Back to Federal guidance
Revised handbook for unemployment benefit accuracy measurement
Summary ETA sent states a revised Benefit Accuracy Measurement handbook for sampling paid and denied unemployment claims and identifying payment errors. It replaced the prior fourth edition, and the fifth edition is attached. ETA still lists this letter as Active, but the current applicability of its 2009 handbook edition is unclear.
Document
Federal guidance
Agency
U.S. Department of Labor, Employment and Training Administration (ETA)
Document number
UIPL No. 2-10
Date issued
November 17, 2009
Status
Unknown
ETA lists this letter Active as of 2026-10-24 and the PDF prints “Continuing,” but the attached 2009 handbook edition may have been revised since. Current applicability is unclear.
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.
UIPL02-10acc.pdf (https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2009/UIPL02-10acc.pdf)
CLASSIFICATION
U. S. Department of Labor Unemployment Insurance
Employment and Training Administration Advisory System CORRESPONDENCE SYMBOL
Washington, D.C. 20210 OUI/DPM
DATE
November 17, 2009
ADVISORY: UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 2-10
TO: STATE WORKFORCE AGENCIES
FROM: JANE OATES /s/
Assistant Secretary
SUBJECT: Revisions to the State Operations Handbook for the
Unemployment Insurance (UI) Benefit Accuracy
Measurement (BAM) Program
1. Purpose. This guidance contains instructions regarding changes in the BAM Paid Claims
Accuracy (PCA) and Denied Claims Accuracy (DCA) programs and updates for the State
Operations Handbook, ET Handbook No. 395.
2. References. ET Handbook No. 395, 4th Edition, Revisions to the State Operations Handbook
for the UI BAM Program, May 25, 2005; 20 CFR 602, Quality Control in the Federal-State
Unemployment Insurance System; and Unemployment Insurance Program Letter (UIPL) No.
17-09, “Revisions to Chapter VI of the ET Handbook No. 395, 4th Edition for the UI BAM
Program.
3. Background. BAM is part of the UI performance management system “UI Performs.” By
investigating small representative weekly samples of both paid and denied UI claims, BAM
enables each state to estimate reliably: the number and dollar value of proper and improper
payments of UI benefits; the rates of occurrence of these proper and improper payments and
denials; and the error types, error causes and the parties who are responsible for the errors.
ET handbook No. 395, 5th Edition provides standard instructions for operating the BAM
program in each state.
4. Handbook Modification Summary. The handbook has been revised to clarify instruction
and refine overall content. The changes are summarized below:
• Chapter I: This chapter has been updated to include language regarding implementation
of crossmatching BAM paid cases to the National Directory of New Hires.
• Chapter III: This chapter has been revised to reflect subsequent software modifications,
including updates to information technology (IT) terminology.
ESCISSIONS
EXPIRATION DATE
ET Handbook No, 395, 4th Edition
Continuing
-2-
• Chapters IV and V: The definitions of data elements for BAM PCA have been updated
and clarified to promote consistency as a result of input from State and Regional Offices
and software modifications. Element (b8) has been renamed “Normal Hourly Wage for
Base Period Occupation” and redefined for clarity.
• Chapter VI: This chapter has been recently updated and reissued with UIPL 17-09, to
expand the explanation of minimum investigative standards and methodology.
• Chapter VIII: The definitions for BAM DCA data elements have been clarified for
consistency, and edits have been added to each element.
• Appendix B: The claimant questionnaires for both PCA and DCA cases have been
clarified to promote consistency, and a template for an employer verification form.
• Appendix D: This appendix now contains the data collection instruments for both paid
and denied claims.
5. OMB Approval. The Office of Management and Budget (OMB) has approved ET
Handbook No. 395 for use through November 30, 2012. The approval number is OMB No.
1205-0245. The public reporting burden for the collection of information has not changed.
6. Action Requested. Copies of the attachment should be distributed to all holders of ET
Handbook No. 395. States should review these changes and adjust their procedures, as
necessary.
7. Effective Date. The contents of the Handbook are effective immediately.
8. Handbook Maintenance. Remove ET Handbook No. 395, 4th Edition, dated May 25, 2005,
and replace in its entirety.
9. Inquiries. All questions should be directed to the appropriate Regional Office.
10. Attachment. ET Handbook No. 395, 5th Edition
UIPL02-10a1.pdf (https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2009/UIPL02-10a1.pdf)
ET HANDBOOK NO. 395, 5th EDITION
BENEFIT ACCURACY MEASUREMENT
STATE OPERATIONS HANDBOOK
ET HANDBOOK NO. 395, 5TH EDITION
U.S. DEPARTMENT OF LABOR
EMPLOYMENT AND TRAINING ADMINISTRATION
November 2009
Prepared by
Office of Unemployment Insurance
Division of Performance Management
OMB No.: 1205-0245 OMB Expiration Date: 11/30/2012 OMB Burden Hours: 9.11 hours per
investigation
O M B Burden Statement: These reporting instructions have been approved under the Paperwork reduction
Act of 1995. Persons are not required to respond to this collection of information unless it displays a valid
OMB control number. Public reporting burden for this collection of information includes the time for
reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Submission is mandatory under SSA 303(a)(6). Send
comments regarding this burden estimate or any other aspect of this collection of information, including
suggestions for reducing this burden, to the U.S. Department of Labor, Office of Workforce Security, Room S-
4231, 200 Constitution Ave., NW, Washington, DC, 20210.
November 2009
ET HANDBOOK NO. 395, 5th EDITION
BENEFIT ACCURACY MEASUREMENT
STATE OPERATIONS HANDBOOK
Table of Contents
Page
OVERVIEW
Chapter I Benefit Accuracy Measurement Overview
1. Introduction I- 1
2. Background I- 1
3. Program Scope I- 2
4. Handbook Organization I- 3
REQUIRED PROCEDURES
Chapter II Organization and Authority
1. Organization II- 1
2. Authority II- 1
3. Written Procedures II- 1
4. BAM Software II- 1
Chapter III Data Processing – State Mainframe Computer
Operations and Interfaces with UI ADP System
1. Introduction III- 1
2. State UI Transactions File III- 2
Data Definitions for the UI Transactions File III- 2
Record Format for UI Transactions File III- 7
Timing and Frequency III- 8
Distinguishing Between Payments and Weeks III- 8
Definitions of UI Transactions III- 9
UI Transactions File Sort III-12
3. Control Record III-13
4. COBOL Population Edit and Sample Selection Programs III-15
5. Downloaded Files III-25
- Attachment “A” - (UI BAM Population Edit and Sample III-A-1
Selection COBOL Program Specifications
and Installation)
- Attachment “B” - (Record Format for rec1.dat File) III-B-1
- Attachment “C” - (Record Format for sfsum.dat File) III-C-1
i
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Page
Chapter IV Data Collection
1. Introduction IV- 1
2. Overview IV- 1
3. Data Elements and Descriptions IV- 2
Part B Claimant Information IV- 3
Part C Benefit Year Information IV- 8
Part D Separation Information IV-12
Part ME Monetary Eligibility Information IV-15
Part F Benefit Payment History IV-23
Part G ES Registration/Work Search IV-28
Chapter V Classifying Propriety of Payments
1. Introduction V- 1
2. Coding Proper Payments V- 1
3. Coding Reopened Cases V- 2
4. Coding Improper Payments V- 2
5. Key Week Error Summary Sheet V-14
6. Case Completion V-24
7. Reopening Cases V-25
Chapter VI Investigative Procedures
1. Introduction VI-1
2. Standard Forms VI-1
3. Investigative Requirements VI-2
4. Investigative Methodology VI-4
5. Disqualifying/Deductible Income Verifications VI-8
6. Dependency Eligibility Verifications VI-9
7. Unemployment Compensation for VI-9
Federal Employees (UCFE)
8. Unemployment Compensation for VI-9
Ex-Military Personnel (UCX)
9. Interstate Requests VI-10
10. Summary of Investigation VI-10
11. Appeals VI-10
12. Sample Selection VI-11
13. Completion of Cases and Timely Data Entry VI-11
14. Reopening Cases VI-12
Chapter VII Records and Reporting
1. Introduction VII-1
2. Documentation VII-1
3. Retention of Records VII-1
4. Transmission of Data to National Office VII-1
ii
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Page
Chapter VIII Denied Claims Accuracy (DCA)
1. Introduction VIII- 1
2. Overview of DCA VIII- 1
3. Investigative Requirements VIII- 1
4. DCA Investigative Methodology VIII- 2
5. Interstate Requests VIII- 2
6. Other Verifications VIII- 2
7. Completion of DCA Cases and Timely Data Entry VIII- 2
8. Data Elements and Descriptions VIII- 3
Case Control / Claimant Information VIII- 4
Benefit Year Information VIII-12
Monetary Information VIII-19
Separation Information VIII-25
Nonseparation Information VIII-27
Case Action and Error Issue Information VIII-40
Coding DCA Error Issues VIII-44
Reopening Cases VIII-53
Appendices
A. BAM/QC Regulation
B. Claimant Questionnaires and Employer Verification Form,
Key Week Error
Summary Worksheet
C. Investigative Guide
D. Data Collection Instruments (DCI), Database Description,
Database Schema Master Table, Comparison Table
E. Integrity Rate Definitions
iii
November 2009
ET HANDBOOK NO. 395, 5th EDITION
CHAPTER I
BENEFIT ACCURACY MEASUREMENT OVERVIEW
1. Introduction. The Unemployment Insurance (UI) Benefit Accuracy Measurement
(BAM) system (formerly Quality Control [QC]) provides the basis for assessing the accuracy
of UI payments. It is also a diagnostic tool for the use of Federal and State Workforce
Agency (SWA) staff in identifying errors and their causes and in correcting and tracking
solutions to these problems. Representative samples of UI payments and disqualifying
ineligibility determinations are drawn and examined intensively to determine whether they
were properly administered to claimants and whether these claimants were paid the proper
amounts, or appropriately denied. Based on the errors identified and information gathered,
states will be able to develop plans and implement corrective actions to ensure accurate
administration of state law, rules, and procedures.
The major objectives of the BAM system are to:
• assess the accuracy of UI payments;
• assess improvements in program accuracy and integrity; and,
• encourage more efficient administration of the UI program.
The system is designed to be comprehensive in coverage by including all areas of the claims
process where errors could occur.
2. Background. The impetus for the initial QC program came from a study of benefits
paid in six metropolitan areas during 1979 and 1980 by the National Commission on
Unemployment Compensation (NCUC). The study was prompted by a continuing concern
about the accuracy of the benefit payment process in the UI system. Its purpose was to
determine rates, types, and causes of improper payments by thoroughly investigating a small
sample of cases. The study revealed errors in benefit payments at rates significantly higher
than previously reported.
As a result of these findings, the US Department of Labor (DOL) launched the Random
Audit program in five states in 1981. Random Audit was modeled after the methodology
used in the NCUC study. Additional states were added each year until 46 states were
involved in 1984. The Random Audit results from 1981 through 1984 continued to confirm
the high percentage of errors in benefit payments identified by the NCUC study. Although
possibly exacerbated by high claim loads during the periods measured, the error rates in
many states were unacceptably high.
The QC program became mandatory in 1987 (see 20 Code of Federal Regulations, Part 602,
www.dol.gov/federalregister/HtmlDisplay.aspx?DocId=11917&AgencyId=15&Document
Type=2)). It requires states to select a representative sample, conduct in-depth
investigations, and classify findings to provide the basis for diagnosing problems and taking
corrective actions.
States were initially required to sample at annual levels ranging from 500 to 2000 based on
the number of UI benefit weeks paid (including combined-wage and federal program
I-1
November 2009
ET HANDBOOK NO. 395, 5th EDITION
claims). The methodology was explicit in requiring: a) a representative sample sufficient to
maintain statistical validity, b) all information will be secured through in-person contacts, c)
timeliness of case completion, and d) publication of error rates by the state. Investigation of
UI paid claims was the first phase of the QC program to be implemented.
Since implementation, the QC program has undergone several significant revisions:
In 1989, QC was revised to allow additional time for case completion and relaxed
requirements on the verifying of information on UCX, UCFE, and CWC claims.
In 1991-92, the program was again reviewed and subsequent pilot tests conducted to
determine if the methods used to verify case information could be made more
flexible without loss of precision. Sample levels were adjusted with the range being
500 - 1800.
In July 1993, alternative methodologies were implemented which allowed states the
option to substitute telephone, FAX, and mail for in-person verification of contacts
with claimants, employers, and third parties.
In 1995, quarterly sample sizes were established to assure a representative sample
would be selected in each quarter during the year. In addition, the sample levels
were again reduced to the range of 360 - 480, and the name was officially changed
from Benefits Quality Control (BQC) to Benefit Accuracy Measurement (BAM).
In 2001, the investigation of denied claims, known as Denied Claims Accuracy
(DCA), was implemented. DCA measures the accuracy of disqualifying monetary,
separation, and non-separation determinations. Interstate claims were included in
the sample for both paid and denied claims.
In 2008, States began incorporating crossmatches with the National Directory of
New Hires (NDNH) as a mandatory part of the BAM case investigation
methodology for paid claims. Unemployment Insurance Program Letters (UIPL)
03-07 and 03-07, Change 1, provides instructions on use of the NDNH as part of
BAM audits.
3. Program Scope. State resources are targeted to perform detailed investigations of
benefits paid and denied in the largest permanently authorized programs (regular UI
including CWC), federally funded programs (UCFE and UCX) and interstate claims. BAM
builds on the experience of its predecessors, the BQC and Random Audit programs. The
accuracy of monetary determinations and the proper detection and resolution of eligibility
issues are assessed by detailed investigations of "key weeks" and disqualifying determinations
of selected claims. This is accomplished through examination of records and contacts with
claimants, employers, and other parties such as One Stop Career Centers, to verify all aspects
of the claim that could affect eligibility for payments.
Each case investigated in BAM represents a large number within the UI population. It is
very important that staff adhere to accepted methodology to ensure the reliability of data.
For example, the fraud investigator can follow a tip on potential fraud, while BAM
investigators must limit their cases to those selected by the computer because of a
I-2
November 2009
ET HANDBOOK NO. 395, 5th EDITION
predetermined program. To do otherwise would jeopardize the reliability of inferences
made from the data coming out of the investigations.
The states have the responsibility to draw samples, perform investigations, identify errors,
compute error rates, analyze data, and initiate corrective action if appropriate. The primary
federal responsibilities are to ensure system integrity through monitoring state practices and
procedures and to analyze BAM data to assess the impact of federal requirements on the UI
system.
Data gathered on incorrect payments and disqualifying determinations include such
information as amount of error, type of error, responsible party, and cause of error. States
can tabulate and analyze these data to plan corrective action focused on those areas where
trends have been identified. States can then track the impact of corrective action by
monitoring the results of subsequent BAM samples.
a. Relationship with UI System. BAM is different from other state efforts to control
erroneous payments and disqualifying determinations. For example, while the UI fraud
investigator tries to identify specific cases of fraud and recapture any overpayments, the
BAM investigator looks at sample cases to produce statistics on the UI program in general.
Errors uncovered as a result of BAM are corrected where feasible; however, the primary
purpose is to identify system-wide problems, so that when corrected, future errors can be
prevented. Likewise, the quality review of nonmonetary determinations accomplished under
the Benefits Timeliness and Quality (BTQ) system provides an assessment of the adequacy
of the state’s fact-finding, application of law and policy, and the written determination, but
does not inform the system about the accuracy of the determination.
BAM is part of the formal UI system. Therefore, the findings of BAM must be consistent
with official rules and written policies of the state. Disagreements on the outcome of case
investigations between the BAM unit and other units in the UI system are required to be
resolved by higher authority, with the exception of appeals decisions that modify BAM
actions.
b. Automation of BAM Data Collection. The BAM system has been designed to be
as highly automated as possible. States’ UI computers that support BAM operations have
the capability to link with both the state mainframe computers and with the DOL host
computer. This system is designed to increase the accuracy of data flows by minimizing the
number of paper transactions and simplifying data storage and retrieval; to increase the
usefulness of the data by simplifying data retrieval and raising the sophistication with which
it can be manipulated and combined with other data; and to reduce the amount of time
BAM staff must spend in data handling. The system is also designed to allow for the
development of state specific fields.
4. Handbook Organization. This handbook contains four sections: Overview (Chapter
I), Required Procedures (Chapters II-VII), Denied Claims Accuracy (Chapter VIII) and
Appendices.
The section on Required Procedures defines the standard methodology to be used in all
states for paid and denied claims investigations. These include organization and authority,
data record creation, processing and transmission, data collection (for paid claims),
I-3
November 2009
ET HANDBOOK NO. 395, 5th EDITION
classifying propriety of payments (for paid claims), investigative procedures, and record
keeping and reporting.
The final section of the Handbook, the Appendices, includes the federal regulation, the
Claimant Questionnaire forms, and the Investigative Guide.
I-4
November 2009
ET HANDBOOK NO. 395, 5th EDITION
CHAPTER II
ORGANIZATION AND AUTHORITY
1. Organization. Each BAM unit is required to be organizationally independent of, and
not accountable to, any unit performing functions subject to evaluation by the BAM unit.
The organizational location of this unit must be positioned to maintain its objectivity, to
have access to information necessary to carry out its responsibilities, and to minimize
organizational conflict of interest.
2. Authority. All conclusions pertaining to the paid claims Key Week, and the Denied
Claims Accuracy (DCA) disqualifying eligibility issues that are drawn from the BAM process
must be formalized in official agency actions if errors are found, except where prohibited by
the state’s provisions such as finality. The authority to make determinations and
redeterminations resulting from the BAM process must not be impeded by any state unit
whose work is evaluated by BAM. Where a BAM unit does not possess the authority to
make determinations itself, a higher authority must resolve any differences between BAM
and the unit making the determinations. Determinations and redeterminations resulting
from the BAM process must be in accord with the appeal and fair hearing requirements of
federal and state law. Any redetermination that would affect a claimant's right to benefits
must also be subject to the principles laid down in the Java decision of the U.S. Supreme
Court, as reflected in UIPL No. 1145, dated November 12, 1971, and UIPL No. 04-01,
dated October 27, 2000.
3. Written Procedures. Each state must develop written procedures to guide the operation
of the BAM program. The procedures must cover all investigative and administrative
functions of the BAM unit. The procedures should be adapted to the particular
circumstances of the state, but must adhere to the guidelines contained in this Handbook so
as to provide for proper administration of the BAM program. Copies of the procedures
must be available for federal review, and, upon request, must be submitted to the
appropriate Regional Office of DOL.
4. BAM Software. States must load all software distributed by DOL for the UI computer
system. States must run the most current software and may not alter or otherwise modify
any part of the software, including all shell scripts and "C" programs.
II-5
November 2009
ET HANDBOOK NO. 395, 5th EDITION
CHAPTER III
DATA PROCESSING – STATE MAINFRAME COMPUTER OPERATIONS
AND INTERFACES WITH UI AUTOMATED DATA PROCESSING SYSTEM
1. Introduction. This chapter contains the automated data processing (ADP) specifications for the
BAM Program. Definitions, coding schemes, and record formats are provided for all required and
optional items and tasks. The BAM program involves the collection and analysis of large amounts of
data. Of primary importance is the information provided to the BAM unit to assist it in investigating
the accuracy of UI payments and disqualifying eligibility determinations, which are sampled on a
weekly basis. Other data are collected to create the population or universe from which the BAM paid
and denied claims samples are selected, to ensure the statistical validity of the sampling procedures,
and to evaluate the representativeness of the BAM samples.
Specifications for three major components are described below:
The construction of the UI transactions file on the state's mainframe ADP system, which is used
to define the populations (sampling frames) from which the samples are selected for paid claims
and the three types of denied claims for unemployment compensation: monetary denials,
separation issue denials, and denials based on non-separation issues. These tasks are performed
weekly by each state's ADP staff.
The BAM COBOL programs:
1. edit the population transactions file;
2. select the records that meet the definition for inclusion in the populations;
3. execute a routine to randomly select samples from the appropriate sampling frames;
4. produce an output file of the sampled cases; and
5. produce a file containing aggregate data on the samples and populations which will be used
to verify the validity of the samples and the sampling frames.
Two separate COBOL programs have been developed. The source code for the two COBOL
programs was distributed by the Department of Labor in 2001 to coincide with the
implementation of DCA.
The creation of a file containing data which has been downloaded from the state's mainframe for the
sampled transactions. This file, referred to as rec1.dat, consists of items for the UI BAM data
collection instrument (DCI), which is downloaded to the state's UI SUN system. This task is
performed weekly by each state's ADP staff.
The BAM program has been designed to be as automated as possible. Each state has an ADP system
(currently a SUN T2000) and application software provided by DOL to support BAM operations.
States can pass UI data from their databases to the SUN computer. DOL National Office
electronically picks up BAM data from the SUN for storage in the UI database at the National Office.
III-1
November 2009
ET HANDBOOK NO. 395, 5th EDITION
This system is designed to:
• increase the accuracy of data flows by minimizing the number of paper transactions and
simplifying data storage and retrieval;
• increase the usefulness of the data by simplifying data retrieval and raising the sophistication
with which it can be manipulated and combined with other data; and
• reduce the amount of time BAM staff must spend in data handling.
2. State UI Transactions File
This section discusses the steps to be performed by state ADP staff to produce the UI transactions
file, which must be created each week and is the initial task in the population definition and sampling
process. State ADP staff are responsible for writing the program(s) to create this file. Data for this
file are extracted from the state's UI database and management information system.
The UI transactions file is the input file to COBOL program one, which edits the file, verifies that the
records are sorted correctly, and identifies records that meet the criteria for inclusion in the UI
benefits and denials sampling frames. Only records that meet the definition for inclusion in one of
the four BAM populations -- paid benefits, monetary denials, separation denials, and non-separation
denials -- should be included in the UI transactions file. Records in the UI transactions file are sorted
according to the criteria specified below, using a sort utility on the state mainframe, before the
transactions file is read by the COBOL program.
A. Data Definitions for the UI Transactions File
1. State ID Code
Federal Information Processing Standard (FIPS) numeric code (not the two-letter
postal alphabetic code).
Field Size: 2 Digits
2. Batch Number
Indicates calendar year and week that file was created (YYYYWW). Each week of the
year is assigned a unique number beginning with 01 for the week which includes the
first Saturday in January. (A week is 12:00 am Sunday to 11:59 pm Saturday).
Field Size: 6 Digits
3. Social Security Number
Social Security Number of claimant (state use only).
Field Size: 9 Digits
III-2
November 2009
ET HANDBOOK NO. 395, 5th EDITION
4. Claim Date
Use effective date (MMDDYYYY), if claim type of the record is a new initial,
additional, transitional, or reopened claim. Item #16, Claim Type, equals 01, 02, 03,
or 04.
Use week ending date (MMDDYYYY), if claim type of the record is a week claimed.
Item #16, Claim Type, will be coded 12, 13, or 14.
Field Size: 8 Digits
5. Transaction Date
For benefit payments, this is the date (MMDDYYYY) that the payment was made or
the date that the offset, withholding or intercept was applied. If amounts are withheld
or intercepts applied in one sampling week (for example on a Friday) and the check is
not issued until the following sampling week (for example on the following Monday),
the payment record will be included in the sampling frame for the week in which the
Monday falls.
For denied claims, this is the date (MMDDYYYY) that the monetary, separation, or
non-separation denial was issued by the state agency -- that is, the date printed on the
determination notice. If no notice is issued, it is the date that the denial action was
entered into the agency’s record system or that a permanent stop payment order was
issued.
Field Size: 8 Digits
6. Sample Selection Indicator
1 = This record was selected for the BAM sample (paid claims or monetary,
separation, or non-separation denied claims).
2 = This record was not selected for the BAM sample.
NOTE: When the state builds the transactions file, all records should be coded "2"; if
the record is selected for the sample, the COBOL program will change the code to “1"
on the output file.
Field Size: 1 Digit
7. Transaction (Sample) Type
1 = UI paid claims
2 = Monetary denials
3 = Separation denials
4 = Nonseparation denials
Field Size: 1 Digit
III-3
November 2009
ET HANDBOOK NO. 395, 5th EDITION
8. Gender
1 = Male
2 = Female
8 = Information Not Available or Missing
Field Size: 1 Digit
9. Date of Birth
Claimant's month and year of birth (MMYYYY).
Enter 010001 when information is not available from the state's computer records.
If month only is not available, code month as 06.
Field Size: 6 Digits
10. Race Classification
1 = White
2 = Black or African American
3 = Asian
4 = American Indian or Alaska Native
5 = Native Hawaiian or Other Pacific Islander
8 = Information Not Available or Missing
Note: Ethnicity (Hispanic / non-Hispanic) is not coded in the UI transactions file; it
must be entered in the first position of data element b13 in the b_master table or the
ethnic data element in b_dca_master in the UI database.
Field Size: 1 Digit
11. Program Type
1 = UI 5 = UCFE 9 = Missing
2 = UI-UCFE 6 = UCFE-UCX
3 = UI-UCX 7 = UCX
4 = UI-UCFE-UCX 8 = Other
Field Size: 1 Digit
12. Unemployment Duration Code
1 = Regular UI
2 = State Supplemental Program (regular beyond 26 weeks when EB is triggered on)
3 = State Additional Program (special state extended beyond normal duration unless
EB is triggered on)
4 = Extended Benefits
5 = Other federal extended benefits program (e.g. EUC)
III-4
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Field Size: 1 Digit
13. Amount Paid to Claimant
Whole dollar amount of check actually provided the claimant. If none paid (i.e., initial
claim, claimed/not paid, totally offset, intercepted, withheld or deducted), entry will be
000.
Field Size: 3 Digits
14. Amount Offset Applied to Prior Overpayment
Whole dollar amount of entitlement applied to an outstanding overpayment.
If none offset, entry will be “000”.
Field Size: 3 Digits
15. Amount of Intercept or Withholding
Whole dollar amount of entitlement applied to outstanding child support payments,
federal, state or local income tax withholding, or amount withheld for over-issuance of
Food Stamp coupons.
If none intercepted or withheld, entry will be “000”.
Field Size: 3 Digits
16. Claim Type
00 = No week claimed 11 = Waiting Week
01 = New Claim 12 = First Payment (optional code)
02 = Additional Claim 13 = Continued Week (paid or claimed but not paid)
03 = Transitional Claim 14 = Final Payment (optional code)
04 = Reopened Claim 15 = Supplemental Payment (paid previously)
Field Size: 2 Digits
17. Filing Status Indicator
1 = Intrastate - a claim filed in the state in which the claimant's wage credits were
earned, including combined wage claims, in which claimant wage credits have
been transferred from one or more states to the state in which the claim was
filed.
2 = Interstate liable - a claim filed through the facilities of another (agent) state
against this (liable) state.
3 = Interstate agent - a claim filed in this (agent) state against another (liable)
state.
III-5
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Field Size: 1 Digit
18. Workshare Percentage
Code percent of unemployment in week due to a workshare agreement.
Use “00” if claimant is not in a work share agreement or the state does not collect this
information.
Field Size: 2 Digits
19. Run Date for Program (optional)
Identifies when program to build file was executed (MMDDYYYY).
Field Size: 8 Digits
20. Adjustment Indicator (optional)
1 = This record adjusts previously reported information.
2 = This record has not been previously reported. (Default code if item not
collected.)
Field Size: 1 Digit
21. Total Amount "Paid" to Claimant
The sum of item 13 (Amount Paid to Claimant), item 14 (Amount Offset), and item
15 (Amount of Intercept or Withholding).
Field Size: 3 Digits
III-6
November 2009
ET HANDBOOK NO. 395, 5th EDITION
B. Record Format for UI Transactions File
Field
Item # Name Size Positions Formats
1 State I.D. 2 1-2 FIPS Code
2 Batch # 6 3-8 YYYYWW
3 Social Security # 9 9-17 Actual #
4 Claim Date 8 18-25 MMDDYYYY
5 Transaction Date 8 26-33 MMDDYYYY
6 Sample Select. Ind. 1 34 1 or 2
7 Transaction Type 1 35 1 to 4
8 Gender 1 36 1, 2 or 8
9 Date of Birth 6 37-42 MMYYYY or
010001
10 Ethnic 1 43 1 to 5 or 8
11 Program Type 1 44 1 to 9
12 UI Duration 1 45 1 to 5
13 Amount Paid 3 46-48 Whole Dollars
14 Amount Offset 3 49-51 Whole Dollars
15 Amount of Intercept 3 52-54 Whole Dollars or
Withholding
16 Claim Type 2 55-56 00-04, 11-15
17 Filing Status 1 57 1 to 3
18 Workshare Pct. 2 58-59 00 to 99
19 Run Date 8 60-67 MMDDYYYY
20 Adjustment Ind. 1 68 1 or 2
21 Total Amount "Paid" 3 69-71 Whole Dollars to
Claimant
--- Filler 9 72-80 Zero-filled; can be used
by state for edit codes.
III-7
November 2009
ET HANDBOOK NO. 395, 5th EDITION
C. Timing and Frequency
The UI transactions file is created weekly. It may be created by accessing the state database each day
it is updated or once each week after all updating activity has been completed. The weekly period is
defined as 12:00 AM Sunday to 11:59 PM Saturday. The file must be ready for processing as soon as
possible after all transactions for the week have been extracted but no later than the following
Monday morning.
If the state routinely maintains a cumulative UI transactions file on its ADP system during the defined
week, the weekly UI transactions file may be created with a single computer run at the end of the
week. If a cumulative file is not maintained, it will be necessary to construct the weekly data file by
accessing the state database each day it is updated. Each state may determine the most efficient file
creation procedure in light of its normal operations.
For purposes of illustration, assume that the state updates its database five nights per week, Monday
through Friday, and that no cumulative file is routinely maintained during this period. In this case, it
would be necessary to construct the UI transactions file by accessing the database each night and
cumulating the records. The computer program that the state uses to select records for the UI
transactions file must be executed on Monday night after the UI transactions database has been
updated, and the output must be stored. The same procedure must be repeated on Tuesday, and
records selected for Tuesday must be added to the file created on Monday. In this example, the
procedure would be applied five times during the week to obtain all of the records for the UI
transactions file for that week.
States have the option of including the Run Date in each record in the weekly UI transactions file. If
the program the state has written to create the UI transactions file is run only once each week
(because the state maintains a cumulative file of UI transactions), then one Run Date will be entered
for all records selected for the weekly UI transactions file. In contrast, if the program is run on five
different days (after the state’s database is updated each day), then the Run Date for the records in the
weekly UI transactions file will have five different values corresponding to the dates on which the
records were selected.
D. Distinguishing Between Payments and Weeks
The weekly UI transactions file for paid claims can be constructed without difficulty as long as there is
a separate record for each specific week of unemployment insurance paid or offset in the state’s files.
Problems may arise in constructing the transactions file if the state’s database of UI transactions has a
single payment record (or applies a single offset) that meets the definition of an original payment but
is for more than a single week of unemployment.
For example, assume that in a case involving a labor dispute, a ruling is issued that an individual
claimant must be paid for eight weeks of unemployment claimed after the labor dispute began. If the
state has only a single record in its computer files at the time all eight weeks of unemployment are
paid, the state must create eight individual records on the weekly UI transactions file.
Alternatively, some states create two or more separate records for a single week's payment when, for
example, that week is chargeable to two or more programs (e.g., UI/UCFE, UI/UCX), is chargeable
to two or more employers, or is for a payment and an offset. If this occurs, the separate records must
be combined. The UI transactions file must have a single payment/offset record for each claimant
for each week.
III-8
November 2009
ET HANDBOOK NO. 395, 5th EDITION
These procedures must be followed because the BAM paid claims sample consists of single weeks for
which UI benefits were paid or offsets applied. The BAM sampling methodology requires that each
element in the paid claims sampling frame (i.e., each record in the transactions file) represent a single
week compensated. Also, the specific amount of the payment/offset that applies to each individual
week of unemployment must be identified on the record for each week.
E. Definitions of UI Transactions
In order to make statistically reliable inferences about the claimant population, it is first necessary to
define the population about which inferences will be made. States should use the following BAM
population definitions to identify records on their UI databases for inclusion in the UI transactions
file.
1. Paid Claims.
Not all weeks compensated are included in the BAM sampling frame. The survey population will be
selected from all weeks for which payments are made or offsets applied during a period that begins at
12:00 AM on Sunday and ends at 11:59 PM on Saturday. This interval is defined by the run time(s) of
the computer programs that issue the checks or apply offsets. The compensated weeks must meet a
series of criteria to be included in the survey population. If the criteria listed below do not classify all
weeks as either included or excluded weeks, clarification about whether particular weeks should be
included or excluded must be obtained by contacting the appropriate Regional Office.
a. Included Weeks. From the total statewide weeks for which payments are made during the
time interval defined above, include only weeks that fall into all of the following categories :
1. Regular Program Type Claim. One of:
a) UI e) UI-UCX
b) UCFE f) UCFE-UCX
c) UI-UCFE g) UI-UCFE-UCX
d) UCX
2. An Original Payment Week. Weeks for which the payments/offsets made are original
payments/offsets (except waiting weeks). An original payment/offset is defined as the
first valid payment/offset made by the agency to a claimant for that week. The offsets
would normally recover overpayments established for previous weeks.
3. A Total or Partial Payment/Offset
a. Weeks for which "total" payments/offsets are made. Include weeks for
which no checks were issued because the entire payment was offset.
b. Weeks for which true partial payments/offsets are made.
c. Weeks for which part-total payments/offsets are made.
4. Weeks for which payments/offsets/intercepted payments are made to intrastate
claimants, to interstate claimants by the liable state, or for combined wage claims.
III-9
November 2009
ET HANDBOOK NO. 395, 5th EDITION
b. Excluded Weeks. Weeks that fall into any of the following categories will be excluded
from the BAM survey population.
1. Weeks for which supplemental payments are made. These "non-original" payment
weeks are excluded because original payments/offsets (as defined above) already have
been made for the week claimed. For example, if a revised wage statement indicated
that a claimant should have been paid $95/week but the claimant originally was paid
$80 and later received a supplemental payment of $15, that week would not be
included in the population at the time the supplemental payment was made.
2. All Waiting Weeks. Exclude whether such weeks are compensated or not.
3. Weeks with Stop Payments. All weeks for which checks are written to individuals for
whom a "stop payment order" is in effect for the particular week the check is written.
4. All weeks paid under the Short Time Compensation (STC) (Workshare), Extended
Benefits (EB), Trade Readjustment Allowance (TRA), Disaster Unemployment
Assistance (DUA) programs, any temporary federal-state supplemental compensation
programs, or other special programs, such as TEUC.
2. Monetary Denials
Unless otherwise stated, definitions refer to those used in ET Handbook 401, 4rd edition. ETA report
cell references are those used in ET Handbook 402, 5th edition.
a. Include all initial claims that meet the definition for inclusion in the ETA 5159 Claims and
Activities report on lines 101 (state UI), 102 (UCFE, No UI), and 103 (UCX only), for item 2 (new
intrastate, excluding transitional), item 6 (transitional), and item 7 (interstate received as liable state)
and for which eligibility was denied because of:
• Insufficient wages,
• Insufficient hours/weeks/days,
• Failure of high quarter wage test,
• Requalification wage requirement, or
• Other state monetary eligibility requirement
b. Exclude denied claims made under the STC, EB, TRA, DUA programs, any temporary
federal-state supplemental compensation programs, or other special programs, such as EUC.
In cases of combined payments (i.e. regular UI and EB combination payment) exclude only the
portion that is EB.
Note: In order to allow time for states to request and receive wage credits from out-of-state
employers (combined wage claims) or federal wages (UCFE and/or UCX programs), the construction
of the sampling frame for monetary denials will be delayed two weeks. Monetary denial records that
satisfy the following criteria will be included in the UI transactions file.
1. Transaction date (positions 26-33 in the UI transactions file) must be greater (later)
than or equal to the date 14 days prior to the beginning date of the batch.
III-10
November 2009
ET HANDBOOK NO. 395, 5th EDITION
2. Transaction date must be less (earlier) than or equal to the date 14 days prior to the
ending date of the batch.
3. Claim date (positions 18-25 in the UI transactions file) must be less (earlier) than or
equal to the transaction date.
4. Claimant is monetarily ineligible for unemployment compensation (UC) as of the date
that the UI transactions file is created (run date, positions 60-67 in the UI transactions
file).
Example: For batch 200906 (February 1 – 7, 2009), the sampling frame will consist of new initial and
transitional claims for which:
1. a determination denying monetary eligibility was issued between January 18 – 24, 2009;
2. the claim date is on or prior to the date of the determination denying eligibility; and
3. the claimant is monetarily ineligible for UC as of the date that the program that
constructs the transactions file is run.
3. Separation Denials
Unless otherwise stated, definitions refer to those used in ET Handbook 401, 4th edition. ETA
report cell references refer to those used in ET Handbook 402, 5th edition.
a. Include all separation determinations that meet the definition for inclusion in the ETA
9052 Nonmonetary Determinations Time Lapse (Detection Date) report in cells c1 (intrastate),
c5 (interstate), and c193 (multi-claimant) and for which eligibility was denied based on any of the
following issues:
• Voluntary quit (either personal or work connected),
• Discharge,
• Labor dispute, or
• Other separation issue reportable under definitions in ET Handbook 401
b. Exclude denied claims made under the STC, EB, TRA, DUA programs, any temporary
federal-state supplemental compensation programs, or other special programs, such as EUC.
4. Nonseparation Denials
a. Include all non-separation determinations that meet the definition for inclusion in the ETA
9052 Nonmonetary Determinations Time Lapse (Detection Date) report in cells c97 (intrastate), c101
(interstate), and c193 (multi-claimant) and for which eligibility was denied based on any of the
following issues:
• Able and/or available to work,
• Actively seeking work,
• Disqualifying/unreported income,
• Refusal of suitable work or offer of job referral,
• Refusal of referral to profiling services,
• Failure to report,
III-11
November 2009
ET HANDBOOK NO. 395, 5th EDITION
• Failure to register with the employment service, or
• Other non-separation eligibility issue (for example, alien status, athlete,
school employee, seasonality, removal of disqualification, and
determination of whether claimant’s activities or status constitutes service
or employment).
b. Exclude denied claims made under the STC, EB, TRA, DUA programs, any temporary
federal-state supplemental compensation programs, or other special programs, such as EUC.
Notes for Separation and Nonseparation Definitions
1. In general, the ETA 9052 report uses the same definitions as the ETA 207 report (ET Handbook
401, pp. I-4-3 to I-4-12). However, nonmonetary redeterminations, which are reported on the ETA
207 report, are not reported on the ETA 9052 report and should not be included in the DCA
separation or non-separation sampling frames. The following actions are not reportable nonmonetary
determinations and should not be included in the DCA separation or non-separation sampling frames:
• Determinations made solely for deciding whether charges should be made to
an employer’s experience rating account.
• Routine exploration of facts or questioning claimants in association with the
claims taking process except under circumstances of disagreement. Several
examples of routine questioning or decisions that are not countable are
provided in ET Handbook 401.
• Overpayment notices on uncontested earnings detected by any method (for
example, crossmatch) should not be included in the DCA non-separation
transactions files.
2. If nonmonetary determinations that deny eligibility were conducted for more than one issue (for
example active work search and pension), or for separation issues involving more than one employer
in the base period, separate records should be created for each determination, and only the
determination selected for the sample will be investigated. States should distinguish these separate
records in the UI transactions file by the transaction date, if the determinations were issued on
different dates. If the determinations were issued on the same date, states can use positions 72-80 in
the UI transactions file to record the separation or non-separation issue code, or other identifying
information, such as an agency-assigned sequence number. The identifying information can be
mapped to the appropriate data element in the rec1.dat file.
3. A multi-claimant determination based on a single set of facts which applies to two or more
similarly situated individuals and which may result in the issuance of one or more notices, depending
upon the number of individual claimants involved, should be represented by a single record in the
DCA transactions files.
F. UI Transactions File Sort
The records in the UI transactions file are sorted first by transaction (sample) type (item 7) in
ascending order: 1) UI paid claims, 2) monetary denials, 3) separation denials, and 4) non-separation
denials.
III-12
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Within each sample type, records are sorted in ascending order on two keys. For the UI paid claims
sampling frame, the primary sort key is the total amount "paid" to the claimant (item 21). For the
three denials sampling frames, the primary sort key is the transaction date of the denial (date the
denial was issued by the state) (item 5). The secondary sort key for all four sample types is the social
security number (SSN) (item 3).
When these primary and secondary sorts are completed, the first record in the UI transactions file will
correspond to the UI benefits payment (sample type 1) with the smallest amount paid, offset,
intercepted, or withheld and the lowest SSN within that amount. The last record among the UI
benefits payments in the UI transactions file will correspond to the payment with the largest amount
paid, offset, intercepted, or withheld and the highest SSN within that amount. The first record in
each of the three denials sample types (monetary, separation, non-separation) will correspond to the
denial with the earliest transaction date and the lowest SSN within that date. The last record in each
of the three denials sample types will correspond to the denial with the latest transaction date and the
highest SSN within that date.
