 for UI claims)
APPENDIX A RECORD LAYOUT
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No
. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
10 EB Reconciliation Step 40C – Rule 1 The reconciled amount of Number – 0000000.00 DECIMAL
Amount Extended benefits funds. (Required for EB) (9.2)
11 User User defined field. Can be used Text CHAR (100)
for any additional data element. (Optional)
Not mandatory.
APPENDIX A RECORD LAYOUT
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BENEFITS RECORD LAYOUT FOR POPULATION 14
This record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for Nonfraud is NF, then the data format would be NONFRUAD-NF.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS State assigned sequential Number - 00000000 INTEGER NOT NULL
unique identifier for each record (Required)
in the extract file.
2 SSN Step 1G - Rule 1 Social Security Number Number - 000000000 CHAR (9) NOT NULL
(Required)
3 Unique ID Step 1G - Rule 2 The unique ID of the Number - 0000000000 CHAR (30)
overpayment. (Required if State maintains a
unique ID)
4 Date Established Step 36 - Rule 1 The date the overpayment was Date - MM/DD/YYYY DATE NOT NULL
established (Required)
5 Program Type UI: Step 4A - Rule 1 The program type is UI, UCFE, Text - UI CHAR (30) NOT NULL
UCFE: Step 4B - Rule 1 UCX or EB. UCFE
UCX: Step 4C - Rule 1 UCX
EB: Step 4F – Rule 1 EB
(Required)
APPENDIX A RECORD LAYOUT
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Unemployment Insurance Data Validation Operations Guide
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
6 Active Collection Yes or blank: Step 44A - Indicate Y if overpayment is in Text – Y; N; D CHAR (20)
Rule 1 process of recovery; use N if (Required for overpayments with
No: Step 44B - Rule 1 overpayment is no longer in balances more than 450 days past
Dropped: Step 44C - Rule process of recovery; use D if due; optional for other overpayment
1 the established date is more balances)
than nine (9) quarters prior to
the report quarter and the
overpayment was in process
of recovery in the quarter
before the report quarter but
recovery was dropped in the
report quarter.
7 Type of Fraud: Step 33A - Rule 1 The type of overpayment is Text - Fraud CHAR (20)
Overpayments Nonfraud: Step 33B - Rule Fraud or Nonfraud. Nonfraud
1 (Required for overpayments with
balances more than 8 quarters past
due; optional for other overpayment
balances)
8 UI Balance at End of Step 42A - Rule 1 The State Unemployment Number - 0000000.00 DECIMAL (9,2)
Qtr funds overpayment balance at (Required for UI claims; must be
the end of the quarter. blank or 0 for UCFE and UCX
claims)
9 Federal Balance at Step 42B - Rule 1 The Federal funds Number - 0000000.00 DECIMAL (9,2)
the End of Qtr overpayment balance at the (Required for UCFE, UCX, and joint
end of the quarter. claims; must be blank or 0 for UI
claims)
APPENDIX A RECORD LAYOUT
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Unemployment Insurance Data Validation Operations Guide
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
10 EB Balance at the Step 42C – Rule 1 The EB funds overpayment Number – 000000000.00 DECIMAL
End of Qtr balance at the end of the (Required for EB; must be blank (9.2)
quarter. or 0 for UI, UCFE, UCX and
joint claims)
11 User User defined field. Can be used Text CHAR (100)
for any additional data element. (Optional)
Not mandatory.
APPENDIX A RECORD LAYOUT
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Unemployment Insurance Data Validation Operations Guide
BENEFITS RECORD LAYOUT FOR POPULATION 15
This record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for Nonfraud is NF, then the data format would be NONFRUAD-NF.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS State assigned sequential Number - 00000000 INTEGER NOT NULL
unique identifier for each record (Required)
in the extract file.
2 SSN Step 1G - Rule 1 Social Security Number Number - 000000000 CHAR (9) NOT NULL
(Required)
3 Unique ID Step 1G - Rule 2 The unique ID of the Number - 0000000000 CHAR (30)
overpayment. (Required if State maintains a
unique ID)
4 Type of Fraud: Step 33A – Rule 1 The type of overpayment is Text – Fraud; Nonfraud CHAR (20)
Overpayments Nonfraud: Step 33B – Rule 1 Fraud or Nonfraud Must be blank if investigation
establishes no overpayment
(Required)
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
APPENDIX A RECORD LAYOUT
A-46
Unemployment Insurance Data Validation Operations Guide
5 Detection Method Wage/Benefit Crossmatch: Step The Detection Method used to Text – Wage Crossmatch; IB CHAR (30) NOT NULL
35A – Rule 1 establish the overpayment was Crossmatch; NDNH; SDNH;
IB Crossmatch: Step 35B – Rule Wage/Benefit Crossmatch, IB Multi-Claimant; Special; Other
1 Crossmatch, National Directory Controllable; Noncontrollable
National Directory of New Hires: of New Hires (NDNH), State (Required)
Step 35H – Rule 1 Directory of New Hires (SDNH),
State Directory of New Hires: Multi-Claimant Scheme
Step 35C – Rule 1 Systems, Special Project, Other
Multi-Claimant Scheme Controllable, and
Systems: Step 35D – Rule 1 Noncontrollable activity.
Special Project: Step 35E –
Rule 1
Other Controllable: Step 35F –
Rule 1
Noncontrollable: Step 35G –
Rule 1
6 Date Established Step 36 – Rule 1 The date the investigation was Date – MM/DD/YYYY DATE NOT NULL
concluded or overpayment was (Required)
established.
7 Overpayment Step 37A – Rule 1 The amount of benefits paid Number – 000000000.00 DECIMAL
Amount Step 37B – Rule 1 from State and Federal (9.2)
Unemployment Funds
8 Overpayment Step 46 – Rule 1 Whether a completed Text – Y, N CHAR (20) Conditionally
Established by investigation established an (Optional for Other Controllable Required
Investigation overpayment. and Noncontrollable)
9 User User defined field. Can be used Text CHAR (100)
for any additional data element. (Optional)
Not mandatory.
APPENDIX A RECORD LAYOUT
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APPENDIX B
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Unemployment Insurance Data Validation Operations Guide
EXPLANATION OF UI TAX DATA FORMATS
There are 6 types of data formats referred to in Appendix B.
1. Required. These fields cannot be blank. They may be mandatory codes,
dates or dollar values. Required cells in Appendix A tables indicate the
required code, date, or dollar value parameters, or display the word
“Required.”
Required text fields have code values that must be entered, such as A, C, R,
etc. All of the allowable generic values for each field are listed in the Data
Type/Format column on the record layout. The generic values must be
followed by a dash and the corresponding state-specific value.
2. Conditionally required. Data are included in these fields if the data are
present in the state’s system. Applies to date and wages fields.
3. Optional. These fields are gray in Appendix B and the word “Optional” is
displayed. The software does not look at these fields at all. Any values can
be entered or they can be left blank.
4. Must be blank. These are text or date fields where the presence of data
indicates an error. Therefore, they must be left blank (such as population 4
transaction date for balance subpopulations 4.7, 4.8, 4.15, and 4.16).
5. Must be blank or 0. These are numeric fields where the presence of data
other than 0 indicates an error. In tax these are primarily wages fields in
populations 4 and 5.
6. System generated. These fields are generated by the DV software and
data should not be placed in these fields in the extract files. These fields are
primarily time lapse and age fields.
Notes:
For most steps referenced in Appendix B column headers, Rule 1 is the indicator
in the state system. However, if a state does not maintain the indicator specified
in Rule 1, then the state programmer must review the other rules in that step in
order to develop the required validation logic.
The extract file type is ASCII, comma delimited. Data must be in the order listed
in the record layouts.
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TAX RECORD LAYOUT FOR POPULATION 1
The record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The Data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for an Active Employer is 01, then the data format would be A-01.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS Assign to each record. Number - 00000000 INTEGER NOT NULL
Use sequential numbers (Required)
starting at 1.
2 EAN Step 1A Employer Account Number - 000000000 CHAR (20) NOT NULL
Number (Required)
3 Employer Status Indicator Step 3A Indicate that the employer Text - A CHAR (20) NOT NULL
is an active employer. (Required)
4 Employer Type Step 2A Indicate whether the Text – C CHAR (20) NOT NULL
Step 2B employer type is R
contributory or (Required)
reimbursable.
5 Liability Date (Met Step 14 Indicate the most recent Date - MM/DD/YYYY DATE NOT NULL
Threshold) date on which the (Required)
employing unit met the
State law definition of a
newly established or
successor employer.
APPENDIX B RECORD LAYOUT
B-3
Unemployment Insurance Data Validation Operations Guide
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
6 Reactivation Processing Step 16 Indicate the date on Date - MM/DD/YYYY DATE
Date which an employer
account was updated on
the State's system to
reflect the reactivation of
a previously inactivated or
terminated employer.
7 Inactive/Terminated "as of" Step 5 Indicate the effective date Date - MM/DD/YYYY DATE
Date for the termination or
inactivation status of the
employer.
8 Activation Processing Date Step 15 Indicate the date on Date - MM/DD/YYYY DATE NOT NULL
which an account was (Required)
established on the State’s
system for an 'employer,'
under the State
unemployment
compensation law.
APPENDIX B RECORD LAYOUT
B-4
Unemployment Insurance Data Validation Operations Guide
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
9 Number of Liable Quarters Step 7B Indicate the number of Number – 0 INTEGER NOT NULL
consecutive quarters 1
between the date the 2
employer was activated 3
or reactivated on the 4
State’s system and the 5
quarter prior to the report 6
quarter being validated. If 7
the number of liable 8
quarters is eight or more, (Required)
the value should be
reported as eight. If the
employer was activated
or reactivated during the
report quarter, then the
number of liable quarters
is zero.
10 Wages in Quarter 1 Step 7A Total wages for the Number- DECIMAL (15,2)
employer in the quarter 0000000000000.00
prior to the report quarter. (Conditionally Required)
Enter 0.00 for either zero
wage reports or reports
that weren't filed.