3. Control Record
The control record is a required input to both BAM COBOL programs. COBOL program one
checks the validity of the data in the control record and uses the control record to edit some of the
data fields in the UI transactions file. COBOL program two uses the control record in its sample
selection algorithm.
III-13
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Record Format of the Control Record
Data Element Positions Formats / Edit Criteria
State Code 1-2 2-digit numeric (FIPS); must be
1-56, 72, or 78, except for codes 3, 7, and 14.
Current Week's Batch # 3-8 6-digit numeric in format YYYYWW;
YYYY must be ≤ current year;
WW must be ≥ 01 and ≤ 53.
UI Paid Claims Random # 9-14 6-digit numeric; implied decimal (.xxxxxx).
Monetary Random # 15-20 6-digit numeric; implied decimal (.xxxxxx).
Separation Random # 21-26 6-digit numeric; implied decimal (.xxxxxx).
Nonmon.-Nonsep. Random # 27-32 6-digit numeric; implied decimal (.xxxxxx).
Batch Week Beginning Date 33-40 8-digit numeric in format MMDDYYYY;
MM must be ≥ 01 and ≤12;
DD must be ≥ 01 and ≤ max. days in MM;
YYYY must be ≤ current year.
Batch Week Ending Date 41-48 8-digit numeric in format MMDDYYYY;
must be ≥ Batch Week Beginning Date;
MM must be ≥ 01 and ≤12;
DD must be ≥ 01 and ≤max. days in MM;
YYYY must be ≤current year.
UI Paid Claims 49-50 2-digit numeric; must be ≥ 2.
Sample Size
Monetary Denials 51-52 2-digit numeric; must be ≥ 2.
Sample Size
Separation Denials 53-54 2-digit numeric; must be ≥ 2.
Sample Size
Nonmon.-Nonsep. Denials 55-56 2-digit numeric; must be ≥ 2.
Sample Size
Max Pay 57-59 3-digit numeric; whole dollars; the maximum
WBA in the state, including dependents'
allowances.
Filler 60-80 zero-filled
III-14
November 2009
ET HANDBOOK NO. 395, 5th EDITION
4. COBOL Population Edit and Sample Selection Programs
The BAM COBOL programs can be compiled on IBM OS/VS or COBOL II compilers. States must
write the job control language to compile the source code. Because ADP systems vary from state to
state, some states may have to modify the source code in order to successfully compile the COBOL
programs on their state ADP systems. States should permanently store the executable (object code)
COBOL files in a program library or partition on its ADP system from where it can be run on a
routine basis.
The COBOL programs perform the following tasks, which are described in detail in the subsequent
sections:
COBOL Program 1
• edits the input control record to identify data element codes which do not meet the
specified format or range;
• verifies that the UI transactions file is sorted according to the specifications in section 2
(F), above;
• edits the UI transactions file to 1) identify records with data element codes which do not
meet the specified format or range and 2) identify records that meet the definition for
inclusion in the sampling frames for UI paid claims and the three types of denials;
• produces an error report of records which fail any of the edits and the identification of the
failed edit(s);
• creates a file consisting of the records in the UI transactions file that meet the definition
for inclusion in the sampling frames.
COBOL Program 2
• selects the sample cases according to the prescribed algorithm;
• writes records selected for the samples to the properly formatted output file;
• creates a file of aggregate sample and population information for UI paid claims and the
three types of denials, and produces a report for each of the four transaction types which
summarizes the aggregate data.
A. Editing the Input Control Record
Both BAM COBOL programs require an input control record, which is prepared by each
state. Input control data are used in the sample selection algorithm and to edit the input file
of UI transactions.
This information includes the two-digit state FIPS code; two eight-digit dates for beginning
and ending dates of the batch (weekly sample) being selected; a six-digit number for the batch;
four six-digit random start numbers (for sample selection), which are provided by DOL; four
III-15
November 2009
ET HANDBOOK NO. 395, 5th EDITION
two-digit numbers, which are provided by the BAM supervisor, that designate the number of
cases to be selected for the weekly UI paid claims, monetary, separation, and non-separation
denials samples; and the maximum amount of UI benefits payable in the state.
COBOL program one edits the input control record to insure that the fields contain valid
entries. If any of the edits fail, the appropriate error message will be displayed and the
program will terminate. The required formats and definitions for the input control record
data are provided in section 3 of this document.
B. Verifying the Sort of the UI Transactions File
Samples are selected for BAM using a systematic selection algorithm. With systematic
selection, the first sample case is selected at random and subsequent cases are selected at a
fixed interval. The procedure will therefore produce a sample which reflects the way in which
the records in the sampling frame file are sorted. Because of this, it is critical that the records
in the UI transactions file be sorted according to the specifications in section 2 (F) (page III-
14).
COBOL program one verifies that:
The first N1 records in the file are UI benefit payments (Sample Type "1"), the next N2
records in the file are monetary denials (Sample Type "2"), the next N3 records in the file are
separation denials (Sample Type "3"), and the last N4 records in the file are non-separation
denials (Sample Type "4").
Note: All four types of records may not be present in the file. If more than one type of record is in
the file, the program verifies the proper sort sequence, as described in the preceding paragraph. If
only one type of record is present, the program verifies that the records are sorted according to the
appropriate primary and secondary sort keys, as described in the following two sections.
• The primary sort key for the UI benefit records is the total amount "paid" to the claimant
(item 21) (ascending) and the secondary sort key is the social security number (item 3)
(ascending).
• The primary sort key for the three denials sampling frames is the transaction date of the
denial (date the denial was issued by the state) (item 5) (ascending) and the secondary sort
key is the social security number (item 3) (ascending).
If the UI transactions file fails the sort edit, the COBOL program will terminate, identify the record(s)
out of sequence, and display an error message advising the user to resort the UI transactions input
file.
III-16
November 2009
ET HANDBOOK NO. 395, 5th EDITION
C. Editing the UI Transactions File
The COBOL program one uses the following criteria to edit the UI transactions file. The program
generates an error report, which will include all records that fail one or more of the edits. Data
elements failing an edit will be flagged. An example of the format of the error report is shown on
page III-19.
Data Element # and
Edit Criteria
Name
1. State I.D. Code Must be valid numeric FIPS code for state from input control record; must be 1-56,
72, or 78, except for codes 3, 7, and 14.
2. Batch Number Must match batch # in input control record: 6-digit numeric YYYYWW; YYYY
must be < current year; WW must be > 01 and < 53.1
3. Social Security Must be numeric > 0.
Number
4. Claim Date 8-digit numeric MMDDYYYY; MM must be > 01 and < 12; DD must be > 01 and <
max. days in MM; YYYY must be < current year. Can be all zeros if Transaction Type
(item 7) equals 3 (separation denial) or 4 (non-separation denial) and Claim Type (item
16) equals 0.
5. Transaction Date 8-digit numeric MMDDYYYY; MM must be > 01 and < 12; DD must be > 01 and
< max. days in MM; YYYY must be < current year. Must be greater (later) than or
equal to Item 4 (Claim Date).1, 2
If Transaction Type (item 7) equals 1, 3, or 4: Must be greater (later) than or equal to
Batch Week Beginning Date from input control record.1 Must be less (earlier) than or
equal to Batch Week Ending Date from input control record.1
If Transaction Type (item 7) equals 2 (monetary denial): Must be greater (later) than
or equal to 14 days prior to the Batch Week Beginning Date from input control
record.11 Must be less (earlier) than or equal to 14 days prior to the Batch Week
Ending Date from input control record.1
6. Sample Selection Must equal 2.
Indicator
7. Transaction Must equal 1, 2, 3, or 4.1
(Sample) Type
8. Gender Must equal 1, 2, or 8 (INA).
9. Date of Birth 6-digit numeric MMYYYY; MM must be > 01 and < 12; YYYY must be > (current
year – 100) and < YYYY of Item 4 (Claim Date); can be 0001(INA).
10. Ethnic Must equal 1-5 or 8 (INA).
Classification
11. Program Type Must equal 1-7 (UI, UCFE, UCX, UI-UCFE, UI-UCX, UI-UCFE-UCX, UCFE-
UCX), or 9 (missing).1
12. Unemployment Must equal 1 (regular UI) or 3 (state additional, no EB).1
Duration Code
13. Amt Paid to Must be equal to or less than max. WBA from input control record. Can be all zeros.
Claimant
14. Amt Offset Must be equal to or less than max. WBA from input control record. Can be all zeros.
Applied
15. Amt of Intercept Must be equal to or less than max. WBA from input control record. Can be all zeros.
or Withholding
1 Record must meet edit criteria for inclusion in sampling frame.
2 Edit criteria may vary from state to state for this item. In some states it is possible for the Transaction
Date to be greater than the Run Date, so this data element is edited against the Claim Date.
III-17
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Data Element # and Edit Criteria
Name
16. Claim Type For UI paid claims (Sample Type "1"): must equal 12, 13, or 14.1
For monetary denials (Sample Type "2"): must equal 01 (new) or 03 (transitional).1
For separation denials (Sample Type "3"): must equal 01 (new), 02 (additional), 12 to
14 (week claimed) or 00 (no week claimed).1
For non-separation denials (Sample Type "4"): must equal 01 (new), 02 (additional), 03
transitional), 04 (reopened claim), 12 to 14 (week claimed) or 00 (no week claimed).
Denied claims for waiting week credit should be coded 13.1
If Claim Type = 12 or 14, item 21 must be > 0.
17. Filing Status Must equal 1 (intrastate) or 2 (interstate liable).1
Indicator
18. Workshare Must equal 00.1
Percentage
19. Run Date for 8-digit numeric MMDDYYYY; can be all zeros; If greater than 0: MM must be > 01
Program and < 12; DD must be > 01 and < max. days in MM; YYYY must be < current year.
Must be greater (later) than Item 4 (Claim Date). Must be greater (later) than or equal
to Batch Week Beginning Date from input control record.
20. Adjustment Must equal 1 or 2. Must equal 1 if Item 16 = 15.
Indicator
21. Total Amount Must be equal to the sum of items 13, 14 and 15. Must be equal to or less than max.
"Paid" to Claimant WBA from input control record. Can be all 0's.
For UI paid claims (Sample Type"1"): item 21 must be greater than 0.1
For monetary denials (Sample Type "2"): item 21 must equal 0.1
For separation and nonmonetary non-separation denials (Sample Types "3" or "4"):
item 21 can be equal to or greater than 0.1
1 Record must meet edit criteria for inclusion in sampling frame.
III-18
November 2009
ET HANDBOOK NO. 395, 5th EDITION
BAM UI Transactions File Error Report
Page 1 State of XX Run Date: 01/08/2001
Field Code Field Code Field Code
1 99 2 199701 3 111223333
4 12281996 5 01031997 6 2
7 1 8 1 9 071971
10 1 1 1 12 1
13 180 14 000 15 000
16 13 17 3* 18 00
19 01051997 20 2
1 99 2 199701 3 444556666
4 12071996 5 12301996 6 2
7 3 8 0+ 9 111968
10 3 1 2 12 1
13 000 14 000 15 000
16 01 17 1 18 00
19 01051997 20 2
* Field failed edit for inclusion in sampling frame.
+ Field failed coding edit.
D. Extract Flag for UI Paid Claims and Denials Sampling Frames
The information that is collected for the cases in the BAM samples is used to make inferences about
the claimant population. To ensure that these inferences are statistically reliable, the populations must
be defined consistently each week. The COBOL program performs this task by editing the UI
transactions file to insure that only those records defined in section 2 (E) are included in the UI paid
claims and monetary, separation, and non-separation denials sampling frames.
A record in the UI transactions file must meet several criteria, which are denoted in section 4 (C), to
be included in the sampling frame file. COBOL program one sets an extract flag for each field (data
element) that meets the selection criteria. Records meeting all of the criteria will be written to a
sampling frame file from which the four BAM samples are selected.
E. Selecting the UI Paid Claims and Denials Samples
COBOL program two uses a systematic random sampling procedure to select the UI paid claims and
three denials samples from the sampling frames created each week. The COBOL program uses the
sample sizes and random start numbers from the input control record in the sample selection
algorithm.
The weekly sample sizes and random start numbers are provided by DOL for each state for inclusion
in the input control record. The random start numbers must be updated in the input control record
each week. The annual sample sizes for UI paid claims and the three types of denials are fixed by
DOL for the calendar year. BAM supervisors may change the weekly sample sizes in the input
control record to accommodate investigator vacation schedules or other staffing contingencies.
However, states are expected to pull at least the minimum number of cases each week. States may not
over sample during a portion of the year in order to meet the annual sample allocation and then
III-19
November 2009
ET HANDBOOK NO. 395, 5th EDITION
suspend sampling for the remainder of the calendar year. The minimum weekly and quarterly
samples, based on current annual sample allocations are:
Sample Annual Normal Minimum Normal Minimum
Allocation Weekly Weekly Quarterly Quarterly
Paid Claims 360* 7 5 90 81
Paid Claims 480 9 6 120 108
Denials 150/450** 3 2 37-38 32
* Allocation for ten smallest states in terms of UI workload.
** 150 cases each of monetary, separation, and non-separation denials will be selected each
year, for a total of 450 DCA cases.
F. Systematic Sampling Procedure
COBOL program two counts the number of records included in the sampling frame. A skip interval
is computed by dividing the number of records in the sampling frame by the number of records to be
sampled that week. The first sample case selected is determined by multiplying the skip interval by
the random start number assigned in the input control record for that sample (UI paid claims,
monetary, separation, or non-separation denials). The random start number is a six-place decimal
with a value greater than zero and less than one. The product of the skip interval and the random
start number is rounded to the nearest integer. If the rounded integer is zero, the case corresponding
to the rounded skip interval is selected as the first case in the sample.
For example, assume the following:
Number of Records in the Sampling Frame (N) = 118
Random Start Number (r) = .260903.
Total Number of Cases to be Sampled (n) = 4.
Skip interval (k) = 118 / 4 = 29.5
Initial case selected (i) = .260903 x 29.5 = 7.697 = 8 (rnd)
Record 8 in the sampling frame is the first record selected for the sample. Subsequent cases are
selected using systematic sampling.
1. Select the initial sample case as described above.
2. Select the next (n-1) cases by adding multiples of the skip interval (k), rounded to the
nearest integer, to the case number of the initial selection (i): i + round(jk), where j =
1,2,...,(n - 1).
In the example, cases 8, 38, 67, and 97 will be selected from the sampling frame of 118
records.
If the last case designated for selection by the sampling algorithm is greater than the size of the
sampling frame (N), the case will be selected from the beginning of the sampling frame. That is, the
sampling frame will be considered to be circular. For example, if the last case selected is N + 1, the
1st case in the sampling frame will be selected.
The general rule is:
if (i + round(jk)) > N, select case h, where h = [(i + round(jk)) - N] and 1 < h < i.
III-20
November 2009
ET HANDBOOK NO. 395, 5th EDITION
The Sample Selection Indicator will be changed from a value of 2 to a value of 1 for all records
selected for one of the four samples: UI paid claims, monetary denials, separation denials, and non-
separation denials.
G. Output Files and Reports
After the sample selection procedure has been completed, COBOL program two produces two
output files and related reports:
1. HITFILE (see example below) consists of the records selected for the samples. The records
in this file are in the same format and sort sequence as the UI transactions file: UI paid claims
records will be written first, followed by monetary, separation, and non-separation denials.
JOB [JOB NO.] [STATE] EMPLOYMENT SECURITY
COMMISSION
RUN DATE: 01/08/2001 HITFILE OF BAM SAMPLE CASES
99200101111223333122820001231200011107197111104000000013100010820012040000000000
99200101444556666122820000103200111202196811107500000013100010820012075000000000
99200101777889999122120001230200011211196222114500000013100010820012145000000000
99200101111335555122820000102200111108196531102515000013100010820012175000000000
99200101222446666122120001230200011210194812120000000013100010820012200000000000
99200101777991357122820000103200111104197451122500000013100010820012225000000000
99200101444668642122820001230200012203197011100000000001100010820012000000000000
99200101999119753122820000103200112101195723100000000001100010820012000000000000
99200101666880123122120001231200013112195511100000000001100010820012000000000000
99200101555004321122820000103200113205197741100000000002100010820012000000000000
99200101888224466122820001230200014209195021100000000013100010820012000000000000
99200101987654321122120000102200114102195911100000000013100010820012000000000000
The SSNs and claim dates of the sample cases are used to query the state database to create a
file of claimant data, rec1.dat, which is used in investigating the accuracy of the payment or
denial. The rec1.dat file is described in section 5, “Downloaded Files”.
State BAM supervisors may request additional information for each case sampled, for example
the claimant's name, local address, phone number, and UI claim history or wages. These
optional data elements will be produced only for the benefit of the state BAM unit and will
not be picked up by the Department. State optional data must be downloaded in the format
described in section 5 and is currently available only for paid claims. A future release of the
DCA software will accommodate state option data for denied claims.
In addition to creating the HITFILE, the COBOL program will produce a hard copy report
consisting of all of the UI transactions file data elements for each of the sampled cases:
2. Sfsum.dat (see example on page III-30) consists of aggregate data for the population and
sample cases for several claimant characteristics: gender, ethnic group, age, and program type.
In addition to these characteristics, the amount paid to the claimant will be used to check the
validity of the UI paid claims population and sample. This summary data is used to check the
representativeness of the weekly UI paid claims and denials samples. This file is analogous to
the PRELUDE_SF_SUM file created by the original BAM COBOL program, although the
III-21
November 2009
ET HANDBOOK NO. 395, 5th EDITION
format of this file is different from PRELUDE_SF_SUM. The sfsum.dat file is described in
section 5.
In addition to creating the sfsum.dat file, the COBOL program will produce a hard copy
report consisting of the data elements described in Attachment C for each of the four sample
types.
The following are examples of the SFSUM hard copy reports for the UI paid claims and
monetary denials samples and populations.
III-22
November 2009
ET HANDBOOK NO. 395, 5th EDITION
JOB [JOB NO.]
[STATE] EMPLOYMENT SECURITY COMMISSION
SFSUM REPORT
RUN DATE: 01/08/2001 TRANSACTION TYPE: 1 - UI BENEFITS
State: 99 Batch: 200101
SIZE 06 005382
DOLLARS 00860 000805231
VARIANCE 2718.432 2919.341
MALE 03 002823
FEMALE 03 002559
GENDER MISS 00 000000
WHITE 03 003542
NON-WHITE 03 001840
ETHNIC MISS 00 000000
AGE < 25 01 000639
AGE 25-34 03 001863
AGE 35-44 01 001295
AGE 45-64 01 000871
AGE 65+ 00 000714
AGE MISS 00 000000
< $51 01 000540
$ 51-$100 01 000904
$101-$150 01 001482
$151-$200 02 001983
$201+ 01 000473
AMOUNT MISS 00 000000
UI 06 005001
UCFE/UCX 00 000381
PROGRAM MISS 00 000000
=============================================
SKIP INTERVAL 000897
RANDOM NUMBER 217658
FIRST SELECT 000195
=============================================
III-23
November 2009
ET HANDBOOK NO. 395, 5th EDITION
JOB [JOB NO.]
[STATE] EMPLOYMENT SECURITY COMMISSION
SFSUM REPORT
RUN DATE: 01/08/2001 TRANSACTION TYPE: 2 - MONETARY
DENIALS
State: 99 Batch: 200101
SIZE 02 000245
MALE 01 000132
FEMALE 01 000113
GENDER MISS 00 000000
WHITE 01 000177
NON-WHITE 01 000068
ETHNIC MISS 00 000000
AGE < 25 00 000021
AGE 25-34 01 000073
AGE 35-44 01 000065
AGE 45-64 00 000048
AGE 65+ 00 000038
AGE MISS 00 000000
UI 02 000202
UCFE/UCX 00 000043
PROGRAM MISS 00 000000
=============================================
SKIP INTERVAL 000123
RANDOM NUMBER 725190
FIRST SELECT 000089
=============================================
H. COBOL Program Specifications
A description of the COBOL program modules, installation procedures, and the technical
specifications of the input and output files are provided in Attachment A.
III-24
November 2009
ET HANDBOOK NO. 395, 5th EDITION
5. Downloaded Files
Each week, two files are downloaded from the state mainframe ADP system to the UI SUN ADP
system: rec1.dat, which consists of claimant data obtained from the state database for the cases
selected for the four BAM samples, and sfsum.dat, which is created by COBOL program two. The
Department will provide software to convert data in these files to the Informix database on the SUN
computer. This software requires the data passed from the state mainframe to the SUN computer to
be in a specific format. It is the responsibility of the state to assure that data transferred to the SUN
computer adhere to these formats, which are described in detail below.
State data processing staff are also responsible for any modifications to the job control language of
the COBOL program and any additional programming needed to download the rec1.dat and
sfsum.dat files to the SUN computer, using ftp or another file transfer utility, for example. States are
responsible for securing login permission and permission to download files from their state ADP
system to the SUN computer.
States may choose to manually enter the population and sample comparison data and sample case
information into the SUN computer by using the software provided by the Department
A. Output File of Sampled Cases
COBOL program two creates a file of records selected for the UI paid claims and three denials
samples (HITFILE). This file is used to query the state database to identify information on an
individual claimant including demographic characteristics, employment history, benefit year data, and
information specific to the initial or continued claim. Data reflect status at the time of sample
selection for such items as number of base period employers, base period wages, weekly benefit
amount, etc. All data available in the state UI databases must be extracted to create the rec1.dat file
for downloading to the SUN computer.
The control keys for selecting data from the state database are social security number (SSN) and claim
date, which is the effective date of the initial claim or the week ending date of a week claimed.
1. Timing and Frequency. States will create the rec1.dat file each week as soon as possible after the
samples of UI benefit payments and denied UI claims have been selected by the COBOL
program. The file must be available on Monday morning for assignment of cases to the BAM
investigators. The file is downloaded to the SUN computer either electronically or by tape and
stored in /opt/bqc/data/tmp/rec1.dat.
2. Data Element Definition. The data elements and formats for rec1.dat records are provided in
Attachment B. Some of the fields may be missing, optional, or not applicable and are left blank,
as indicated.
3. Data Corrections. Experience from the BAM program has shown that claimants are occasionally
sampled in error, or that claimant identifiers change during the course of an investigation. The
BAM supervisor will normally be the person who identifies sample or identifier errors. Provisions
have been made for reconciliation of either of these errors on the SUN computer system. The
supervisor will log on to the SUN computer in order to code a sample case that does not meet the
definition for inclusion in the UI paid claims or denial universe.
The SUN computer cannot correct errors on the state mainframe. Therefore, the BAM supervisor is
responsible for alerting the state ADP unit regarding changes or errors.
III-25
November 2009
ET HANDBOOK NO. 395, 5th EDITION
4. File Format for Transfer to the SUN Computer. States must download the rec1.dat file from their
mainframe computer to the SUN ADP system. These data are stored in the UI database on the
SUN. Successful case conversion depends on fixed formats and file-naming conventions, which
are described in this section. States are responsible for the programming which creates the
rec1.dat file in the required format.
Each record in the rec1.dat file consists of ten 80-character lines. The total size of each record is 800
bytes. Positions 1 through 79 of each line must contain data or spaces (HEX ‘20', octal ‘040', for
example). Position 80 on each line must be coded with a line feed (ASCII - 10, HEX ‘0A’, EBCDIC
25, octal ‘012', for example).
The first three lines are defined by DOL and cannot be changed. As indicated in the following table,
some fields wrap from one line to the next line. Line four is reserved for future use and will remain
blank. The remaining six lines are reserved for state use and can contain such information as the
names and addresses of UI claimants. BAM supervisors are responsible for providing the record
formats of optional fields to their ADP staffs. All ten lines must be formatted and transferred
whether or not the state optional lines are used for data. Positions not used for data must be filled
with spaces, not null.
The following table summarizes the contents of each line of the rec1.dat file record. The data
elements and formats for rec1.dat records are provided in Attachment B.
Line # rec1.dat Data Element Numbers Positions
l Items 1 thru 24 (first position) 1 - 79
2 Items 24 (last position) thru 50 80 - 158
3 Items 51 thru 66 159 - 197
(40 spaces reserved in remainder of line 3) (198 - 237)
4 Leave blank (spaces); reserved for future use.
5-10 Lines reserved for state use.
Note: Positions refer to the format of the rec1.dat file record in Attachment B. An example of a
rec1.dat file (partial listing of records) is shown on the following page.
III-26
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Example of rec1.dat File
12345678499199906012319990112 11811061961111208021998 07181998
0099405630 37509750 1
5 10-2-2003750000000000000000000
12345678599199906012319990510 55003101957111201101999 12121998
0117756170 29907774 1
5 10-2-2003070000000000000000000
12345678699199906013019990204 31012281934111212061998 09101998
0258105170 37509750 1
5 10-2-2003750000000000000000000
12345678799199906010219990420 13004281951121202081998 01251998
0301185270 07501950 1
5 10-2-2000750000000000000000000
12345678899199906013019990208 21005101955211207261998 05021998
0325502300 16504290 1
5 10-2-2001450000000000000000000
12345678999199906012319990616 510122619481112001031999 12101998
0388725490 29607696 1
5 10-2-2002960000000000000000000
III-27
November 2009
ET HANDBOOK NO. 395, 5th EDITION
B. Population and Sample Comparison File
COBOL program two will aggregate population and sample data for selected claimant characteristics
to evaluate the statistical validity of the UI paid claims and denials samples. These aggregated data are
written to the sfsum.dat file and are downloaded to the UI SUN computer either electronically or by
tape. The file will be stored in “ /opt/bqc/data/tmp/sfsum.dat” on the SUN computer. Software
provided by DOL will store the aggregated data in the UI database. DOL will pick up this data for
storage on the National Office UI database.
This file will include the following information:
1 The total size of the UI paid claims or denials population file from which the sample was
selected.
2. The skip interval (K) calculated.
3. The random start number provided by the Department and specified in the input control
record.
4. The sequence number of the first sampled case.
5. Aggregate sample and population data for gender, ethnic group, age, and program. For UI
paid claims, aggregate sample and population data for the amount paid to the claimant and the
sample and population variances for the amount paid will also be produced.
File Format. The sfsum.dat file consists of four records of three 80-character lines, which are
summarized in the following table. Position 80 of each line is coded with a line feed. The first record
in the file is for UI paid claims, followed in order by records for monetary, separation, and
nonseparation denials. The data elements and formats for sfsum.dat records are provided in
Attachment C.
Line # sfsum.dat File Data Element Numbers Positions
1 Items 1 thru 19 (first 4 positions) 1 – 79
2 Items 19 (last 2 positions) thru 39 80 - 158
(first 3 positions)
3 Items 39 (last 3 positions) thru 53 159 – 231
(6 spaces reserved in remainder of line 3) (232-237)
Note: Positions refer to the format of the sfsum.dat file record in Attachment C.
III-28
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Example of sfsum.dat File
200045102010478425869052390002231010049490100552900000000010074790100296200000037000
008710000236001003064010039030000027500000005020099610000051700000000000000810000069
401001477000017800100644600000000004250022644010781250004812126
200045202000141425869000705000030010000690100007200000000010001020100003800000001000
000220000003902000039000000390000000200000000020001140000002700000000000000000000000
000000000000000000000000000000000000000000000000000000000000000
200045302000271425869001355000058010001220100014900000000010001570100011400000000020
002710000000000000000000000000000000000000000020002700000000100000000000000000000000
000000000000000000000000000000000000000000000000000000000000000
200045402000100425869000500000021010000320100006800000000010000640100003600000000020
001000000000000000000000000000000000000000000020000980000000200000000000000000000000
000000000000000000000000000000000000000000000000000000000000000
III-29
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Attachment A
UI BAM Population Edit and Sample Selection
COBOL Program Specifications and Installation
Installation of the COBOL Programs
The BAM denials COBOL software consists of two source code files: the edit program and
the sampling program. The source program code is written in ASCII. Transfer the COBOL
program source code files from the UI SUN computer to your state mainframe computer
system or network.
The two programs must be compiled separately and given names consistent with the naming
conventions at your state’s ADP site. The programs have been compiled and tested under
both IBM OS/VS COBOL and COBOL II. If the program code is compiled using a
different compiler, the source code may need to be modified to conform to your local ADP
environment. After compiling the COBOL program source code, permanently store the
executable (object code) files in a program library or partition on your state’s ADP system
where it can be run on a routine basis.
In the redesign of the COBOL program all internal COBOL sorts have been replaced with
SORT utility steps that run before the edit program. Sample JCL for executing the programs
on IBM compatible systems is provided at the end of this section.
The main processing steps are as follows:
1. Using programs specific to your ADP site, create the weekly file of UI benefit payments
in the new format, as described in section 2 of this documentation.
2. Using a sort control statement similar to the one in step 010 in the sample JCL, sort the
UI payment transactions by total amount paid and by SSN.
3. Using programs specific to your site, create a transactions file for the three types of
denials: monetary, separation and non-separation.
4. Using a sort control statement similar to the one in step 020 in the sample JCL, sort the
denials transactions by TRANTYPE, TRANYYYY, TRANMMDD, and SSN.
5. Concentrate the UI payment and denial files (step 030).
6. Execute the edit program to create the sampling frame and error report (step 040).
7. Execute the sampling program to create the HITFILE (sample cases) and SFSUM files
(step 050).
8. Using programs specific to your ADP site, create the rec1.dat file in the new format, as
described in section 5 and Attachment B of this documentation.
III-A-1
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Attachment A
COBOL Program Files
1. Input Files
a. UI Transactions File
This file contains all the weekly UI transactions records which contain data extracted
from the state mainframe database.
record order: UI paid claims (Transaction Type 1): amount paid, offset,
intercepted, withheld or deducted (item 21 in UI transactions record)
and social security number (item 3), in ascending order;
Monetary, separation and non-separation denials (Transaction Types
2, 3, and 4): transaction date (item 5 in UI transactions record) and
social security number (item 3), in ascending order.
access mode: sequential
record length: 80 bytes
retention: save on tape or disk for 120 days
b. Control Record
This file contains a single record that provides control information for each weekly run
(for example, random number, number of records to be sampled each week, batch
number, etc.). Certain data in the record must change each week (batch #, random #,
and dates).
access mode: single record
record length: 80 bytes
retention: none
2. Output Files and Reports
a. Error Listing
This report consists of records in the UI transactions file for which the COBOL
program has identified data range, format, or relational errors. The report should be
reviewed to correct data value or format problems.
b. Sampling Frame of UI Transactions
This file contains all records meeting the edit criteria for inclusion in the UI paid claims,
monetary denials, separation denials, and non-separation denials sampling frames.
record order: Same as UI Transactions File
access mode: sequential
record length: 80 bytes
output media: disk or tape
retention: none
III-A-2
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Attachment A
c. HITFILE
This file contains the records selected for the four BAM samples: UI paid claims and
monetary, separation, and non-separation denials. Record format is the same as the UI
transactions file. The HITFILE is used to extract data from the state’s UI database to create
the rec1.dat file, which is downloaded to BAM tables in the UI database on the SUN
computer.
record order: Same as sampling frame and transactions file
access mode: sequential
record length: 80 bytes
output media: disk or tape
retention: optional
d. sfsum.dat
This file contains aggregate sample and population data for the four types of UI transactions
included in BAM: UI paid claims and monetary, separation, and non-separation denials. The
data consists of selected characteristics which are used to weigh the BAM data and conduct
statistical tests of sample validity. Data in this file is downloaded to the b_comparison table
in the UI database on the SUN computer.
access mode: sequential
record length: 80 bytes (3 lines per record)
output media: disk or tape
retention: retain hard copy SFSUM report for 120 days; data in the
b_comparison and b_dca_comparison tables in the UI database
are permanently retained on disk or archived.
III-A-3
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Attachment A
Sample Job Control Language
//****************************************************
//* SAMPLE JCL TO SORT ‘ALLOW’ AND ‘DENY’ TRANSACTIONS AND RUN
//* THE EDIT AND SAMPLE PROGRAMS.
//* STEP010 – SORT UC TRANS BY TOTAL PAID, SSN
//* STEP020 – SORT DENIAL TRANS BY TRANTYPE, TRANYYYY, TRANMMDD,
//*
AND SSN
//* STEP030 – CONCATENATE THE TWO FILES (TRANTYPES 1,2,3,4)
//* STEP040 – EDIT THE CONTROL AND TRANSACTION FILES
//* STEP050 – CREATE HITS AND SFSUM FILES
//****************************************************
//STEP 010 EXECPGM=SORT
//SORTIN DD DSN=YOUR.INITIAL.CLAIMS.TRANSACTIONS,
// DISP=(OLD,DELETE,KEEP)
// DD DSN=YOUR.CONTINUED.CLAIMS.TRANSACTIONS,
// DISP=(OLD,DELETE,KEEP)
//SORTOUT DD DSN=YOUR.SORTED.TYPE1.TRANSACTIONS,
// UNIT=STORAGE,MGMTCLAS=IMSTD,
// DISP=(NEW,CATLG,DELETE),AVGREC=K,
// DCB=(LRECL=80,RECFM=FB),
// SPACE=(80,(50,20),RLSE)
//SYSOUT DD SYSOUT=*
//SYSIN DD *
SORT FIELDS=(69,3,CH,A,9,9,CH,A)
//*
//STEP020 EXEC PGM=SORT
//SORTIN DD
DSN=YOUR.UNSORTED.DENIALS.TRANS,DISP=(OLD,DELETE,KEEP)
III-A-4 R-4/2001
ET HANDBOOK NO. 395
//SORTOUT DD DSN=YOUR.SORTED.DENIALS,TRANS,
// UNIT=STORAGE,MGMTCLASS=IMSTD,
// DISP=(NEW,CATLG,DELETE),AVGREC=K,
// DCB=(LRECL=80,RECFM=FB),
// SPACE=(80, (30,10),RLSE)
//SYSOUT DD SYSOUT=*
//SYSIN DD *
SORT FIELDS=(35,1,CH,A,30,4,CH,A,26,4,CH,A,9,9,CH,A)
//*
//STEP030 EXEC PGM=IEBGENER
//SYSUT1 DD DSN=YOUR.SORTED.TYPE1.TRANSATIONS,
// DISP=(OLD,DELETE,KEEP)
// DD DSN=YOUR.SORTED.DENIALS.TRANS,DISP=(OLD,DELETE,KEEP)
//SYSUT2 DD DSN=YOUR.UNEDITED.TRANSACTIONS.FILE,
// UNIT=STORAGE,MGMTCLAS=IMSTD,
// DISP=(NEW,CATLG,DELETE),AVGREC=K,
// DCB=(LRECL=80,RECFM=FB),
// SPACE=(80,(30,10),RLSE)
III-A-4
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Attachment A
//SYSPRINT DD SYSOUT=*
//SYSIN DD DUMMY
//*
//STEP040 EXEC PGM=?????? /*YOUR NAME FOR THE EDIT PROGRAM*/
//INCNTRL DD DSN=YOUR.NAME.FOR.THE.CONTROL.FILE,DISP=SHR
//INTRAN DD
DSN=YOUR.UNEDITED.TRANSACTION.FILE,DISP=(OLD,DELETE,KEEP)
//OTTRAN DD DSN=YOUR.NAME.FOR.THE.SAMPLE.FRAME,
// MGMTCLAS=IMSHORT,STORCLAS=ISFAST,
// DISP=(NEW,CATLG,DELETE),AVGREC=K,
// DCB=(RECFM=FB,LRECL=80),
// SPACE=(80,(100,100),RLSE)
//OTERROR DD SYSOUT=*,
// DCB=(RECFM=FBA,LRECL=81)
//SYSOUT DD SYSOUT=*
//SYSABEND DD SYSOUT=*
//SYSUDUMP DD SYSOUT=*
//SYSABOUT DD SYSOUT=*
//SYSDBOUT DD SYSOUT=*
//*
//STEP050 EXEC PGM=?????? /*YOUR NAME FOR THE SAMPLING PGM*/
//INCNTRL DD DSN=YOUR.NAME.FOR.THE.CONTROL.FILE,
III-A-5 R-4/2001
ET HANDBOOK NO. 395
// DISP=SHR
//INTRANS DD DSN=YOUR.NAME.FOR.THE.SAMPLE.FRAME,
// DISP=(OLD,DELETE,KEEP)
//OTPRINT DD SYSOUT=*,
// DCB=(RECFM=FBA,LRECL=133)
//OTSAMPL DD DSN=YOUR.NAME.FOR.THE.HITS.FILE,
// DISP=(NEW,CATLG,DELETE),
// SPACE(80,(5,2),RLSE),AVGREC=K,
// DCB=(RECFM=FB,LRECL=80)
//OTSFSUM DD DSN=YOUR.NAME.FOR.THE.SFSUM.FILE,
// DISP=(NEW,CATLG,DELETE),
// SPACE=(80,(5,2),RLSE),AVGREC=K,
// DCB=(RECFM=FB,LRECL=80)
//SYSOUT DD SYSOUT=*
//SYSABEND DD SYSOUT=*
//SYSUDUMP DD SYSOUT=*
//SYSABOUT DD SYSOUT=*
//SYSDBOUT DD SYSOUT=*
//*
III-A-5
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Attachment B
Record Format for rec1.dat File
Field
Item # Name Size Positions Formats/Codes1
1 Social Security # 9 1-9 9-digit SSN (state use only)
2 State ID 2 10-11 2-digit FIPS Code
3 Batch Number 6 12-17 YYYYWW
4 Claim Date 8 18-25 MMDDYYYY
(Week Ending or Effective Date)
5 Local Office Number 4 26-29 State-assigned #
6 U.S. Citizen 1 30 1 to 3 or Blank
7 Education 2 31-32 00 to 12, 14 to 16, 20 or
Blank
82 Voc/Tech Training 1 33 1 to 3 or Blank
92 In Training 2 34-35 00, 11 to 14, 21 to 24 or
Blank
102 Occupation Code 3 36-38 3-digit major and minor
(Last Employer) O*NET code or Blank
11 Date of Birth 8 39-46 MMDDYYYY or Blank
12 Gender 1 47 1, 2 or Blank
13 Ethnic Classification 1 48 1 to 6, 9 or Blank
14 Program Code 1 49 1 to 8 or Blank
15 Combined Wage 1 50 1 to 6 or Blank
16 Benefit Yr. Beginning 8 51-58 MMDDYYYY or Blank
17 Initial Claim Filing 1 59 1 to 6 or Blank
Method
Field
1
Unless otherwise noted, refer to Chapter IV for paid claims and Chapter VIII for denied claims for data element codes.
2
Required for UI paid claims cases only; optional for denials cases.
III-B-1
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Attachment B
Item # Name Size Positions Formats/Codes1
182 # Prior Nonsep Issues 2 60-61 2 digits or Blank
192 # Prior Nonsep Issues 2 62-63 2 digits or Blank
(Disqualifying)
20 Reason for Separation 2 64-65 10 to 69 or Blank
(Before Investigation)
21 Date of Separation 8 66-73 MMDDYYYY or Blank
(Before Investigation)
222 Recall Status 1 74 0, 1, 2 or Blank
(Before Investigation)
232 NAICS Last Employer 4 75-78 NAICS code (first 4 digits) or
Blank
24 # Base Period Employers 2 79-80 2 digits or Blank
(Before Investigation)
25 Base Period Wages 6 81-86 6 digits (whole
(Before Investigation) dollars) or Blank
262 NAICS Primary Base 4 87-90 NAICS code (first 4 digits) or
Period Employer Blank
27 High Quarter Wages 5 91-95 5 digits (whole dollars)
(Before Investigation) or Blank
28 # Weeks Worked in BP 3 96-98 3 digits or Blank
(Before Investigation)
29 WBA (Before Invest.) 3 99-101 3 digits (whole dollars) or
Blank
30 MBA (Before Invest.) 5 102-106 5 digits (whole dollars) or
Blank
31 Monetary Redeterm. 1 107 1, 2 or Blank
(Before Investigation)
1
Unless otherwise noted, refer to Chapter IV for paid claims and Chapter VIII for denied claims for data element codes.
2
Required for UI paid claims cases only; optional for denials cases.
III-B-2
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Attachment B
Field
Item # Name Size Positions Formats/Codes1
32 Remaining Balance 5 108-112 5 digits (whole dollars)
(As of week paid or denial) or Blank determination)
33 # Dependents Claimed 2 113-114 2 digits, 00 or Blank
(Before Investigation)
34 Dependents Allowance 3 115-117 3 digits (whole dollars)
(Before Investigation) or Blank
352 First CWE Date 8 118-125 MMDDYYYY or Blank
362 Date of First Paym't. 8 126-133 MMDDYYYY or Blank
372 Key Week Cert. Method 1 134 1 to 3 or Blank
383 Week Claimed/Paid 1 135 1 to 6 or Blank
Filing Method
39 (Relocated to Item # 62) 3 136-138 Blank
40 (Relocated to Item # 63) 3 139-141 Blank
41 (Relocated to Item # 64) 3 142-144 Blank
42 (Relocated to Item # 65) 3 145-147 Blank
43 (Relocated to Item # 66) 3 148-150 Blank
442 Required to Seek Work 1 151 1 to 5 or Blank
452 ES Registration Required 1 152 1 to 4 or Blank
462 Actively/Currently 1 153 1 to 4 or Blank
Registered w/ ES
1
Unless otherwise noted, refer to Chapter IV for paid claims and Chapter VIII for denied claims for data element codes.
2
Required for UI paid claims cases only; optional for denials cases.
3
Required for UI paid claims cases and any denial decision when a week was claimed; leave blank for denial decisions if no
week was claimed.
III-B-3
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Attachment B
Field
Item # Name Size Positions Formats/Codes1
472 Reason ES Reg. Deferred 1 154 1 to 6 or Blank
482 # of ES Referrals 2 155-156 2 digits or Blank
492 Union Referral Status 1 157 0 to 3 or Blank
505 Union Service 1 158 0 to 3 or Blank
515 Union Assistance 1 159 0 to 4 or Blank
Requested
525 Claimant Union Assisted 1 160 0, 1, 2 or Blank
535 Monetary Denial Reason 2 161-162 00 thru 59 or Blank
545 Nonmonetary- 2 163-164 00 thru 79 or Blank
Nonseparation Denial Reason
555 Claim Type 1 165 0 to 5
565 Initial Determination 1 166 0 to 3 or Blank
Appealed6
575 Result of Initial 1 167 0 to 6 or Blank
Determination Appeal6
585 Sample Type 1 168 1 to 4
59 Ethnicity 1 169 0, 1 or Blank
605 Separation Issue No. 2 170-171 0 to 99, -2 or Blank
615 Nonseparation Issue No. 2 172-173 0 to 99, -2 or Blank
1
Unless otherwise noted, refer to Chapter IV for paid claims and Chapter VIII for denied claims for data element codes.
2
Required for UI paid claims cases only; optional for denials cases.
5
Data element added for denied claims.
6
Appeal status at time case was selected for sample; data element can be updated if status changes before case is closed.
III-B-4
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Attachment B
Field
Item # Name Size Positions Formats/Codes1
624 Amount Paid and/or 5 174-178 5 digits (whole
Offset dollars) or Blank
63 Total Earnings 4 179-182 4 digits (whole
(Before Investigation) dollars) or Blank
64 Earnings Deduction 4 183-186 4 digits (whole
(Before Investigation) dollars) or Blank
65 Other Deductible Income 6 187-192 6 digits (whole
(Before Investigation) dollars) or Blank
66 Other Deduction 5 193-197 5 digits (whole
(Before Investigation) dollars) or Blank
1
Unless otherwise noted, refer to Chapter IV for paid claims and Chapter VIII for denied claims for data element codes.
4 Required for UI paid claims cases. For denials cases, leave blank if there is no payment associated with the denial
determination. Otherwise, enter the amount paid, offset, intercepted, withheld or deducted for the weeks affected by
denial determination.
III-B-5
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Attachment C
Record Format for sfsum.dat File
(All Fields are Numeric)
Item # Name Field Size Positions
1 Batch 6 1-6
21 Sample Type 1 7
3 Sample Size 2 8-9
4 Population Size 6 10-15
52 Random Start # 6 16-21
63 Skip Interval 6 22-27
7 Initial Case Selected 6 28-33
8 Sample – Male 2 34-35
9 Population – Male 6 36-41
10 Sample – Female 2 42-43
11 Population – Female 6 44-49
12 Sample – Gender Missing 2 50-51
13 Population – Gender Missing 6 52-57
14 Sample – White 2 58-59
15 Population – White 6 60-65
16 Sample – Non-white 2 66-67
17 Population – Non-white 6 68-73
__________________________
1 The first records are UI paid claims (sample type = 1), followed by monetary denials (sample type =2),
separation denials (sample type = 3), and nonseparation denials (sample type =4).
2 Reported with six digits, implied decimal (.xxxxxx).
3 Reported with one implied decimal (xxxx.xx).
III-C-1
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Attachment C
Item # Name Field Size Positions
18 Sample – Ethnic Missing 2 74-75
19 Population – Ethnic Missing 6 76-81
20 Sample – Age < 25 2 82-83
21 Population – Age < 25 6 84-89
22 Sample – Age 25-34 2 90-91
23 Population – Age 25-34 6 92-97
24 Sample – Age 35-44 2 98-99
25 Population – Age 35-44 6 100-105
26 Sample – Age 45-64 2 106-107
27 Population – Age 45-64 6 108-113
28 Sample – Age 65+ 2 114-115
29 Population – Age 65+ 6 116-121
30 Sample – Age Missing 2 122-123
31 Population – Age Missing 6 124-129
324 Sample – UI Program 2 130-131
334 Population – UI Program 6 132-137
345 Sample – UCFE/UCX 2 138-139
355 Population – UCFE/UCX 6 140-145
36 Sample – Program Missing 2 146-147
37 Population – Program Missing 6 148-153
__________________________
4 UI program codes include regular UI, UI-UCFE, UI-UCX or UI-UCFE-UCX (program type codes 1, 2, 3,
and 4 in the UI transactions file).
5 Program codes include UCFE and/or UCX only (program type codes 5, 6 and 7 in the UI transactions
file).
III-C-2
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Attachment C
Item # Name Field Size Positions
386 Sample - <= $50 Paid 2 154-155
396 Population - <= $50 Paid 6 156-161
406 Sample - $51-100 Paid 2 162-163
416 Population - $51-100 Paid 6 164-169
426 Sample - $101-150 Paid 2 170-171
436 Population - $101-150 Paid 6 172-177
446 Sample - $151-200 Paid 2 178-179
456 Population - $151-200 Paid 6 180-185
466 Sample -> $200 Paid 2 186-187
476 Population -> $200 Paid 6 188-193
486 Sample – Amount Paid Missing 2 194-195
496 Population - Amount Paid Missing 6 196-201
506 Sample – Amount Paid 2 202-206
516 Population – Amount Paid 6 207-215
526,7 Sample – Amount Paid Variance 2 216-223
536,7 Population – Amount Paid Variance 6 224-231
_________________________________
6 For the monetary, separation, and non-separation denials, this item must equal zero
7 Reported with three implied decimal places (xxxxx.xxx).
III-C-3
November 2009
ET HANDBOOK NO. 395, 5th EDITION
CHAPTER IV
DATA COLLECTION
1. Introduction. Data from each case sampled for BAM are entered into a database on the state’s
UI computer system. The data are obtained both from existing records and from case
investigations. This chapter identifies the data elements collected for each paid claim case. Chapter
VIII identifies the data elements collected for each denied claim case. Collectively, the data elements
in this chapter and Chapter VIII are recorded on the appropriate data collection instrument (DCI),
which can be found in Appendix D of this handbook. Data collection and investigative
methodology are applied equally for both paid and denied claims.
2. Overview.
a. Computer Record. The data from BAM paid claim investigations are collected and
entered into a computer record including the following parts (screens):
Part A Case Control Information
Part B Claimant Information
Part C Benefit Year Information
Part D Separation Information
Part ME Monetary Eligibility Information
Part F Benefit Payment History
Part G Registration/Work Search Information
Note: Part A data is information automatically downloaded from the rec1.dat file. The information
contains characteristics specific to the case being investigated, such as the Social Security number,
state identification code, batch and sequence number, local office number, and the investigator
identification number to whom the case is assigned.
Note: "E" is the system command for Exit; therefore, "ME" is used to record monetary eligibility
data.
The definitions for classifying the propriety of payments and closing cases, screens H and I, are
covered in chapter V.
b. Features of the Data Entry Program. States enter the case data using the Update Cases
application, which is part of the BAM software provided to all states and is designed to make data
recording relatively simple. States are strongly encouraged to use the rec1.dat file to transfer
(download) as many data elements as possible from the state’s computerized UI files to the BAM
database on the UI computer when the sample cases are selected. The remaining data elements will
be blank and will be coded after the BAM investigation is completed. Some of the fields in Part H
are preset to zeros to facilitate coding for those cases that do not require nonzero values.
Data elements are numeric, character, or date; codes for several elements are selected from drop-
down menus in the software. Data elements c5 (Benefit Rights Given) and ei4 (Error
Responsibility) for paid claims and numbers 26 and 101 for denied claims require the entry of zero
or a numeric code (representing true/false conditions) in multiple positions within the data element.
The valid codes are summarized in tables in the description part of each of these data elements.
IV-1
November 2009
ET HANDBOOK NO. 395, 5th EDITION
c. Responsibility for Data Entry. The state determines who enters the data into the
automated record (e.g., investigator, clerk, etc.). States are encouraged to develop a coding sheet to
organize the data prior to entry.
3. Data Elements and Descriptions. The balance of this chapter contains the data elements that
are collected and verified by the BAM investigator for each case. Although some elements may be
downloaded from the mainframe computer, and the software assigns others, most data must be
entered manually. For each data element, the following information is provided:
- NAME: full name of data element
- SHORT NAME: as abbreviated for printout
- Definition: provides specific instructions for each data element and lists the codes
available for each data element
The following general instructions are applicable for data elements involving money:
Entries must be in whole dollars, with the exception of hourly wages, which require both
dollars and cents. For those entries requiring whole dollars, states that have formal policies
regarding the rounding of dollars should follow those policies. Other states should round to
the nearest whole dollar by dropping decimals for values of four (4) or less and rounding up
for decimals of five (5) or more.
IV-2
November 2009
ET HANDBOOK NO. 395, 5th EDITION
PART B -- CLAIMANT INFORMATION
(b1) NAME: Primary Method by which Claimant BAM Information Obtained
SHORT NAME: Method Info Obt
Definition: Enter the code which best describes the method by which the information
contained on the claimant questionnaire is obtained.
l = In-person interview
2 = Telephone interview
3 = Mail or other method (including fax or e-mail)
-1 = Not obtained
Edits: Must be 1, 2, 3, or -1.
(b2) NAME: United States Citizenship
SHORT NAME: Citizen
Definition: Enter applicable code after appropriate verifications.
l = U.S. Citizen
2 = Alien eligible under 3304(a)(14)FUTA
3 = Alien ineligible under 3304(a)(14)FUTA
-1 = Missing or information not available
Edits: Must be 1, 2, 3, or -1.
(b3) NAME: Education
SHORT NAME: Education
Definition: Enter highest level of academic education completed after appropriate
verifications.
00 = Never attended school
01 thru 11 = Highest grade completed
12 = High school graduate or GED
14 = Some college (but no degree)
15 = Associate's degree
16 = BA or BS Degree
20 = Graduate Degree (Masters, MD, PhD, JD, etc.)
-1 = Missing or information not available
Edits: Must be 00 to 12, 14 to 16, 20, or -1.
Note regarding this element and (b4): A distinction must be made between education and
training. Attendance at one institution or facility cannot be coded under both categories.
Experience that leads to a certificate is considered vocational or technical (voc/tech) school training.
If the individual earns a degree (diploma), it is considered “formal” education. If training is post
high school and claimant indicates training is for a certificate and does not lead to a degree, proceed
to voc/tech question.
IV-3
November 2009
ET HANDBOOK NO. 395, 5th EDITION
(b4) NAME: Vocational or Technical School Training
SHORT NAME: Voc/Tech School
Definition: Enter applicable code after appropriate verification.
1 = Never attended
2 = Attended, but not certified
3 = Attended and received certificate
-1 = Missing or information not available
Edits: Must be 1, 2, 3, or -1.
(b5) NAME: Training Status during Key Week
SHORT NAME: In Training
Definition: Enter the applicable code after verification
00 = Not in training
-1 = Missing or information not available
UI Approved Training: Not UI Approved Training:
11 = Tech./voc. 21 = Tech./voc.
12 = WIA 22 = WIA
13 = Academic 23 = Academic
14 = Other 24 = Other
Edits: Must be 00, 11 to 14, 21 to 24, or -1.
(b6) NAME: O*Net Code for last job prior to filing most recent Initial/Additional Claim
SHORT NAME: Occ Code Last
Definition: Enter the first three digits of the O*NET code for claimant’s last job.
Code O*NET Major Group Code O*NET Major Group
11 Management Occupations 35 Food Preparation and Serving Related Occupations
Building and Grounds Cleaning and Maintenance
13 Business and Financial Operations Occupations 37
Occupations
15 Computer and Mathematical Occupations 39 Personal Care and Service Occupations
17 Architecture and Engineering Occupations 41 Sales and Related Occupations
19 Life, Physical, and Social Science Occupations 43 Office and Administrative Support Occupations
21 Community and Social Services Occupations 45 Farming, Fishing, and Forestry Occupations
23 Legal Occupations 47 Construction and Extraction Occupations
25 Education, Training, and Library Occupations 49 Installation, Maintenance, and Repair Occupations
Arts, Design, Entertainment, Sports, and Media
27 51 Production Occupations
Occupations
29 Healthcare Practitioners and Technical Occupations 53 Transportation and Material Moving Occupations
31 Healthcare Support Occupations 55 Military Specific Occupations
33 Protective Service Occupations
-1 = Missing or information not available
Edits: First 2 digits must be an odd number from 11 to 55, or -1.
(b7) NAME: O*Net Code for Usual Occupation
SHORT NAME: Occ Code Usual
IV-4
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Definition: Enter the first three digits of the O*NET code for claimant’s usual occupation
(see chart in element b6). The first source for this information is the claimant’s response on
the claimant questionnaire. This information must be verified with the claimant’s base
period and/or separating employer. The BAM investigator must resolve discrepancies
between the claimant’s statement and the base period and/or the separating employer. If the
information is not available from the claimant questionnaire, the employer verification or
agency record, then use labor market information.
-1 = Missing or information not available
Edits: First 2 digits must be an odd number from 11 to 55, or -1.
(b8) NAME: Normal Hourly Wage for Base Period Occupation
SHORT NAME: Normal Hr Wage
Definition: Enter normal hourly wage for the claimant’s occupation during the base period.
The first source for this information is the claimant’s response on the claimant
questionnaire. The BAM investigator must verify this information with the claimant’s base
period employer and resolve any discrepancies between the claimant’s statement and
information from the base period employer. If the information is not available from the
claimant questionnaire or through verification with the base period and/or separating
employer, then use labor market information. Express with decimal point in dollars and
cents per hour (e.g., $7.50 per hour is coded as 7.50).
Use state conversion formula when other than hourly wage is given. If no state formula, use
the appropriate formula provided below:
Weekly wages divided by 40 or normal weekly hours for claimant's usual occupation.
Monthly wages divide by 4.33, then divide by 40 or normal weekly hours for claimant's
usual occupation.
Yearly wages divide by 52, then divide by 40 or normal weekly hours for claimant's
usual occupation.
Military (UCX) compute using the information provided on the DD-214. Military wages
are based on 240 hours monthly, 56 hours weekly and 8 hours daily.
-1 = Missing or information not available
Edits: Must be within the validation range set by state agency. Can be -1.
(b9) NAME: O*Net Code for the Type of Work the Claimant is Seeking
SHORT NAME: Occ Code Seeking
Definition: Enter the first three digits of the O*NET code for type of work that claimant is
seeking (see chart in b6). Use the claimant’s response on the questionnaire for the
occupational code. If claimant is exempt from seeking work because of job attachment or
recall date and the claimant questionnaire was not completed, this data element should
IV-5
November 2009
ET HANDBOOK NO. 395, 5th EDITION
reflect the occupation for the employment on which the agency based the claimant’s
exemption from work search.
-1 = Information missing or not available
Edits: First 2 digits must be an odd number from 11 to 55, or -1.
(b10) NAME: Lowest Acceptable Hourly Wage
SHORT NAME: Lowest Hr Wage
Definition: Enter lowest hourly wage that the claimant was willing to accept during the Key
Week. The first source for this data element is the claimant’s response on the claimant
questionnaire. This information must be verified with either the base period employer or the
separating employer. The BAM investigator must resolve any discrepancies between the
claimant’s statement and the employer information. Express in dollars and cents per hour
(e.g., $7.50 per hour is coded as 7.50). Use state conversion formula when other than hourly
wages is given. If no state formula, use the appropriate formula provided in b8 above.
-1 = Missing or information not available
Edits:
• Must be within the validation range set by state agency.
• Must be with decimal point in dollars and cents per hour.
• Can be -1.
(b11) NAME: Date of Birth
SHORT NAME: Birth Date
Definition: Enter Date of Birth (MM/DD/YYYY). If month of birth is not available,
code "MM" as 06. If day of birth is not available, code "DD" as 01.
If date of birth is missing or information is not available, code as “01/01/0001”.
Edits:
• YYYY = 1900 to Current Year.
• Cannot be later than c3 - Benefit Year Beginning.
(b12) NAME: Sex
SHORT NAME: Sex
Definition: Enter appropriate code.
l = Male
2 = Female
-1 = Missing or information not available
Edits: Must be 1, 2, or -1.
(b13) NAME: Ethnicity and Race Classification Code
SHORT NAME: Race-Ethnic
IV-6
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Definition: This is a two-position data element. Enter appropriate ethnic code in the first
position, and appropriate race code in the second position.
99 = If neither race nor Hispanic/Latino ethnicity is known
FIRST POSITION Æ 0 – Not Hispanic 1 – Hispanic or 9 – Ethnicity
SECOND POSITION È or Latino Latino Unknown
1 – White 01 11 91
2 – Black or African American 02 12 92
3 – Asian 03 13 93
4 – American Indian or Alaska Native 04 14 94
5 – Native Hawaiian or Other Pacific
05 15 95
Islander
6 – Multiple Categories Reported 06 16 96
9 – Race Unknown 09 19 99
Edits: Must be 01 to 06, 09, 11 to 16, 19, 91 to 96, or 99.
IV-7
November 2009
ET HANDBOOK NO. 395, 5th EDITION
PART C -- BENEFIT YEAR INFORMATION
(c1) NAME: Program Code
SHORT NAME: Program
Definition: Enter the code that identifies the type of claim that was taken:
1 = UI
2 = UI-UCFE
3 = UI-UCX
4 = UI-UCFE-UCX
5 = UCFE
6 = UCFE-UCX
7 = UCX
8 = Temporary emergency / extended benefits programs (e.g., EUC)
9 = Deleted Record (e.g., TAA, DUA, Workshare)
Code Interstate claims in one of the above categories
Edits:
• Must be 1 to 8.
• e1 must be greater than 1, if c1 equals 2, 3, 4, or 6.
(c2) NAME: Combined Wage Claim
SHORT NAME: CW Claim
Definition: Enter code that applied at the time the Key Week payment was made.
l = CWC Intrastate Claim
2 = No combined wages, Intrastate Claim
3 = Pending out-of-state wages, Intrastate Claim
4 = CWC Interstate Claim
5 = No combined wages, Interstate Claim
6 = Pending out-of-state wages, Interstate Claim
Use codes 1 or 4 if out-of-state wages were used for the monetary determination.
Use codes 2 or 5 if there are no out-of-state wages OR if claimant declined to combine
wages.
Use codes 3 or 6 if out-of-state wages have been requested but not received or acted upon at
the time that the Key Week payment was made.
Edits:
• Must be 1 to 6.
• Cannot be 1 or 4, if e1 is less than or equal to 1 or e2 equals 1.
IV-8
November 2009
ET HANDBOOK NO. 395, 5th EDITION
(c3) NAME: Benefit Year Beginning
SHORT NAME: Ben Year Beg
Definition: Enter effective date of most recent new or transitional claim, not reopened or
additional (MM/DD/YYYY).
Edits:
• Cannot be less than "01/01/1980".
• Must be earlier than the Key Week Date.
• Cannot be more than 731 days prior to the Key Week Date.
• Must be earlier than or equal to c7.
• Must be earlier than or equal to f9.
• Cannot be earlier than b11 - Date of Birth.
(c4) NAME: Initial Claim Filing Method
SHORT NAME: Init Clm File
Definition: Enter filing method for the most recent new, additional, or transitional claim.
l = In-Person Claim
2 = Mail Claim (including e-mail)
3 = Telephone Claim (including automated, interactive telephone systems)
4 = Employer-Filed Claim
5 = Other (e.g., electronic, other than e-mail)
6 = Internet claim
-1 = Missing or information not available
Edits: Must be 1 to 6 or -1.
Stamp Edits: Must be 1 to 6, or NULL.
(c5) NAME: Benefit Rights Given
SHORT NAME: BRI
Definition: Enter all codes that apply regarding method by which claimant was given
Benefit Rights Interview.
Each distinct position within the field ABCD is Boolean (true/false), where A is In-person
interview, B is Group interview, C is Booklet or pamphlet, and D is Video / Electronic
(including Internet)/other multimedia. The valid codes are summarized in the following
table.
BENEFITS RIGHTS GIVEN
A = In-person Interview B= Group Interview
0 – Not given 0 – Not given
1 – In-person interview given 2 – Group interview given
C = Booklet / Pamphlet D = Video/Electronic/Other Multimedia
0 – Not given 0 – Not given
3 – Booklet / Pamphlet given 4 – Video/Electronic (including
Internet/Telephone/Other Multimedia given
IV-9
November 2009
ET HANDBOOK NO. 395, 5th EDITION
-1 = Missing or information not available
Edits: Must be a combination of 0 to 4, or -1.
(c6) NAME: Number of Eligibility Review Program Interviews (ERPs) Held, current Benefit
Year
SHORT NAME: ERPs
Definition: Enter number of ERPs (1-9) held during the claimant's current benefit year up
to and including the Key Week. If more than 9 were held, enter 9.
0 = Claimant should have had ERP but did not
-1 = Missing or information not available
-2 = Not applicable (claimant not required to have ERP or first ERP scheduled
after the Key Week)
Edits:
• Must be 0 to 9, -1, or -2.
• c7 must be "01/01/0001", if c6 equals -1.
• c7 must be "02/02/0002", if c6 equals 0 or -2.
(c7) NAME: Last ERP Date
SHORT NAME: Last ERP
Definition: Enter date (MM/DD/YYYY) of claimant's most recent ERP up to and
including Key Week.
-1 = Missing or information not available
-2 = Not applicable
Edits:
• Must be greater than c3.
• Must be less than or equal to Key Week.
• Cannot be less than "01/01/1980".
• Must be "01/01/0001", if c6 is -1.
• Must be "02/02/0002", if c6 is 00 or -2.
• Cannot be "01/01/0001", if c6 is greater than 0.
• Cannot be "02/02/0002", if c6 is greater than 0.
(c8) NAME: Number of Prior Nonseparation Determinations Made
SHORT NAME: Prior Non-sep Issues
Definition: Enter number of prior non-separation issues disposed of in current benefit year
through the Key Week ending date. This includes all reportable nonseparation
determinations according to the definition in ET Handbook 401, 4th edition, (section 1,
chapter 4) made during this period. Exclude issues detected by the BAM paid claims
investigation.
0 = None
IV-10
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Edits:
• Must be 0 to 99.
• Must be equal to or greater than c9.
(c9) NAME: Number of Prior Disqualifications for Non-separation Issues
SHORT NAME: Prior Non-sep Disq
Definition: Enter number of prior disqualifications that resulted from non-separation issues
identified in (c8). Exclude denials reversed by appeal if the decision was issued before the
Key Week ending date. All other reversals should also be excluded, including those reversed
at the Local Office or other levels, which may occur prior to the official appeal.
0 = None
Edits:
• Must be 0 to 99.
• Must be less than or equal to c8.
IV-11
November 2009
ET HANDBOOK NO. 395, 5th EDITION
PART D -- SEPARATION INFORMATION
(d1) NAME: Reason for Separation Before Investigation
SHORT NAME: Reason Sep Before
Definition: Enter the code that identifies the reason the claimant was separated from the
last job up to and including the Key Week. Code the separation that caused the period of
unemployment (new/additional claim) for the Key Week. This element reflects the
information contained in the agency records.
10 = Lack of Work (e.g., RIF, temporary or permanent lay off)
20 = Voluntary Quit
30 = Discharge
40 = Labor Dispute
50 = Other (include military separation or Compelling Family Reasons)
60 = Not separated (partially or fully employed, job attached, leave of absence)
The second digit of the code is reserved for optional state use. For example, the state could
identify different reasons for Voluntary Quit or Discharge.
Edits: Must be 10 to 69
(d2) NAME: Reason for Separation After Investigation
SHORT NAME: Reason Sep After
Definition: Enter the code that the investigation establishes as the reason for separation for
the period of unemployment in which the Key Week occurred. The separation to be coded is
the most recent employment that affects the claimant’s eligibility for benefits. This
information may reflect an employer other than the one identified in (d1).
.
10 = Lack of Work (e.g., RIF, temporary or permanent lay off)
20 = Voluntary Quit
30 = Discharge
40 = Labor Dispute
50 = Other (include military separation or Compelling Family Reasons)
60 = Not separated (partially or fully employed, job attached, leave of absence)
Edits: Must be 10 to 69.
(d3) NAME: Date of Separation Before Investigation
SHORT NAME: Date Sep Before
Definition: Enter date (MM/DD/YYYY) of separation as defined by state law/policy,
from last employer used to determine code assigned in (d1). If the claimant has not been
separated, enter the last day worked, but no later than the Key Week ending date, if code in
(d1) is 60-69.
Edits:
• Must be less than or equal to Key Week.
• Cannot be less than "01/01/1980".
IV-12
November 2009
ET HANDBOOK NO. 395, 5th EDITION
(d4) NAME: Date of Separation After Investigation
SHORT NAME: Date Sep After
Definition: Enter the date (MM/DD/YYYY) of separation as defined by state law/policy,
from last employer after investigation as identified in (d2). If the claimant has not been
separated, enter the last day worked, but no later than the Key Week ending date, if code in
(d2) is coded 60-69.
01/01/0001 = Missing or information not available
Edits:
• Must be less than or equal to Key Week.
• Can be "01/01/0001".
• Cannot be less than "01/01/1980".
(d5) NAME: Recall Status Before Investigation
SHORT NAME: Recall Stat Before
Definition: Enter the code that indicates claimant's recall status for the Key Week.
0 = No recall
1 = Definite recall (specific return date)
2 = Indefinite recall (no specific return date)
-1 = Missing or information not available
-2 = Not applicable (e.g., partial)
Edits: Must be 0, 1, 2, -1, or -2.
(d6) NAME: Recall Status After Investigation
SHORT NAME: Recall Stat After
Definition: Enter the correct recall status code as of Key Week.
0 = No recall
1 = Definite recall (specific return date)
2 = Indefinite recall (no specific return date)
-1 = Missing or information not available
-2 = Not applicable (e.g., partial)
Edits: Must be 0, 1, 2, -1, or -2.
(d7) NAME: Tax Rate for Last Employer
SHORT NAME: Tax Rate Last Emp
Definition: Enter last employer's UI tax rate at the time of filing for the most recent new
or additional claim. Round to nearest hundredth of a percent (e.g., 14.92% is entered as
14.92; 3.6% is entered as 3.60; 7.478% is entered as 7.48).
Enter 99.99 if employer reimburses fund.
IV-13
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Enter -1 if non-subject employing unit or information is not available.
Edits:
• Format is xx.xx.
• Can be all zeros.
• Can be -1.
(d8) NAME: Industry Code (Last Employer)
SHORT NAME: Ind Code Last Emp
Definition: Enter first four digits (industry group level) of North American Industry
Classification System (NAICS) code for the claimant’s last employer as identified in (d2). If
only a two-digit NAICS sector level is available on the state’s computer system, enter the two
digits followed by two zeros. For example, if the only industry code available is 17, enter
1700.
Enter -1 if missing or information not available.
11 Agriculture, Forestry, Fishing, 53 Real Estate, Rental and Leasing
Hunting
21 Mining 54 Professional, Scientific, and Technical
Services
22 Utilities 55 Management of Companies and
Enterprises
23 Construction 56 Administrative Support, Waste
Management and Remediation Services
31-33 Manufacturing 61 Education Services
42 Wholesale Trade 62 Health Care and Social Assistance
44-45 Retail Trade 71 Arts, Entertainment and Recreation
48-49 Transportation and Warehousing 72 Accommodation and Food Services
51 Information 81 Other Services (except Public
Administration)
52 Finance and Insurance 92 Public Administration
Edits:
• First 2 digits must be 11, 21 to 23, 31 to 33, 42, 44 to 45, 48 to 49, 51 to 56, 61 to 62, 71
to 72, or 81, 92.
• Can be -1.
• Must be 4 digits long.
IV-14
November 2009
ET HANDBOOK NO. 395, 5th EDITION
PART ME -- MONETARY ELIGIBILITY
(e1) NAME: Number of Base Period Employers Before Investigation
SHORT NAME: BP Emps Before
Definition: Enter number of subject base period employers, before investigation. Include
wages from seasonal, school, and out-of-state employers if they were used in the monetary
determination from which the Key Week payment was made.
Edits:
• Must be within the validation range set by state agency.
• Must be greater than 1, if c2 equals 1 or 4.
• Must be greater than 1, if c1 equals 2, 3, 4, or 6.
(e2) NAME: Number of Base Period Employers After Investigation
SHORT NAME: BP Emps After
Definition: Enter number of subject base period employers after investigation. Include
wages from seasonal, school, and out-of-state employers if they should have been used in
calculating the monetary determination from which the Key Week payment was made.
Note: If applicable, consider the application of an alternative base period
0 = No base period employers as a result of the investigation (monetarily ineligible)
Edits:
• Must be within the validation range set by state agency.
• Can be 0.
• e6, e8, e14, and e16 must be 0 or -2, if e2 is 0.
• e4, e10, and e12 must be 0, if e2 is 0.
• Must be equal to 0 or be greater than 1, if c2 is 1 or 4.
(e3) NAME: Base Period Wages Before Investigation
SHORT NAME: BP Wages Before
Definition: Enter total amount of all base period wages from subject employers. Express in
whole dollars. Include wages from seasonal, school, and out-of-state employers if they were
used in the monetary determination from which the Key Week payment was made.
Edits:
• Must be within the validation range set by state agency.
• Cannot equal 0.
• Must be greater than or equal to e5.
(e4) NAME: Base Period Wages After Investigation
SHORT NAME: BP Wages After
Definition: Enter total amount of all base period wages from subject employers identified in
(e2) even if claimant is determined to be monetarily ineligible. Express in whole dollars.
Note: If applicable, consider the application of an alternative base period
IV-15
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Must be zero (0) if (e2) is zero.
Edits:
• Must be within the validation range set by state agency.
• Can be 0.
• Must be 0, if e2 is 0.
• Cannot be 0, if e2 is greater than 0.
• Must be greater than or equal to e6.
(e5) NAME: High Quarter Wages Before Investigation
SHORT NAME: High Qtr Wages Before
Definition: Enter whole dollar amount of claimant’s high quarter base period wages (before
investigation) used in the monetary determination from which the original Key Week payment
was made. Include seasonal wages and school wages, if used.
Enter 99999 if greater than $99999.
Enter -2 if not applicable and/or not in state records.
Edits:
• Must be within the validation range set by state agency.
• Must be less than or equal to e3.
• Cannot equal 0.
• Can be -2.
(e6) NAME: High Quarter Wages After Investigation
SHORT NAME: High Qtr Wages After
Definition: Enter whole dollar amount of claimant's high quarter base period wages (after
investigation) that should have been used for the monetary determination for the Key Week.
Enter 99999 if greater than $99999.
Enter zero (0) if (e2) is zero.
Enter -2 if not applicable
Edits:
• Must be within the validation range set by state agency.
• Must be less than or equal to e4.
• Must be 0, if e2 is 0.
• Cannot be 0, if e4 is greater than 0.
• Can be -2.
(e7) NAME: Number of Weeks Worked in Base Period Before Investigation
SHORT NAME: Wks Worked Before
IV-16
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Definition: Enter number of actual weeks, as defined by state law and procedures that the
claimant worked in base period prior to the investigation. Complete this item if required by
state law for computing monetary eligibility.
-2 = Not Applicable if the number of weeks worked is not required.
Edits:
• Must be within the validation range set by state agency.
• Can be -2.
Stamp Edits: Must be -2 or NULL.
(e8) NAME: Number of Weeks Worked in Base Period After Investigation
SHORT NAME: Wks Worked After
Definition: Enter number of actual weeks, as defined by state law and procedures that the
claimant worked in base period after investigation. Complete this item if required by state law
for computing monetary eligibility.
Enter zero (0) if (e2) is zero.
Enter -2 if the number of weeks worked is not required.
Edits:
• Must be within the validation range set by state agency.
• Can be -2.
• Must be 0 or -2, if e2 equals 0.
• Cannot be 0, if e2 is greater than 0.
Stamp Edits: Must be -2 or NULL.
(e9) NAME: Weekly Benefit Amount (WBA) Before Investigation
SHORT NAME: WBA Before
Definition: Enter claimant's WBA for the Key Week, based on the monetary determination
from which the original Key Week payment was made.
Express in whole dollars. Disregard dependents' allowances, pension deductions, or Key
Week earnings (if any). Do not use adjusted WBA based on monetary redetermination made
because of nonmonetary issues (i.e., a separation issue or administrative penalty).
Edits:
• Must be within the validation range set by state agency.
• Cannot be 0.
• Must be less than or equal to e11.
• e9 plus e15 (if any) must be greater than or equal to f13.
• e9 plus e15 must be greater than f3.
• e9 plus e15 must be greater than f7.
• e9 plus e15 must be greater than or equal to sum of f13 plus f3 plus f7.
• f3 plus f13 plus f7 must be less than or equal to e9 plus e15, if state does not equal WI
(FIPS code 55).
IV-17
November 2009
ET HANDBOOK NO. 395, 5th EDITION
• f3 plus f13 plus f7 must be less than or equal to (e9 plus e15) times 2 minus 1, if state
equals WI (FIPS code 55).
(e10) NAME: Weekly Benefit Amount (WBA) After Investigation
SHORT NAME: WBA After
Definition: Enter claimant's correct WBA based on the monetary determination that should
have applied at the time the original Key Week payment was made.
Express in whole dollars. Disregard dependents' allowances, pension deductions, or Key
Week earnings (if any). Disregard WBA resulting from a monetary redetermination caused by
nonmonetary issues (i.e., a separation issue or administrative penalty).
Must be zero (0) if (e2) is zero.
Edits:
• Must be within the validation range set by state agency.
• Must be 0, if e2 is 0.
• Must be less than or equal to e12.
• e10 plus e16 must be greater than or equal to f4 plus f8.
• Cannot be 0 if h1 is less than or equal to 4.
(e11) NAME: Maximum Benefit Amount (MBA) Before Investigation
SHORT NAME: MBA Before
Definition: Enter MBA based on monetary determination from which original Key Week
payment was made.
Express in whole dollars. Do not use adjusted MBA based on monetary redetermination
made because of nonmonetary issues (i.e., a separation issue or administrative penalty).
Disregard any EB entitlement, state supplemental payments, dependents' allowances or any
other deductions.
Edits:
• Must be within the validation range set by state agency.
• Cannot be 0.
• Must be greater than e19.
• Must be equal to or greater than e9.
(e12) NAME: Maximum Benefit Amount (MBA) After Investigation
SHORT NAME: MBA After
Definition: Enter MBA based on the monetary determination that should have applied to
Key Week at the time that the original payment for Key Week was made.
Express in whole dollars. Disregard MBA resulting from a monetary redetermination caused
by nonmonetary issues (i.e., a separation issue or administrative penalty). Disregard any EB
entitlement, state supplemental payments, dependents allowances or any other deductions.
Must be zero (0) if (e2) is zero.
IV-18
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Edits:
• Must be within the validation range set by state agency.
• Must be 0, if e2 is 0.
• Must be equal to or greater than e10.
(e13) NAME: Number of Dependents Claimed Before Investigation
SHORT NAME: Depend Before
Definition: Enter the number of dependents claimed.
Enter zero (0) if none and state has a dependency provision.
Enter -2 if state does not have a dependency provision.
Edits:
• Must be within the validation range set by state agency.
• Can be 0 or -2.
• Must be -2, if e15 is -2.
• Must be 0, if e15 is 0.
• Cannot be 0, if e15 is not 0.
Stamp Edits:
• Must be -2 or NULL.
• e14, e15, and e16 will be set to -2 or NULL respectively, if e13 is set to -2 or NULL.
(e14) NAME: Number of Dependents Claimed After Investigation
SHORT NAME: Depend After
Definition: Enter the correct number of dependents that should be claimed.
Enter zero (0) if none and state has a dependency provision.
Enter -2 if state does not have a dependency provision.
Edits:
• Must be within the validation range set by state agency.
• Can be 0 or -2.
• Must be 0 or -2, if e2 is 0.
• Must be 0, if e16 is 0.
• Must be -2, if e16 is -2.
• Cannot be 0, if e16 is not 0.
Stamp Edits:
• Must be -2 or NULL.
• e13, e15, and e16 will be set to -2 or NULL respectively, if e14 is set to -2 or NULL.
(e15) NAME: Dependents' Allowance Before Investigation
SHORT NAME: Depend Allow Before
IV-19
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Definition: Enter the whole dollar amount of dependents' allowance before investigation, if
any that was paid to the claimant for the Key Week.
Enter zero (0) if claimant is not eligible for allowance and state has a dependency provision.
Enter -2 if state does not have a dependency provision.
Edits:
• Must be within the validation range set by state agency.
• Must be less than e9, except for Alaska (AK).
• Must be 0, if e13 is 0.
• Cannot be 0, if e13 is greater than 0.
• Must be -2, if e13 is -2.
• Can be 0 or -2.
• Cannot be -2, if e13 is not -2.
• e9 plus e15 must be greater than f3.
• e9 plus e15 must be greater than f7.
• e9 plus e15 must be greater than or equal to f13.
• f3 plus f13 plus f7 must be less than or equal to e9 plus e15, if state does not equal WI
(FIPS code 55).
• f3 plus f13 plus f7 must be less than or equal to (e9 plus e15) times 2 minus 1, if state
equals WI (FIPS code 55).
Stamp Edits:
• Must be -2 or NULL.
• e13, e14, and e16 will be set to -2 or NULL respectively, if e15 is set to -2 or NULL.
(e16) NAME: Dependents' Allowance After Investigation
SHORT NAME: Depend Allow After
Definition: Enter the correct whole dollar amount of dependents' allowance that should
have been paid to the claimant during the Key Week.
Enter zero (0) if claimant not eligible for allowance and state has a dependency provision.
Enter -2 if state does not have a dependency provision.
Edits:
• Must be within the validation range set by state agency.
• Must be less than or equals to e10, except for Alaska (AK).
• Must be 0 or -2, if e2 is 0.
• Must be 0, if e14 is 0.
• Cannot be 0, if e14 is greater than 0.
• Must be -2, if e14 is -2.
• e10 plus e16 must be greater than or equal to f4 plus f8.
• Can be 0 or -2.
Stamp Edits:
• Must be -2 or NULL.
• If e16 is set to -2 or NULL, e13, e14, and e15 will be set to -2 or NULL respectively.
IV-20
November 2009
ET HANDBOOK NO. 395, 5th EDITION
(e17) NAME: Industry Code (Primary Base Period Employer)
SHORT NAME: Ind Code Primary Emp
Definition: Enter first four digits (Industry group level) of NAICS code for claimant's
primary base period employer from whom the most wages were earned. If only two-digit
major group is available on the state's computer system, enter the two digits followed by two
zeros. NAICS codes should always be obtained for out-of-state employers, non-profit
employers and exempt employers, if at all possible. NAICS codes can be found at:
www.census.gov/naics/
-1 = Information missing or not available
Agriculture, Forestry, Fishing, 53 Real Estate, Rental and Leasing
11 Hunting
21 Mining 54 Professional, Scientific, and Technical Services
22 Utilities 55 Management of Companies and Enterprises
Administrative Support, Waste Management
23 Construction 56
and Remediation Services
31-33 Manufacturing 61 Education Services
42 Wholesale Trade 62 Health Care and Social Assistance
44-45 Retail Trade 71 Arts, Entertainment and Recreation
48-49 Transportation and Warehousing 72 Accommodation and Food Services
51 Information 81 Other Services (except Public Administration)
52 Finance and Insurance 92 Public Administration
Edits:
• First 2 digits must be 11, 21 to 23, 31 to 33, 42, 44 to 45, 48 to 49, 51 to 56, 61 to 62, 71
to 72, 81, or 92.
• Can be -1.
• Must be 4 digits long.
(e18) NAME: Monetary Redetermination Before Investigation
SHORT NAME: Mon Redet Before
Definition: Enter appropriate code that indicates if state redetermined claimant's monetary
eligibility prior to Key Week payment date. Do not consider redeterminations resulting from
a nonmonetary issue (i.e., a separation issue or administrative penalty).
1 = Yes
2 = No
Edits: Must be 1 or 2.