11 Wages in Quarter 2 Step 7A Total wages for the Number- DECIMAL (15,2)
employer in the second 0000000000000.00
quarter prior to the report (Conditionally Required)
quarter. Enter 0.00 for
either zero wage reports
or reports that weren't
filed.
APPENDIX B RECORD LAYOUT
B-5
Unemployment Insurance Data Validation Operations Guide
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
12 Wages in Quarter 3 Step 7A Total wages for the Number - DECIMAL (15,2)
employer in the third 0000000000000.00
quarter prior to the report (Conditionally Required)
quarter. Enter 0.00 for
either zero wage reports
or reports that weren't
filed.
13 Wages in Quarter 4 Step 7A Total wages for the Number - DECIMAL (15,2)
employer in the fourth 0000000000000.00
quarter prior to the report (Conditionally Required)
quarter. Enter 0.00 for
either zero wage reports
or reports that weren't
filed.
14 Wages in Quarter 5 Step 7A Total wages for the Number - DECIMAL (15,2)
employer in the fifth 0000000000000.00
quarter prior to the report (Conditionally Required)
quarter. Enter 0.00 for
either zero wage reports
or reports that weren't
filed.
15 Wages in Quarter 6 Step 7A Total wages for the Number - DECIMAL (15,2)
employer in the sixth 0000000000000.00
quarter prior to the report (Conditionally Required)
quarter. Enter 0.00 for
either zero wage reports
or reports that weren't
filed.
APPENDIX B RECORD LAYOUT
B-6
Unemployment Insurance Data Validation Operations Guide
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
16 Wages in Quarter 7 Step 7A Total wages for the Number - DECIMAL (15,2)
employer in the seventh 0000000000000.00
quarter prior to the report (Conditionally Required)
quarter. Enter 0.00 for
either zero wage reports
or reports that weren't
filed.
17 Wages in Quarter 8 Step 7A Total wages for the Number - DECIMAL (15,2)
employer in the eighth 0000000000000.00
quarter prior to the report (Conditionally Required)
quarter. Enter 0.00 for
either zero wage reports
or reports that weren't
filed.
18 User Field User defined field. Can be Text CHAR (100)
used for any additional (Optional)
data element.
APPENDIX B RECORD LAYOUT
B-7
Unemployment Insurance Data Validation Operations Guide
TAX RECORD LAYOUT FOR POPULATION 2
The record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The Data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for Contributory Employer Type is A, then the data format would be C-A.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS Sequential number, start at Number - 00000000 INTEGER NOT NULL
1 (Required)
2 EAN Step 1B Employer Account Number Number - 000000000 CHAR (20) NOT NULL
(Required)
3 Employer Report Quarter Step 1B Indicate the calendar quarter Number - YYYYQQ CHAR (6) NOT NULL
(ERQ) of business activity covered (Required)
by an employer’s
contributions report.
4 Employer Type Step 2A Indicate whether the Text – C CHAR (20) NOT NULL
Step 2B employer type is contributory R
or reimbursable. (Required)
5 Received Date Step 9 Indicate the date of receipt Date - MM/DD/YYYY DATE
by the agency of the (Conditionally Required)
contributions report from a
subject employer.
6 Final Assessment Date Step 10 Indicate the date a final Date - MM/DD/YYYY DATE
assessment becomes legally (Conditionally Required)
due and collectible.
APPENDIX B RECORD LAYOUT
B-8
Unemployment Insurance Data Validation Operations Guide
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
7 Liability Date (Initial or Step 4A Indicate the date on which Date - MM/DD/YYYY DATE
Reopen) Step 4B an employing unit meets the (Conditionally Required)
State’s legal definition of an
employer and is registered
and required to file reports.
8 Liability Date Step 14 Indicate the most recent Date - MM/DD/YYYY DATE
(Met Threshold) date on which the employing (Conditionally Required)
unit met the State law
definition of a newly
established or successor
employer.
9 Inactive/ Step 5 Indicate the effective date Date - MM/DD/YYYY DATE
Terminated "as of" Date for termination or (Conditionally Required)
inactivation status of the
employer.
10 Suspended "as of" Quarter Step 5 Indicate the specific ERQ for Number - YYYYQQ CHAR (6)
which the State has
suspended the employer’s
report filing requirement.
11 Inactivation Step 6A Indicate the processing date Date - MM/DD/YYYY DATE
/Termination Step 6B for the inactivation or (Conditionally Required)
Processing Date Step 6C termination status of the
employer.
12 User Field User defined field. Can be Text CHAR (100)
used for any additional data (Optional)
element.
APPENDIX B RECORD LAYOUT
B-9
Unemployment Insurance Data Validation Operations Guide
TAX RECORD LAYOUT FOR POPULATION 3
The record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The Data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for New Status Determination is NEW, then the data format would be N-NEW.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS Sequential number, start at Number - 00000000 INTEGER NOT NULL
1 (Required)
2 EAN Step 1C Employer Account Number Number - 000000000 CHAR (20) NOT NULL
(Required)
3 Employer Type Step 2A Indicate whether the Text – C CHAR (20) NOT NULL
Step 2B employer type is contributory R
or reimbursable. (Required)
4 Status Determination Type Step 11A Indicate status determination Text – N CHAR (10) NOT NULL
Indicator Step 11B type by New, Successor, S
Step 11C Inactivation or Termination. I
Step 11D T
(Required)
5 Time Lapse Step 12 Place a zero (0) in this field. Number – 0 INTEGER
(Software generates the
time lapse)
APPENDIX B RECORD LAYOUT
B-10
Unemployment Insurance Data Validation Operations Guide
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
6 Status Determination Date Step 13 Indicate the date of any Date - MM/DD/YYYY DATE NOT NULL
recorded administrative (Required)
action that establishes,
modifies, changes,
inactivates, or terminates an
employing unit’s liability as
an employer.
7 Liability Date Step 14 Indicate the most recent Date - MM/DD/YYYY DATE NOT NULL
(Met Threshold) date on which the employing (Required)
unit met the State law
definition of a newly
established or successor
employer.
8 End of Liable Quarter Step 14 Indicate the last day of the Date - MM/DD/YYYY DATE
quarter in which the (Conditionally Required)
employing unit met the State
law definition of a newly
established or successor
employer. States that do not
have this should leave the
field blank; the value will
then be calculated by the
software.
9 Activation Processing Date Step 15 Indicate the date on which Date - MM/DD/YYYY DATE
an account was established
on the State’s system for an
'employer,' under the State
unemployment
compensation law.
APPENDIX B RECORD LAYOUT
B-11
Unemployment Insurance Data Validation Operations Guide
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
10 Reactivation Processing Step 16 Indicate the date on which Date - MM/DD/YYYY DATE
Date an employer account was
updated on the State’s
system to reflect the
reactivation of a previously
inactivated or terminated
employer.
11 Successorship Processing Step 17 Indicate the date on which Date - MM/DD/YYYY DATE
Date an employer account was
established or updated to
reflect an acquisition by the
employer which met the
State law definition of
successorship.
12 Predecessor Account Step 18 Indicate the account number Number - 000000000 CHAR (20)
Number for an employing unit that
has been acquired by
another employer.
13 Inactivation Processing Date Step 6A or Indicate the processing date Date - MM/DD/YYYY DATE
Step 6B for the inactivation status of
the employer.
14 Termination Processing Step 6A or Indicate the processing date Date - MM/DD/YYYY DATE
Date Step 6C for the termination status of
the employer.
APPENDIX B RECORD LAYOUT
B-12
Unemployment Insurance Data Validation Operations Guide
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
15 User Field User defined field. Can be Text CHAR (100)
used for any additional data (Optional)
element.
APPENDIX B RECORD LAYOUT
B-13
Unemployment Insurance Data Validation Operations Guide
TAX RECORD LAYOUT FOR POPULATION 4
The record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The Data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for Receivables Established is R, then the data format would be E-R.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS Sequential number, start at Number - 00000000 INTEGER NOT NULL
1 (Required)
2 EAN Step 1D Employer Account Number Number - 000000000 CHAR (20) NOT NULL
(Required)
3 Employer Type Step 2A Indicate whether the Text – C CHAR (20) NOT NULL
Step 2B employer type is R
contributory or reimbursable. (Required)
4 Transaction Date Step 19A Indicate the date that a Date - MM/DD/YYYY DATE
transaction was entered into
the system.
5 Established Q/Date Step 19B Indicate the date that a past Date - MM/DD/YYYY DATE NOT NULL
due contribution was (Required)
entered into the system.
6 Employer Report Quarter Step 1D Indicate the calendar quarter Number - YYYYQQ CHAR (6)
(ERQ) of business activity covered
by an employer’s
contributions report.
7 Due Date Step 20 Indicate the date after which Date - MM/DD/YYYY DATE
the State imposes interest
and penalty for late
payment.
APPENDIX B RECORD LAYOUT
B-14
Unemployment Insurance Data Validation Operations Guide
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
8 Transaction Type/Indicator Step 21A Indicate the transaction type Text – E CHAR (20) NOT NULL
Step 21B code for receivables L
Step 21C established, liquidated, U
declared uncollectible or R
removed. Use a code of B B
for records of account (Required)
balances at the end of the
RQ.
9 Amount Established in RQ Step 22 Indicate the amount of Number - DECIMAL (15,2)
contributions or payments 0000000000000.00
determined to be past due
during the report quarter.
10 Amount Liquidated Step 23 Indicate the amount of Number - DECIMAL (15,2)
receivables liquidated during 0000000000000.00
the report quarter.
11 Amount Uncollectible Step 24 Indicate the amount of Number - DECIMAL (15,2)
receivables declared 0000000000000.00
uncollectible during the
report quarter.
12 Amount Removed Step 25 Indicate the amount of Number - DECIMAL (15,2)
receivables removed during 0000000000000.00
the report quarter.