(e19) NAME: Remaining Balance (RB) as of KW Ending Date
SHORT NAME: Remaining Bal
Definition: Enter remaining balance of claimant's benefits at the time the Key Week was
claimed even though it was paid at a later date. Deduct amount of Key Week payment
IV-21
November 2009
ET HANDBOOK NO. 395, 5th EDITION
regardless of date paid when computing remaining balance. Exclude amounts for dependency
allowances.
0 = balance is exhausted
EXAMPLE: Week 01 is Key Week. MBA is $2600 and WBA is $100. Key Week was paid
the week after week 02 was paid. The state record will indicate a balance of $2400 based on
the Key Week payment date. However, for BAM purposes, the remaining balance is $2500
since payments are arrayed chronologically by compensable week ending date.
COMPUTE REMAINING BALANCE AS FOLLOWS: Array payments in chronological
order by compensable week ending date. Sum dollar amount of all weeks paid including Key
Week. Deduct this amount from Maximum Benefit Amount. Result is remaining balance.
Edits:
• Must be less than e11.
• Can be 0.
IV-22
November 2009
ET HANDBOOK NO. 395, 5th EDITION
PART F -- BENEFIT PAYMENT HISTORY
(f1) NAME: Total Earnings for Key Week Before Investigation
SHORT NAME: KW Earnings Before
Definition: Enter whole dollar amount of earnings during KW regardless of effect on the
amount paid. DO NOT include other income such as pensions, holiday pay, vacation pay, pay
in lieu of notice, separation pay, etc.
Enter 9999 if $9999 or more.
Enter zeros (0000) if none.
Edits:
• f3 must be 0, if f1 equals 0.
• Must be equal to or greater than f3.
(f2) NAME: Total Earnings for Key Week After Investigation
SHORT NAME: KW Earnings After
Definition: Enter whole dollar amount of earnings during KW regardless of effect on the
amount paid. DO NOT include other income such as pensions, holiday pay, vacation pay, pay
in lieu of notice, separation pay, etc.
Enter 9999 if $9999 or more.
Enter zeros (0000) if none.
Edits:
• f4 must be 0, if f2 equals 0.
• Must be equal to or greater than f4.
(f3) NAME: Earnings Deduction for Key Week Before Investigation
SHORT NAME: Earn Deduct Before
Definition: Enter actual amount, in whole dollars, deducted from WBA because of earnings.
DO NOT include other income such as pensions, holiday pay, vacation pay, pay in lieu of
notice, separation pay, etc.
This amount may be less than amount reported on the certification by claimant because of
earnings disregarded by law in computation of amount deducted.
Enter zero (0) if no earnings deduction.
Edits:
• Must be 0, if f1 is 0.
• Must be less than or equal to f1.
• Must be less than e9 plus e15 (if any).
• f3 plus f13 plus f7 must be less than or equal to e9 plus e15, if state does not equal WI
(FIPS code 55).
• f3 plus f13 plus f7 must be less than or equal to (e9 plus e15) times 2 minus 1, if state
equals WI (FIPS code 55).
IV-23
November 2009
ET HANDBOOK NO. 395, 5th EDITION
(f4) NAME: Earnings Deduction for Key Week After Investigation
SHORT NAME: Earn Deduct After
Definition: Enter whole dollar amount that should have been deducted from WBA because
of earnings. Do NOT include other deductible income such as pensions, holiday pay, vacation
pay, pay in lieu of notice, separation pay, etc.
Enter zero (0) if no earnings deduction.
Edits:
• Must be 0, if f2 is 0.
• Must be less than or equal to f2.
• Must be less than or equal to e10 plus e16 (if any).
• The sum of f4 plus f8 must be less than or equal to e10 plus e16.
(f5) NAME: Total Other Deductible Income for KW Before Investigation
SHORT NAME: Other Income Before
Definition: Enter total whole dollar amount of other income (deductible under state law)
received (or prorated) before the provisions of state law are applied to deduct it from benefits
paid. Include pension received for the Key Week, regardless of effect on the payment amount,
using the state’s method to determine the weekly amount of the pension. Also, include all
deductible income such as holiday pay, vacation pay, pay in lieu of notice, separation pay, etc.
Enter zero (0) if none.
Edits:
• Can be 0.
• f7 must be 0, if f5 equals 0.
• Must be equal to or greater than f7.
(f6) NAME: Total Other Deductible Income for KW After Investigation
SHORT NAME: Other Income After
Definition: Enter total whole dollar amount of other income (deductible under state law)
received (or prorated) before the provisions of state law are applied to deduct it from benefits
paid. Include pension received for the Key Week, regardless of effect on the payment amount,
using the state’s method to determine the weekly amount of the pension.
Enter zero (0) if none
Edits:
• Can be 0.
• f8 must be 0, if f6 data is 0.
• Must be equal to or greater than f8.
IV-24
November 2009
ET HANDBOOK NO. 395, 5th EDITION
(f7) NAME: Other Income Deductions for Key Week Before Investigation
SHORT NAME: Other Deduct Before
Definitions: Enter actual amount, in whole dollars, deducted from WBA due to a pension,
holiday pay, vacation pay, pay in lieu of notice, separation pay, etc. before investigation of Key
Week.
Enter zero (0) if no other income deduction.
Edits:
• Can be 0.
• Must be 0, if f5 is 0.
• Must be less than or equal to f5.
• Must be less than e9 plus e15 (if any).
• f3 plus f13 plus f7 must be less than or equal to e9 plus e15, if state does not equal WI
(FIPS code 55).
• f3 plus f13 plus f7 must be less than or equal to (e9 plus e15) times 2 minus 1, if state
equals WI (FIPS code 55).
(f8) NAME: Other Income Deductions for Key Week After Investigation
SHORT NAME: Other Deduct After
Definition: Enter whole dollar amount that should have been deducted from WBA for the
Key Week due to a pension, holiday pay, vacation pay, pay in lieu of notice, separation pay, etc.
Enter zero (0) if no other income deduction.
Edits:
• Can be 0.
• Must be 0, if f6 is 0.
• Must be less than or equal to f6.
• Must be less than or equal to e10 plus e16 (if any).
• Sum of f4 plus f8 must be less than or equal to e10 plus e16 (if any).
(f9) NAME: First Compensable Week Ending Date
SHORT NAME: First CWE Date
Definition: Enter Week Ending Date (MM/DD/YYYY) of first week compensable
(paid/offset, totally or partially) in the benefit year as defined for the First Payment Time Lapse
Report (ETA 9050).
NOTE: This is NOT necessarily the first compensated week as defined for the Claims and
Payment Activities Report (ETA 5159, Part B). However, if no first compensable week is
reportable for the claim, then use the first week compensated.
Edits:
• Must be greater than or equal to c3.
• Cannot be less than "01/01/1980".
• Must be less than or equal to Key Week.
• Cannot be more than 731 days prior to Key Week.
IV-25
November 2009
ET HANDBOOK NO. 395, 5th EDITION
• Must be less than or equal to f10.
(f10) NAME: Date of First Compensable Week
SHORT NAME: Date First Payment
Definition: Enter date payment was made (or offset applied) for the first compensable
week identified in (f9) (MM/DD/YYYY).
Edits:
• Must be greater than or equal to f9.
• Cannot be less than "01/01/1980".
(f11) NAME: Key Week Filing Method
SHORT NAME: KW File Meth
Definition: Enter filing method for Key Week claim.
l = Mail Claim (including e-mail)
2 = In-person Claim
3 = Employer filed (i.e., partial)
4 = Telephone (including automated, interactive telephone systems)
5 = Other (e.g., electronic, other than e-mail)
6 = Internet Claim
-1 = Missing or information not available
Edits: Must be 1 to 6, or -1.
Stamp Edits: Must be 1 to 6, or NULL.
(f12) NAME: Key Week Certification Procedure
SHORT NAME: KW Cert
Definition: The filing method for Key Week claim. Enter appropriate code.
1 = Key Week claimed on a weekly cycle.
2 = Key Week claimed on a bi-weekly cycle.
3 = Other (greater than bi-weekly cycle)
Edits: Must be 1, 2, or 3.
Stamp Edits: Must be 1, 2, or NULL.
(f13) NAME: Original Amount Paid and/or Offset for Key Week
SHORT NAME: Orig Amt Pd
Definition: Enter original whole dollar amount paid. Include in this amount dependent
allowance and child support intercepted, (if any), federal, state and/or local income tax
withholding, and the recovery of over issuances of food stamp coupons for Key Week.
Code $98.00 as 98 without a leading zero.
Edits:
• Must equal h5 if h2 equals 0.
• Must equal h2 if h5 and h6 equal 0.
IV-26
November 2009
ET HANDBOOK NO. 395, 5th EDITION
• f3 plus f13 plus f7 must be less than or equal to e9 plus e15, if state does not equal WI
(FIPS code 55).
• f3 plus f13 plus f7 must be less than or equal to (e9 plus e15) times 2 minus 1, if state
equals WI (FIPS code 55
IV-27
November 2009
ET HANDBOOK NO. 395, 5th EDITION
PART G – EMPLOYMENT SERVICES REGISTRATION/WORK SEARCH
(g1) NAME: Work Search Requirements
SHORT NAME: WS Requirements
Definition: Enter the appropriate code that applied at the time eligibility for the Key Week
was determined.
1 = Required to actively seek work (in addition to union contact, if applicable)
2 = An agency directive (written or verbal) temporarily suspended the claimant's
normal work search for the Key Week.
3 = Union deferral (seeking work only through union)
4 = Job attached deferral (temporary lay-off, recall, partial, industry attached)
5 = Other deferrals (disability, school, etc.)
-2 = Not Applicable, if no active work search policy
Edits:
• Must be 1 to 5, or -2.
• g1 cannot equal 1, if g10 is -2.
• Cannot equal -2, if ei2 is 14.
• Cannot equal -2, if ei3 is 420.
Stamp Edits:
• Must be 1 to 2, -2, or NULL.
• g1 cannot equal 1, if g10 is -2.
(g2) NAME: Labor Exchange Registration Required for Key Week
SHORT NAME: LE Reg Req
Definition: Enter the appropriate code that applies to the Key Week regarding state written
law, policy, and procedures that govern whether claimants are required to be registered with
the Employment Service and what constitutes registration. Use code 2 only if the state does
not require registration OR there is written law/policy that provides for non-registration
under certain circumstances (e.g., temporary lay-off, union membership), and such non-
registration policy is applicable to claimant.
1 = Yes, per state law
2 = No
3 = Yes, as a result of profiling
4 = Yes, for both reasons
Edits:
• Must be 1 to 4.
• g4 must be -2, if g2 equals 1, 3, or 4.
• g4 must be 1 to 6, if g2 equals 2.
Stamp Edits: Must be 1 to 4, or NULL.
IV-28
November 2009
ET HANDBOOK NO. 395, 5th EDITION
(g3) NAME: Labor Exchange Registration and Services as of Key Week
SHORT NAME: LE Reg/Services
Definition: Enter the appropriate code that applies to the Key Week regarding the
claimant’s registration with the State Employment Service. BAM coding should be
consistent with state law, policy, and procedures.
1 = Registered with the Employment Service and has received one or more
staff-assisted service during the current benefit year (for example, job referral,
placement in training, reemployment or assessment services, or job search
activities)
2 = Not registered with Employment Service and has not used self-help services
from the One-Stop delivery system during the current benefit year.
3 = Not registered with Employment Service but has received staff assisted services
or has used self-help services from the One-Stop delivery system during the
current benefit year.
4 = Registered with the Employment Service but has received no staff-assisted
services during the current benefit year.
-1 = Information missing or not available.
Edits:
• Must be 1 to 4, or -1.
• g5 cannot be -2, if g3 equals 1.
• g5 must be -2, if g3 equals 2.
• g5 must be 0, if g3 equals 4.
Stamp Edits: Must be 1 or NULL.
(g4) NAME: Reason Labor Exchange Registration Deferred
SHORT NAME: LE Defer
Definition: Enter appropriate code.
1 = Union member 5 = Approved training
2 = Job attached 6 = Local Office policy
3 = Partial 7 = Other
4 = Seasonal
-2 = Not Applicable, if claimant not deferred
Edits:
• Must be 1 to 7, or -2.
• Must be -2, if g2 equals 1, 3 or 4.
• Must be 1 to 7, if g2 equals 2.
Stamp Edits: Must be -2 or NULL.
(g5) NAME: Number of Labor Exchange Referrals
SHORT NAME: LE Refers
Definition: Enter number of times Employment Services referred claimant for
employment during current benefit year (CBY) up to and including Key Week.
IV-29
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Enter zero 0 if no referrals while registered in CBY.
Enter -1 if information missing or not available.
Enter -2 if claimant not registered or received no services during CBY.
Edits:
• Must be within the validation range set by state agency.
• May be -1 or -2.
• Cannot be -2, if g3 equals 1.
• Must be -2, if g3 equals 2.
• Must be 0, if g3 equals 4.
(g6) NAME: Registered with Private Employment Agency (as defined by state law)
SHORT NAME: Regis Priv Agency
Definition: Enter code that applied as of the Key Week.
1 = Registered with private agency
2 = Not registered with private agency
-1 = Information missing or not available.
Edits:
• Must be 1, 2, or -1.
• g7 cannot be -2, if g6 equals 1.
(g7) NAME: Number of Private Employment Agency Referrals
SHORT NAME: Priv Agency Refers
Definition: Enter number of times the claimant was referred for employment by a Private
Employment Agency (as defined by state law) during the Key Week.
Enter zero (0) if registered but not referred.
Enter -1 if information missing or not available.
Enter -2 if claimant not registered.
Edits:
• Must be within the validation range set by state agency.
• Cannot be -2, if g6 is 1.
• Must be -2, if g6 is 2.
• Must be -1, if g6 is -1.
(g8) NAME: Union Referral Status
SHORT NAME: Union Status
Definition: Enter appropriate code that applies to the Key Week after appropriate
verification.
0 = Claimant NOT a member of a union.
IV-30
November 2009
ET HANDBOOK NO. 395, 5th EDITION
1 = Claimant is a member of a union with a hiring hall and was eligible to be
referred by the union during the Key Week.
2 = Claimant is a member of a union with a hiring hall but was not eligible for
union referral during the Key Week.
3 = Claimant is a member of a non-hiring-hall union.
-1 = Missing or information not available
Edits:
• Must be 0 to 3, or -1.
• g9 must be -1, if g8 -1.
• g9 must be -2, if g8 equals 0, 2, or 3.
(g9) NAME: Number of Union Referrals for the Key Week
SHORT NAME: Union Refers
Definition: Enter number of times that a union with a hiring hall referred claimant for
employment during the Key Week. All such referrals are to be verified. Do not include
referrals associated with a non-hiring-hall union; however, contacts resulting from such
referrals may be included in g10.
-1 = Information Not Available, or g8 coded -1.
-2 = Not Applicable, or g8 is code 0, 2, or 3.
Edits:
• Must be within the validation range set by state agency.
• Must be -1, if g8 is -1.
• Must be -2, if g8 is 0, 2, or 3.
• Can be 0 only when g8 is 1.
(g10) NAME: Number of Job Contacts Listed for KW
SHORT NAME: KW Contacts
Definition: Enter number of all Key Week job contacts indicated from any source.
Note: If claimant sought work in Key Week although not required to do so, enter number
of contacts and make appropriate verifications.
Enter zero (0) if no contacts were indicated.
Enter -1 if claimant does not know or is not available
Enter -2 if not required to and did not seek work.
Edits:
• Must be within the validation range set by state agency.
• Can be 0, -1, or -2.
• Cannot be -2, if g1 is 1.
Stamp Edits:
• Must be -2 or NULL.
• Cannot be -2, if g1 is 1.
IV-31
November 2009
ET HANDBOOK NO. 395, 5th EDITION
(g11) NAME: Number of Job Contacts Made Prior to Key Week but used to Satisfy Work
Search Requirements for KW
SHORT NAME: Prior KW Contacts
Definition: Enter number of work search contacts made prior to Key Week only if used to
satisfy the state's work search requirements.
Enter zero (0) if no contacts were indicated or KW contacts were sufficient to meet
the requirements.
Enter -1 if claimant does not know or INA.
Enter -2 if state does not allow contacts outside the KW to satisfy work search
requirements.
Edits:
• Must be within the validation range set by state agency.
• Can be 0, -1, or -2.
Stamp Edits: Must be -2 or NULL.
(g12) NAME: Number of Work Search Contacts Investigated for Key Week Eligibility
SHORT NAME: Contacts Inv
Definition: Enter total number of work search contacts investigated by the BAM unit,
regardless of investigation determination regarding acceptability. Do not include here any
work-search contacts that were not investigated by BAM unit.
Enter zero (0) if no job contacts were investigated and enter zeros for
g13, g14, and g15.
Edits:
• Can be 0.
• Must be less than or equal to the sum of g10 and g11.
• Must be equal to the sum of g13, g14, and g15.
• g13, g14, and g15 must be 0, if g12 is 0.
Stamp Edits: Must be 0 or NULL.
(g13) NAME: Number of Acceptable Work Search Contacts for Key Week
SHORT NAME: Contacts Acc
Definition: Include only work search contacts for which documentation exists in BAM file
that such contacts were made by claimant and were acceptable contacts within state's written
law/policy on active search for work.
Edits:
• Must be 0, if g12 is 0.
• Must be less than or equal to g12.
• g14 and g15 must be 0, if g13 equals g12.
• g13 plus g14 plus g15 must equal g12.
IV-32
November 2009
ET HANDBOOK NO. 395, 5th EDITION
(g14) NAME: Number of Unacceptable Work Search Contacts for Key Week
SHORT NAME: Contacts Unacc
Definition: Include only job contacts for which written documentation exists in BAM file
that such contacts were not made at all by claimant or were made but are unacceptable
within the framework of state's written law or policy.
Edits:
• Must be 0, if g12 is 0.
• Cannot be greater than g12.
• g14 and g15 must be 0, if g13 equals g12.
• g13 plus g14 plus g15 must equal g12.
• g13 and g15 must be 0, if g14 and g12 are equal.
(g15) NAME: Number of Work Search Contacts for KW that Could not be Verified as
Either Acceptable or Unacceptable
SHORT NAME: Contacts Unver
Definition: Include here the work search contacts for which there were insufficient
information to make a judgment of either acceptable or unacceptable, within the state's
written law/policy on work search.
Edits:
• Must be 0, if g12 is 0.
• Must be 0, if g12 and g13 are equal.
• Cannot be greater than g12.
• g13 plus g14 plus g15 must equal g12.
• g13 and g14 must be 0, if g15 equals g12.
IV-33
November 2009
ET HANDBOOK NO. 395, 5th EDITION
CHAPTER V
CLASSIFYING PROPRIETY OF PAYMENTS
1. Introduction. The outcome of each case investigated is a set of data about that claim and
classification as to whether or not the payment was proper. Because a single case represents a very
large number of payments in the state’s population, it is important that BAM completes the
investigation for each payment sampled. For any set measurement period, payment accuracy is
estimated from the coded findings of all completed cases.
Chapter IV contains the definitions of all data elements collected during the investigation of each
sampled case (screens B-G). This chapter provides specific instructions for recording the propriety
of payments and for closing cases (screen H) and classifying errors detected during the investigations
(screen I).
There are 11 elements in Screen H:
(h1) Key Week Action Code Flag
(h2) Amount That Claimant Should Have Been Paid
(h3) Total Dollar Amount of Overpayments
(h4) Total Dollar Amount of Underpayments
(h5) Total Overpayment Amount for Key Week
(h6) Total Underpayment Amount for Key Week
(h7) Investigation Completed
(h8) Investigation Completion Date
(h9) Supervisory Review Completed
(h10) Supervisor Completion Date
(h11) Supervisor Identification
2. Coding Proper Payments. Most of the payments that BAM investigates are proper. When the
investigator has completed the case, entered all of the codes into screens B-G, and determined that
the case is a proper payment, a "1", "2", or "3" is entered in the "Key Week Action Code Flag" h1
element. In most cases, the investigator will enter "1" to indicate a correct payment/offset.
(h1) NAME: Key Week Action Code Flag
SHORT NAME: Action Code Flag
1 = Correct payment/offset.
2 = Overpayment established or WBA, Key Week dependents’ allowance (KWDA)
entitlement, MBA, or remaining balance (RB) decreased which was later “officially”
reversed. BAM agrees with the “official” action.
3 = Supplemental check issued/offset applied, which was later “officially” reversed. BAM
agrees with the “official” action.
V-1
November 2009
ET HANDBOOK NO. 395, 5th EDITION
3. Coding Reopened Cases. Additional h1 codes are available for use ONLY when reopening
previously closed PCA cases. These PCA cases are crossmatched with the National Directory of
New Hires (NDNH) and UI wage records files to provide information, in part to:
y estimate the magnitude of overpayments attributable to unreported earnings that are detected
through the use of NDNH or wage record crossmatch but are not detected through other
BAM audit methods; and
y identify other issues that might affect the eligibility for the compensated week selected for the
BAM sample (for example, voluntary quit or discharge from employment in the benefit year).
Cases may also be reopened to revise coding based on additional information obtained through
claimant, employer, or third party responses received by the agency after the case was signed off by
the BAM supervisor.
These additional h1 codes are:
4 = Payment correct after original BAM investigation at time of supervisor sign-off, and no Key
Week error issues were detected as a result of new hire or wage record matching or
additional information obtained through late claimant, employer, or third party responses.
5 = Payment improper after original BAM investigation at time of supervisor sign-off, but no
additional Key Week error issues were detected as a result of new hire or wage record
matching or additional information obtained through late claimant, employer, or third party
response.
7 = Payment correct after original BAM investigation at time of supervisor sign-off, but is
improper as a result of new hire or wage record matching or additional information obtained
through late claimant, employer, or third party response (requires entry of data in the error
issue table).
8 = Payment improper after original BAM investigation at time of supervisor sign-off, but
additional Key Week error issues were identified or the coding of an issue identified in the
initial BAM audit is revised as a result of new hire or wage record matching or additional
information obtained through late claimant, employer, or third party response (requires entry
of data in the error issue table).
4. Coding Improper Payments. Payment error codes are provided for both underpayments and
overpayments. Multiple actions taken for a single issue, multiple issues detected for a single case,
and various extents of agreement or disagreement between BAM and other units in the UI system
concerning official policy or actions taken for the sampled cases also are provided for. As a result,
the instructions for assigning the Key Week codes reflect many complexities that may occur.
The payment error coding system records findings of case investigations that reflect the state’s law
and official (written) policies. It is important to clarify the relationship between BAM and the other
parts of the UI system. The BAM payment error coding system encompasses appealable actions
taken by any state unit, including BAM, which modify actions taken on payment errors, e.g.,
monetary redeterminations, establishment of overpayments, etc. It encompasses actions in progress
V-2
November 2009
ET HANDBOOK NO. 395, 5th EDITION
by units other than BAM on improper Key Week payments, of which actions BAM is in agreement.
It also encompasses findings when no actions are permitted, e.g., because of state finality provisions.
Screen I. If the payment was not a proper payment, a code “9” is entered into data element
(h1) Key Week Action Code Flag:
9 = Improper Payment – Improper payment codes are defined in the Error Issue
(ERRISU) Table. Data entry of code 9 in this data element will
trigger Screen I for data input.
When code 7, 8, or 9 is entered into h1, Screen I is displayed by the software for data entry of error
issues. This interrupts data entry into Screen H. The BAM investigator will enter the overpayment
and underpayment information on the new screen. The system has the capacity to record up to 20
individual issues. If there are more than 20 issues, select and code the 20 largest issues in terms of
the amount of error.
Note: If Key Week Action Code Flag h1 = 1, 2, 3, 4 (proper payment), or 5 (no additional
improper payment issues) Screen I will not be displayed.
Edits for h1:
• Must be 1, 2, 3, or 9 for Update Cases.
• Must be 1 to 5, 7, 8, or 9 for Reopen Completed Cases.
• Must be 4, 5, 7 or 8 if Reopen Completed Case Code (ro1) is 7, 8 or 9.
• h2 must equal f13, if h1 equals 1, 2, 3, or 4.
• Must be 1 to 4, if h5 and h6 are 0.
Identify all issues/actions that affect the Key Week payment. This includes issues where official
action may be taken and also where official action is prohibited. Screen I has nine data elements
that require information to be recorded for each issue:
(ei1) Dollar Amount of Key Week Error
(ei2) Key Week Action
(ei3) Error Cause
(ei4) Error Responsibility
(ei5) BAM Detection Point
(ei6) Prior Agency Action
(ei7) Prior Employer Action
(ei8) BAM Action Regarding Key Week Appealed
(ei9) Prior Claimant Action
States may modify the last digits of the codes for five of these items in Screen I to provide more
detailed information for their use: Cause code ei3, Detection Point code ei5, Prior Agency Action
code ei6, Prior Employer Action code ei7, and Prior Claimant Action code ei9. The default last digit
in each of these codes is zero. States may choose to develop additional categories using any digits
from 1-9 to provide further detail in these areas.
Definitions and explanations for the data elements of Screen I are detailed on the following pages.
V-3
November 2009
ET HANDBOOK NO. 395, 5th EDITION
(1) (ei1) Dollar Amount of Key Week Error.
Enter the total whole dollar amount of the error (overpayment or underpayment) for the Key Week
as determined or confirmed by the BAM investigation. Exclude dollars that affect weeks other than
the Key Week. Round to the nearest whole dollar amount.
Edits:
• Must be greater than 0.
• Cannot exceed state maximum WBA plus dependents allowance.
• Cannot exceed f13 if ei2 is 10 to 16.
• Must be less than or equal to e10 plus e16, if ei2 is 20 to 23 and state does not equal WI
(FIPS code 55).
• Must be less than or equal to e10 plus e16 times 2 minus 1, if ei2 is 20 to 23 and state is
equal to WI (FIPS code 55).
• The minimum dollar amount of all issues with action codes 10 to 13 and 15 must not
exceed h5; except: if action code (ei2) equals 11, 12, 13, or 15 and Prior Agency Action
(ei6) equals 90 to 99, h5 must equal 0.
• The minimum dollar amount of all issues with action codes 20 to 22 must not exceed h6.
(2) (ei2) Key Week Action.
Enter the code that identifies the type of error/issue identified by the BAM investigation.
(a) Overpayment Codes
10 = Fraud overpayment/voided offset.
11 = Nonfraud Recoverable overpayment/voided offset.
12 = Nonfraud / Nonrecoverable overpayment or official action taken to adjust future
benefits by decreasing WBA, MBA, KWDA or RB.
13 = BAM determines payment was too large, although payment is "technically" proper
due to finality rules.
14 = BAM determines payment was too large except for formal warning rule that
prohibits official action. The payment is "technically" proper due to law/rules
requiring formal warnings for unacceptable work search efforts.
15 = BAM determines payment was too large, although payment "technically" proper due
to rules other than finality or formal warning rule.
16 = Overpayment established or WBA, KWDA entitlement, MBA, or RB decreased
which was later "officially" reversed, revised, adjusted, or modified and BAM
disagrees with "official" action (e.g., Appeals unit reverses BAM determination and
BAM disagrees).
V-4
November 2009
ET HANDBOOK NO. 395, 5th EDITION
(b) Underpayment Codes
20 = Supplemental Check Issued/Offset applied or increase in WBA, KWDA, or RB.
21 = BAM determines payment was too small, although payment "technically" proper due
to finality rules.
22 = BAM determines payment was too small, although payment "technically" proper due
to rules other than finality.
23 = Supplemental check issued/offset applied which was later "officially" reversed,
revised, adjusted, or modified, and BAM disagrees with the "official" action (e.g.,
Appeals unit reverses BAM determination and BAM disagrees).
24= BAM determines payment was too small, but claimant is not entitled to payment due
to collateral issues.
Edits:
• Must be 10 to 16, or 20 to 24.
• ei1 must not exceed f13, if ei2 equals 10 to 16.
• ei1 must be less than or equal to e10 plus e16, if ei2 equals 20 to 24, and state does not
equal WI (FIPS code 55).
• ei1 must be less than or equal to e10 plus e16 times 2 minus 1, if ei2 equals 20 to 24 and
state is equal to WI (FIPS code 55).
• Cannot equal 14, if g1 equals -2.
• If ei2 equals 14, Error Cause (ei3) must equal 420 to 429.
(3) (ei3) Error Cause. Each payment error must be assigned a cause code. These codes are
grouped into six major categories. Enter the one code that best identifies the cause of the payment
error. The last digit is reserved for state use to provide greater detail.
(a) In the Benefit Year, unreported or errors in reporting/recording earnings or days/hours of
work affecting the Key Week due to:
100 = Unreported (concealed) earnings or days/hours of work.
110 = Earnings or days/hours of work incorrectly estimated/reported/recorded or
deducted.
120 = Errors in reporting or unreported Severance Pay.
130 = Errors in reporting or unreported Vacation Pay.
140 = Errors in reporting or unreported Social Security or Pension Benefits.
150 = Other causes related to reporting or recording of earnings or days/hours of work for
Key Week.
V-5
November 2009
ET HANDBOOK NO. 395, 5th EDITION
(b) In the Base Period, errors in reporting/recording earnings or weeks/days/hours of work
affecting the Key Week due to:
200 = Earnings or weeks/days/hours of work incorrectly estimated/reported/recorded.
210 = One or more base period employers not reported by claimant.
220 = Other causes related to errors in reporting or recording earnings or
weeks/days/hours of work for base period.
240 = Misclassified worker. Employer misclassified the claimant as an independent
contractor.
248 = Misclassified worker. Claimant improperly classified as an independent contractor;
however, the employer furnished claimant a 1099 earnings statement
249 = Misclassified worker. Claimant improperly classified as an independent contractor and
the employer did not furnish the claimant with a 1099 earnings statement
(c) Separation Issues due to:
300 = Voluntary Quits
310 = Discharges
320 = Other causes related to separation issues
(d) Eligibility Issues due to:
400 = Ability to work
410 = Availability for work
420 = Active work search
430 = Refusal of suitable work
440 = Self-employment
450 = Illegal alien status
460 = Employment Service registration
470 = Other causes related to eligibility issues
480 = Claimant filed UI claim using the identity of another person – Identity Theft
V-6
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Note: Identity theft codes 480 to 489 are valid for any payment error detected through the
BAM audit and are not limited to payment errors detected through matches with the State or
National Directory of New Hires or with UI wage record files.
(e) Dependents' Allowances incorrect due to:
500 = Dependents' information incorrectly reported/recorded or allowance incorrectly
calculated.
510 = Other causes related to dependents' allowances.
(f) Other Causes due to:
600 = Benefits paid during a period of disqualification, even though a stop-pay order was in
effect.
610 = Redetermination (at deputy level) or reversal (appeal or higher authority).
620 = Back pay award.
630 = All other causes.
638= Fraud outside of Key Week caused the Key Week to be improper due to
disqualification penalty.
Note: BAM units should use Key Week (KW) Action (ei2) code 10 and Error Cause (ei3)
code 638 for paid weeks that by state law are included in a penalty assessed for a fraudulent
overpayment that occurred in a week prior to the BAM KW.
Example: The paid week selected for the BAM sample is the 8th week of benefits the
claimant has received in the current benefit year. The BAM investigation identifies through
crossmatch with the New Hire directory that week 4 was a fraud overpayment attributable to
claiming UI while employed. Under state law, a penalty of 10 weeks is assessed in addition
to the overpayment established for week 4. The claimant has no fraud issue affecting the
KW itself. BAM would code the KW as fraud: KW Action code 10 and Error Cause code
638.
Edits:
• Must be 100 to 159, 200 to 229, 240 to 249, 300 to 329, 400 to 489, 500 to 519 or 600 to
639.
• Cannot be 300 to 329, 420 to 489, 600 to 609, or 620 to 629, if ei2 is 20 to 24.
• Must be 420, if ei2 equals 14.
• ei2 must equal 10, 11, 12, 13, or 15, if ei3 is 480 to 489.
• ei4 must equal 1[xxx] in any combination with codes 0, 2, 3 and 4, if ei3 is 480 to 489.
• Cannot equal 420, if g1 equals -2.
(4) (ei4) Error Responsibility. Each payment error must be assigned a responsibility code.
Enter ALL the appropriate codes to indicate the party or parties responsible (by action or
V-7
November 2009
ET HANDBOOK NO. 395, 5th EDITION
inaction) for the payment error. Do not repeat a code even if more than one responsible
party per category applied, e.g., if more than one employer was responsible, or more than
one “Third Party” was responsible. Each position is coded with the appropriate code for
the responsible party or zero according to the following table.
ERROR RESPONSIBILITY
Position 1 = Claimant Position 2= Employer
0 – Not responsible 0 – Not responsible
1 – Responsible 2 – Responsible
Position 3= Agency Position 4= Third Party
0 – Not responsible 0 – Not responsible
3 – Responsible 4 -- Responsible
Responsibility codes may be difficult to assign for certain cases. Although it would be desirable to
define a set of rules that would lead everyone, regardless of background or training, to assign exactly
the same code to each payment error, this cannot be done. Rather, the informed judgments of the
BAM staff must be relied on to determine the most appropriate code for each case.
Edits:
• Variable entry by position. Can be 0/1, 0/2, 0/3, 0/4.; no duplicates, except 0.
• Cannot contain a 2, if ei7 equals 70.
• Must contain a 3, if ei6 equal s 30-39, 40-49, 50-59, 80-89 or 90-99.
• Must contain a 2 if ei7 equals 20 to 59 or 80 to 89.
• Must contain a 1 if ei9 equals 20 to 59.
(5) (ei5) BAM Detection Point. For each payment error, enter the code which indicates the
point where the error was first detected by the BAM investigation. The last digit of this code is
reserved for state use in providing greater detail.
10 = Verification of work search contact
20 = Verification of wages and/or separation
30 = Claimant interview
40 = Verification of eligibility with 3rd parties
50 = UI Records (Not new hire or wage record files)
60 = Employment Service records
70 = Verification with union
80 =Crossmatch of claimant SSN with National or State Directory of New Hires.
States can use codes 81 through 89 to document point of detection subsequent to new hire
directory match.
V-8
November 2009
ET HANDBOOK NO. 395, 5th EDITION
81= Verification of work search contact
82= Verification of wages and/or separation
83= Claimant interview
84= Verification of eligibility with 3rd parties
85= UI records
86= Employment Services records
87= Verification with a labor union
88= (Second digit reserved for state use)
89= (Second digit reserved for state use)
90 = Crossmatch of claimant SSN with national or state wage record files.
States can use codes 91 through 99 to document point of detection subsequent to wage
record match.
91= Verification of work search contact
92= Verification of wages and/or separation
93= Claimant interview
94= Verification of eligibility with 3rd parties
95= UI records
96= Employment Services records
97= Verification with a labor union
98= (Second digit reserved for state use)
99= (Second digit reserved for state use)
Edits: Must be 10 to 99.
(6) (ei6) Prior Agency Action. For each payment error, a code is assigned which indicates any
action(s) taken by the state on the Key Week issue as of the date sample selected. Enter appropriate
code from below. The last digit is reserved for state use to provide greater detail regarding prior
action.
10 = Official procedures had been followed and forms had been fully completed but KW
issue was not detectable by normal procedures.
20 = State was in the process of resolving KW issue prior to sample being selected or state
had correctly resolved issue between the time the original record for the KW was
created and the time the BAM sample was selected thereby resulting in the correct
action being taken and all issues resolved before the BAM investigation was
completed.
30 = State identified KW issue prior to KW selection but took incorrect action.
40 = State had sufficient documentation to identify that there was a KW issue but did not
resolve the issue.
50 = Official procedures/forms had not been properly followed/completed by state thereby
precluding ability to detect KW issue.
V-9
November 2009
ET HANDBOOK NO. 395, 5th EDITION
60 = State agency had detected payment error as a result of crossmatch of claimant SSN
with state or National Directory of New Hires and had taken official action to
establish overpayment for recovery (or issued supplemental check or increased
claimant’s WBA, MBA, RB) before the BAM investigation was completed.
70 = State agency had detected payment error as a result of crossmatch of claimant SSN
with state or national wage record files and had taken official action to establish
overpayment for recovery (or issue supplemental check or increase claimant's WBA,
MBA, RB) before the PCA investigation was completed.
80 = Agency provided incorrect information or instructions to claimant, employer or third
party.
90 = Error affecting the Key Week payment or the agency’s determination to deny
eligibility was the result of another state’s workforce agency’s procedural error or
incorrect information provided to the claimant, employer, the liable state’s workforce
agency or other party.
Edits:
• Must be 10 to 99.
• Cannot equal 90-99, if ei2 equals 10.
(7) (ei7) Prior Employer Action. For each payment error a code is assigned to indicate
action(s) taken by the employer affecting the KW error as of the date sample was selected. Enter
the appropriate code from below. The last digit is reserved for state use to provide greater detail
regarding employer actions.
10 = Employer provided adequate information to state in a timely manner for
determination.
20 = Employer provided adequate information after due date for determination.
30 = Employer provided inadequate/incorrect information in a timely manner for
determination.
40 = Employer provided inadequate/incorrect information after due date for
determination.
50 = Employer did not respond to request for information.
60 = Employer, as an interested party, was not requested by agency to provide
information for determination.
70 = Not an employer related issue.
80-89 = Employer failed to report the claimant as a new hire as mandated by law and this
"lack of action" permitted the overpayment to occur, which made the key week
improper (e.g. concealed earnings/separation error).
V-10
November 2009
ET HANDBOOK NO. 395, 5th EDITION
91 = Employer representative provided adequate information to state in a timely manner
for payment determination.
92 = Employer representative provided adequate information after due date for payment
determination.
93 = Employer representative provided inadequate/incorrect information in a timely
manner for payment determination.
94 = Employer representative provided inadequate/incorrect information after due date for
payment determination.
95 = Employer representative did not respond to request for information.
96 = Employer representative on behalf of the Employer, as an interested party, was not
requested by agency to provide information for determination.
Edits:
• Valid codes: 10 to 79, 80 to 89, 91 to 96.
• Cannot equal 70-79, if ei4 contains a 2.
Note: The 90 series codes will be available with the software release greater than 10.0
(8) (ei8) BAM Action Regarding Key Week Appealed. Enter the appropriate code for
appeals filed as a result of PCA action on the Key Week issue.
1 = No appeal filed against BAM determination, or not applicable.
2 = Claimant appealed BAM determination, and employer was an interested party.
3 = Claimant appealed BAM determination, and employer was not an interested party.
4 = Employer appealed BAM determination, and claimant was an interested party.
5 = Both claimant and employer appealed BAM determination.
6 = State appealed BAM determination.
Edits: Must be 1 to 6.
(9) (ei9) Prior Claimant Action. For each payment error a code is assigned to indicate
action(s) taken by the claimant affecting the KW issue as of the date sample was selected. Enter the
appropriate code from below. The last digit of this code is reserved for state use to provide greater
detail regarding claimant action.
10 = Claimant provided adequate and timely information to the agency for determination.
20 = Claimant provided adequate information to the agency after due date for
determination.
V-11
November 2009
ET HANDBOOK NO. 395, 5th EDITION
30 = Claimant provided timely but inadequate/incorrect information to the agency for
determination.
40 = Claimant provided inadequate/incorrect information to the agency after due date for
determination.
50 = Claimant did not respond to the agency’s request for information.
60 = The agency did not request the claimant to provide information.
Edits: Must be 10 to 69.
Continuation of h Codes for Improper Payments:
(h2) NAME: Amount That Claimant Should Have Been Paid
SHORT NAME: Amt Should Have Been Paid
Definition: Enter the whole dollar amount that the claimant should have received for the
Key Week if the payment had been made correctly. Include all issues regardless of whether
they are "technically proper." Exclude action codes 14, 16, (11, 12, 13, and 15 if Prior
Agency Action (ei6) equals 90 to 99), 23, and 24.
If the Key Week is a proper payment, i.e., h1 is coded 1, 2, or 3, the system will automatically stamp
the amount in f13 .
If the Key Week should have been totally denied as a result of one or more issues, no matter what
other additional changes affect the WBA, enter 0.
Refer to Key Week Error Summary Worksheet (section 4, below) for assistance with multiple issues.
Edits:
• Cannot exceed maximum WBA (e9) plus maximum Dependents’ Allowance (e15).
• Cannot be less than state’s minimum Dependents’ Allowance (e15).
• Must equal f13, if h1 is 1, 2, 3, or 4.
(h3) NAME: Total Whole $ Amount of Overpayments (include KW)
SHORT NAME: Total Amt OP
Definition: This element captures the total amount of overpayments established for the
claimant as a result of the BAM investigation. Enter whole dollar amount of all
overpayments, voided offsets, or adjustments (to either the WBA or MBA), including Key
Week, officially established as a result of BAM investigation.
Include in this figure only overpayments officially established for weeks claimed or paid. Include
payments from any Extended Benefits and temporary extended or emergency compensation
programs. Do not adjust (i.e., net) amount due to the establishment of underpayments, code
only overpayments. Include amounts from prior benefit years if applicable.
Exclude any prospective savings relating to weeks not claimed and any penalty or interest amount.
V-12
November 2009
ET HANDBOOK NO. 395, 5th EDITION
If an overpayment established as a result of BAM investigation is reversed on appeal, this amount
must be reduced by the amount involved in the reversal.
Edits: Must be from 0 to 50,000.
(h4) NAME: Total Whole $ Amount of Underpayments (include KW)
SHORT NAME: Total Amt UP
Definition: This element captures the total amount of underpayments established for the
claimant as a result of the BAM investigation. Enter whole dollar amount of all
underpayments, offsets applied, or adjustment (to either WBA or MBA), including Key
Week, established as a result of BAM investigation.
Include in this figure only underpayments established for weeks actually claimed or paid. Include
amounts from prior benefit years if applicable. Include payments from any Extended Benefits and
temporary extended or emergency compensation programs. Do not adjust (i.e., net) amount due
to establishment of overpayments, code only for underpayments. Exclude any prospective
errors relating to weeks not claimed.
If a supplemental check was issued or offset applied which was later officially reversed on appeal
and BAM agrees with the official action (code 03) then this amount must be reduced by the amount
involved in the reversal.
Edits: Must be from 0 to 50,000.
(h5) NAME: Total Overpayment Amount for the Key Week
SHORT NAME: Total KW OP
Definition: This element captures the total amount of Key Week overpayments for a case,
except for those recorded as formal warnings, officially reversed appeal decisions with which
BAM disagrees, and nonfraud overpayments for which an agency other than the liable state
agency was responsible.
Enter the whole dollar amount of the total overpayment due to overpayment issues. It must
not exceed the original amount paid item f13. Exclude action codes 14, 16, and action codes
11, 12, 13 and 15 if prior agency action equals 90 to 99.
Exclude any overpayments for weeks paid prior to or after the Key Week and any
prospective errors relating to weeks not claimed.
Exclude any overpayment established or WBA, KWDA entitlement, MBA, or RB decreased
which was later “officially” reversed. BAM agrees with the “official” action.
Refer to Key Week Error Summary Worksheet (section 4, below) for assistance with multiple issues.
Edits:
• Must not exceed f13.
V-13
November 2009
ET HANDBOOK NO. 395, 5th EDITION
• Must equal ei1, if there is only one overpayment issue with either action code 10 or
(action codes 11 to 13, and 15, and ei6 equals 10 to 89).
• Cannot exceed the sum of the dollar amounts in ei1 for all issues with action codes 10
and (action codes 11 to 13, and 15, and ei6 equals 10 to 89).
• Must be greater than or equal to the minimum dollar amount of all issues with action
codes 10 and (action codes 11 to 13, and 15, and ei6 equals 10 to 89).
• Must equal f13 if h2 equals 0.
• Must equal f13 minus h2 if case only has single overpayment and no underpayment
issue.
• Must equal 0 if ei2 equals 14, 16, or (11, 12, 13, and 15 and ei6 equals 90 to 99)..
(h6) NAME: Total Underpayment Amount for the Key Week
SHORT NAME: Total KW UP
Definition: This element captures the total amount of Key Week underpayments in a case,
except for those recorded as officially reversed appeal decisions with which BAM disagrees.
Enter the whole dollar amount of the total underpayment due to underpayment issues.
Include all underpayment issues regardless of whether they are "technically" proper.
Exclude action codes 23 and 24.
Edits:
• Must equal ei1, if h6 has a single underpayment issue with action codes 20 to 22.
• Cannot exceed the sum of the dollar amounts of ei1 of all issues with action codes 20 to
22.
• Cannot exceed the state’s maximum WBA plus maximum dependent allowance minus
original amount paid.
• Must be greater than or equal to the minimum dollar amount of all issues with action
codes 20 to 22.
• Must equal h2 minus f13 if case only has single underpayment and no overpayment
issue.
5. Key Week Error Summary Sheet. When a case has multiple issues affecting the Key Week, it
can be difficult to compute the proper dollar amounts for:
h2 - Amount Claimant Should Have Been Paid,
h5 - Total Overpayment Amount for Key Week, and
h6 - Total Underpayment Amount for Key Week.
Each state must develop a standard BAM form for use in computing the entries for these data
elements. The form must contain, at a minimum, entries to record the information on the two-page
facsimile that follows in section (a). The format of the facsimile should be adequate for most states;
however, some states, e.g., those with dependents allowances, will need to modify the form. The
BAM investigator must complete the form for all cases with multiple issues and retain it in the case
file. (See Chapter VII.)
V-14
November 2009
ET HANDBOOK NO. 395, 5th EDITION
a. Key Week Error Summary Sheet -- Facsimile.
KEY WEEK ERROR SUMMARY WORKSHEET
Record issues (overpayments and underpayments) as independent actions in section A or B below as
appropriate. Exclude formal warnings (ei2 equals 14), officially reversed actions (ei2 equals 16), cases
in which ei2 equals 11, 12, 13, and 15 and Prior Agency Action (ei6) equals 90 to 99), and cases in
which ei2 equals 23 or 24.
Cause Code -- Enter the Error Cause code ei3.
$ Amount -- Dollar Amount of Key Week issue (ei1).
DQW (Disqualified Week) -- Enter X if this issue would cause the claimant to be
disqualified for the entire week for nonmonetary reasons, e.g., VQ denial, not able and available, paid
for waiting week, etc.
Case ID: (f13) Amount Paid: $
A. Overpayments B. Underpayments
Cause Code $ Amount DQW Cause Code $ Amount
1 1
2 2
3 3
4 4
5 5
6 6
7 7
8 8
9 9
10 10
11 11
12 12
Total OP: Total UP:
V-15
November 2009
ET HANDBOOK NO. 395, 5th EDITION
C. (h2) Amount That Claimant Should Have Been Paid
Complete one of the following to determine (h2):
1. If KW is DQW, (h2) = 0:
or
2.a If KW is not DQW, enter WBA After Investigation (e10)
2.b List specific adjustments to WBA for KW, e.g., reduction for earnings:
____________________________________________________________________________
Enter total $ amount of adjustments: $
2.c Subtract 2(b) from 2(a); h2 = $
(h2) NAME: Amount That Claimant Should Have Been Paid (See page V-11)
D. (h5) Total Key Week Overpayments
1. Enter the Total OP from A, page 1: $
2. Enter the Amount Paid for KW (f13): $
Total KW OP equals lesser of (1) or (2) (h5): $
(h5) NAME: Total Overpayment Amount for the Key Week (See page V-12)
E. (h6) Total Key Week Underpayments
1. Enter the state maximum WBA plus Dependents’ Allowance: $
2. Enter the Amount Paid for KW (f13): $
3. (1) – (2) $
4. Enter the Total UP from B, page 1: $
Total KW UP equals lesser of (3) or (4) (h6): $
(h6) NAME: Total Underpayment Amount for the Key Week (See V-13)
b. Instructions. On the front page of the worksheet, list all errors/issues in the applicable
boxes (A for overpayments or B for underpayments). Exclude overpayments coded as formal
warnings (Key Week Action code 14), officially reversed actions (Key Week Action code 16), and
nonfraud overpayments attributable to the actions of an agency other than the liable state (Key Week
Action codes 11, 12, 13, and 15 if Prior Agency Action (ei6) equals 90 to 99). Exclude underpayments
coded as officially reversed actions (Key Week Action code 23), and cases for which BAM determines
that the payment was too small, but claimant is not entitled to payment due to collateral issues (Key
Week Action code 24). These codes are not used in the Annual Report error rate; therefore, they
cannot be included in these calculations.
V-16
November 2009
ET HANDBOOK NO. 395, 5th EDITION
For each error/issue, enter the Error Cause code that has been coded in ei3 and the Dollar Amount of
Key Week Error that has been coded in ei1. If this error would cause the claimant to be ineligible for
the entire Key Week or cause a disqualification for the entire Key Week, enter an X in the DQW
column. Add the dollar amounts in each box, and enter the total at the bottom.
Complete the backside of the worksheet as follows:
(1) Box C. This is used to figure the dollar amount for h2, the Amount Claimant Should Have
Been Paid. If an X has been entered in the DQW column on any line in box A of page 1, enter 0 on
item 1, and go no further.
If there is no X in box A, complete item 2. Enter the amount coded for DCI element e10, WBA
After Investigation, in (a). If there are adjustments to the WBA for the Key Week, list each in (b), and
enter the total dollar amount of the adjustments. Subtract the amount in (b) from (a) to obtain the
amount that the claimant should have been paid for the Key Week, and enter in (c).
(2) Box D. This is used to figure the dollar amount for h5, Total Key Week Overpayments.
Enter the total from the bottom of box A of page 1. Enter the amount of the original Key Week
payment as coded in DCI item f13. Compare the two figures, and enter the lesser as h5, Total Key
Week Overpayments.
(3) Box E. This is used to figure the dollar amount for h6, Total Key Week Underpayments.
Enter the maximum WBA plus Dependents’ Allowance payable in the state on line (1). Enter the
amount of the original Key Week payment on line (2). For line (3), subtract the figure in (2) from that
in (1). Enter the total from the bottom of box B of page 1 onto line (4). Compare the figures in (3)
and (4), and enter the lesser as h6, Total Key Week Underpayments.
c. Completed Examples of Key Week Error Summary Sheets. Three completed examples
are presented on the following pages. The figures entered on the worksheets are for illustration only.
They are not accurate for any particular state since calculations will be based upon each state’s own
formulas for monetary determinations, wage reductions, etc. A clean copy of this form can be found
in Appendix B, pages B-18 and B-19.
V-17
November 2009
ET HANDBOOK NO. 395, 5th EDITION
COMPLETED EXAMPLE #1
KEY WEEK ERROR SUMMARY WORKSHEET
Record issues (overpayments and underpayments) as independent actions in section A or B below as
appropriate, but exclude formal warnings and officially reversed actions (Key Week Action codes 14,
16, (11, 12, 13, and 15 when Prior Agency Action (ei6) equals 90 to 99), 23, and 24 from ei2 of Screen
I).
Cause Code -- Enter the Error Cause code (ei3).
$ Amount -- Dollar Amount of Key Week issue.
DQW (Disqualified Week) -- Enter X if this issue would cause the claimant to be
disqualified for the entire week for nonmonetary reasons, e.g., VQ denial, not able and available, paid
for waiting week, etc.
Case ID: Example #1 (f13) Amount Paid: $117
A. Overpayments B. Underpayments
Cause Code $ Amount DQW Cause Code $ Amount
1 100 25 1 200 5
2 130 65 2
3 3
4 4
5 5
6 6
7 7
8 8
9 9
10 10
11 11
12 12
Total OP: $90 Total UP: $5
V-18
November 2009
ET HANDBOOK NO. 395, 5th EDITION
C. (h2) Amount That Claimant Should Have Been Paid
Complete one of the following to determine (h2):
1. If KW is DQW, (h2) = 0:
or
2.a If KW is not DQW, enter WBA After Investigation (e10) $ 122
2.b List specific adjustments to WBA for KW, e.g., reduction for earnings:
$25 – unreported earnings______________
$65 – vacation pay
Enter total $ amount of adjustments: $ 90
2.c Subtract 2(b) from 2(a); h2 = $ 32
D. (h5) Total Key Week Overpayments
1. Enter the Total OP from A, page 1: $ 90
2. Enter the Amount Paid for KW (f13): $ 117
Total KW OP equals lesser of (1) or (2) (h5): $ 90
E. (h6) Total Key Week Underpayments
1. Enter the state maximum WBA plus Dependents’ Allowance: $ 220
2. Enter the Amount Paid for KW (f13): $ 117
3. (1) – (2) $ 103
4. Enter the Total UP from B, page 1: $ 5
Total KW UP equals lesser of (3) or (4) (h6): $ 5
V-19
November 2009
ET HANDBOOK NO. 395, 5th EDITION
COMPLETED EXAMPLE #2
KEY WEEK ERROR SUMMARY WORKSHEET
Record issues (overpayments and underpayments) as independent actions in section A or B below as
appropriate, but exclude formal warnings and officially reversed actions (Key Week Action codes 14,
16, (11, 12, 13, and 15 if Prior Agency Action (ei6) equals 90 to 99), 23, and 24 from ei2 of Screen I).
Cause Code -- Enter the Error Cause code (ei3).
$ Amount -- Dollar Amount of Key Week issue.
DQW (Disqualified Week) -- Enter X if this issue would cause the claimant to be
disqualified for the entire week for nonmonetary reasons, e.g., VQ denial, not able and available, paid
for waiting week, etc.
Case ID: Example #2 (f13) Amount Paid: $ 150
A. Overpayments B. Underpayments
Cause Code $ Amount DQW Cause Code $ Amount
1 100 $ 60 x 1 200 $ 15
2 300 $ 150 x 2 210 $ 40
3 420 $ 150 3
4 4
5 5
6 6
7 7
8 8
9 9
10 10
11 11
12 12
Total OP: $ 360 Total UP: $ 55
V-20
November 2009
ET HANDBOOK NO. 395, 5th EDITION
C. (h2) Amount That Claimant Should Have Been Paid
Complete one of the following to determine (h2):
1. If KW is DQW, (h2) = 0: 0
or
2.a If KW is not DQW, enter WBA After Investigation (e10)
2.b List specific adjustments to WBA for KW, e.g., reduction for earnings:
________________________________________________________
________________________________________________________
________________________________________________________
Enter total $ amount of adjustments: $
2.c Subtract 2(b) from 2(a); h2 = $ ---
D. (h5) Total Key Week Overpayments
1. Enter the Total OP from A, page 1: $ 360
2. Enter the Amount Paid for KW (f13): $ 150
Total KW OP equals lesser of (1) or (2) (h5): $ 150
E. (h6) Total Key Week Underpayments
1. Enter the state maximum WBA plus Dependents’ Allowance: $ 200
2. Enter the Amount Paid for KW (f13): $ 150
3. (1) – (2) $ 50
4. Enter the Total UP from B, page 1: $ 55
Total KW UP equals lesser of (3) or (4) (h6): $ 50
V-21
November 2009
ET HANDBOOK NO. 395, 5th EDITION
COMPLETED EXAMPLE #3
KEY WEEK ERROR SUMMARY WORKSHEET
Record issues (overpayments and underpayments) as independent actions in section A or B below as
appropriate, but exclude formal warnings and officially reversed actions (Key Week Action codes 14,
16, (11, 12, 13, and 15 if Prior Agency Action (ei6) equals 90 to 99), 23, and 24 from ei2 of Screen I).
Cause Code -- Enter the Error Cause code ei3.
$ Amount -- Dollar Amount of Key Week issue.
DQW (Disqualified Week) -- Enter X if this issue would cause the claimant to be
disqualified for the entire week for nonmonetary reasons, e.g., VQ denial, not able and available, paid
for waiting week, etc.
Case ID: Example #3 (f13) Amount Paid: $ 120
A. Overpayments B. Underpayments
Cause Code $ Amount DQW Cause Code $ Amount
1 200 $ 40 1 200 $ 60
2 2 200 $ 65
3 3 200 $ 70
4 4
5 5
6 6
7 7
8 8
9 9
10 10
11 11
12 12
Total OP: $ 40 Total UP: $ 195
V-22
November 2009
ET HANDBOOK NO. 395, 5th EDITION
C. (h2) Amount That Claimant Should Have Been Paid
Complete one of the following to determine (h2):
1. If KW is DQW, (h2) = 0: ------------
or
2.a If KW is not DQW, enter WBA After Investigation (e10) $ 220
2.b List specific adjustments to WBA for KW, e.g., reduction for earnings:
____________________________________________________________________________
Enter total $ amount of adjustments: $ -------
2.c Subtract 2(b) from 2(a); h2 = $ 220
D. (h5) Total Key Week Overpayments
1. Enter the Total OP from A, page 1: $ 40
2. Enter the Amount Paid for KW (f13): $ 120
Total KW OP equals lesser of (1) or (2) (h5): $ 40
E. (h6) Total Key Week Underpayments
1. Enter the state maximum WBA plus Dependents’ Allowance: $ 220
2. Enter the Amount Paid for KW (f13): $ 120
3. (1) – (2) $ 100
4. Enter the Total UP from B, page 1: $ 195
Total KW UP equals lesser of (3) or (4) (h6): $ 100
V-23
November 2009
ET HANDBOOK NO. 395, 5th EDITION
6. Case Completion. Data elements h7 through h11 are utilized to close the case files.
(h7) NAME: Investigation Completed
SHORT NAME: Inv Completed
Definition: Enter code 1 when case investigation has been completed, i.e., after the
investigator has finished all field work, reports, determinations, and coding.
Entry of this character will only be allowed if all previous data elements have been
coded. The current system date will stamped in (h8).
Edits:
• Must be NULL or 1.
• Can only be set by investigator who was assigned the case (or BAM Supervisor).
• All DCI fields must be completed.
(h8) NAME: Investigation Completion Date
SHORT NAME: Inv Complete Date
Definition: The BAM software will automatically enter the current date when Investigation
Completed h7 has been coded 1.
Edits: Must be less than or equal to h10.
(h9) NAME: Supervisory Review Completed
SHORT NAME: Supv Rev Completed
Definition: The BAM supervisor will enter either 0 or 1 to close the case. Subsequent
adjustments to the case data must be made by reopening the case. Entry in this field will only
be allowed if item h7 has been coded 1. Entry of 0 or 1 will cause the current system date to
be stamped in h10 and the login ID of the supervisor in h11.
0 = Supervisor has completed the case without review
1 = Supervisor has completed the case after review
Edits:
• Must be 0, 1, or NULL.
• Can only be entered if h7 equals 1.
(h10) NAME: Supervisor Completion Date
SHORT NAME: Supv Complete Date
Definition: The BAM software will automatically enter the current date when Supervisory
Review Completed (h9) has been coded 1 or 0.
Edits: Must be greater than or equal to h8.
V-24
November 2009
ET HANDBOOK NO. 395, 5th EDITION
(h11) NAME: Supervisor Identification
SHORT NAME: Supv ID
Definition: The BAM software will automatically enter the login ID of the person
performing this supervisory function.
Edits: Cannot be greater than eight (8) characters/digits.
7. Reopening Cases. On occasion, completed cases must be reopened to make corrections or to
update coded records. The following elements are used:
(ro1) NAME: Reopen Case
SHORT NAME: Reopen Case
Definition: Enter one of the following codes:
3 = State has recognized an error in the data of this closed case and has made the
correction(s).
4 = An appeal decision requires changes to the data of a closed case.
5 =Data of a closed case were changed as a result of a monitor review.
6 =Case reopened pending further information.
7 =Data of a closed case were changed or payment accuracy status updated as a result of
additional information obtained through cross match of claimant SSN with state directory
or National Directory of New Hires.
8 =Data of a closed case were changed or payment accuracy status updated as a result of
additional information obtained through cross match of claimant SSN with state or
national UI wage record files.
9=Data of a closed case were changed or payment accuracy status updated as a result of
additional information obtained through investigation methods other than crossmatch
with new hire or wage records.
Note: If Reopen Code = 7, 8, or 9, Key Week Action Flag Code h1 must equal 4, 5, 7, or 8.
Timeliness will not be recalculated for cases reopened using reopen codes 7, 8, or 9. Timeliness will
be based on the latest date in supervisor completion date h10 or reopen date ro2 for records with
reopen code (3).
Edits:
• Must be 3, 4, 5, 6, 7, 8 or 9.
• Must be 7, 8 or 9 if h1 is 4, 5, 7, or 8.
V-25
November 2009
ET HANDBOOK NO. 395, 5th EDITION
(ro2) NAME: Reopen Case Date
SHORT NAME: Reopen Case Date
Definition: The date that identifies when a case was reopened.
The BAM software system will automatically set it as current date for the Reopen Case Codes
3, 4, or 5. The field will remain NULL when the Reopen Case Code is 6.
Edits: System entered date
(ro3) NAME: Reopen Case Identification
SHORT NAME: Reopen ID
Definition: The login ID of the person performing the reopen function.
Edits: Cannot be greater than eight (8) characters/digits
V-26
November 2009
ET HANDBOOK NO. 395, 5th EDITION
CHAPTER VI
INVESTIGATIVE PROCEDURES
1. Introduction. The BAM investigation is the mechanism for intensively reviewing payments to
determine if they were made to eligible claimants and, if so, whether payments were made in the
proper amounts. Each case selected for BAM is an original payment for a specific week of
unemployment, referred to as a "Key Week". Each Key Week is investigated to verify that all
information pertaining to eligibility and payments is treated in conformity with state written law and
policy. In addition, denied claims, identified as Denied Claims Accuracy (DCA) are investigated for
accuracy of determinations covering disqualifying monetary, separation, and non-separation issues.
The data obtained from these investigations will be used to draw inferences about the claimant
population as a whole. It is important, therefore, that the investigative requirements are adhered to
for each case.
The investigation also involves gathering data about the claimants and claims sampled for entry into
an automated database. These data, in combination with the classification of the case findings, will
be used for state analysis and corrective action.
These investigative procedures apply equally to PCA and DCA investigations. For more
information on where DCA investigations differ, see Chapter VIII.
2. Standard Forms. Each BAM unit must develop standard forms to be used in investigations for:
- Claimant Questionnaire – adapted to state law (see required format in Appendix B)
- Work Search Verification - Employer
- Work Search Verification - Labor Organization
- Base Period Employment - Wage / Employment Attachment Verification (Appendix B)
- Separation / Intervening Separation / Recall Status Verification
- Benefit Year Earnings / Current Employment Status / New Hire Reporting Compliance
Verification (See Appendix B)
- Disqualifying - Deductible Income Verification
- Authorization to Release Information (where required)
- Fact-finding Statement
- Dependency Eligibility Verification (if applicable)
- Interstate Request
- Summary of Investigation
The questions on all forms that address eligibility must be adequate to obtain information that the
SWA requires to determine adherence to provisions of law and written policy. All forms used for
interviews must provide space for the name or signature of the person being interviewed, the SWA
investigator's signature, the method used to obtain the information, and the date of the interview.
In SWAs where an "Authorization to Release Information" form is required, the investigator must
have this form signed and dated by the claimant.
VI-1
November 2009
ET HANDBOOK NO. 395, 5th EDITION
3. Investigative Requirements. Investigators must adhere to the minimum requirements presented
in the Investigative Guide (Appendix C) that summarizes the data sources, initial action, and
documentation required for each data item gathered during the investigation. This means the
investigator must assure that:
(1) all issues have been identified;
(2) all issues have been pursued to a supportable conclusion;
(3) all issues identified have been properly resolved; and
(4) all required BAM methodology and procedures have been followed.
The findings of BAM must be consistent with laws, official rules, and written policies of the SWA
and all conclusions pertaining to the key week or denial must be formalized in official agency action
if errors are found, except where prohibited by SWA finality provisions.
The following general requirements must also be adhered to during the course of BAM
investigations:
a. Investigative Method. Investigations are comprised of reviews of SWA records and
interviews of claimants, employers, and third parties. Initially all BAM investigation interviews were
conducted in person. In 1993, alternative methodologies were implemented which allowed states
the option to substitute telephone, FAX, e-mail and standard mail for in-person verification of
contacts with employers, third parties and on some work search verifications.
Regardless of the method used, it is intended that states obtain the information needed to complete
their BAM cases. States must attempt to obtain the information required for investigations using
any and all of the following methods: in-person, telephone, FAX, mail or e-mail. States have the
option of using any of these methods that it determines to be the most efficient and effective based
on the circumstances of each case. States are to document all attempts made in procuring needed
information in each case’s summary. Within this framework, it is important to note that the audit
process differs substantially from normal UI operations in terms of cost, time, and effort. BAM
investigators must exhaust all avenues in obtaining information. This contrasts to UI
operations, which are held to a reasonable attempts standard.
The regulation establishing Quality Control (QC), now referred to as BAM, procedures for UI (20
CFR, Part 602) stipulates several standard methods, including the requirement that states, “Use a
questionnaire, prescribed by the Department, which is designed to obtain such data as the
Department deems necessary for the operation of the QC program; require completion of the
questionnaire by claimants in accordance with the eligibility and reporting authority under state law”
[20 CFR §602.21]. For BAM purposes, failure to report or respond means:
- failure to complete the claimant questionnaire by the due date specified in the cover letter that
accompanies a mailed claimant questionnaire;
- reporting, calling or e-mailing at a time other than assigned by BAM;
- failing to respond via e-mail, failing to report, call or be available by phone at an appointed time
to provide information or to complete the claimant questionnaire;
- failing to respond to a call-in notice, appointment notice, or e-mail notice; and / or
- failing to respond to potential issues identified for the completion of necessary new and original
fact-finding.
VI-2
November 2009
ET HANDBOOK NO. 395, 5th EDITION
The claimant should be notified in advance that failure to report when directed or to complete the
questionnaire by the due date may result in a delay or in a denial of benefits. The BAM investigation
requires completion of the questionnaire in accordance with the eligibility and reporting authority
under state law.
BAM investigators must attempt to obtain information from all employers relevant to the paid or
denied claim audited and require employer reporting compliance in accordance with state law.
However, it is the responsibility of the investigator to take the initiative in the discovery of
information. This responsibility may not be passed on to the claimant or the employer.
Standard BAM investigative procedures must be in place to ensure that: sufficient information is
collected to determine whether the Key Week payment or denial determination is proper; and
accurate data is collected and recorded for analytical purposes.
b. Investigative Focus. Investigations begin with the assumption that the Key Week was
properly paid; however, all areas of eligibility are explored that could directly affect the Key Week.
BAM investigators must examine all issues regardless whether they are new issues encountered
during the investigation leading up to and including the Key Week or prior issues or payment
adjustments resolved by the agency -- and make an independent decision whether the issue or
payment adjustment has the potential to affect the Key Week payment. This makes a distinction
between issues that could directly affect the Key Week and those that potentially involve a
disqualification or ineligibility which could not affect the Key Week. BAM staff should refer issues
to another SWA unit, when the investigator decides that no potential exists to affect the Key Week.
However, if the potential to affect the Key Week exists, then BAM investigators must continue the
investigation. All areas of eligibility are explored that could directly affect the Key Week payment.
The investigator must conduct new and original fact-finding on newly arising issues or on previous
issues not adequately adjudicated. Additionally, the investigator must independently verify
established facts in instances where previously resolved issues or payment adjustments appear to
have been handled properly. This includes the entire period between the benefit year begin date and
the Key Week end date.
BAM investigators do not have to examine weeks after the Key Week. In some instances where a
disqualification is imposed for fraud or a separation, weeks compensated after the Key Week may be
improper. In addition, the BAM investigator may identify a disqualifying issue that occurs after the
Key Week (i.e. new hire hit with the first day worked after the Key Week end date). BAM
investigators should refer newly arising or improperly resolved issues, which they have
independently determined cannot affect the Key Week payment accuracy, to the appropriate SWA
unit.
c. Fact-finding. Investigators must conduct new and original fact-finding in accordance
with the Secretary's Standard for Claim Determinations as prescribed in sections 6010-6015, part V
of the ES Manual on all issues that have not been detected previously. In addition, the facts of
previously resolved issues affecting the Key Week must be verified. State laws or policy which
might make an issue moot (e.g., when a decision becomes final by virtue of the expiration of the
appeal period without an appeal being filed) must not preclude pursuit of issues for BAM purposes.
The issues must be pursued until a supportable conclusion is reached. Issues not affecting the Key
VI-3
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Week should be referred to other SWA staff for pursuit and resolution unless adjudication by BAM
staff would only involve incidental time and resources.
"New and original fact-finding" means interviewing the best witnesses available, obtaining the best
evidence available, and using open-ended inquiries. New and original fact-finding is applicable not
only to newly arising issues, but also to those developed in attempted verification of facts (see next
paragraph). BAM investigators must conduct fact-finding in accordance with BAM investigative
procedures using any reasonable method to obtain the needed information or provide an adequate
explanation as to why it was not done.
"Verify facts" means confirming previously established statements, reviewing previously established
records, using standard forms for inquiries and requiring form completion. Verification of facts
applies to previously resolved issues, but if a new issue is developed, new and original fact-finding is
employed. (See previous paragraph.) BAM investigators must verify facts in accordance with BAM
investigative procedures or provide an adequate explanation as to why it was not done.
d. Evidentiary Facts. Investigations of new issues must be conducted by obtaining
evidentiary facts, as distinguished from ultimate conclusions. Open-ended questions must be asked,
and if the contact is made in-person, employer records should be reviewed and may be copied by
the investigator.
e. Information/Source Documentation. Where information is obtained in-person, the
signature of the person providing the information must be obtained on the verification and/or fact-
finding statement. Where information is obtained using standard mail, e-mail, telephone or FAX,
the name of the person providing the information should be printed in the signature block by the
BAM investigator. In some instances, the forms developed for the remaining sections of this
chapter will provide ample space to record the statements. In other instances, it will be more
convenient to utilize separate documents. For these latter situations, SWAs must either develop
formats to use exclusively for BAM or utilize forms already in use for other purposes.
f. State Law and Policy. States' written laws and policies are the bases for all determinations.
Written policy is that policy that is distributed SWA-wide and upon request, may be made available
to the public.
g. Conclusions and Agency Actions. All conclusions pertaining to the Key Week or denial,
that are drawn from the BAM process, must be formalized in official agency actions if errors are
found, except where prohibited by SWA provisions such as finality.
h. Supporting Documentation. All determinations made as a result of BAM investigations
must have supporting documentation.
i. Non-English Speaking Claimants. All requirements that SWAs normally apply to contacts
with non-English speaking claimants must also be applied to contacts for BAM.
4. Investigative Methodology. Investigative methodology is a system of principles, procedures and
practices that have been designed to obtain the information necessary to classify the propriety of
benefit payments. The investigator must interview claimants, employers, and third parties to: (1)
verify the information originally used in the claim, and (2) gather information to determine if there
VI-4
November 2009
ET HANDBOOK NO. 395, 5th EDITION
are undetected issues or issues that were improperly treated. The methods of contact to be used are:
in-person, telephone, FAX, e-mail, and standard mail or any combination of these methods.
States should structure the investigation in a manner that will permit them to obtain the best
information possible. Studies have shown that for claimant interviews and work search
verifications, the in-person method of contact provides the best quality of information, while the use
of telephone, FAX and/or mail appears to work equally well for prior employer and third party
verifications.
a. Claimant Interview. The claimant interview anchors the BAM investigation and is a
major detection point for a number of overpayments and underpayments. The claimant
questionnaire is a required standard form (see Appendix B) to be completed by the claimant.
States must alter the questionnaire to satisfy unique aspects of their laws. States cannot introduce
conditions of eligibility not reasonably related to the fact or cause of unemployment. Department of
Labor approval must be obtained prior to making any change to the questionnaire that alters the
content. Such approval may be obtained by sending a copy of the requested changes to the
appropriate DOL Regional Office. All requirements that SWAs normally apply to contacts with
non-English speaking claimants must also be applied to contacts for BAM. If the claimant
questionnaire is translated into another language, a copy must be sent to appropriate DOL Regional
Office for approval.
States with dependency allowance provisions in their laws must develop a section of the
questionnaire for determining eligibility for dependency allowances. Department of Labor approval
for this section must be obtained by sending a copy to the appropriate DOL Regional Office.
The questionnaire must be signed by the investigator in the space provided to certify the
information was obtained in accordance with the SWA requirements. If the questionnaire was not
completed, an explanation, signed by the investigator must be entered on (or attached to) the
signature page. In this case, it will be sufficient to retain this page only in the case folder in lieu of
retaining the entire questionnaire. If a claimant fails to complete the questionnaire, then the BAM
investigator must hold the claimant to the same reporting and eligibility requirements that are used
by the SWA. A claimant's return to work or exhaustion of benefits is not, in and of itself, adequate
justification for failure to conduct the interview or obtain the questionnaire. If the claimant
questionnaire is received after the case has been closed, then the BAM investigator must reopen the
case to incorporate any new information in the case coding and/or address any additional issues,
which could affect the Key Week payment accuracy.
b. Employer Interviews. Contact with all prior or current employers, with whom
employment could affect the Key Week, must be made by the investigator to verify the facts of
separation, base period wages, and benefit year earnings. In situations where the employer uses an
agent or representative, BAM investigators should also contact the agent to verify any information
received from that source.
All employer verifications may be conducted using the method determined by the state to be the
most appropriate given the circumstances of the case. State BAM procedures must provide
guidance to investigators on escalation strategies and timing of these procedural steps. This includes
VI-5
November 2009
ET HANDBOOK NO. 395, 5th EDITION
method and timing of multiple requests for information and/or escalating requests to higher
authority of the employer (e.g. managers or corporate officers).
When changes in wages, earnings, or separations are detected, state law and policy should be the
catalyst in determining the method of follow-up contact to be utilized. For example, in cases where
there is potential fraud, SWA law and policy may require an in-person visit to obtain signatures or
other documentation necessary to effect official determinations. In verifying separation
information, all contacts must be made in accordance with accepted SWA fact-finding procedures.
Regardless of the method of contact used, the name and position of the person providing any
information must be obtained.
If a third-party represents an employer and it is state policy that all requests for information affecting
UI claims must be made with this party, then BAM investigators must initially follow state
procedures. However, if the third-party representative fails to respond in a timely or complete
manner, then BAM investigators must contact the employer of record directly, unless prohibited by
state law, rule or SWA policy. (As noted above, written policy is that policy that is distributed SWA-
wide and upon request may be made available to the public.)
c. Work Search Interviews. BAM staff must investigate a sufficient number of contacts to
establish whether the claimant has met the state’s work search requirement. States may choose to
(but are not required to) investigate additional work search contacts if they have reason to believe
potential eligibility issues (for example, refusal of work, availability, etc.) could be identified. BAM
investigators should follow their SWA’s policy with respect to the use of Web-based job search
engines and databases as an acceptable work search activity. This will vary from state to state, and
may vary from claimant to claimant, and occupation to occupation. For example, if SWA policy
allows the claimant to satisfy the work search requirement by registering with a job search site and
posting a resume that can be disseminated to or accessed by employers, BAM investigators can
verify the claimant’s registration status (comparable to verification of registration with the
employment service or union hiring hall). In any case, investigators need to document in the case
summary the basis and method of verification.
The investigator must investigate Key Week work search contacts, including any referrals by union
halls, Job Service or Labor Exchange, and private employment agencies, to verify that the contact
satisfied state requirements and to uncover any potential issues bearing on eligibility and payment of
benefits. While the method of contact to be used is at the state's discretion, this is an area similar to
the claimant interview where tests have shown a significant loss in quality when methods other than
in-person were used to obtain information.
If state law and/or policy permits job contacts made during other weeks to be applied to the Key
Week, then BAM staff must investigate a sufficient number of contacts to establish whether the
claimant has met the state’s work search requirement. These verifications are to be made following
the same guidelines as Key Week contacts. In states where law and/or policy permits work search
contacts to be made by e-mail, Internet, or other electronic methods, these contacts may be verified
using these same methods, which govern SWA authentication procedures.
If SWA records or the investigation indicates that the claimant is a labor union member and obtains
work through that labor union, verification must be made with the labor union following the general
guidelines for verifying work search contacts. This is done to detect potential issues resulting from
VI-6
November 2009
ET HANDBOOK NO. 395, 5th EDITION
labor union referrals to employers, referral refusals, or job refusals and to confirm that any deferrals
from Job Service or Labor Exchange registration and/or work search requirements have been
properly granted.
d. Third-Party Verifications. Third-party verifications are required when issues arise that
could affect a claimant's eligibility.
Potential able and available issues related to a medical condition, school attendance, etc. must be
verified. The method of contact to be used is at the discretion of the state. Registration with Job
Service may be verified and documented by obtaining a printout or a copy of the Job Service records
that indicate whether the claimant is actively registered for referral during the Key Week. State
written law, policy, and procedures govern whether claimants are required to be registered with the
Job Service and what constitutes registration. BAM coding should be consistent with such law,
policy and procedures.
Prior verification by the state of alien status will be acceptable for BAM purposes if properly
documented. If SWA records are inadequate to verify alien status, BAM investigators must conduct
verification.
Interstate third-party verifications should be completed by the investigator using the method of
telephone, FAX or e-mail to the extent possible. Assistance may be requested from the other state
where the third party is located, if necessary.
The potential for claimant employment during the benefit year should be verified using the National
Directory of New Hires. This new hire directory is mandatory under section 453A of the Social
Security Act, and BAM investigators must access this resource.
e. National Directory of New Hires. Section 453(i) of the Social Security Act (SSA) [42
U.S.C 653(i)] directs the Secretary of Health and Human Services to maintain an automated database
of the State Directory of New Hires records in the National Directory of New Hires (NDNH).
Section 453(j)(8) SSA authorizes use of the NDNH “for purposes of administering an
unemployment compensation program under federal or state law.” BAM investigators must utilize
this resource as part of the audit of paid claims to detect and investigate claimant employment
during the benefit year to determine its affect on the claimant’s eligibility for UI.
This requirement became effective for all states beginning with BAM batch 200801 (sampling week
beginning December 30, 2007, and ending January 5, 2008). All BAM paid claims sample cases for
batch 200801 forward must be matched against the NDNH using the uniform matching procedures
for all state BAM operations outlined in UIPLs 3-07 and 3-07, Change 1. These procedures do not
coincide with procedures followed by most Benefit Payment Control (BPC) operations, particularly
with respect to the timing of the matches and the period of time for which matching is requested.
States will match the SSNs of the BAM sample cases with the NDNH records that include the
period from the claimant’s benefit year beginning (BYB) date (or 365 days prior to the Key Week
ending date, whichever is shorter) to 30 days after the Key Week ending date of the sampled week.
For the purpose of case review and monitoring, the case file of all BAM paid claims samples selected
for batch 200801 forward must include documentation that a crossmatch with the NDNH was
performed, whether or not the claimant SSN matched the new hire record. BAM cases previously
VI-7
November 2009
ET HANDBOOK NO. 395, 5th EDITION
crossmatched to NDNH by BPC must be resubmitted using the BAM crossmatch procedures
outlined in UIPLs 3-07 and 3-07, Change 1. Additionally, with appropriate advance notice, SWAs
must be prepared to provide a copy of both the printout of the "SWA Input Header Record" of
sample cases submitted by the BAM and a printout of the “SWA Input detail records” to
demonstrate compliance with BAM NDNH crossmatch parameters.
The new hire “hits” that NDNH returns to the state should not be subjected to filters that BPC may
apply. In other words, the BAM unit must have access to all records returned regardless if a week
was claimed or compensated or whether the claimant reported earnings. BAM investigators must
review all new hire hits from the BYB to 30 days after the Key Week and evaluate whether the “hit”
has the potential to affect the Key Week payment. The important issue here is assuring coverage for
the entire period from the claimant’s benefit year beginning date to the 30-day period after the Key
Week ending date.
BAM must wait at least 37 days after the Key Week end date to incorporate NDNH crossmatch
results that affect the Key Week. If new hire crossmatch is pending when the case is closed, then
the BAM unit must always reopen the case (reopen code 7), investigate and document the case file,
record the crossmatch outcome (h1 = 4, 5, 7, 8), and code any error identified. This means that if
the case is closed before 37 days after the Key Week end date, then the case must be reopened. The
requirement to reopen a closed case does not depend on a “new hire hit.” It depends on the
transaction times associated with the NDNH crossmatch process. BAM must wait 30 days after the
Key Week end date to send its SSN to NDNH. The transmission file must request all new hires
reported for that claimant from the benefit year begin date to 30 days after the Key Week end date.
BAM must wait at least five business days after its request file is transmitted to NDNH so that there
is adequate time for a crossmatch response or new hire hit.
Point of Detection, BAM data element ei5, must be coded 80 through 89 for all payment errors
identified through the NDNH. Codes 81 through 87 indicate the detection point at which the
agency documented the payment error in their investigation subsequent to NDNH matching.
Prior Agency Action, BAM data element ei6, must reflect the actions of BPC and other agency
claimstaking activities. Detection of the payment error prior to the BAM audit will be documented
with the appropriate code (60 - 69 for new hire matching and 70 - 79 for wage record matching). If
the BAM audit process identifies agency responsibility (including BPC activities) for not identifying
the issue, failing to pursue the issue, or not following procedures, BAM investigators must
document the prior agency action with the appropriate code.
Additionally, BAM investigators must identify issues associated with employer new hire reporting
timeliness or failures to report new hires or Name/SSN verification problems. This requirement is
not unlike other BAM procedures, where the program independently collects all information related
to payment decisions and arrives at an autonomous payment determination. This BAM audit
finding must be documented in Prior Employer Action, BAM data element ei7.
5. Disqualifying/Deductible Income Verifications. Verifications must be made of receipt of all
remuneration that could directly affect the Key Week for which claimants could be disqualified or
have benefits reduced. States should verify this income by using the method of contact determined
by the state to be the most appropriate.
VI-8
November 2009
ET HANDBOOK NO. 395, 5th EDITION
6. Dependency Eligibility Verifications. In states with dependency allowance provisions in their
laws, the investigator must verify the dependents that were claimed. This verification must, at a
minimum, consist of the methods prescribed by state law and/or policy.