APPENDIX B RECORD LAYOUT
B-15
Unemployment Insurance Data Validation Operations Guide
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
13 Balance at End of RQ Step 26 Indicate the total amount of Number - DECIMAL (15,2)
past due contributions as of 0000000000000.00
the last day of the report
quarter being validated. For
aging, States should capture
a separate record for each
employer report quarter that
has a balance, rather than
an aggregate balance.
14 Age of Receivable Step 27A Indicate the age of Number – 0000000000000 INTEGER
Step 27B receivable in days for (Optional)
receivable balances at the
end of the report quarter.
15 User Field User defined field. Can be Text CHAR (100)
used for any additional data (Optional)
element.
APPENDIX B RECORD LAYOUT
B-16
Unemployment Insurance Data Validation Operations Guide
TAX RECORD LAYOUT FOR POPULATION 5
The record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The Data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for a Large Employer is Y, then the data format would be L-Y.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS Sequential number, start at Number - 00000000 INTEGER NOT NULL
1 (Required)
2 EAN Step 1E Employer Account Number Number - 000000000 CHAR (20) NOT NULL
(Required)
3 Audit ID # Step 1E Indicate the audit Number - 00000000 CHAR (20) NOT NULL
identification number. (Required)
4 Employer Size Step 28A Indicate whether the Text – L CHAR (20) NOT NULL
Step 28B employer size is large or S
small. (Required)
5 Change Audit Step 29A Indicate whether an audit Text – Y CHAR (20)
Step 29B resulted in a discovery of N
wages, contributions or (If field is blank, software will
employees not previously determine if record has
reported. value not equal to 0 in any
one of record layout fields 9,
10, 14, 15, 19, 20. Software
will then place a Y-DVWS in
field.)
6 Audit Completion Date Step 30 Indicate the date the audit Date - MM/DD/YYYY DATE NOT NULL
was completed and (Required)
recorded or posted as such.
APPENDIX B RECORD LAYOUT
B-17
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No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
7 Total Wages Pre-Audit Step 31A Indicate the full amount of Number - DECIMAL (15,2) NOT NULL
pre-audit total wages 0000000000000.00
reported for quarters (Required)
audited.
8 Total Wages Post-Audit Step 31B Indicate the full amount of Number - DECIMAL (15,2) NOT NULL
total wages recorded in 0000000000000.00
audit summaries for audited (Required)
quarters.
9 Total Wages Under- Step 31C Indicate the full amount of Number - DECIMAL (15,2)
Reported under reported total wages 0000000000000.00
discovered as a result of the
audit.
10 Total Wages Over-Reported Step 31D Indicate the full amount of Number - DECIMAL (15,2)
over reported total wages 0000000000000.00
discovered as a result of the
audit.
11 Total Wages Reconciliation Step 31E Place a zero (0) in this field. Number – 0 DECIMAL (15,2)
Amount (Software generates
amount)
12 Taxable Wages Step 32A Indicate the full amount of Number - DECIMAL (15,2)
Pre-Audit pre-audit taxable wages 0000000000000.00
reported for quarters (Optional)
audited.
13 Taxable Wages Step 32B Indicate the full amount of Number - DECIMAL (15,2)
Post-Audit post-audit taxable wages for 0000000000000.00
quarters audited. (Optional)
14 Taxable Wages Step 32C Indicate the full amount of Number - DECIMAL (15,2)
Under-Reported under reported taxable 0000000000000.00
wages discovered as a
result of the audit.
APPENDIX B RECORD LAYOUT
B-18
Unemployment Insurance Data Validation Operations Guide
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
15 Taxable Wages Step 32D Indicate the full amount of Number - DECIMAL (15,2)
Over-Reported over reported taxable wages 0000000000000.00
discovered as a result of the
audit.
16 Taxable Wages Step 32E Place a zero (0) in this field. Number – 0 DECIMAL (15,2)
Reconciliation Amount (Software generates
amount)
17 Contributions Step 33A Indicate the full amount of Number - DECIMAL (15,2)
Pre-Audit pre-audit contributions 0000000000000.00
reported for quarters (Optional)
audited.
18 Contributions Step 33B Indicate the full amount of Number - DECIMAL (15,2)
Post-Audit post-audit contributions 0000000000000.00
reported for quarters (Optional)
audited.
19 Contributions Step 33C Indicate the full amount of Number - DECIMAL (15,2)
Under-Reported under reported contributions 0000000000000.00
discovered as a result of the
audit.
20 Contributions Step 33D Indicate the full amount of Number - DECIMAL (15,2)
Over-Reported over reported contributions 0000000000000.00
discovered as a result of the
audit.
21 Contributions Reconciliation Step 33E Place a zero (0) in this field. Number – 0 DECIMAL (15,2)
Amount (Software generates
amount)
22 User Field User defined field. Can be Text CHAR (100)
used for any additional data (Optional)
element.