7. UCFE. To better integrate federal program with states’ claims processing systems, procedures
for obtaining wage and separation information for both the UCFE and UCX programs have been
automated to the extent possible. For the UCFE program, an Interstate Connection Network
(ICON) application has been developed which states use to generate electronic and/or hardcopy
requests to federal agencies, as appropriate, and to receive electronic responses. For the UCX and
UCFE programs, the Claim Control File System maintained by the Federal Claims Control Center
(FCCC) has been redesigned to support a more effective exchange of information and for integrity
purposes.
BAM staff should work with the SWA's Federal Programs Coordinator to determine the most
expedient way of obtaining wage, separation, earnings, and work search information from federal
installations. If in-person verification is deemed necessary by the state, the Federal Programs
Coordinator may be able to assist BAM investigators in gaining access to federal installations.
Additionally, the BAM review of the original claim file must include examination of the response
from the FCCC and any subsequent state reconciliation actions to ensure that the federal wages
were not used more than once to pay a claim. If no documentation is on file to indicate that the
FCCC was notified of the claim, the BAM unit is to initiate a request as specified in the UCFE
Handbook (No. 391) and examine the response from FCCC when it is received.
8. UCX. As mentioned above, procedures for securing UCX information has changed. UIPL 47-01
and UIPL 27-06 describe the key procedures for the electronic exchange of wage and separation
information for the UCFE/UCX programs. Key UCX procedures include the following:
y The Department of Labor’s copy of the "Defense Department Form 214", which is
often shortened to be called a DD 214, maintained at the FCCC is now the official
source of wage and separation information for use in establishing UCX entitlement
and eligibility;
y The FCCC will calculate the claimant’s UCX employment and wages and provide the
information to SWAs; and
y The state is authorized to determine UCX eligibility under an affidavit process, using
the claimant’s copy four (4) of his/her DD 214, upon receipt of a notice from the
FCCC that there is no DD 214 on file. This procedure will eliminate any potential
delay in the determination of UCX eligibility pending receipt of the Department’s
copy of the DD 214.
In-person employer contacts are not to be made with the military. Verifications of military wages
and separations are accomplished through review of claim documents.
When a UCX claim is taken, the SWA sends an inquiry to the FCCC. The FCCC response to each
inquiry enables the SWA to (1) validate the legitimacy of the DD 214 that the claimant used to
establish the claim and (2) detect potential duplicate claims. The response contains the following
data:
- beginning and ending dates of military service,
VI-9
November 2009
ET HANDBOOK NO. 395, 5th EDITION
- tabulation of net amount of time served,
- number of days of accrued leave paid,
- character of service, pay grade, and
- date of receipt by FCCC of any previous notice of claim filed.
BAM investigators must compare the DD 214 to the response from the FCCC to verify that the
wages have not been previously assigned. The pertinent information on the DD 214 must be
compared with the corresponding information on the FCCC response to ensure that the DD 214
has not been altered. Ensure that the information on the claims documents has been accurately
copied from the DD 214. Also, ensure that the monetary determination was based on the
appropriate Federal Schedule of Remuneration, i.e., the one in effect at the time the claim was filed.
Copies of the DD 214, the response from the FCCC, and the Federal Schedule of Remuneration
should be retained in the BAM case file. If the FCCC has not been contacted, or if potential issues
have not been resolved, they must be pursued by BAM investigators.
9. Interstate Requests. Some investigations require contacting claimants, employers, or other parties
in another state. The same procedures apply to interstate that apply to intrastate verifications.
Interstate contacts may be conducted using the method of contact determined by the state to be the
most appropriate given the circumstances of the case. If unable to obtain adequate information,
assistance may be requested of the other state where necessary. However, each state has the final
responsibility of obtaining all the necessary data to complete the case investigation.
10. Summary of Investigation. Each completed case must contain a Summary of Investigation.
Each SWA must develop a format which includes, at a minimum, a narrative that explains the
pertinent facts of the case: the basis for any decision that an error was made and any complexities of
the case, e.g., difficulty obtaining information, evaluation of statements taken (i.e. how the
investigator resolved a conflict in statements or why one party was found to be more credible the
other), reasons for delay, or any special circumstances that occurred. Alternately, this may be
satisfied by appropriate reference to explanations elsewhere in the case file. The summary should
not introduce any new information. In other words, the summary must be substantiated by
documentation in the case file. The investigator must sign and date the document.
The Summary should describe and call attention to agency or systemic errors identified, so that these
may be addressed. The major objectives of the BAM system are to: assess the accuracy of UI
payments, assess improvements in program accuracy and integrity, and, encourage more efficient
administration of the UI program. The coding system is complex and supports these objectives.
However, based on the errors identified and information gathered, SWAs develop plans and
implement corrective actions to ensure accurate administration of state law, rules, and procedures.
In this pursuit, the Summary of Investigation is a critical tool for communicating findings.
Therefore, the Summary of Investigation must be able to stand on its own.
The Department encourages BAM units to communicate a summary of the results of its
investigations within their agency in order to promote improved program performance and
administration.
11. Appeals. All unemployment insurance appeals hearings resulting from BAM determinations
affecting the Key Week must be attended by the BAM investigator responsible for obtaining the
VI-10
November 2009
ET HANDBOOK NO. 395, 5th EDITION
information that led to the determination. The investigator will provide testimony concerning any
questions on the BAM process and the facts upon which the determination was based. When an
appeals hearing is not attended by a BAM staff member, an explanation must be provided in the
BAM case file.
12. Sample Selection. The annual sample sizes for UI paid claims and the three types of denials are
fixed by DOL for the calendar year. BAM supervisors may change the weekly sample sizes in the
input control record to accommodate investigator vacation schedules or other staffing
contingencies. However, states are expected to pull at least the minimum number of cases each
week. States may not over sample during a portion of the year in order to meet the annual sample
allocation and then suspend sampling for the remainder of the calendar year. The minimum weekly
and quarterly samples, based on current annual sample allocations are:
Sample Annual Normal Minimum Normal Minimum
Allocation Weekly Weekly Quarterly Quarterly
Paid Claims 360* 7 5 90 81
Paid Claims 480 9 6 120 108
Denials 150/450** 3 2 37-38 32
* Allocation for ten smallest states in terms of UI workload.
** 150 cases each of monetary, separation, and non-separation denials will be selected each
year, for a total of 450 DCA cases.
13. Completion of Cases and Timely Data Entry. Prompt completion of investigations is important
to ensure the integrity of the information being collected by questioning claimant and employers
before the passage of time adversely affects recollections. Prompt entry of associated data is
necessary for both the SWA and the Department of Labor to maintain current databases.
Therefore, the following time limits are established for completion of all cases for the year. (The
"year" includes all batches of weeks ending in the calendar year.):
- a minimum of 70 percent of cases must be completed within 60 days of the week ending
date of the batch, and 95 percent of cases must be completed within 90 days of the week
ending date of the batch; and
- a minimum of 98 percent of cases for the year must be completed within 120 days of the
ending date of the calendar year.
A case is complete when the investigation has been concluded as required, all official actions for the
Key Week (except appeals) have been completed, the supervisor has signed off, and the results have
been entered into the computer.
If a SWA's rates for completion of cases sampled for investigation for the year are less than the
requirements, and it believes that such failure was attributable to reasons beyond its control, the
SWA may submit a documented analysis to the DOL Regional Office requesting relief from
Departmental actions (i.e., requirement to submit a corrective action plan and a footnote in the
BAM Annual Report). The analysis must demonstrate that all time limits would have been met had
the uncontrollably delayed cases been timely.
VI-11
November 2009
ET HANDBOOK NO. 395, 5th EDITION
14. Reopening Cases. Cases may be reopened for the following reasons:
- to correct errors detected by either the SWA or federal reviewers;
- to update information as a result of appeal decisions;
- to update payment accuracy status or other information after the new hire or wage
record crossmatch is completed; or
- to update payment accuracy status or other information as a result of responses from
claimants, employers, or third parties after a failure to respond timely to BAM requests
for information.
Case completion timeliness will be recalculated when a case is reopened to correct errors detected by
the SWA. Exceptions are provided for cases reopened to update information as a result of
investigation following the match of a claimant’s SSN with either new hire directory records or wage
records or to update information based on responses from the claimant, employer, or third party
following documented failures to respond to requests for information, or to update coding following
an appeal. Therefore, it is important to minimize reopening by ensuring that, to the extent possible,
the data are complete and correctly entered initially.
If information requested as a result of a new hire crossmatch is pending when the case is closed,
then the BAM unit must always reopen the case (Reopen Case code (ro1) = 7), investigate and
document the case file, record the crossmatch outcome (Key Week Action Code (h1) = 4, 5, 7, or
8), and code any error identified. This means that if the case is closed before 37 days after the Key
Week end date, then the case must be reopened. Case completion timeliness will not be
recalculated.
BAM cases that need to be reopened due to information obtained as a result of the investigation
subsequent to a wage record match must be reopened using Reopen Case code (ro1) = 8, and the
appropriate Key Week Action Code (h1) = 4, 5, 7, or 8 will be entered. Case completion
timeliness will not be recalculated.
If BAM requested information from the claimant, employer, or third party and that information was
not provided until after the case has been closed, the case must be reopened using Reopen Case
code (ro1) = 9. The case file must include documentation of the initial and follow-up requests for
information to demonstrate that BAM provided an adequate period for timely response and that
contact procedures had been exhausted.
For example, if the claimant responds following a period of ineligibility for a failure to report to
BAM (that is, the claimant failed to complete the questionnaire by the due date) and the case has
been closed or the employer (or third party) responds after case closure and supplies information
that would change the case coding, then BAM unit must reopen the case using Reopen Case code
(ro1) = 9, and the appropriate Key Week Action Code (h1) = 4, 5, 7, or 8 will be entered. Case
completion timeliness will not be recalculated.
For cases reopened using codes “7”, “8”, or “9”, the appropriate Key Week Action Code (h1) ”4”,
”5”, “7”, or ”8” will be entered:
VI-12
November 2009
ET HANDBOOK NO. 395, 5th EDITION
● Use Key Week Action Code 4 if the payment was proper at time of supervisor sign-off, and no
Key Week error issues were detected as a result of new hire or wage record matching or
additional information obtained through late claimant, employer, or third party response.
● Use Key Week Action Code 5 if the payment was improper at time of supervisor sign-off, but no
additional Key Week error issues were detected as a result of new hire or wage record matching
or additional information obtained through late claimant, employer, or third party response.
Example 1: The initial BAM investigation identified an A & A issue in the Key Week and the
investigation of the NDNH match determines that no wages were paid during the Key Week and
that there are no other issues arising from benefit year employment that affect the claimant’s
eligibility for the Key Week.
Example 2: The initial BAM investigation identified a BYE issue in the Key Week and the
investigation of the NDNH match verifies that the information coded based on the original
investigation (amount of error, B-2 Attachment B type of error, responsibility, etc.) is correct.
● Use Key Week Action Code 7 if the payment was proper at time of supervisor sign-off, but is
improper as a result of new hire or wage record matching or additional information obtained
through late claimant, employer, or third party response.
● Use Key Week Action Code 8 if the payment was improper at time of supervisor sign-off, but
additional Key Week error issues were identified or the coding of an issue identified in the initial
BAM audit is revised as a result of new hire or wage record matching or additional
information obtained through late claimant, employer, or third party response
Example 1: The initial BAM investigation identified a reporting issue in the Key Week, and the
investigation of the NDNH match verifies that the claimant was employed during the Key Week
and identifies an overpayment due to BYE.
Example 2: The original BAM investigation identified a Key Week BYE issue and the investigation
of the NDNH match identifies additional information that requires revision of the information
coded based on the original investigation (amount of error, type of error, responsibility, etc.).
VI-13
November 2009
ET HANDBOOK NO. 395, 5th EDITION
CHAPTER VII
RECORDS AND REPORTING
1. Introduction. This chapter designates the requirements for records and reporting. During the
period for which records and reports are required to be maintained, they must be available for
federal monitoring.
2. Documentation. Each case file must contain, at a minimum, a copy of all agency documents
from the claimant's original claim file in addition to any documents pertaining to the BAM
investigation that were utilized. These documents include but are not limited to:
y Claimant Questionnaire
y Copy of Key Week Certification
y Disqualifying Ineligibility Ruling
y Documentation of Method of Claimant Identification
y Authorization to Release Information, if required by the state.
y Signed statements on factfinding issues
y Work Search Verification - Employer
y Work Search Verification - Labor Organization
y Work Search Verification - Private Employment Agency
y Employment Separation Verification
y Employment Wages/Earnings Verification
y Disqualifying Income Verification
y Verification of Dependents, if applicable
y Monetary determinations/redeterminations
y Nonmonetary determinations/redeterminations
y Key Week Error Summary Worksheet
y Overpayment/underpayment actions
y Appeals decisions
y Documentation of National Directory of New Hires crossmatch
y Documentation of the Occupational Code source
y Computer Screen Shots at the time of case assignment
y Summary of Investigation
3. Retention of Records. Case files (folders) are to be retained by the state for the same time
periods required by the state for other claims records.
4. Transmission of Data to the National Office. BAM records must be available for daily
electronic transmittal of data from states to the Department of Labor’s National Office.
VII-1
November 2009
ET HANDBOOK NO. 395, 5th EDITION
CHAPTER VIII
DENIED CLAIMS ACCURACY
1. Introduction. The BAM program has continued to measure the accuracy of UI paid claims in all
states, the District of Columbia and Puerto Rico since it became mandatory in 1987. In 2001, after
extensive testing, the investigation of denied claims, know as Denied Claims Accuracy (DCA), was
implemented. DCA measures the accuracy of disqualifying monetary, separation, and
non-separation determinations for both intrastate and interstate claims.
2. Overview of DCA. As in the investigation of paid claims, states will have the responsibility to
draw samples, perform investigations, identify errors, compute error rates, analyze data, and initiate
corrective action if appropriate. The primary federal responsibilities are to ensure system integrity,
reduce non-sampling errors through monitoring state practices and procedures, and analyze DCA
data to assess the impact of federal requirements on the UI system.
The Data Collection Instruments (DCI), with instructions and database specifications for DCA can
be found in appendix D of this handbook. Each BAM unit must ensure that the DCA program
meets the Methods and Procedures requirements for organization, authority, and written procedures
as indicated in Chapter II.
3. Investigative Requirements. DCA investigations will be conducted in accordance with the
procedures described in detail in Chapter VI, of this Handbook. The following general
requirements must be adhered to, and differ from the investigation of paid claims:
a. Additional Requirements for Denied Claims Investigations. Investigations consist of the review
of agency records, contact with the claimant, employer(s), and all other relevant parties to verify
information pertinent to the determination that denied eligibility. Unlike the investigation of paid
claims, in which all prior determinations affecting claimant eligibility for the compensated week are
evaluated, the investigation of denied claims is limited to the issue upon which the denial
determination is based. For example, if a continued week claim is denied because the agency
determined that the claimant was not available for work, only that availability issue is to be
investigated. The monetary, separation, and any other nonmonetary determinations that could have
affected eligibility will not be investigated. The DCA investigator must maintain this “narrow focus”
for the specific issue throughout the investigation. As in the investigation of paid claims, states have
the flexibility to conduct the investigation of denied claims utilizing in-person interviews, telephone,
mail, e-mail or fax to collect information.
Regardless of the method used, it is intended that states obtain the information needed to complete
their cases. States must attempt to obtain the information required for investigations using any and
all of the above listed methods. States have the option of using any of these methods that it
determines to be the most efficient and effective based on the circumstances of each case. States are
to document all attempts made in procuring needed information in each case’s summary. As
previously stated in Chapter VI, it is important to note that the audit process differs substantially
from normal UI operations in terms of cost, time, and effort. BAM investigators must exhaust all
avenues in obtaining information. This contrasts to UI operations, which are held to a reasonable
attempts standard.
VIII-1 November 2009
ET HANDBOOK NO. 395, 5th EDITION
b. Verification of Facts. DCA investigators must verify facts contained in the case file, obtain any
missing information, as well as conduct new and original factfinding that may be relevant to the
denials determination. This may involve contacting employers, or third parties who had not been
contacted previously by the agency.
4. DCA Investigative Methodology.
a. Sample Design and Sample Sizes. Each week, states will select systematic random samples from
three separate sampling frames constructed from the universes of UI claims for which eligibility was
denied for monetary, separation, or non-separation reasons. States must use the BAM population
edit and sample selection software program to select the weekly samples.
All states will sample a minimum of 150 cases of each type of denial in each calendar year. The
annual sample allocation of 150 cases for each of the three types of denials is the minimum
necessary to produce a sufficient number of error cases to produce program improvement
information. These sample allocations also take into account the difficulty of obtaining information
from claimants who were denied benefits and the possibility that DCA case completion rates will be
less than the completion rate for BAM paid claims.
b. Claimant Interview. The claimant interview for DCA will remain an integral part of the
investigation. The claimant questionnaires are required forms (see appendix B) to be completed by
the claimant. Unlike BAM paid claims, it will be necessary to have more than one claimant
questionnaire in order to address the three types of disqualifying issues: monetary, separations, and
non-separations. The investigator must obtain the completed questionnaire for the applicable
denials issue. Every effort should be made to complete the claimant questionnaire even though
locating the claimant may be somewhat difficult since they will not be in a “paid” status. All other
requirements for DCA claimant questionnaires are the same as paid claims.
5. Interstate Requests. Interstate claims are included in the DCA sample selection process. The
same procedures apply to interstate that apply to intrastate verifications. Interstate contacts may be
conducted using the method of contact determined by the state to be the most appropriate means of
contact. In cases where the state is unable to obtain adequate information, assistance may be
requested of the other state’s BAM unit. However, each state has the final responsibility of
obtaining all the necessary information to complete the case investigation.
6. Other Verifications. Where applicable for DCA, the following investigative processes are the
same as BAM paid claims: Employer Interviews; Work Search Interviews; Third-Party Verifications;
Disqualifying/Deductible Income Verifications; Dependency Eligibility Verifications; UCFE
Verifications; UCX Verifications; Summary of Investigation; Appeals; and Reopening Cases.
7. Completion of DCA Cases and Timely Data Entry. As in paid claims, prompt completion of
investigations is important to ensure the integrity of the information being collected by questioning
claimant and employers before the passage of time adversely affects recollections. Prompt entry of
associated data is necessary for both the state and DOL to maintain current databases. However,
due to the fact that contacting the claimant and obtaining claimant information is more difficult than
in paid claims, the timeliness standards differ as the following indicates:
- a minimum of 60 percent of cases must be completed within 60 days of the week ending
date of the batch, and 85 percent of cases must be completed within 90 days of the week
ending date of the batch; and
VIII-2 November 2009
ET HANDBOOK NO. 395, 5th EDITION
- a minimum of 98 percent of cases for the year must be completed within 120 days of the
ending date of the Calendar Year.
8. Data Elements and Descriptions. The balance of this chapter contains the data elements to
be gathered and verified by the BAM investigator for each case. Although some elements may be
downloaded from the mainframe computer to this record and others are assigned by the software,
most data must be entered manually. For each data element, the following information is provided:
- NAME: full name of data element
- SHORT NAME: as abbreviated for printout
- Definition: provides specific instructions for each data element and lists the codes
available for each data element
The following general instructions are applicable for data elements involving money:
y Entries must be in whole dollars, with the exception of hourly wages that require both
dollars and cents.
y For those entries requiring whole dollars, states that have formal policies regarding the
rounding of dollars should follow those policies. Other states should round to the
nearest whole dollar, i.e., drop decimals of (4) or less; round up decimals of (5)or
more.
y Beginning with Batch 200701, coding is mandatory for elements 10 through 36 on the
DCI.
VIII-3 November 2009
ET HANDBOOK NO. 395, 5th EDITION
CASE CONTROL AND CLAIMANT INFORMATION
(1) NAME: Batch Number
SHORT NAME: batch
Definition: Enter number provided as output from Mainframe computer program that
selects all sample cases – indicates calendar year (YYYY) and week (WW).
Edits: YYYY must be greater than 1985. WW must be between 01 and 52, inclusive.
Exception: In certain years (for example, 1988, 1994, 2000) WW is between 01 and 53.
Batch number may never be NULL. WW 01 is always the 1st Saturday in January of each
year.
(2) NAME: Sequence Number
SHORT NAME: seq
Definition: Enter number provided as output from computer program that selects all
sample cases. This number indicates the sequence of case(s) selected within each activity. It
is used to control access to a particular case.
Edits:
• The sequence number cannot be NULL.
• The sequence number values are from 01-99.
(3) NAME: Sample Type
SHORT NAME: samptype
Definition: Enter the code for the type of record selected or sampled. The codes and
their meaning are:
1 = Benefit payment
2 = Monetary denial
3 = Nonmonetary/Separation issue denial
4 = Nonmonetary/Nonseparation issue denial
Edits: Must be 1 for PCA and 2, 3, or 4 for DCA.
Name: Claimant’s last name
(4) NAME: Social Security Number
SHORT NAME: ssn
Definition: Enter the Social Security Number (actual, not transformed) of the claimant
provided as output from the sample selection program.
Edits: The SSN may be broken down into its three (3) respective parts: area, group, and
serial. The breakdown is as such: XXX-YY-ZZZZ where XXX is the area, YY is the
group, and ZZZZ is the serial. The SSN must be nine digits in length and cannot be
NULL.
VIII-4 November 2009
ET HANDBOOK NO. 395, 5th EDITION
AREA: The area cannot be all zeros. The area ranges from 001-587, 589-649, and 700-728.
The areas that have been allocated but have not yet been assigned include: 588, 650, 665,
667-669, and 750-763. Area 666 does not exist. Code 999 is valid to identify instances in
which two individuals are using the same SSN.
GROUP: The group cannot be all zeros; therefore, the group ranges from 01-99.
SERIAL: The serial cannot be all zeros; therefore, the serial ranges from 00001-9999.
(5) NAME: Claim Date
SHORT NAME: clmdate
Definition: Claim Date will always relate to the type of claim for which the denial was
issued. This date is provided as output from the sample selection program.
If the issue investigated arises from a new initial, additional, transitional or reopened claim
enter the month (MM), day (DD), and year (YYYY) of the effective date of the new initial,
additional, transitional, or reopened claim.
If the issue investigated arises from a claimed or compensated week, enter the month, day
and year of the week ending date of the claimed or compensated week (first week affected
ending date – the first week in a claim series to which a notice of nonmonetary
determination applies)
Edits:
• Must be less than or equal to the batch ending date.
• Must be greater than 12/31/1985.
• If Sample Type = 3 or 4, and Claim Type = 0, can be “02/02/0002”, Not Applicable.
• For all Sample Types, if Claim Type = 1, 2, 3, 4, or 5, Claim Date cannot = 02/02/0002
(6) NAME: Claim Type
SHORT NAME: clmtype
Definition: Enter the code for the type of claim.
The valid codes are:
0 = No Week Claimed
1 = New Initial Claim
2 = Additional Claim
3 = Transitional Claim
4 = Reopened Claim
5 = Continued Week claim (including first and final payments)
Note: The ‘0’ code cannot be used as the Claim Type for monetary denials. Claim type for
monetary denials must reflect the appropriate code (‘1’ – new initial, ‘3’ – transitional). Edits
in the Update Cases and Reopen Cases programs will not allow a Claim Type code of ‘0’ for
monetary denials.
VIII-5 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Edits:
• Must be 0-5.
• Claim Type cannot be NULL
(7) NAME: State
SHORT NAME: state
Definition: Enter state Alpha identification code.
STATE STATE STATE
STATE NAME STATE NAME STATE NAME
CODE CODE CODE
AL Alabama LA Louisiana OK Oklahoma
AK Alaska ME Maine OR Oregon
AZ Arizona MD Maryland PA Pennsylvania
AR Arkansas MA Massachusetts PR Puerto Rico
CA California MI Michigan RI Rhode Island
CO Colorado MN Minnesota SC South Carolina
CT Connecticut MS Mississippi SD South Dakota
DE Delaware MO Missouri TN Tennessee
DC District of Columbia MT Montana TX Texas
FL Florida NE Nebraska UT Utah
GA Georgia NV Nevada VT Vermont
HI Hawaii NH New Hampshire VA Virginia
ID Idaho NJ New Jersey VI Virgin Islands
IL Illinois NM New Mexico WA Washington
IN Indiana NY New York WV West Virginia
IA Iowa NC North Carolina WI Wisconsin
KS Kansas ND North Dakota WY Wyoming
KY Kentucky OH Ohio
Edits:
• The must be a valid alpha code from the above.
• Must be -2, only if 90 - Action Flag is 8.
(8) NAME: Local Office
SHORT NAME: locoff
Definition: Enter the state agency’s local office code, itinerant point number, or code
designating telephone or electronically filed claims through which the claim was filed.
Edits: The edits of this field are state dependent. Specifically, the values used for
validation can be derived from uidb.b_qcslo.lo_id.
(9) NAME: Investigator Identification
SHORT NAME: invid
Definition: Enter the code of investigator or supervisor to whom the case was assigned.
The BAM supervisor assigns these codes. If more than one investigator worked on the case,
enter code of investigator who established whether the payment/determination under
investigation was correctly made. Entry of this code will automatically enter the current date
in the assignment date field.
VIII-6 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Edits: The edits of this field are state dependent. Specifically, the values used for
validation can be derived from uidb.b_uaf.id.
(10) NAME: Primary Method Claimant Information Obtained
SHORT NAME: methinfoobt
Definition: Enter the code which best describes the method by which the information
contained on the claimant questionnaire was obtained.
1 = In-person interview
2 = Telephone interview
3 = Mail or other method (including e-mail or fax)
-1 = Information not available or missing
-2 = Not applicable, if the claimant withdrew claim after denial issued
Edits:
• Must be 1, 2, 3, or -1.
• Must be -2, only if 90 - Action Flag is 8.
(11) NAME: U.S. Citizen
SHORT NAME: citizen
Definition: Enter applicable code after appropriate verifications.
1 = U.S. Citizen
2 = Alien eligible under 3304(a)(14)FUTA
3 = Alien ineligible under 3304(a)(14)FUTA
-1 = Information not available or missing
-2 = Not applicable, if the claimant withdrew claim after denial issued
Edits:
• Must be 1, 2, 3, or -1.
• Must be -2, only if 90 - Action Flag is 8.
(12) NAME: Date of Birth
SHORT NAME: dob
Definition: Enter month, day and year of birth. If month of birth is unknown, use “06”.
If day of birth is unknown, use “01”. If date of birth is missing or unknown, use
“01/01/0001”. If claimant withdrew claim after denial was issued, enter “02/02/0002” for
not applicable.
Edits:
• Must be 1900 ~ Current.
• Cannot be later than 24 - Benefit Year Beginning.
• Can be "01/01/0001".
• Can be "02/02/0002", only if 90 - Action Flag is 8.
VIII-7 November 2009
ET HANDBOOK NO. 395, 5th EDITION
(13) NAME: Gender
SHORT NAME: gender
Definition: Enter appropriate code.
1 = Male
2 = Female
-1 = Information not available or missing
-2 = Not applicable
Edits:
• Must be 1, 2, or -1.
• Can be -2, only if 90 - Action Flag is 8.
(14) NAME: Race / Ethnic Classification
SHORT NAME: ethnic
Definition: This is a two-position data element. Enter appropriate ethnic code in the first
position, and appropriate race code in the second position.
99 = If neither race nor Hispanic/Latino ethnicity is known
-2 = Not applicable if claimant withdrew claim after denial was issued
FIRST POSITION Æ 0 – Not Hispanic 1 – Hispanic or 9 – Ethnicity
SECOND POSITION È or Latino Latino Unknown
1 – White 01 11 91
2 – Black or African American 02 12 92
3 – Asian 03 13 93
4 – American Indian or Alaska Native 04 14 94
5 – Native Hawaiian or Other Pacific Islander 05 15 95
6 – Multiple Categories Reported 06 16 96
9 – Race Unknown 09 19 99
Edits:
• Must be a valid code from the above table.
• Can be 99.
• Can be -2, only if 90 - Action Flag is 8.
(15) NAME: Education
SHORT NAME: educ
Definition: Enter highest level of academic education completed after appropriate
verifications.
00 = Never attended school
1 through 11 = Highest grade completed
12 = High school graduate or GED
14 = Some college (but no degree)
VIII-8 November 2009
ET HANDBOOK NO. 395, 5th EDITION
15 = Associate’s Degree
16 = BA or BS Degree
20 = Graduate Degree (Masters, MD, PhD, JD, etc.)
-1 = Information not available or missing
-2 = Not applicable
Edits:
• Must be 00, 01 to 12, 14 to 16, 20, or -1.
• Can be -2, only if 90 - Action Flag is 8.
Note regarding this element and (16): A distinction must be made between education and
training. Attendance at one institution or facility cannot be coded under both categories. If the
experience leads to a certificate it is to be considered vocational or technical (voc/tech) school
training. If the individual is awarded a degree (diploma), it is considered “formal” education. If
training is post high school and claimant indicates training is for a certificate, proceed to voc/tech
question. If it does not lead to a degree, it is to be considered voc/tech training.
(16) NAME: Vocational or Technical School Training
SHORT NAME: voctech
Definition: Enter applicable code after appropriate verification of job related course.
1 = Never attended
2 = Attended, but not certified
3 = Attended and received certificate
-1 = Missing or information not available
-2 = Not Applicable
Edits:
• Must be 1, 2, 3, -1, or -2.
• Must be -2, if 90-Action Flag is 8.
(17) NAME: Training Status
SHORT NAME: trainstat
Definition: Enter the applicable code, after verification, for the claimant’s training status
during the denial period.
00 = Not in training
UI Approved Training: NOT UI Approved Training:
11 = Tech./voc. 21 = Tech./voc.
12 = WIA 22 = WIA
13 = Academic 23 = Academic
14 = Other 24 = Other
-1 = Information not available or missing
-2 = Not Applicable
Edits:
• Must be 00, 11 to 14, 21 to 24, -1, or -2.
• Must be -2, if 90 - Action Flag is 8.
VIII-9 November 2009
ET HANDBOOK NO. 395, 5th EDITION
(18) NAME: O*Net Code for Claimant’s Usual Occupation
SHORT NAME: usualocc
Definition: Enter the first three digits of the O*NET code for claimant’s usual occupation.
The first source for this data element is the claimant’s response on the claimant
questionnaire. This information must be verified with either the base period employer or the
separating employer. The BAM investigator must resolve any discrepancies between the
claimant’s statement and the employer information. If the information is not available from
the claimant questionnaire or the employer verifications, then use labor market information.
-1 = Information not available or missing
-2 = Information not applicable
Code O*NET Major Group Code O*NET Major Group
Management Occupations Food Preparation and Serving Related
11 35
Occupations
Business and Financial Operations Building and Grounds Cleaning and
13 37
Occupations Maintenance Occupations
15 Computer and Mathematical Occupations 39 Personal Care and Service Occupations
17 Architecture and Engineering Occupations 41 Sales and Related Occupations
Life, Physical, and Social Science Office and Administrative Support
19 43
Occupations Occupations
21 Community and Social Services Occupations 45 Farming, Fishing, and Forestry Occupations
23 Legal Occupations 47 Construction and Extraction Occupations
Education, Training, and Library Installation, Maintenance, and Repair
25 49
Occupations Occupations
Arts, Design, Entertainment, Sports, and Production Occupations
27 51
Media Occupations
Healthcare Practitioners and Technical Transportation and Material Moving
29 53
Occupations Occupations
31 Healthcare Support Occupations 55 Military Specific Occupations
33 Protective Service Occupations
Edits:
• The first two digits must be a valid code from the above.
• Must be -2, if 90 - Action Flag is 8.
(19) NAME: Occupation Code (Seeking Work)
SHORT NAME: seekocc
Definition: Enter the first three digits of the O*NET code for type of work that claimant is
seeking. (See Element 18 for list) The first source for this data element is the claimant’s
response on the claimant questionnaire. If the information is not available from the claimant
questionnaire, then use information obtained from the agency records.
If the claimant is not required to seek work, and the claimant interview was not completed,
this data element should reflect the claimant's occupation for the employment on which the
agency based the exemption from work search
-1 = Information not available or missing
VIII-10 November 2009
ET HANDBOOK NO. 395, 5th EDITION
-2 = Information not applicable
Edits:
• The first two digits must be a valid code from the above.
• Must be -2, if 90 - Action Flag is 8.
(20) NAME: Normal Hourly Wage for Base Period Occupation
SHORT NAME: ushrwage
Definition: Enter normal hourly wage for the claimant’s occupation during the base period.
The first source for this information is the claimant’s response on the claimant
questionnaire. The BAM investigator must verify this information with the claimant’s base
period employer and resolve any discrepancies between the claimant’s statement and
information from the base period employer. If the information is not available from the
claimant questionnaire or through verification with the base period and/or separating
employer, then use labor market information. Express with decimal point in dollars and
cents per hour (e.g., $7.50 per hour is coded as 7.50).
Use state conversion formula when other than hourly wage is given. If no state formula, use
the appropriate formula provided below:
Weekly wages divided by 40 or normal weekly hours for claimant's usual occupation.
Monthly wages divide by 4.33, then divide by 40 or normal weekly hours for claimant's
usual occupation.
Yearly wages divide by 52, then divide by 40 or normal weekly hours for claimant's
usual occupation.
Military (UCX) compute using the information provided on the DD-214. Military wages
are based on 240 hours monthly, 56 hours weekly and 8 hours daily.
-1 = Information not available or missing
-2 = Information not applicable
Edits:
• Must be in the validation range set by state agency
• Must be -2, if 90 - Action Flag is 8.
(21) NAME: Lowest Acceptable Hourly Wage
SHORT NAME: lohrwage
Definition: Enter lowest hourly wage that claimant was willing to accept. The first source
for this data element is the claimant’s response on the claimant questionnaire. This
information must be verified with either the base period employer or the separating
employer. The BAM investigator must resolve any discrepancies between the claimant’s
statement and the employer information. Express in dollars and cents per hour (e.g., $7.50
per hour is coded as 7.50). Use state conversion formula when other than hourly wages is
given. If no state formula, use the appropriate formula provided in element (20) above.
-1 = Information not available or missing
VIII-11 November 2009
ET HANDBOOK NO. 395, 5th EDITION
-2 = Information not applicable
Edits:
• Must be in the validation range set by state agency.
• Must be -2, if 90 - Action Flag is 8.
BENEFIT YEAR INFORMATION
(22) NAME: Program Code
SHORT NAME: program
Definition: Enter appropriate program code that identifies the type of claim that was taken:
1 = UI 6 = UCFE-UCX
2 = UI-UCFE 7 = UCX
3 = UI-UCX 8 = (Reserved for temp. programs)
4 = UI-UCFE-UCX 9 = Deleted record (did not belong in sampling
5 = UCFE frame)
Edits: Must be 1 to 8.
(23) NAME: Combined Wage Claim
SHORT NAME: cwc
Definition: Enter the code that applied at the time the claim was denied.
1 – CWC Intrastate Claim
2 – No Combined Wages, Intrastate Claim
3 – Pending out-of-state wages, Intrastate Claim
4 – CWC Interstate Claim
5 – No Combined Wages, Interstate Claim
6 – Pending out-of-state wages, Interstate Claim
Use codes 1 or 4 if out-of-state wages were used for the monetary determination.
Use codes 2 or 5 if there are no out-of-state wages or if the claimant declined to combine.
Use codes 3 or 6 if out-of-state wages have been requested but not received or acted upon at
the time the determination was made.
Edits:
• Must be 1 to 6.
• Cannot be 1 or 4, if 44 - BP Emps. Before is 1.
(24) NAME: Benefit Year Beginning
SHORT NAME: byb
Definition: Enter effective date of most recent new or transitional (not reopened or
additional) claim for denial or payment being investigated. Entry can be “02/02/0002”, Not
Applicable, if claimant withdrew claim after denial was issued.
VIII-12 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Edits:
• Can not be less than "01/01/1980".
• Can be "02/02/0002".
• Must be "02/02/0002", if 90 - Action Flag is 8.
• Must be earlier than or equal to the Batch Ending Date and be greater than or equal to
the Batch Ending Date minus 731 days, if Claim Date is "02/02/0002".
• Must be earlier than or equal to compensable week ending date, if Claim Date is not
"02/02/0002".
• Cannot be more than 731 days prior to the Claim Date, if Claim Date is not
"02/02/0002".
• Cannot be earlier than 12 - Date of Birth.
(25) NAME: Initial (New/Additional) Claim Filing Method
SHORT NAME: icfilmeth
Definition: Enter filing method for the new initial, transitional, or most recent additional
claim for payment/determination under investigation.
1 = In-person claim
2 = Mail claim (including e-mail)
3 = Telephone claim (including automated, interactive telephone systems)
4 = Employer-filed claim
5 = Other (including fax or electronic other than e-mail)
6 = Internet Claim
-1 = Information not available or missing
-2 = Not Applicable
Edits:
• Must be 1 to 6, -1, or -2.
• Must be -2, if 90 - Action Flag is 8.
Stamp Edits: Must be 1 to 6, or NULL.
(26) NAME: Benefit Rights Given
SHORT NAME: bri
Definition: Enter all codes that apply regarding method by which claimant was given
Benefit Rights Interview.
Each distinct position within the field ABCD is Boolean (true/false), where A is In-person
interview, B is Group interview, C is Booklet or pamphlet, and D is Video / Electronic
(including Internet, telephone or other multimedia) / or other multimedia. The valid codes
are summarized in the following table.
VIII-13 November 2009
ET HANDBOOK NO. 395, 5th EDITION
BENEFITS RIGHTS GIVEN
A = In-person Interview B= Group Interview
0 – Not given 0 – Not given
1 – In-person interview given 2 – Group interview given
C = Booklet / Pamphlet D = Video/Electronic/Other Multimedia
0 – Not given 0 – Not given
3 – Booklet / Pamphlet given 4 – Video/Electronic (including
Internet/Telephone/Other Multimedia
-1 = Information not available or missing
-2 = Not Applicable
Edits:
• Must be a combination of 0 to 4, -1 or -2.
• Must be -2, if 90 - Action Flag is 8.
(27) NAME: Industry Code of Primary Base Period Employer
SHORT NAME: priempsic
Definition: Enter four-digit (industry group level) North American Industry Classification
System (NAICS) code for the claimant’s primary base period employer as identified for the
Claim Date (element 5). If only a two-digit NAICS sector level is available on the state’s
computer system, enter the two digits followed by two zeros. If at all possible, NAICS codes
should be obtained for out-of-state employers, non-profit employers and exempt employers.
NAICS codes can be found at: www.census.gov/naics/.
-1 = Information not available or missing
-2 = Not Applicable (No base period employer or claimant
withdrew claim after denial was issued.)
11 Agriculture, Forestry, Fishing, Hunting 53 Real Estate, Rental and Leasing
21 Mining 54 Professional, Scientific, and Technical
Services
22 Utilities 55 Management of Companies and Enterprises
23 Construction 56 Administrative Support, Waste Management
and Remediation Services
31-33 Manufacturing 61 Education Services
42 Wholesale Trade 62 Health Care and Social Assistance
44-45 Retail Trade 71 Arts, Entertainment and Recreation
48-49 Transportation and Warehousing 72 Accommodation and Food Services
51 Information 81 Other Services (except Public Administration)
52 Finance and Insurance 92 Public Administration
Edits:
• First two positions of code must be a valid two-digit NAICS code defined above.
• Must be -2, if 90 - Action Flag is 8.
VIII-14 November 2009
ET HANDBOOK NO. 395, 5th EDITION
(28) NAME: Industry Code of Last Employer
SHORT NAME: lastempsic
Definition: Enter four-digit (industry group level) NAICS code (see chart in Element 27)
for the claimant’s last employer as identified for the Claim Date (element 5). If only a two-
digit NAICS sector level is available on the state’s computer system, enter the two digits
followed by two zeros.
-1 = Information not available or missing
-2 = Not Applicable
Edits:
• First two positions of code must be a valid two-digit NAICS code defined above.
• Must be -2, if 90 - Action Flag is 8.
(29) NAME: Method for Filing Week Claimed
SHORT NAME: wkfilmeth
Definition: Enter filing method for claim. If “Claim Type” is ‘0’ (no week claimed), this
field will be coded ‘0’. If the determination that denied eligibility affected multiple weeks
and the claimant used different methods to file the affected weeks, code the filing method
for the most recent week affected by the denial determination.
0 = No week claimed
1 = Mail Claim (including e-mail)
2 = In-person Claim
3 = Employer-filed Claim
4 = Telephone Claim (including automated, interactive, telephone systems)
5 = Other (including fax or electronic other than e-mail)
6 = Internet Claim
-1 = Missing
-2 = Not Applicable
Edits:
• Must be 0 to 6, -1, or -2.
• Must be -2, if 90 - Action Flag is 8.
• Must be 0 if Claim Type is 0.