APPENDIX B RECORD LAYOUT
B-19
Unemployment Insurance Data Validation Operations Guide
APPENDIX C
C-1
Unemployment Insurance Data Validation Operations Guide
BENEFITS DUPLICATE DETECTION CRITERIA
Relevant Data Elements Duplicate Detection
Population Reporting Rule from Extract file Criteria Comments
1. Weeks Claimed The same week of SSN, Claim Week-Ending Remove as duplicates all
unemployment can only be Date (Field 2) multiple records with the
claimed once. same SSN and Claim Week
Ending Date.
2. Final Payments A Benefit Year normally SSN, Mail Date, Check Remove as duplicates all The mail date criterion would falsely
has only one final payment, #/Unique ID multiple records with the reject the unlikely but legitimate case of
unless wages were same SSN, check two Final Payments for separate claims
added/returned after initial number/unique ID and mail that exhaust on the same day. In such
exhaustion. date. a case, the validator can append an
extra unique character to the Unique ID
field value (e.g. -1, -2, -3) to each of the
valid records, so that the software will
not reject them.
APPENDIX C DUPLICATE DETECTION CRITERIA
C-2
Unemployment Insurance Data Validation Operations Guide
Relevant Data Elements Duplicate Detection
Population Reporting Rule from Extract file Criteria Comments
APPENDIX C DUPLICATE DETECTION CRITERIA
C-3
Unemployment Insurance Data Validation Operations Guide
3. Claims Report each legitimate SSN (Field 2); 1. For all Claim Type and The duplicate detection function in
claim once. Most claim Date Claim Filed, (Field 3); Program Type Population 3 must distinguish (a)
types will be reportable only Program Type (Field 6); combinations: multiple claims that may be legitimately
once in a quarter. Multiple Claim Type, (Field 5); Remove as duplicates counted from (b) multiple instances of
UI New or Transitional Sufficient / Insufficient” all multiple records with claims that may be counted only once
claims may be legitimate; (Field 9) the same SSN, Date (true duplicates). Situation (a) arises
however, there can be only Claim Filed, and Claim mostly for UI New and Transitional
one claim with a sufficient Type. claims. To define legitimate UI New and
monetary per SSN within Transitional claims, the decision was
the same quarter, unless a 2. For UI New and made to allow only one Sufficient
claim with a sufficient Transitional Claims: determination that establishes a BY in
monetary that does not the same quarter for the same claim
establish a benefit year Remove as duplicates type and not to allow an Insufficient
(BY) is followed by one that claim to follow a Sufficient claim for the
does establish a benefit • all multiple records same SSN and claim type. Two claims
year. Although there can for which SSN and with sufficient monetary determinations
be more than one with an Claim Type are the may occur in the same quarter as long
insufficient monetary, none same for multiple as the claim that does not establish a
may follow a claim with a records where Field BY precedes the one that does
sufficient monetary. 9 = Sufficient New establish a BY.
BY or Sufficient No
BY but the same
filed date; and
• all multiple records
for which SSN and
Claim Type are the
same for multiple
records where Field
9 for one record =
Sufficient New BY
and another with a
later filed date has
Field 9 = Sufficient
No BY; and
• all records for the
same SSN and
Claim type with
Field 9 = Insufficient
with a Claim Filed
Date later than the
same SSN and
Claim Type with
APPENDIX C Field 9 = Sufficient. DUPLICATE DETECTION CRITERIA
C-4
Unemployment Insurance Data Validation Operations Guide
Relevant Data Elements Duplicate Detection
Population Reporting Rule from Extract file Criteria Comments
3.a Additional Claims Every additional claim is SSN, Date Claim Filed, Remove as duplicates all SSN plus Separation Date represent
associated with a week of Separation Date multiple records with the “hard” or definitive criteria for duplicates.
unemployment and same SSN, Date Claim SSN and Date Claim Filed could be
involves at least a 1-week Filed, and Separation Date. used as “soft” duplicate detection
break in the claims series criteria that identify potential instances
due to intervening of duplication. If used, the validator
employment and separation must manually determine which claims
from an employer. are countable, taking a sample of all
records of multiple instances of the
same SSN and Date Claim Filed if the
number of cases is considerably large.
APPENDIX C DUPLICATE DETECTION CRITERIA
C-5
Unemployment Insurance Data Validation Operations Guide
Relevant Data Elements Duplicate Detection
Population Reporting Rule from Extract file Criteria Comments
4. Payments There can only be one SSN, Intra/Interstate, 1. For all but CWC A week compensated cannot be
countable regular week Week-End Date (Field 16), payments and counted twice for the same week ending
compensated for a given Mail Date (Field 17) adjustments (i.e., for date. Since the week can be counted
week. Where there is a subpops 4.1-4.32 and both as a regular week and a CWC
CWC payment, there is a 4.43): Remove as week, the software performs the check
separate count of one CWC duplicates all multiple separately for both groups. Because
payment per week. There records where SSN, states may issue multiple adjustment
is no rule limiting the Intra/Interstate, Mail checks as needed to correct a
number of adjustment Date and Week End claimant’s prior benefits, no duplicate
checks. Date are the same. detection is needed for multiple
adjustments.
2. For CWC only: Remove
as duplicates all
multiple records where
SSN and Week End
Date are the same.
3. For Adjustment
Payments:
No duplicate check
APPENDIX C DUPLICATE DETECTION CRITERIA
C-6
Unemployment Insurance Data Validation Operations Guide
Relevant Data Elements Duplicate Detection
Population Reporting Rule from Extract file Criteria Comments
5. Nonmonetary Count every monetary SSN, Unique ID, Issue Remove as duplicates all Records with the same SSNs, Issue
Determinations determination once. Type (Field 9), Notice Data multiple records with the Code and Mail Date, but no Unique ID,
(Field 12). same SSN, Unique ID, should be manually checked to
Issue Code, and Mail Date. determine whether they are duplicates.
• When state has Unique
ID, this will definitively
identify duplicate
records.
• When Unique ID is null,
validator must manually
remove duplicates from
the extract file, assign a
Unique ID (e.g., 1, 2,
and 3) to each
legitimate multiple
transaction in the file,
and then reload it into
the software.
6. Lower Authority Count every appeal once. SSN, Docket #/Unique ID Remove as duplicates all If the same SSN and docket number
Appeals Filed multiple records with the appears more than once only one
same SSN and Docket record should be included in the extract
Number/Unique ID. file.
7. Higher Authority Count every appeal once. SSN, Docket #/Unique ID Remove as duplicates all If the same SSN and docket number
Appeals Filed multiple records with the appears more than once, only one
same SSN and Docket record should be included in the extract
Number/Unique ID. file.
APPENDIX C DUPLICATE DETECTION CRITERIA
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Unemployment Insurance Data Validation Operations Guide
Relevant Data Elements Duplicate Detection
Population Reporting Rule from Extract file Criteria Comments
8. Lower Authority Count every appeal once. SSN, Docket #/Unique ID Remove as duplicates all If the same SSN and docket number
Appeals Decisions multiple records with the appears more than once, only one
same SSN and Docket record should be included in the extract
Number/Unique ID. file.
9. Higher Authority Count every appeal once. SSN, Docket #/Unique ID Remove as duplicates all If the same SSN and docket number
Appeals Decisions multiple records with the appears more than once, only one
same SSN and Docket record should be included in the extract
Number/Unique ID. file.
10. Lower Authority Count every appeal once. SSN, Docket #/Unique ID Remove as duplicates all If the same SSN and docket number
Appeals Case Aging multiple records with the appears more than once, only one
same SSN and Docket record should be included in the extract
Number/Unique ID. file.
11. Higher Authority Count every appeal once. SSN, Docket #/Unique ID Remove as duplicates all If the same SSN and docket number
Appeals Case Aging multiple records with the appears more than once, only one
same SSN and Docket record should be included in the extract
Number/Unique ID. file.
APPENDIX C DUPLICATE DETECTION CRITERIA
C-8
Unemployment Insurance Data Validation Operations Guide
Relevant Data Elements Duplicate Detection
Population Reporting Rule from Extract file Criteria Comments
12. Overpayments Count each overpayment SSN, Date Overpayment Remove as duplicates all Records with the same SSN and Date
Established only once. Established, Unique ID multiple records with the Overpayment Established, but no
same SSN, Date Unique ID, should be manually checked
Overpayment Established, to determine whether they are
and Unique ID. duplicates.
• If state has Unique ID
this definitively identifies
duplicates.
• If Unique ID is null,
validator must manually
remove duplicates from
the extract file, assign a
Unique ID (e.g., 1, 2,
and 3) to each
legitimate multiple
transaction in the file,
and then reload it into
the software.
APPENDIX C DUPLICATE DETECTION CRITERIA
C-9
Unemployment Insurance Data Validation Operations Guide
Relevant Data Elements Duplicate Detection
Population Reporting Rule from Extract file Criteria Comments
13. Overpayment Count each transaction SSN, Unique ID, Activity Remove as duplicates all Records with the same SSN, Date of
Reconciliation only once. Type, Date of Activity multiple records with the Activity, and Activity Type, but no
same SSN, Unique ID, Unique ID, should be manually checked
Date of Activity, and to determine whether they are
Activity Type. duplicates.
• If state has Unique ID
this definitively identifies
duplicates.
• If Unique ID is null,
validator must manually
remove duplicates from
the extract file and
assign a Unique ID
(e.g., 1, 2, and 3) to
each legitimate multiple
transaction in the file,
and then reload it into
the software.
APPENDIX C DUPLICATE DETECTION CRITERIA
C-10
Unemployment Insurance Data Validation Operations Guide
Relevant Data Elements Duplicate Detection
Population Reporting Rule from Extract file Criteria Comments
14. Overpayments Case Count each overpayment SSN, Unique ID Remove as duplicates all Records with the same SSN but no
Aging once. multiple records with the Unique ID should be manually checked
same SSN and Unique ID. to determine whether they are
duplicates.
• If state has Unique ID
this definitively identifies
duplicates.