Stamp Edits: Must be 1 to 6, or NULL.
(30) NAME: Original Amount Paid and/or Offset for Denial Period / Week
SHORT NAME: origamtpd
Definition: Enter original whole dollar amount paid and/or offset (including any
dependent allowance and/or child support intercept) for weeks affected by denial
determination under investigation.
-2 = Not Applicable
Edits:
• Can be 0.
• Must be -2, if 90 - Action Flag is 8.
VIII-15 November 2009
ET HANDBOOK NO. 395, 5th EDITION
• Must be less than or equal to 35 - MBA Before.
(31) NAME: Number of Weeks Denied Before Investigation
SHORT NAME: wksdenbef
Definition: Enter the number of weeks claimant was disqualified as a result of the
determination selected for investigation (regardless of whether those weeks have been
claimed.)
99 = Indefinite disqualification
-2 = Not Applicable
Edits:
• Must be 0 to 52, 99, or -2.
• Must be -2, if 90 - Action Flag is 8.
(32) NAME: Number of Weeks Denied After Investigation
SHORT NAME: wksdenaft
Definition: Enter the number of weeks claimant should have been disqualified subsequent
to investigation according to DCA findings (regardless of whether those weeks have been
claimed.)
99 = Indefinite disqualification
-2 = Not Applicable
Edits:
• Must be 0 to 52, 99 or -2.
• Must be -2, if 90 - Action Flag is 8.
(33) NAME: Weekly Benefit Amount (WBA) Before Investigation
SHORT NAME: wbabef
Definition: For monetary denials (sample type 2), enter claimant’s WBA, based on the
original monetary determination at time of selection for investigation, expressed in whole
dollars. Disregard any adjustments to WBA resulting from a monetary redetermination
caused by nonmonetary issues (e.g., a separation issue or administrative penalty). Disregard
any EB benefit entitlement, state supplemental payments, dependents' allowances or any
deductions.
For separation/non-separation determinations, enter the WBA based on the original
monetary determination or the adjusted WBA based on a monetary redetermination made
because of a non-monetary issue.
0 = Ineligible
-2 = Not Applicable, if the claimant withdrew claim after denial issued
Edits:
• Must be in the validation range set by state agency.
• Can be 0.
• Must be -2, if 90 - Action Flag is 8.
• Must be 0 if 44 - BP Emps. Before = 0.
• Must be less than or equal to 35 - MBA Before.
VIII-16 November 2009
ET HANDBOOK NO. 395, 5th EDITION
(34) NAME: Weekly Benefit Amount (WBA) After Investigation
SHORT NAME: wbaaft
Definition: For monetary denials (sample type 2), enter claimant's WBA based on the
monetary determination that should have applied after the DCA investigation, expressed in
whole dollars. Disregard any adjustments to WBA resulting from a monetary
redetermination caused by nonmonetary issues (e.g., a separation issue or administrative
penalty). Disregard any EB benefit entitlement, state supplemental payments, dependents'
allowances or any deductions.
For separation/non-separation determinations, enter the WBA based on the original
monetary determination or the adjusted WBA based on a monetary redetermination made
because of a non-monetary issue.
0 = Ineligible
-2 = Not Applicable, if the claimant withdrew claim after denial issued
Edits:
• Must be in the validation range set by state agency.
• Can be 0.
• Must be -2, if 90 - Action Flag is 8.
• Must be 0 if 45 - BP Emps. After = 0.
• Must be less than or equal to 36 - MBA After.
(35) NAME: Maximum Benefit Amount (MBA) Before Investigation
SHORT NAME: mbabef
Definition: For monetary denials (sample type 2), enter claimant's MBA based on the
original monetary determination at time of selection for investigation, expressed in whole
dollars. Disregard any adjustments to MBA resulting from a monetary redetermination
caused by nonmonetary issues (e.g., a separation issue or administrative penalty). Disregard
any EB benefit entitlement, state supplemental payments, dependents' allowances or any
deductions.
For separation/non-separation determinations, enter the MBA based on the original
monetary determination or the adjusted MBA based on a monetary redetermination made
because of a non-monetary issue.
0 = Ineligible
-2 = Not Applicable, if the claimant withdrew claim after denial issued
Edits:
• Must be in the validation range set by state agency.
• Can be 0.
• Must be -2, if 90 - Action Flag is 8.
• Must be greater than the Remaining Balance (RB) as of Date of
Determination/Compensable Week Ending Date, Before Investigation.
• Must be greater than or equal to 33 - WBA Before.
VIII-17 November 2009
ET HANDBOOK NO. 395, 5th EDITION
(36) NAME: MBA After Investigation
SHORT NAME: mbaaft
Definition: For monetary denials (sample type 2), enter claimant's MBA based on the
monetary determination that should have applied after the DCA investigation, expressed in
whole dollars. Disregard any adjustments to MBA resulting from a monetary
redetermination caused by nonmonetary issues (e.g., a separation issue or administrative
penalty). Disregard any EB benefit entitlement, state supplemental payments, dependents'
allowances or any deductions.
For separation/non-separation determinations, enter the MBA based on the original
monetary determination or the adjusted MBA based on a monetary redetermination made
because of a non-monetary issue.
0 = Ineligible
-2 = Not Applicable, if the claimant withdrew claim after denial issued
Edits:
• Must be in the validation range set by state agency.
• Must be -2, if 90 - Action Flag is 8.
• Must be 0 if 45 - BP Emps. After is 0.
VIII-18 November 2009
ET HANDBOOK NO. 395, 5th EDITION
MONETARY INFORMATION
(42) NAME: Reason for Monetary Denial Before Investigation
SHORT NAME: monstatbef
Definition: Enter the code that identifies the issue used to issue the monetary denial
determination. Second digit is for optional state use.
Series ID:
10 = Insufficient wages (base period wages less than minimum requirements)
20 = Insufficient hours/weeks/days
30 = Failure to meet high quarter wage requirement (high quarter wages less
than minimum).
40 = Requalification wage requirement
50 = Other
-2 = Not Applicable, if claimant withdrew claim after denial was issued OR
the Sample Type is Separation (3) or Nonseparation (4)
Edits:
• Must be 10 to 59.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 3 or 4.
(43) NAME: Reason for Monetary Denial After Investigation
SHORT NAME: monstataft
Definition: Enter the code that the DCA investigation establishes as the correct criterion
for the monetary denial determination. Second digit is for optional state use. Note: For
states with alternate base periods, BAM is determining whether the monetary denial was
proper or improper, therefore the investigator must scrutinize all five quarters of wages
considered in making this determination.
Series ID:
00 = Sufficient wages/hours/weeks/days (claimant monetarily eligible)
10 = Insufficient wages(base period wages less than minimum requirements)
20 = Insufficient hours/weeks/days
30 = Failure to meet high quarter wage requirement (high quarter wages less
than minimum).
40 = Requalification wage requirement
50 = Other
-2 = Not Applicable, if claimant withdrew claim after denial was issued OR
the Sample Type is Separation (3) or Nonseparation (4)
Edits:
• Must be 00 to 59.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 3 or 4.
(44) NAME: Number of Base Period Employers Before Investigation
VIII-19 November 2009
ET HANDBOOK NO. 395, 5th EDITION
SHORT NAME: bpempbef
Definition: Enter number of subject base period employers, before investigation, that were
used in calculating WBA and MBA for the monetary determination under investigation, even
if claimant is ineligible. Include seasonal, school, and out-of-state employers if they paid
wages that were used in the monetary determination.
-2 = Not Applicable, if claimant withdrew claim after denial was issued OR
the Sample Type is Separation (3) or Nonseparation (4)
Edits:
• Must be within the validation range set by state agency.
• Can be 0.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 3 or 4.
(45) NAME: Number of Base Period Employers After Investigation
SHORT NAME: bpempaft
Definition: Enter number of subject base period employers, after investigation, which
should have been used to calculate WBA and MBA, even if claimant is ineligible. Include
wages from seasonal, school, and out-of-state employers if they should have been used in
calculating the monetary determination.
Note: If applicable, consider the application of regular or alternative base period.
Enter “0” if it is established that there were no base period employers as a result of the
investigation.
-2 = Not Applicable, if claimant withdrew claim after denial was issued OR
the Sample Type is Separation (3) or Nonseparation (4)
Edits:
• Must be within the validation range set by state agency.
• 34 - WBA After, 36 - MBA After, and 47 - BP Wages After must be 0, if 45 - BP Emps.
After is 0.
• 49 - HQ Wages After, 51 - Wks. Worked After, 53 - Depend. After, and 55 - Depend.
Allow After must be 0 or -2, if 45 - BP Emps. After is 0.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 3 or 4.
(46) NAME: Base Period Wages Before Investigation
SHORT NAME: bpwbef
Definition: Enter total amount of all wages from employers identified in (44) “Number of
BP Employers Before Investigation”. Express in whole dollars. Include seasonal, school,
and out-of-state wages if they were used in the monetary determination. Disregard any state
reduction BP wages due to administrative penalty.
-2 = Not Applicable, if claimant withdrew claim after denial was issued OR
the Sample Type is Separation (3) or Nonseparation (4)
VIII-20 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Edits:
• Must be within the validation range set by state agency.
• Can be 0.
• Must be greater than or equal to the 48 - HQ Wages Before.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 3 or 4.
(47) NAME: Base Period Wages After Investigation
SHORT NAME: bpwaft
Definition: Enter total amount of all BP wages from employers identified in (45) “Number
of BP Employers After Investigation”, even if claimant is ineligible. Express in whole
dollars. Disregard any state reduction in BP wages due to administrative penalty.
Note: If applicable, consider the application of regular or alternative base period.
-2 = Not Applicable, if claimant withdrew claim after denial was issued OR
the Sample Type is Separation (3) or Nonseparation (4)
Edits:
• Must be within the validation range set by state agency.
• Must be 0, if 45 - BP Emps. After is 0.
• Cannot be 0, if 45 - BP Emps. After is greater than 0.
• Must be greater than or equal to 49 - HQ Wages After.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 3 or 4.
(48) NAME: High Quarter Wages Before Investigation
SHORT NAME: hqwbef
Definition: Enter total whole dollar amount of claimant’s high quarter base period wages
(before investigation) used in the monetary determination under investigation. State formula
for calculating high quarter wages is to be used. Include seasonal wages and school wages, if
used.
Equals 99999 if greater than $99,999.
-1 if information not available or missing
-2 if not applicable
Edits:
• Must be within the validation range set by state agency.
• Can be 0, -1, or -2.
• Must be greater than 0, if 46 - BP Wages Before is greater than 0.
• Must be less than or equal to 46 - BP Wages Before.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 3 or 4.
(49) NAME: High Quarter Wages After Investigation
SHORT NAME: hqwaft
VIII-21 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Definition: The total whole dollar amount of claimant's high-quarter base period wages
from those employers identified in (45), “Number of Base Period Employers After
Investigation”, even if claimant is ineligible, that should have been used for the monetary
determination under investigation. Note: If applicable, consider the application of regular or
alternative base period.
Equals 99999 if greater than $99,999.
-1 if information not available or missing
-2 if not applicable, if the claimant withdrew claim after denial issued OR
the Sample Type is Separation (3) or Nonseparation (4)
Edits:
• Must be within the validation range set by state agency.
• Can be 0, -1, or -2.
• Must be less than or equal to 47 - BP Wages After.
• Must be 0 or -2, if 45 - BP Emps. After is 0.
• Cannot be 0, if 47 - BP Wages After is not 0.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 3 or 4.
(50) NAME: Number of Weeks Worked in BP Before Investigation
SHORT NAME: bpwksbef
Definition: Enter number of weeks, as defined by state law and procedures, that claimant
worked in base period, before investigation. Complete this item if required by state law for
eligibility.
0 = Earnings in week(s), but insufficient to establish a credited week of
eligibility
-2 = Weeks/hours of work are not required
Edits:
• Must be within the validation range set by state agency.
• Can be 0.
• Can be -2, if not required by State law for eligibility.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 3 or 4.
Stamp Edits: Must be 0 to 53, -2, or NULL.
(51) NAME: Number of Weeks Worked in BP After Investigation
SHORT NAME: bpwksaft
Definition: Enter number of weeks claimant worked in base period after investigation.
Complete this item if required by state law for eligibility. Note: If applicable, consider the
application of regular or alternative base period.
0 = Earnings in week(s), but insufficient to establish a credited week of
eligibility
VIII-22 November 2009
ET HANDBOOK NO. 395, 5th EDITION
-2 = Weeks/hours of work are not required
Edits:
• Must be within the validation range set by state agency.
• Can be 0.
• Can be -2, if not required by State law for eligibility.
• Must be 0 or -2, if 45 - BP Emps. After is 0.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 3 or 4.
Stamp Edits: Must be 0 to 53, -2, or NULL.
(52) NAME: Number of Dependents Claimed Before Investigation
SHORT NAME: depbef
Definition: Enter the number of dependents claimed.
0 = None and state has a dependency provision
-2 = State does not have a dependency provision
Edits:
• Must be within the validation range set by state agency.
• Must be 0, if 54 - Depend. Allow Before is 0.
• Cannot be 0, if 54 - Depend. Allow Before is not 0.
• Must be -2, if 54 - Depend. Allow Before is -2.
• Cannot be -2, if 54 - Depend. Allow Before is not equal to -2.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 3 or 4.
Stamp Edits:
• Must be -2 or NULL.
• If 52 - Depend. Before is set to -2 or NULL, then 53 - Depend. After, 54 - Depend.
Allow Before, and 55 - Depend. Allow After will be set to -2 or NULL respectively.
(53) NAME: Number of Dependents Claimed After Investigation
SHORT NAME: depaft
Definition: Enter the number of dependents that should be claimed.
0 = None and state has a dependency provision
-2 = State does not have a dependency provision
Edits:
• Must be within the validation range set by state agency.
• Must be 0 or -2, if 45 - BP Emps. After is 0.
• Must be 0, if 55 - Depend. Allow After is 0.
• Cannot be 0, if 55 - Depend. Allow After is not 0.
• Must be -2, if 55 - Depend. Allow After is -2.
• Cannot be -2, if 55 - Depend. Allow After is not equal to -2.
• Must be -2, if 90 - Action Flag is 8.
VIII-23 November 2009
ET HANDBOOK NO. 395, 5th EDITION
• Must be -2, if Sample Type is 3 or 4.
Stamp Edits:
• Must be -2 or NULL.
• If 53 - Depend. After is set to -2 or NULL, then 52 - Depend. Before, 54 - Depend.
Allow Before, and 55 - Depend. Allow After will be set to -2 or NULL respectively.
(54) NAME: Dependents’ Allowance Before Investigation
SHORT NAME: allowbef
Definition: Enter the whole dollar amount of dependents allowance before investigation, if
any, that is payable to the claimant on a week-to-week basis.
0 = Claimant not eligible for allowance and state has a dependency provision
-2 = State does not have a dependency provision
Edits:
• Must be within the validation range set by state agency.
• Must be less than 33 - WBA Before, except for Alaska (AK).
• Must be 0, if 52 - Depend. Before is 0.
• Cannot be 0, if 52 - Depend. Before is greater than 0.
• Must be -2, if 52 - Depend. Before is -2.
• Cannot be -2, if 52 - Depend. Before is not equal to -2.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 3 or 4.
Stamp Edits:
• Must be -2 or NULL.
• If 54 - Depend. Allow Before is set to -2 or NULL, then 52 - Depend. Before, 53
Depend. After, and 55 - Depend. Allow After will be set to -2 or NULL respectively.
(55) NAME: Dependents’ Allowance After Investigation
SHORT NAME: allowaft
Definition: Enter the correct whole dollar amount of dependents allowance that should
have been payable to the claimant on a week-to-week basis.
0 = Claimant not eligible for allowance and state has a dependency provision
-2 = State does not have a dependency provision
Edits:
• Must be within the validation range set by state agency.
• Must be less than 34 - WBA After, except for Alaska (AK).
• Must be 0 or -2, if 45 - BP Emps. After is 0.
• Must be 0, if 53 - Depend. After is 0.
• Cannot be 0, if 53 - Depend. After is greater than 0.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 3 or 4.
• Must be -2, if 53 - Depend. After is -2.
• Cannot be -2, if 53 - Depend. After is not equal to -2.
Stamp Edits:
VIII-24 November 2009
ET HANDBOOK NO. 395, 5th EDITION
• Must be -2 or NULL.
• If 55 - Depend. Allow After is set to -2 or NULL, then 52 - Depend. Before, 53 -
Depend. After, and 54 - Depend. Allow Before will be set to -2 or NULL respectively.
(56) NAME: Monetary Redetermination
SHORT NAME: monredet
Definition: Enter appropriate code which indicates whether state redetermined claimant’s
monetary eligibility prior to or during the course of the DCA investigation. Consider only
monetary redeterminations conducted by the state agency independent of the DCA
investigation. Do not consider monetary redeterminations conducted by the state agency
because of the DCA investigation. Do not consider redeterminations resulting from a
nonmonetary issue (e.g., a separation issue or administrative penalty).
1 = Yes (Did not involve the application of an alternative base period
(ABP) or extended base period (EBP) in determining monetary
eligibility.)
2 = No
3 = Yes (Did involve the application of an alternative base period (ABP) or
extended base period (EBP) in determining monetary eligibility.)
-2 = Not Applicable
Edits:
• Must be 1, 2, 3 or -2.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 3 or 4.
SEPARATION INFORMATION
(57) NAME: Separation Issue Number
Definition: Enter the Numeric 2 digit code that identifies the specific separation denial
selected for the sample if multiple denial determinations were issued for the same claim on the
same date.
-2 = Not Applicable, if the claimant withdrew claim after denial issued OR Sample
Type equals 2 or 4
Edits:
• Must be 0 to 99, or -2.
• Default value is 0.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 4.
(58) NAME: Reason for Separation Determination Before Investigation
SHORT NAME: sepbef
VIII-25 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Definition: Enter the code that identifies the reason for claimant’s separation. The
separation to be coded is that separation which is subject to the DCA investigation. The
second digit of the code is reserved for state use for coding more detailed issue information
such as different types of Voluntary Quits or Discharges.
Series ID:
10 = Lack of Work (e.g., reduction in force, temporary lay off)
20 = Voluntary Quit
30 = Discharge
40 = Labor Dispute
50 = Military separation or Compelling Family Reason
60 = Not separated (partials, job attached, leave of absence)
-2 = Not Applicable, if the claimant withdrew claim after denial issued OR the
Sample Type is Monetary (2) or Nonseparation (4)
Edits:
• Must be 10 to 69.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 4.
(59) NAME: Reason for Separation After Investigation
SHORT NAME: sepaft
Definition: Enter the code that the DCA investigation establishes as the correct reason that
the claimant is separated. The second digit of the code is reserved for state use for coding
more detailed issue information such as different types of Voluntary Quits or Discharges.
Series ID:
00 = No Separation Issue
10 = Lack of Work (e.g., reduction in force, temporary lay off)
20 = Voluntary Quit
30 = Discharge
40 = Labor Dispute
50 = Military separation or Compelling Family Reason
60 = Not separated (partials)
-2 = Not Applicable (Sample Type equals 2 and 4 only)
Edits:
• Must be 00 to 69.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 4.
(60) NAME: Date of Separation Before Investigation
SHORT NAME: sepdatebef
Definition: : Enter date (MM/DD/YYYY) of separation as defined by state law/policy,
from last employer used to determine code assigned in (58). If the claimant has not been
separated, enter the last day worked, but no later than the Key Week ending date, if code in
(58) is 60-69.
VIII-26 November 2009
ET HANDBOOK NO. 395, 5th EDITION
01/01/0001 = Information not available or missing
02/02/0002 = Not Applicable
Edits:
• Can not be less than "01/01/1900".
• Must be less than or equal to 5 - Claim Date plus 14 days, and greater than or equal to 5-
Claim Date minus 731 days, if 5 - Claim Date is not "02/02/0002".
• Must be less than or equal to the Batch Week Ending Date and greater than or equal to
the Batch Week Ending Date minus 731 days, if 5 - Claim Date is "02/02/0002".
• Can be "01/01/0001".
• Must be "02/02/0002", if 90 - Action Flag is 8.
• Must be "02/02/0002", if Sample Type is 2 or 4.
(61) NAME: Date of Separation After Investigation
SHORT NAME: sepdateaft
Definition: Enter the date (MM/DD/YYYY) of separation as defined by state law/policy,
from last employer after investigation as identified in (59). If the claimant has not been
separated, enter the last day worked, but no later than the Key Week ending date, if code in
(59) is 60-69.
01/01/0001 = Information not available or missing
02/02/0002 = Not Applicable (Sample Type equals 2 and 4 only, or
59-Reason for Sep. After = “00” series, or
90-Action Flag is 8)
Edits:
• Can not be less than "01/01/1900".
• Must be less than or equal to 5 - Claim Date plus 14 days and greater than or equal to 5 -
Claim Date minus 731 days, if 5 - Claim Date is not "02/02/0002".
• Must be less than or equal to the Batch Week Ending Date and greater than or equal to
the Batch Week Ending Date minus 731 days, if 5 - Claim Date is "02/02/0002".
• Can be "01/01/0001".
• Must be "02/02/0002", if 90 - Action Flag is 8.
• Must be "02/02/0002", if Sample Type is 2 or 4.
• Must be "02/02/0002", if 59 - Reason Sep. After = "00" series.
NONSEPARATION INFORMATION
(62) NAME: Nonseparation Issue Number
Definition: Enter the code that identifies the specific nonseparation denial selected for the
sample if multiple denial determinations were issued for the same claim on the same date.
-2 = Not Applicable, if the claimant withdrew claim after denial issued OR
Sample Type equals 2 or 3
Edits:
• Must be 0 to 99, or -2.
• Default value is 0.
VIII-27 November 2009
ET HANDBOOK NO. 395, 5th EDITION
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
(63) NAME: Reason for Nonseparation Determination Before Investigation
SHORT NAME: nonsepbef
Definition: Enter the code that represents the reason for the nonseparation determination
before the DCA investigation. The second digit is for optional state use to code more
detailed information.
10 = Able Issue
20 = Available Issue
30 = Work Search Issue
40 = Disqualifying/unreported income Issue
50 = Refusal of Suitable Work Issue
60 = Reporting/registration Violation Issue
70 = Other Issue (e.g. alien, athlete, school, seasonality, employment status)
-2 = Not Applicable, if the claimant withdrew claim after denial issued OR
Sample Type equals 2 or 3
Edits:
• Must be 10 to 79.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
(64) NAME: Reason for Nonseparation Determination After Investigation
SHORT NAME: nonsepaft
Definition: Enter the code that the DCA investigation establishes as the correct
nonseparation issue. The second digit is for optional state use to code more detailed
information.
00 = No Nonseparation Issue
10 = Able Issue
20 = Available Issue
30 = Work Search Issue
40 = Disqualifying/unreported income Issue
50 = Refusal of Suitable Work Issue
60 = Reporting/registration Violation Issue
70 = Other Issue(e.g. alien, athlete, school, seasonality, employment status)
-2 = Not Applicable, if the claimant withdrew claim after denial issued OR
Sample Type equals 2 or 3
Edits:
• Must be 00 to 79.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
(65) NAME: Recall Status Before Investigation
SHORT NAME: rclstatbef
VIII-28 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Definition: Enter code that indicates claimant's recall status for the determination under
investigation.
0 = No recall
1 = Definite recall (specific return date)
2 = Indefinite recall (no specific return date)
-1 = Information not available or missing
-2 = Not Applicable, if the claimant withdrew claim after denial issued OR
Sample Type equals 2 or 3
Edits:
• Must be 0, 1, 2, -1, or -2.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
(66) NAME: Recall Status After Investigation
SHORT NAME: rclstataft
Definition: Enter the correct recall status code for the denial determination after
investigation.
0 = No recall
1 = Definite recall (specific return date)
2 = Indefinite recall (no specific return date)
-1 = Information not available or missing
-2 = Not Applicable, if the claimant withdrew claim after denial issued OR
Sample Type equals 2 or 3
Edits:
• Must be 0, 1, 2, -1, or -2.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
(67) NAME: Total Earnings for Week(s) Before Investigation
SHORT NAME: totearnbef
Definition: Enter total amount of earnings for weeks affected by the determination under
investigation. Do not include other income such as pensions, holiday pay, vacation pay, pay
in lieu of notice, separation pay, etc.
0 = None
Equals 9999 = If $9,999 or more
-2 = Not Applicable, if the claimant withdrew claim after
denial issued OR Sample Type equals 2 or 3
Edits:
• Can be 0 or -2.
• 69 - Earn. Deduct. Before must be 0, if 67 - Earnings Before is 0.
VIII-29 November 2009
ET HANDBOOK NO. 395, 5th EDITION
• Must be greater than or equal to 69 - Earn. Deduct. Before.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
(68) NAME: Total Earnings for Week(s) After Investigation
SHORT NAME: totearnaft
Definition: Enter whole dollar amount of earnings for weeks affected by the determination
after investigation. Do not include other income such as pensions, holiday pay, vacation
pay, pay in lieu of notice, separation pay, etc.
0 = None
Equals 9999 = If $9,999 or more
-2 = Not Applicable, if the claimant withdrew claim after
denial issued OR Sample Type equals 2 or 3
Edits:
• Can be 0 or -2.
• Must be greater than or equal to 70 - Earn. Deduct. After.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
(69) NAME: Earnings Deduction for Week(s) Before Investigation
SHORT NAME: earndedbef
Definition: Enter total amount deducted for all weeks affected by determination before
investigation. Total deduction cannot exceed WBA times the number of weeks denied. Do
not include other income such as pensions, holiday pay, vacation pay, pay in lieu of notice,
separation pay, etc. This amount may be less than amount reported on the certification by
claimant because of earnings disregarded by law in computation of amount deducted.
0 = None
-2 = Not Applicable, if the claimant withdrew claim after denial issued OR
Sample Type equals 2 or 3
Edits:
• Can be -2.
• Cannot be greater than 33 - WBA Before times 31 - No. Wks. Denied Before, if 31 - No.
Wks. Denied Before is greater than 0.
• Must be less than 33 - WBA Before if 31 - No. Wks. Denied Before is 0.
• Must be 0, if 67 - Earnings Before is 0.
• Must be less than or equal to 67 - Earnings Before.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
(70) NAME: Earnings Deduction for Week(s) After Investigation
SHORT NAME: earndedaft
Definition: Enter the total amount deducted for all weeks affected by the determination
after investigation. Total cannot exceed WBA times the number of weeks denied. Do not
VIII-30 November 2009
ET HANDBOOK NO. 395, 5th EDITION
include other deductible income such as pensions, holiday pay, vacation pay, pay in lieu of
notice, separation pay, etc.
0 = None
-2 = Not Applicable, if the claimant withdrew claim after denial issued OR
Sample Type equals 2 or 3
Edits:
• Cannot be greater than 32 - No. Wks. Denied After times the sum of: 34 - WBA After
plus b_dca_vallim.max_val for allowaft (#55), if 32 - No. Wks. Denied After is greater
than 0.
• Must be less than the sum of: 34 - WBA After plus b_dca_vallim.max_val for allowaft
(#55), if 32 - No. Wks. Denied After is 0.
• Must be 0, if 68 - Earnings After is 0.
• Must be less than or equal to 68 - Earnings After.
• 70 - Earn. Deduct. After plus 74 - Other Income Deductions Aft must be less than equal
to 36 - MBA After.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
(71) NAME: Total Other Deductible Income for Week(s) Before Investigation
SHORT NAME: othdedincbef
Definition: Enter total whole dollar amount of other income (deductible under state law)
and which was included in the determination before investigation. Include pension received
for the denial period, regardless of effect on the payment amount, using the state’s method
of determining the weekly amount of the pension. Include all types of deductable income
for the denial period such as holiday pay, vacation pay, pay in lieu of notice, separation pay,
etc.
0 = None
-2 = Not Applicable, if the claimant withdrew claim after denial issued OR
Sample Type equals 2 or 3
EXAMPLE: Claimant has a WBA of $225. During the period under investigation the
claimant received payment in lieu of notice of $200 and a pension payment of $100, financed
by a base period employer. In this state, both types of income are deductible; however, the
pension provision requires only a 50 percent deduction. The amount entered in this field
would be $300, not $250, because of the instruction to enter a figure including the total
amount of pension regardless of its effect on the amount of benefit payment the claimant
received.
Edits:
• Can be 0 or -2.
• Must be greater than or equal to 73 - Other Income Deductions Bef.
• 73 - Other Income Deductions Bef must be 0, if 71 - Other Deductible Inc. Before is 0.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
(72) NAME: Total Other Deductible Income for Week(s) After Investigation
VIII-31 November 2009
ET HANDBOOK NO. 395, 5th EDITION
SHORT NAME: othdedincaft
Definition: Enter the total whole dollar amount of other income (deductible under state
law) affected by determination after investigation. Include pension received for the denial
period, regardless of effect on the payment amount, using the state’s method to determine
the weekly amount of the pension. Also include all deductible income such as holiday pay,
vacation pay, pay in lieu of notice, separation pay, etc. See example for 71, Total Other
Deductible Income for Week(s) Before Investigation.
0 = None
-2 = Not Applicable, if the claimant withdrew claim after denial issued OR
Sample Type equals 2 or 3
Edits:
• Can be 0 or -2.
• Must be greater than or equal to 74 - Other Income Deductions Aft.
• 74 - Other Income Deductions Aft must be 0, if 72 - Other Deductible Inc. After is 0.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
(73) NAME: Other Income Deductions for Week(s) Before Investigation
SHORT NAME: othdedsbef
Definition: Enter total amount in whole dollars deducted due to pension, holiday pay,
vacation pay, pay in lieu of notice, separation pay, etc. in all weeks affected by determination
under investigation. Total deduction cannot exceed WBA times the number of weeks
denied.
0 = None
-2 = Not Applicable, if the claimant withdrew claim after denial issued OR
Sample Type equals 2 or 3
Edits:
• Can be 0.
• Cannot be greater than 33 - WBA Before times 31 - No. Wks. Denied Before, if 31 - No.
Wks. Denied Before is greater than 0.
• Must be less than 33 - WBA Before if 31 - No. Wks. Denied Before is 0.
• Must be 0, if 71 - Other Deductibles Inc. Before is 0.
• Must be less than or equal to 71 - Other Deductibles Inc. Before.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
(74) NAME: Other Income Deductions for Week(s) After Investigation
SHORT NAME: othdedsaft
Definition: Enter total amount in whole dollars deducted due to a pension, holiday pay,
vacation pay, pay in lieu of notice, separation pay, etc. in all weeks affected by the
VIII-32 November 2009
ET HANDBOOK NO. 395, 5th EDITION
determination after investigation. Total cannot exceed WBA times the number of weeks
denied.
0 = None
-2 = Not Applicable, if the claimant withdrew claim after denial issued OR
Sample Type equals 2 or 3
Edits:
• Can be 0.
• Cannot be greater than 32 - No. Wks. Denied After times the sum of: 34 - WBA After
plus b_dca_vallim.max_val for allowaft (#55), if 32 - No. Wks. Denied After is greater
than 0.
• Must be less than the sum of: 34 - WBA After plus b_dca_vallim.max_val for allowaft
(#55), if 32 - No. Wks. Denied After is 0.
• Must be 0, if 72 - Other Deductibles Inc. After is 0.
• Must be less than or equal to 72 - Other Deductibles Inc. After.
• 70 - Earn. Deduct. After plus 74 - Other Income Deductions Aft must be less than equal
to 36 - MBA After.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
(75) NAME: Work Search Requirements
SHORT NAME: wsreq
Definition: Enter the appropriate code that applied to the determination under
investigation according to UI law and policy.
1 = Required to actively seek work (in addition to union contact if applicable)
2 = An agency directive (written or verbal) temporarily suspended the claimant's
normal work search for the Denial period affected by the determination.
3 = Union deferral (seeking work only through union)
4 = Job attached deferral (temporary lay-off, recall, partial, industry attached)
5 = Other deferrals (disability, school, etc.)
-2 = Not Applicable (no active work search policy or Sample Type equals 2 or 3).
Edits:
• Must be 1 to 5, or -2.
• Cannot be 1, if 76 - Contacts is -2.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
• Stamp Edits:
• Must be 1, 2, -2, or NULL.
• Cannot be 1, if 76 - Contacts is -2.
(76) NAME: Number of Job Contacts Listed
SHORT NAME: jobcon
Definition: Enter number of all job contacts indicated from any source. Note: If
claimant sought work in denial period although not required to do so, enter number of
contacts and make appropriate verifications.
VIII-33 November 2009
ET HANDBOOK NO. 395, 5th EDITION
0 = No contacts were indicated
-1 = Information is missing or not available
-2 = Not Applicable, if claimant not required to seek work and claimant did not seek
work OR Sample Type equals 2 or 3
Edits:
• Must be within the validation range set by state agency.
• Can be 0, -1, or -2.
• Must be -2, if 75 - WS Requirement is -2.
• Cannot be -2, if 75 - WS Requirement is 1.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
• Stamp Edits:
• Must be -2 or NULL.
• Cannot be -2, if 75 - WS Requirement is 1.
(77) NAME: Number of Job Contacts Made Prior to the Denial Period but Used to Satisfy
Work Search Requirements for the Denial Period
SHORT NAME: prjobcon
Definition: Enter number of work search contacts made prior to the denial period if used
to satisfy the state's work search requirements.
0 = No contacts were indicated
-1 = Information is missing or not available
-2 = Not Applicable, if the claimant withdrew claim after denial issued OR
Sample Type equals 2 or 3
Edits:
• Must be within the validation range set by state agency.
• Can be 0, -1, or -2.
• Must be -2, if 75 - WS Requirement is -2.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
Stamp Edits: Must be -2 or NULL.
(78) NAME: Number of Work Search Contacts Investigated for Eligibility
SHORT NAME: wsconinv
Definition: Enter total number of work search contacts investigated, regardless of
investigator’s determination regarding acceptability. Do not include here any work-search
contacts that were not investigated for DCA.
0 = No contacts were investigated
-2 = Not Applicable, if the claimant withdrew claim after denial issued OR
Sample Type equals 2 or 3
Edits:
VIII-34 November 2009
ET HANDBOOK NO. 395, 5th EDITION
• Can be 0 or -2.
• Must be -2, if 75 - WS Requirement is -2.
• Must be -2, if 76 - Contacts and 77 - Prior Contacts are less than 0.
• Must be less than or equal to 76 - Contacts if 77 - Prior Contacts is less than 0 .
• Must be less than or equal to 77 - Prior Contacts if 76 - Contacts is less than 0.
• Must be less than or equal to the total of 76 - Contacts and 77 - Prior Contacts.
• Must be equal to the total of 79 - Contacts Acc. and 80 - Contacts Unacc and 81 -
Contacts Unver.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
Stamp Edits: Must be 0, -2, or NULL.
(79) NAME: Number of Acceptable Work Search Contacts
SHORT NAME: wsconok
Definition: Include only work search contacts for which documentation exists in DCA file
that such contacts were made by claimant and were acceptable contacts within state's written
law/policy on active search for work.
-2 = Not Applicable (no WS Contacts investigated OR if the claimant
withdrew claim after denial issued OR Sample Type equals 2 or 3)
Edits:
• Can be -2.
• Must be -2, if 75 - WS Requirement is -2.
• Must be -2, if 78 - Contacts Inv is -2.
• cannot be -2, if 78 - Contacts Inv is not -2.
• Must be 0, if 78 - Contacts Inv is 0.
• Must be less than or equal to 78 - Contacts Inv.
• 79 - Contacts Acc plus 80 - Contacts Unacc plus 81 - Contacts Unver must be equal to
78 - Contacts Inv.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
(80) NAME: Number of Unacceptable Work Search Contacts
SHORT NAME: wsconnotok
Definition: Include only job contacts for which written documentation exists in DCA file
that such contacts were not made by the claimant or were made but are unacceptable within
the framework of state's written law or policy.
-2 = Not Applicable (no WS Contacts investigated OR if the claimant
withdrew claim after denial issued OR Sample Type equals 2 or 3)
Edits:
• Can be -2.
• Must be -2, if 75 - WS Requirement is -2.
• Must be -2, if 78 - Contacts Inv is -2.
VIII-35 November 2009
ET HANDBOOK NO. 395, 5th EDITION
• Cannot be -2, if 78 - Contacts Inv is not -2.
• Must be 0, if 78 - Contacts Inv is 0.
• Must be less than or equal to 78 - Contacts Inv.
• 79 - Contacts Acc plus 80 - Contacts Unacc plus 81 - Contacts Unver must be equal to
78 - Contacts Inv.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
(81) NAME: Number of Work Search Contacts for the Denial Period that Could Not Be
Verified as Either Acceptable or Unacceptable
SHORT NAME: wsconunver
Definition: Include the work search contacts for which there was insufficient information
to make a judgment of their acceptability within the state's written law/policy on work
search.
-2 = Not Applicable (no WS Contacts investigated OR if claimant withdrew
claim after denial issued OR Sample Type equals 2 or 3)
Edits:
• Can be -2.
• Must be -2, if 75 - WS Requirement is -2.
• Must be -2, if 78 - Contacts Inv is -2.
• Cannot be -2, if 78 - Contacts Inv is not -2.
• Must be 0, if 78 - Contacts Inv is 0.
• Must be less than or equal to 78 - Contacts Inv.
• 79 - Contacts Acc plus 80 - Contacts Unacc plus 81 - Contacts Unver must be equal to
78 - Contacts Inv.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
(82) NAME: Labor Exchange Registration Required
SHORT NAME: leregreq
Definition: Enter the appropriate code that applies according to law and policy. Use code
2 only if the state does not require registration or there is written law/policy that provides
for non-registration under certain circumstances (e.g., temporary lay-off, union
membership), and such non-registration policy is applicable to claimant.
1 = Yes, per state law
2 = No
3 = Yes, as a result of profiling
4 = Yes, for both reasons
-2 = Not Applicable
Edits:
• Must be 1 to 4, or -2.
VIII-36 November 2009
ET HANDBOOK NO. 395, 5th EDITION
• 84 - LE Deferred must be -2, if 82 - LE Reg. Req. is 1, 3, or 4.
• 84 - LE Deferred must be 1 to 7, if 82 - LE Reg. Req. is 2.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
Stamp Edits: Must be 1 to 4, -2, or NULL.
(83) NAME: Actively/Currently Registered with Labor Exchange as of Determination Under
Investigation
SHORT NAME: lereg
Definition: Enter the appropriate code that applies to the denial period. State’s written law,
policy, and procedures govern whether claimants are required to be registered with the
Employment Services and what constitutes registration. DCA coding should be consistent
with such law, policy, and procedures.
1= Registered with the Employment Services and has received one or more staff
assisted services during the current benefit year
2= Not registered with Employment Services and has not used self-help services
from the One Stop delivery system during the current benefit year
3= Not registered with Employment Services but has received staff
assisted services or has used self-help services from the One Stop
delivery system during the current benefit year
4= Registered with the Employment Services but has received no staff assisted
services during the current benefit year
-1= Information not available or missing
-2= Not Applicable if the claimant withdrew claim after denial issued OR the Sample
Type is Monetary (2) or Separation (3)
Edits:
• Must be 1 to 4, -1, or -2.
• 85 - LE Referrals cannot be -2, if 83 - LE Reg/Services is 1.
• 85 - LE Referrals must be -2, if 83 - LE Reg/Services is 2.
• 85 - LE Referrals must be 0, if 83 - LE Reg/Services is 4.
• Must be -2, if 82 - LE Requirement is -2.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
• Stamp Edits: Must be 1, -2, or NULL.
(84) NAME: Reason Labor Exchange Registration Deferred
SHORT NAME: leregdef
VIII-37 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Definition: Enter appropriate code.
1 = Union member
2 = Job attached
3 = Partial
4 = Seasonal
5 = Approved training
6 = Local Office Policy
7 = Other
-2 = Not Applicable if the claimant withdrew claim after denial issued OR the
Sample Type is Monetary (2) or Separation (3)
Edits:
• Can be 1 to 7, or -2.
• Must be -2, if 82 - LE Reg. Req is 1, 3, 4, or -2.
• Must be 1 to 7, if 82 - LE Reg. Req is 2.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
Stamp Edits: Must be -2 or NULL.
(85) NAME: Number of Labor Exchange Referrals
SHORT NAME: lerefers
Definition: Enter number of times Employment Services referred claimant for
employment during current benefit year up to and including the period affected by the denial
determination.
0 = No referrals while registered in current benefit year
-1 = Information missing or not available or missing
-2 = Not Applicable (not registered during current benefit year OR claimant
withdrew claim after denial issued OR Sample Type equals 2 or 3)
Edits:
• Must be within the validation range set by state agency.
• Can be -1 or -2.
• Cannot be -2, if 83 - LE Reg/Services is 1.
• Can be 0, if 83 - LE Reg/Services is 1.
• Must be 0, if 83 -LE Reg/Services is 4.