• If Unique ID is null,
validator must manually
remove duplicates from
the extract file and
assign a Unique ID
(e.g., 1, 2, and 3) to
each legitimate multiple
transaction in the file,
and then reload it into
the software.
APPENDIX C DUPLICATE DETECTION CRITERIA
C-11
Unemployment Insurance Data Validation Operations Guide
APPENDIX D
D-1
Unemployment Insurance Data Validation Operations Guide
TAX DUPLICATE DETECTION CRITERIA
Relevant Data
Elements from Data Validation
Extract File Duplicate Detection Rule
Population ETA 581 Reporting Rule (by Field Number) Applied to Extract File Comments
1. Active Count each employer once. Multi- 2. Employer Account If the EAN is identical in two or As long as EANs are only assigned at
Employers unit employers are counted as one Number (EAN) more records, all of those the parent level, this should identify
employer. records are rejected. units from the same multi-unit
employer.
2. Report Filing Each employer owes only one 2. EAN If the EAN and ERQ are identical As long as EANs are only assigned at
report for each employer report in two or more records, all of the parent level, this should identify
3. Employer Report units from the same multi-unit
quarter (ERQ). This report is Quarter (ERQ) those records are rejected.
counted a maximum of 3 times – employer.
timely, secured, and resolved. If
an employer submits reports for
multiple ERQs at the same time,
only the report for the ERQ
immediately preceding the report
quarter (RQ) is countable as
timely (if applicable) and secured.
Only the report for the ERQ two
quarters prior to the RQ is
countable as resolved. Reports
from multi-unit employers are
counted as one report.
APPENDIX D DUPLICATE DETECTION CRITERIA
D-2
Unemployment Insurance Data Validation Operations Guide
Relevant Data
Elements from Data Validation
Extract File Duplicate Detection Rule
Population ETA 581 Reporting Rule (by Field Number) Applied to Extract File Comments
3. Status Each status determination 2. EAN If the status determination type
Determinations transaction should be counted indicator is:
only once. 4. Status Determination
Type Indicator NEW (subpops 3.1 – 3.3), and the
Individual EANs may appear more EAN and status determination
than once. For example, there 6. Status Determination date are identical in two or more
might be two transactions listed for Date records, all of those records are
a single EAN if an employer rejected.
acquires two businesses at 12. Predecessor
different times during the quarter, Account Number SUCCESSOR (subpops 3.4 –
resulting in two successorship 3.6), and the EAN and status
determinations. determination date and
predecessor account number are
Multiple determinations may be identical in two or more records,
legitimate, as long as they do not all of those records are rejected.
reflect clerical errors.
INACTIVATION or
TERMINATION (subpops 3.7
and 3.8), and the EAN and status
determination date are identical
in two or more records, all of
those records are rejected.
APPENDIX D DUPLICATE DETECTION CRITERIA
D-3
Unemployment Insurance Data Validation Operations Guide
Relevant Data
Elements from Data Validation
Extract File Duplicate Detection Rule
Population ETA 581 Reporting Rule (by Field Number) Applied to Extract File Comments
4. Accounts No transaction should be listed 2. EAN If the transaction type is: Currently, the UI Tax DVWS does not
Receivable more than once. check for duplicates in Population 4.
4. Transaction Date E (subpops 4.1 and 4.9), and the State IT staff now is responsible for
EAN, transaction date, ensuring that the extract file does not
5. Established Date established date, ERQ (cont.) or include duplicate transactions. DVWS
6. Employer Report Due Date (reimb.), and amount 1.1 will be modified to include the new
Quarter (cont.) established are identical in two or duplicate detection criteria.
more records, all of those
7. Due Date (reimb.) records are rejected.
8. Transaction Type L or U (subpops 4.2-4.4 and
4.10-4.12), and the EAN,
9. Transaction Amount transaction date, ERQ (cont.) or
(established) Due Date (reimb.), transaction
type, and transaction amount are
10. Transaction Amount identical in two or more records,
(liquidated) all of those records are rejected.
11. Transaction Amount R (subpops 4.5-4.6, 4.13-4.14),
(uncollectible) and the EAN, ERQ (cont.) or Due
Date (reimb.), and removed
12. Removed Amount amount are identical in two or
more records, all of those
13. Balance at End of records are rejected.
Report Quarter
B (subpop 4.7-4.8, 4.15-4.16),
and the EAN, ERQ (cont.) or Due
Date (reimb.), and balance are
identical in two or more records,
all of those records are rejected.
APPENDIX D DUPLICATE DETECTION CRITERIA
D-4
Unemployment Insurance Data Validation Operations Guide
Relevant Data
Elements from Data Validation
Extract File Duplicate Detection Rule
Population ETA 581 Reporting Rule (by Field Number) Applied to Extract File Comments
5. Field Audits Each field audit should be counted 2. EAN If the EAN and Audit ID Number
once. 3. Audit ID Number are identical in two or more
records, all of those records are
rejected.
APPENDIX D DUPLICATE DETECTION CRITERIA
D-5
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