• Must be -2, if 83 - LE Reg/Services is 2 or -2.
• Must be -1, if 83 - LE Reg/Services is -1.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
(86) NAME: Registered with Private Employment Agency
SHORT NAME: privagreg
Definition: Enter code that applied as of the denial period.
1 = Yes
VIII-38 November 2009
ET HANDBOOK NO. 395, 5th EDITION
2 = No
-1 = Information missing or not available
-2 = Not Applicable, if the claimant withdrew claim after denial issued OR the
Sample Type is Monetary (2) or Separation (3)
Edits:
• Must be 1, 2, -1, or -2.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
(87) NAME: Number of Private Employment Agency Referrals
SHORT NAME: privagref
Definition: Enter the number of times the claimant was referred for employment by a
Private Employment Agency during the Denial period. Do not include leasing agencies.
0 = registered but not referred
-1 = Information not available or missing
-2 = Not Applicable
Edits:
• Must be within the validation range set by state agency.
• Cannot be -2, if 86 - Regis. Priv. Agency is 1.
• Must be -2, if 86 - Regis. Priv. Agency is 2.
• Must be -1, if 86 - Regis. Priv. Agency is -1.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or
(88) NAME: Union Referral Status
SHORT NAME: unrefstat
Definition: Enter appropriate code that applies to the denial period after appropriate
verification.
0 = Claimant NOT a member of a union
1 = Claimant is a member in good standing of a union with a hiring hall
and was eligible to be referred by the union during the denial period
2 = Claimant is a member of a union with a hiring hall but was not eligible for
union referral
3 = Claimant is a member of a non-hiring hall union
-1 = Information is missing or not available
-2 = Not Applicable
Edits:
• Must be 0 to 3, -1, or -2.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
(89) NAME: Number of Union Referrals
VIII-39 November 2009
ET HANDBOOK NO. 395, 5th EDITION
SHORT NAME: unref
Definition: Enter number of times that a union with a hiring hall referred claimant for
employment during the denial period. All such referrals should be verified.
Do not include referrals associated with a non-hiring-hall union.
-1 = Information is missing or not available
-2 = Not Applicable
Edits:
• Must be within the validation range set by state agency.
• Can be -2.
• Must be -1, if 88 - Union Referral Status is -1.
• Must be -2, if 88 - Union Referral Status is 0, 2, or 3.
• Can be 0, only if 88 - Union Referral Status is 1.
• Can not be -2, if 88 - Union Referral Status is 1.
• Must be -2, if 90 - Action Flag is 8.
• Must be -2, if Sample Type is 2 or 3.
VIII-40 November 2009
ET HANDBOOK NO. 395, 5th EDITION
CASE ACTION AND ERROR ISSUE INFORMATION
The outcome of each case investigated is a set of data about that claim and classification as
to whether or not the denial was proper. Each denial sampled for BAM must be accounted
for in the coding and analysis of program data, because a single case represents a very large
number of denials in the statewide population. At the end of a set measurement period, the
coded findings of all completed cases are analyzed based on information available.
This part provides specific instructions for recording the propriety of denials and for closing
cases and classifying errors detected during the investigations.
(90) NAME: Action Code Flag
SHORT NAME: actflag
Definition: Enter the appropriate code.
0 = Monetary eligibility established upon receipt of CWC, UCFE, and/or
UCX wage credits; or monetary eligibility established as a result of the
application of an alternate base period (ABP) or extended base period
(EBP). Claimant eligibility initially denied.
1 = Proper denial determination / payment.
2 = Overpayment established or WBA, dependent’s allowance entitlement,
MBA, or remaining balance (RB) decreased which was later “officially”
reversed. DCA agrees with the “official” action.
3 = Supplemental check issued/offset applied or WBA, dependent’s
allowance entitlement, MBA, or remaining balance (RB) increased which
was later “officially” reversed. DCA agrees with the “official” action.
8 = Claimant withdrew claim after denial issued.
9 = Improper payment/determination.
Edits: Must be 0, 1, 2, 3, 8 or 9.
If 90 - Action Flag is 0:
• 3 - Sample Type must be 2 (Monetary); AND 43 - Reason for Monetary Denial
After Investigation must be 00-09; AND
o 22 - Program must be 2, 3, 4, 5, 6, or 7; OR
o 23 - CWC must be 1, 3, 4, or 6; OR
o 56 - Monetary Redetermination must be 3.
If 90 - Action Flag is 8:
• Neither 22 - Program nor 23 - CWC can be NULL.
VIII-41 November 2009
ET HANDBOOK NO. 395, 5th EDITION
(91) NAME: Initial Determination Appealed
SHORT NAME: detapp
Definition: Enter the appropriate code as of the date the investigator completed the
case.
0 = Denial not appealed
1 = Claimant appealed
2 = Employer appealed
3 = Other interested party appealed
-2 = Not applicable
Edits:
• Must be 0 to 3, or -2.
• 92 - Results of Appeal of Initial Determination must be 0, if 91 - Initial Det.
Appealed is 0.
• 92 - Results of Appeal of Initial Determination must be 1 to 6, if 91 - Initial Det.
Appealed is 1, 2, or 3.
(92) NAME: Results of Appeal of Initial Determination
SHORT NAME: apprslt
Definition: Enter the appropriate code denoting the results of the appeal of the initial
determination that denied eligibility. Record status of the appeal as of the date the
investigator completed of the case.
0 = No appeal filed
1 = Affirmed, eligible
2 = Affirmed, ineligible
3 = Reversed, eligible
4 = Reversed, ineligible
5 = Appeal decision pending
6 = Original determination redetermined by state
-2 = Not applicable
Edits:
• Must be 0 to 6, or -2.
• 91 - Initial Det. Appealed must be 0, if 92 - Results of Appeal of Initial
Determination is 0.
• 91 - Initial Det. Appealed must be 1 to 3, if 92 - Results of Appeal of Initial
Determination is 1 to 6.
• 91 - Initial Det. Appealed must be -2, if 92 - Results of Appeal of Initial
Determination is -2.
(93) NAME: Investigation Completed
SHORT NAME: invcomp
Definition: Enter code of 1 when case investigation has been completed, i.e., after the
investigator has finished all fieldwork, reports, determinations, and coding. Entry of this
character will only be allowed if all previous required data elements have been coded.
VIII-42 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Entering 1 will automatically enter the current date in the next field of the computer
record.
Edits:
• Must be 1.
• No DCI field can be NULL.
• Claim Type cannot be 0 when claim date is 02/02/0002 for Sample Type 2 case.
• Claim Type cannot be greater than 0 when claim date is 02/02/0002.
(94) NAME: Date Investigator Completed Case
SHORT NAME: invcompdate
Definition: Automatically filled upon entry of code 1 in “Investigation Completed”.
Edits: None, Automatically filled
(95) NAME: Supervisory Review Completed
SHORT NAME: suprevcomp
Definition: Enter code of 1 when supervisor has reviewed and approved completed
case. Enter code 0 when the supervisor has cleared the completed case without review.
Entry in this filed will is only allowed if item “Investigation Completed” above has been
coded 1. Entering 1 or 0 will automatically enter the current date in the next field of the
computer record.
Edits:
• Must be 0 or 1.
• Will be allowed, only if 93 - Inv. Completed is 1.
(96) NAME: Date Supervisor Completed Case
SHORT NAME: supcompdate
Definition: Automatically filled upon entry of code 0 or 1 in field “Supervisory
Approval Completed”.
Edits: None, Automatically filled
(97) NAME: Supervisor Identification
SHORT NAME: supvid
Definition: The supervisor identification name is the name of the supervisor who
completed the case investigation. The login name is obtained from the “/etc/passwd “
system file.
Edits: None, Automatically filled
VIII-43 November 2009
ET HANDBOOK NO. 395, 5th EDITION
CODING DCA ERROR ISSUES
When the denial is not a proper denial, code “9” is entered into DCA Element 90-Action
Code Flag. When code 9 is entered the system retrieves a new screen (Error Issue
Information screen) for data entry of issues. This interrupts completion of DCA Elements
91 through 97. The user will see a new screen into which individual issues or wrong denials
are to be recorded. Please note that if Action Code Flag equals 0, 1, 2, 3, or 8, the Error
Issue Information screen will not be displayed.
The Error Issue Information screen records the following information for each issue:
( 98 ) Dollar Amount of Error
( 99 ) Error Issue Action Code
(100) Error Cause
(101) Error Responsibility
(102) Error Detection Point
(103) Prior Agency Action
(104) Prior Employer Action
(105) DCA Action Appealed
(106) Prior Claimant Action
States may modify the last digits of the codes for five of these items to provide more detailed
information for their use: Error Cause (100), Error Detection Point (102), Prior Agency
Action (103), Prior Employer Action (104), and Prior Claimant Action (106). The last digit
in each of these codes is zero. State s may choose to develop additional categories using any
digits from 1-9 to provide further detail in these areas.
Definitions and explanations for the above data elements are detailed below:
(98) NAME: Dollar Amount of Error
SHORT NAME: totamt
Definition: Enter the total amount of error only for the week(s) affected by the denial
determination selected for investigation. Round to nearest whole dollar amount.
Edits:
• Can be 0.
• Must be 0 if 99 - Action Code is 24.
• Cannot exceed State Maximum Benefit Amount (MBA) plus State Maximum
Dependents Allowance(b_vallim.max_val(mbaaft) +
b_vallim.max_val(allowaft)).
(99) NAME: Error Issue Action Code
SHORT NAME: action
Definition: The Error Issue Action Code identifies the type of error using numeric
codes. The three (3) type of error action codes include:
(a) PROPER DENIAL: DIFFERENT/WRONG ISSUE OR REASON
VIII-44 November 2009
ET HANDBOOK NO. 395, 5th EDITION
30 = Claimant was properly denied, but for wrong or different
reason/section of law.
(b) IMPROPER DENIAL DETERMINATIONS /
UNDERPAYMENTS
20 = DCA investigation determines that the denial determination was
improper or benefit payment was too small and official agency action
now finds the claimant to be eligible or entitled to a supplemental
check issued/offset applied or increase in WBA, dependents’
allowance entitlement, MBA, or remaining balance (RB).
21 = DCA investigation determines denial determination was improper or
payment was too small, although technically proper due to finality
rules.
22 = DCA investigation determines denial determination was improper or
payment was too small, although technically proper due to rules other
than finality.
23 = DCA investigation determines denial determination was improper or
payment was too small (supplemental check issued/offset applied)
which was later officially reversed, revised, adjusted or modified, and
BAM disagrees with the official action.
24 = DCA investigation determines that the denial determination was
improper but no payment is due to the claimant. (Requires Error
Cause code 710 or 720).
Note: Code 24 is used to code DCA investigation findings in which the claimant
was improperly denied for the specific issue selected for the DCA sample, but the
claimant is not entitled to UI benefits as of the date that the DCA case is closed by
the supervisor. This is due to either: 1) a separate official action(s) by the state
agency, or 2) the state has issued a nonmonetary determination denying eligibility for
UI benefits but no weeks have been claimed as of the date that the DCA case was
completed.)
(c) OVERPAYMENTS
10 = Fraud Overpayment/Voided Offset.
11 = Nonfraud Recoverable overpayment/voided offset.
12 = Nonfraud Non-recoverable Overpayment or official action taken to
adjust future benefits by decreasing WBA, MBA, KWDA, or RB.
13 = DCA investigation determines payment was too large, although
payment is "technically" proper due to finality rules.
VIII-45 November 2009
ET HANDBOOK NO. 395, 5th EDITION
14 = DCA investigation determines payment was too large except for formal
warning rule that prohibits official action. Payment "technically"
proper due to law/rules requiring formal warnings for unacceptable
work search efforts.
15 = DCA investigation determines payment was too large, although
payment "technically" proper due to rules other than finality or formal
warning rules for unacceptable work search efforts.
16 = Overpayment established or WBA, KWDA entitlement, or RB
decreased which was later "officially" reversed, revised, adjusted, or
modified and DCA disagrees with the "official" action.
Edits:
• Must be 10-16, 20-24, or 30.
• 100 - Cause must be a 700-709, if 99 - Action Code is 30.
• 100 - Cause must be a 710-729, if 99 - Action Code is 24.
• Cannot be 14 if 75 - WS Requirement is -2.
• Cannot be 10-16 if Sample Type is 2 and 30 - Original Amount Paid is 0.
(100) NAME: Error Cause
SHORT NAME: cause
Definition: Enter the code to indicate the cause (reason) for the error. Enter
appropriate code from below. The last digit of this code is reserved for state use to
provide greater detail as to the cause of error.
(a) In the Benefit Year, unreported or errors in reporting/recording earnings or
days/hours of work affecting the determination under investigation due to:
100 = Unreported (concealed) earnings or days/hours of work.
110 = Earnings or days/hours of work incorrectly
estimated/reported/recorded or deducted.
120 = Errors in reporting or unreported Severance Pay.
130 = Errors in reporting or unreported Vacation Pay.
140 = Errors in reporting or unreported Social Security or pension benefits.
150 = Other causes related to reporting or recording of earnings or
days/hours of work for the denial period.
(b) In the Base Period, errors in Reporting/Recording Earnings or Weeks, Days, or
Hours of Work affecting the determination due to:
VIII-46 November 2009
ET HANDBOOK NO. 395, 5th EDITION
200= Earnings or weeks/days/hours of work incorrectly
estimated/reported/recorded.
210= One or more base period employers not reported by claimant.
220= Earnings or weeks/days/hours of work not reported by employer.
230= Other causes related to reporting, recording of earnings or
weeks/days/hours of work for base period.
240= Misclassified worker. Employer misclassified the claimant as an
independent contractor
248 = Misclassified worker. Claimant improperly classified as an independent
contractor; however, the employer furnished claimant a 1099 earnings
statement
249 = Misclassified worker. Claimant improperly classified as an independent
contractor and the employer did not furnish the claimant with a 1099
earnings statement
(c) Separation Issues due to:
300= Voluntary Quits
310= Discharges
320= Other causes related to separation issues.
(d) Eligibility Issues due to:
400= Ability to work
410= Availability for work
420= Active work search
430= Refusal of suitable work
440= Self-employment
450= Illegal alien status
460= Reporting requirements / Failed to report
470= Other causes related to eligibility issues.
480= Claimant filed UI claim knowingly using the identity (name, social
security number, address, employer or other information identifying a
VIII-47 November 2009
ET HANDBOOK NO. 395, 5th EDITION
specific individual) of another person, without that person’s
knowledge or permission, in order to obtain UI benefits
(e) Dependents' Allowances Incorrect due to:
500= Dependents' information incorrectly reported/recorded or allowance
incorrectly calculated.
510= Other causes related to dependents' allowances.
(f) Other Causes due to:
600= Benefits paid during a period of disqualification, even though a stop-
pay order was in effect.
610= Redetermination (at deputy level) or reversal (appeal or higher
authority).
620= Back pay award.
630= All other causes.
638 = Fraud outside of Key Week caused the Key Week to be improper
(g) Other causes due to a claimant being properly denied, but for wrong reason
or section of law.
700= Claimant properly denied, but the determination had a
procedural/implementation error (e.g., denial based on wrong reason
or section of law; applicable dates of the denial are incorrect). (Code
valid only for Error Issue Action code 30). [Default code is 700;
codes 701-709 are reserved for state option use.]
Note: The definition of this code has been broadened to include any procedural or
implementation error to reflect DCA findings that the claimant was properly denied,
but an error was committed in the way that state law was applied or cited in the
determination or how the determination was implemented.
710= Denial issue subject to DCA investigation was decided improperly
but claimant not entitled to benefits as of the date that the DCA
investigation was completed due to other issues affecting the claim.
(Code valid only for Error Issue Action code 24). [Default code is
710; codes 711-719 are reserved for state option use.]
Note : This code is used when the claimant is ineligible for UI benefits as of the date
that the DCA case was completed due to a separate official agency action(s). BAM
DCA investigators should not make any determination of the propriety of the other
actions that have resulted in the claimant’s ineligibility for UI benefits.
720= Denial issue subject to DCA investigation was decided improperly
but claimant not entitled to benefits as of the date the DCA
investigation was completed because no week was claimed. (Code
VIII-48 November 2009
ET HANDBOOK NO. 395, 5th EDITION
valid only for Sample Type 3 or 4 and Error Issue Action code 24.)
[Default code is 720; codes 721-729 are reserved for state option use.
Note: This code is used when the agency has issued a nonmonetary determination
denying eligibility for UI benefits but no weeks have been claimed as of the date that
the DCA case was completed.
Edits:
• Must be 100-159, 200-249, 300-329, 400-489, 500-519, 600-639, or 700-729.
• Must be 420, if 99 - Action Code is 14.
• Must be 700-709, if 99 - Action Code is 30.
• Must be 710-719, if 99 - Action Code is 24 and sample type is 2
• Must be 710-729, if 99 - Action Code is 24 and Sample Type is 3 or 4 .
• Cannot be 420, if 75 - WS Requirement is -2.
(101) NAME: Error responsibility
SHORT NAME: resp
Definition: Enter ALL the appropriate codes to indicate the party or parties
responsible (by action or inaction) for the payment error. Do not repeat a given code
even if more than one party per category applied, (e.g., if more than one employer or
more than one third party was responsible). Responsibility is a four-position data
element. Each position is coded with the appropriate code for the responsible party or
zero (0), according to the following table:
ERROR RESPONSIBILITY
A = Claimant B= Employer
0 – Not responsible 0 – Not responsible
1 – Responsible 2 – Responsible
C = Agency D = Third Party
0 – Not responsible 0 – Not responsible
3 – Responsible 4 – Responsible
Edits:
• Cannot have an Employer Responsibility entry, if 104 - Prior Employer Action
has a series code of 70.
• Must contain a 2 if 104 - Prior Employer Action equals 20 to 59.
• Must contain a 1 if 106 - Prior Claimant Action equals 20 to 59.
• Must contain a 1 if 99 - Error Action Code equals 10.
• Must have an Agency Responsibility entry, if 103 - Prior Agency Action has a
series code of 30, 40, 50, or 80.
(102) NAME: Error Detection Point
SHORT NAME: detectpt
VIII-49 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Definition: Enter the code that indicates the point where the error was first detected in
the DCA investigation. The last digit of this code is reserved for state use in providing
greater detail
10 = Verification of work search contact
20 = Verification of wages and/or separation
30 = Claimant interview
40 = Verification of eligibility with 3rd parties
50 = UI Records
60 = Employment Service records
70 = Verification with union
80 = Crossmatch of claimant SSN with state or National Directory of New
Hires
States can use codes 81 through 89 to document point of detection subsequent to
new hire directory match.
81= Verification of work search contact
82= Verification of wages and/or separation
83= Claimant interview
84= Verification of eligibility with 3rd parties
85= UI records
86= Employment Services records
87= Verification with a labor union
88= (Second digit reserved for state use)
89= (Second digit reserved for state use)
90 = Crossmatch of claimant SSN with state or national wage record files
States can use codes 91 through 99 to document point of detection subsequent to
wage record match.
91= Verification of work search contact
92= Verification of wages and/or separation
93= Claimant interview
94= Verification of eligibility with 3rd parties
95= UI records
96= Employment Services records
97= Verification with a labor union
98= (Second digit reserved for state use)
99= (Second digit reserved for state use
VIII-50 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Edits: Must be 10 to 99.
(103) NAME: Prior Agency Action
SHORT NAME: agact
Definition: A code is assigned which indicates any actions) taken by the state on the
issue as of the date sample selected. Enter the appropriate code from below. The last
digit of this code is reserved for state use in providing greater detail
10 = Official procedures had been followed and forms had been fully
completed but issue was not detectable by normal procedures.
20 = State was in the process of resolving issue and took correct action
before DCA investigation completed or state had correctly resolved
issue prior to sample being selected.
30 = State identified issue prior to selection but took incorrect action.
40 = State had sufficient documentation to identify that there was an issue
but did not resolve the issue.
50 = Official procedures/forms had not been properly followed/completed
by state thereby precluding ability to detect issue.
60 = State agency had detected payment error as a result of crossmatch of
claimant SSN with state or National Directory of New Hires and had
taken official action to establish overpayment for recovery (or issued
supplemental check or increased claimant’s WBA, MBA, RB) before the
BAM investigation was completed.
70 = State agency had detected payment error as a result of crossmatch of
claimant SSN with state or national wage record files and had taken
official action to establish overpayment for recovery (or issued
supplemental check or increased claimant’s WBA, MBA, RB) before the
BAM investigation was completed.
80 = Agency provided incorrect information or instructions to claimant,
employer, or third party.
90 = Agency based determination on incorrect information provided by
another state workforce agency.
Edits:
• Must be 10 to 99.
• Cannot have a series entry of 30, 40, 50, or 80, if 101 - Responsibility does not
have an Agency Responsible entry (3).
(104) NAME: Prior Employer Action
SHORT NAME: empact
VIII-51 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Definition: A code is assigned to indicate any actions taken by the employer
affecting the issue as of the date sample was selected. Enter the appropriate code
from below. The last digit of this code is reserved for state use to provide greater
detail regarding employer action.
10 = Employer provided adequate information to state in a timely manner
for determination.
20 = Employer provided adequate information after due date for
determination.
30 = Employer provided inadequate/incorrect information in a timely
manner for determination.
40 = Employer provided inadequate/incorrect information after due date
for determination.
50 = Employer did not respond to request for information.
60 = Employer, as an interested party, was not requested by agency to
provide information for determination.
70 = Not an employer related issue.
80-89 = Employer failed to report the claimant as a new hire as mandated by
law and this "lack of action" permitted the overpayment to occur. (e.g.
concealed earnings/separation error).
91 = Employer representative provided adequate information to state in a
timely manner for denial determination.
92 = Employer representative provided adequate information after due date
for denial determination.
93 = Employer representative provided inadequate/incorrect information in
a timely manner for denial determination.
94 = Employer representative provided inadequate/incorrect information
after due date for denial determination.
95 = Employer representative did not respond to request for information.
96 = Employer representative on behalf of the Employer, as an interested
party, was not requested by agency to provide information for denial
determination.
Edits:
• Must be 10 to 79, 80 to 89, 91 to 96.
Note: The 90 series codes will be available with the software release greater than
10.0
VIII-52 November 2009
ET HANDBOOK NO. 395, 5th EDITION
• Cannot have a series entry of 70, if 101 - Responsibility has a Employer
Responsible entry (2).
(105) NAME: DCA Action Appealed
SHORT NAME: actapp
Definition: Enter the appropriate code from below for appeals filed as a result of
DCA action on the denial determination.
The last digit of this code is reserved for state use to provide greater detail regarding
the appeal.
10 = No appeal filed against DCA determination.
20 = Claimant appealed DCA determination, and employer was an interested
party.
30 = Claimant appealed DCA determination, and employer was not an
interested party.
40 = Employer appealed DCA determination, and claimant was an interested
party.
50 = Both claimant and employer appealed DCA determination.
60 = State appealed DCA determination.
70 = Not an appealable DCA determination.
Edits: Must be 10 to 79.
(106) NAME: Prior Claimant Action
SHORT NAME: clmtact
Definition: A code is assigned to indicate any actions taken by the claimant affecting
the issue as of the date sample was selected. Enter the appropriate code from below.
The last digit of this code is reserved for state use to provide greater detail regarding
claimant action.
10 = Claimant provided adequate and timely information to state for
determination.
20 = Claimant provided adequate information to state after due date for
determination.
30 = Claimant provided timely but inadequate/incorrect information to state
for determination.
40 = Claimant provided inadequate/incorrect information to state after due
date for determination.
VIII-53 November 2009
ET HANDBOOK NO. 395, 5th EDITION
50 = Claimant did not respond to state request for information.
60 = State did not request the claimant to provide information.
Edits: Must be 10 to 69.
Reopening Cases. On occasion, completed cases must be reopened to make corrections
or to update coded records. The following elements are used:
(reoptype)
NAME: Reopen Case
SHORT NAME: Reopen Case
Definition: Enter one of the following codes:
3= State has recognized an error in the data of this closed case and has
made the correction(s).
4= An appeal decision requires changes to the data of a closed case.
5= Data of a closed case were changed as a result of a monitor review.
6= Case reopened pending further information.
9= Data of a closed case were changed or payment accuracy status
updated as a result of additional information obtained through
investigation methods other than crossmatch with new hire or wage
records.
Edits: Must be 3, 4, 5, 6, 9, or null
(reopdate)
NAME: Reopen Case Date
SHORT NAME: Reopen Case Date
Definition: The date that identifies when a case was reopened. The BAM software
system will automatically set it as current date for the Reopen Case Codes 3, 4, or 5.
The field will remain NULL when the Reopen Case Code is 6.
Edits: System entered date
(reopid)
NAME: Reopen Case Identification
SHORT NAME: Reopen ID
Definition: The login ID of the person performing the reopen function.
VIII-54 November 2009
ET HANDBOOK NO. 395, 5th EDITION
APPENDIX A
BAM/QC REGULATION
VIII-55 November 2009
Employment and Training Administration, Labor Pt. 602, App. A
PART 602—QUALITY CONTROL IN THE 3304), to the administration of the State laws, and to any
Federal unemployment benefit and allowance program
FEDERAL-STATE UNEMPLOYMENT administered by the SESAs under agreements between the
INSURANCE SYSTEMT States and the Secretary. QC is a requirement for all States,
initially being applicable to the largest permanently
Subpart A—General Provisions authorized programs (regular UI including Combined-Wage-
Claims) and federally-funded programs (Unemployment
Sec.
Compensation for Ex-Servicemen and Unemployment
602.1 Purpose.
Compensation for Federal Employees). Other elements of
602.2 Scope.
the QC program (e.g., interstate, extended benefit programs,
benefit denials, and revenue collections) will be phased in
Subpart B—Federal Requirements under a schedule determined by the Department in
602.10 Federal law requirements. consultation with State agencies.
602.11 Secretary’s interpretation.
Subpart B—Federal Requirements
Subpart C—State Responsibilities
602.20 Organization. § 602.10 Federal law requirements.
602.21 Standard methods and procedures. (a) Section 303(a)(1) of the Social Security Act
602.22 Exceptions. (SSA), 42 U.S.C. 503(a)(1), requires that a State law
include provision for:
Subpart D—Federal Responsibilities Such methods of administration . . . as are found by the
602.30 Management. Secretary of Labor to be reasonably calculated to insure full
602.31 Oversight. payment of unemployment compensation when due.
Subpart E—Quality Control Grants to States (b) Section 303(a)(6), SSA, 42 U.S.C. 505(a)(6),
requires that a State law include provision for:
602.40 Funding.
602.41 Proper expenditure of Quality Control granted The making of such reports, in such form and containing
funds. such information, as the Secretary of Labor may from time to
602.42 Effect of failure to implement Quality Control time require, and compliance with such provisions as the
program. Secretary of Labor may from time to time find necessary to
602.43 No incentives or sanctions based on specific assure the correctness and verification of such reports.
error rates.
APPENDIX A TO PART 602—STANDARD FOR (c) Section 303(b), SSA, 42 U.S.C. 503(b),
CLAIM DETERMINATIONS—SEPARATION provides in part that:
INFORMATION
AUTHORITY: 42 U.S.C. 1302. Whenever the Secretary of Labor, after reasonable notice
SOURCE: 52 FR 33528, Sept. 3, 1987, unless and opportunity for hearing to the State agency charged with
otherwise noted. the administration of the State law, finds that in the
administration of the law there is—
Subpart A—General Provisions
* * * * *
§ 602.1 Purpose. (2) a failure to comply substantially with any provision
The purpose of this part is to prescribe a Quality Control specified in subsection (a); the Secretary of Labor shall
(QC) program for the Federal-State unemployment notify such State agency that further payments will not be
insurance (UI) system, which is applicable to the State UI made to the State until the Secretary of Labor is satisfied that
programs and the Federal unemployment benefit and there is no longer any such denial or failure to comply. Until
allowance programs administered by the State Employment he is so satisfied, he shall make no further certification to the
Security Agencies (SESA) under agreements between the Secretary of the Treasury with respect to such State . . . . .
States and the Secretary of Labor (Secretary). QC will be a
major tool to assess the timeliness and accuracy of State (d) Certification of payment of granted funds to a State is
administration of the UI program. It is designed to identify withheld only when the Secretary finds, after reasonable
errors in claims processes and revenue collections notice and opportunity for hearing to the State agency—
(including payments in lieu of contributions and Extended (1) That any provision required by section 303(a) of the
Unemployment Compensation Account collections), Social Security Act is no longer included in the State
analyze causes, and support the initiation of corrective unemployment compensation law, or (2) That in the
action. administration of the State unemployment compensation
§ 602.2 Scope. law there has been a failure to comply substantially with any
This part applies to all State laws approved by the Secretary required provision of such law.
under the Federal Unemployment Tax Act (section 3304 of
the Internal Revenue Code of 1954, 26 U.S.C. section
A-1 November 2009
§ 602.11 Secretary’s interpretation. (1) Inform claimants in writing that the information
(a) The Secretary interprets section 303(a)(1), SSA, obtained from a QC investigation may affect their eligibility
to require that a State law provide for such methods of for benefits and inform employers in writing that the
administration as will reasonably ensure the prompt information obtained from a QC investigation of revenue
and full payment of unemployment benefits to eligible may affect their tax liability,
claimants, and collection and handling of income for (2) Use a questionnaire, prescribed by the Department,
the State unemployment fund (particularly taxes and which is designed to obtain such data as the Department
reimbursements), with the greatest accuracy feasible. deems necessary for the operation of the QC program;
(b) The Secretary interprets sections 303(a)(1) and require completion of the questionnaire by claimants in
303(a)(6), SSA, to authorize the Department of Labor accordance with the eligibility and reporting authority under
to prescribe standard definitions, methods and State law,
procedures, and reporting requirements for the QC (3) Collect data identified by the Department as
program and to ensure accuracy and verification of QC necessary for the operation of the QC program; however, the
findings. collection of demographic data will be limited to those data
(c) The Secretary interprets section 303(b)(2), SSA which relate to an individual’s eligibility for UI benefits and
to require that, in the administration of a State law, necessary to conduct proportions tests to validate the
there shall be substantial compliance with the selection of representative samples (the demographic data
provisions required by sections 303(a) (1) and (6). elements necessary to conduct proportions tests are
Further, conformity of the State law with those claimants’ date of birth, sex, and ethnic classification); and
requirements is required by section 303(a) and § (4) Conclude all findings of inaccuracy as detected
601.5(a) of this chapter. through QC investigations with appropriate official actions,
(d) To satisfy the requirements of sections 303(a) (1) in accordance with the applicable State and Federal laws;
and (6), a State law must contain a provision requiring, make any determinations with respect to individual benefit
or which is construed to require, the establishment and claims in accordance with the Secretary’s ‘‘Standard for
maintenance of a QC program in accordance with the Claim Determinations —Separation Information’’ in the
requirements of this part. The establishment and Employment Security Manual, part V, sections 6010–6015
maintenance of such a QC program in accordance with (appendix A of this part);
this part shall not require any change in State law (d) Classify benefit case findings resulting from QC
concerning authority to undertake redeterminations of investigations as:
claims or liabilities or the finality of any determination, (1) Proper payments, underpayments, or overpayments in
redetermination or decision. benefit payment cases, or
(2) Proper denials or underpayments in benefit denial
Subpart C—State Responsibilities cases;
(e) Make and maintain records pertaining to the QC
program, and make all such records available in a timely
§ 602.20 Organization. manner for inspection, examination, and audit by such
Each State shall establish a QC unit independent of,
Federal officials as the Secretary may designate or as may
and not accountable to, any unit performing functions
be required or authorized by law;
subject to evaluation by the QC unit. The
(f) Furnish information and reports to the Department,
organizational location of this unit shall be positioned
including weekly transmissions of case data entered into the
to maximize its objectivity, to facilitate its access to
automated QC system and annual reports, without, in any
information necessary to carry out its responsibilities,
manner, identifying individuals to whom such data pertain;
and to minimize organizational conflict of interest.
and
(g) Release the results of the QC program at the same
§ 602.21 Standard methods and procedures. time each year, providing calendar year results using a
Each State shall:
standardized format to present the data as prescribed by the
(a) Perform the requirements of this section in
Department; States will have the opportunity to release this
accordance with instructions issued by the Department,
information prior to any release by the Department.
pursuant to § 602.30(a) of this part, to ensure
standardization of methods and procedures in a manner
(Approved by the Office of Management and Budget under
consistent with this part;
Control Number 1205–0245)
(b) Select representative samples for QC study of at
least a minimum size specified by the Department to
§ 602.22 Exceptions.
ensure statistical validity (for benefit payments, a
If the Department determines that the QC program, or any
minimum of 400 cases of weeks paid per State per
constituent part of the QC program, is not necessary for the
year);
proper and efficient administration of a State law or in the
(c) Complete prompt and in-depth case investigations to
Department’s view is not cost effective, the Department
determine the degree of accuracy and timeliness in the
shall use established procedures to advise the State that it is
administration of the State UI law and Federal programs
partially or totally excepted from the specified requirements
with respect to benefit determinations, benefit payments,
of this part. Any determination under this section shall be
and revenue collections; and conduct other measurements
made only after consultations with the State agency.
and studies necessary or appropriate for carrying out the
purposes of this part; and in conducting investigations each
State shall:
A-2 November 2009
Neither sanctions nor funding incentives shall be used by the
Department to influence the achievement of specified error rates in
State UI programs.
Subpart D—Federal Responsibilities
APPENDIX A TO PART 602—STANDARD FOR CLAIM
§ 602.30 Management. DETERMINATIONS—SEPARATION INFORMATION
(a) The Department shall establish required methods and Employment Security Manual (Part V, Sections 6010–6015)
procedures (as specified in § 602.21 of this part); and provide technical
assistance as needed on the QC process. 6010 Federal Law Requirements. Section 303(a)(1) of the Social
(b) The Department shall consider and explore alternatives to the Security Act requires that a State law include provision for:
prescribed sampling, study, recordkeeping, and reporting ‘‘Such methods of administration . . . as are found by the
methodologies. This shall include, but not be limited to, testing the Secretary to be reasonably calculated to insure full payment of
obtaining of information needed for QC by telephone and mail rather unemployment compensation when due.’’
than in face-to-face interviews. Section 303(a)(3) of the Social Security Act requires that a State
(c) The Department shall maintain a computerized data base of QC law include provision for:
case data which is transmitted to the Department under § 602.21, ‘‘Opportunity for a fair hearing before an impartial tribunal, for
which will be combined with other data for statistical and other all individuals whose claims for unemployment compensation are
analysis such as assessing the impact of economic cycles, funding denied.’’
levels, and workload levels on program accuracy and timeliness. Section 3304(a)(4) of the Federal Unemployment Tax Act and
section 303(a)(5) of the Social Security Act require that a State law
§ 602.31 Oversight. include provision for:
‘‘Expenditure of all money withdrawn from an unemployment
The Department shall review QC operational procedures and samples, fund of such State, in the payment of unemployment
and validate QC methodology to ensure uniformity in the compensation... .
administration of theQC program and to ensure compliance with the Section 3306(h) of the Federal Unemployment Tax Act defines
requirements of this part. The Department shall, for purposes of ‘‘compensation’’ as ‘‘cash benefits payable to individuals with
determining eligibility for grants described in § 602.40, annually respect to their unemployment.’’
review the adequacy of the administration of a State’s QC program. 6011 Secretary’s Interpretation of Federal Law Requirements. The
Secretary interprets the above sections to require that a State law
include provisions which will insure that:
Subpart E—Quality Control Grants to States A. Individuals who may be entitled to unemployment
compensation are furnished such information as will reasonably
afford them an opportunity to know, establish, and protect their
§ 602.40 Funding.
rights under the unemployment compensation law of such State, and
B. The State agency obtains and records in time for the prompt
(a) The Department shall use established procedures to notify States
determination and review of benefit claims such information as will
of the availability of funds for the operation of QC programs in
reasonably insure the payment of benefits to individuals to whom
accordance with this part.
benefits are due.
(b) The Department may allocate additional resources, if available,
6012 Criteria for Review of State Law Conformity with Federal
to States for analysis of date generated by the QC program, to increase
Requirements:
the number of claims sampled in areas where more information is
In determining the conformity of a State law with the above
needed, for pilot studies for the purpose of expanding the QC program,
requirements of the Federal Unemployment Tax Act and the Social
and for corrective action.
Security Act as interpreted by the Secretary, the following criteria
will be applied:
§ 602.41 Proper expenditure of Quality Control granted funds.
A. Is it required that individuals who may be entitled to
unemployment compensation be furnished such information of their
The Secretary may, after reasonable notice and opportunity for hearing
potential rights to benefits, including the manner and places of filing
to the State agency, take exception to and require repayment of an
claims, the reasons for determinations, and their rights of appeal, as
expenditure for the operation of a QC program if it is found by the
will insure them a reasonable opportunity to know, establish, and
Secretary that such expenditure is not necessary for the proper and
protect their rights under the law of the State?
efficient administration of the QC program in the State. See sections
B. Is the State agency required to obtain, in time for prompt
303(a)(8), 303(a)(9) and 303(b)(2), SSA, and 20 CFR 601.5. For
determination of rights to benefits such information as will
purposes of this section, an expenditure will be found not necessary for
reasonably insure the payment of benefits to individuals to whom
proper and efficient administration if such expenditure fails to comply
benefits are due?
with the requirements of subpart C of this part.
C. Is the State agency required to keep records of the facts
[52 FR 33528, Sept. 3, 1987, as amended at 52 FR 34343, Sept. 10, 1987] considered in reaching determinations of rights to benefits?
6013 Claim Determinations Requirements Designed To Meet
Department of Labor Criteria:
§ 602.42 Effect of failure to implement Quality Control program A. Investigation of claims. The State agency is required to obtain
promptly and prior to a determination of an individual’s right to
Any State which the Secretary finds, after reasonable notice and benefits, such facts pertaining thereto as will be sufficient
opportunity for hearing, has not implemented or maintained a QC reasonably to insure the payment of benefits when due. This
program in accordance with this part will not be eligible for any grants requirement embraces five separate elements:
under title III of the Social Security Act until such time as the 1. It is the responsibility of the agency to take the initiative in the
Secretary is satisfied that there is no longer any failure to conform or discovery of information. This responsibility may not be passed on
to comply substantially with any provision specified in this part. See to the claimant or the employer. In addition to the agency’s own
sections 303(a)(1), 303(a)(6), and 303(b)(2), SSA, and 20 CFR 601.5. records,
§ 602.43 No incentives or sanctions based on specific error rates. this information may be obtained from the worker, the employer, or
other sources. If the information obtained in the first instance discloses
no essential disagreement and provides a sufficient basis for a fair
A-3 November 2009
determination, no further investigation is necessary. If the information in the application thereof) affecting the denial or reduction; or (c) there
obtained from other sources differs essentially from that furnished by is a change in the amount of the reduction except as to the balance
the claimant, the agency, in order to meet its responsibility, is required covered by the last reduction in a series of reductions.
to inform the claimant of such information from other sources and to NOTE: This procedure may be applied to determinations made with
afford the claimant an opportunity to furnish any further facts he may respect to any subsequent weeks for the same reason and on the basis
have. of the same facts: (a) that claimant is unable to work, unavailable for
2. Evidentiary facts must be obtained as distinguished from ultimate work, or is disqualified under the labor dispute provision; and (b)
facts or conclusions. That a worker was discharged for misconduct is reducing claimant’s weekly benefit amount because of income other
an ultimate fact or conclusion; that he destroyed a machine upon which than earnings or offset by reason of overpayment.
he was working is a primary or evidentiary fact, and the sort of fact 2. The agency must include in written notices of determinations
that the requirement refers to. furnished to claimants sufficient information to enable them to
3. The information obtained must be sufficient reasonably to insure understand the determinations, the reasons therefore, and their rights to
the payment of benefits when due. In general, the investigation made protest, request reconsideration, or appeal.
by the agency must be complete enough to provide information upon The written notice of monetary determination must contain the
which the agency may act with reasonable assurance that its decision is information specified in the following items (except h) unless an item
consistent with the unemployment compensation law. On the other is specifically not applicable. A written notice of any other
hand, the investigation should not be so exhaustive and time- determination must contain the information specified in as many of the
consuming as unduly to delay the payment of benefits and to result in following items as are necessary to enable the claimant to understand
excessive costs. the determination and to inform him of his appeal rights. Information
4. Information must be obtained promptly so that the payment of specifically applicable to the individual claimant must be contained in
benefits is not unduly delayed. the written notice of determination. Information of general application
5. If the State agency requires any particular evidence from the such as (but not limited to) the explanation of benefits for partial
worker, it must give him a reasonable opportunity to obtain such unemployment, information as to deductions, seasonality factors, and
evidence. information as to the manner and place of taking an appeal, extension
B. Recording of facts. The agency must keep a written record of the of the appeal period, and where to obtain information and assistance
facts considered in reaching its determinations. may be contained in a booklet or leaflet which is given the claimant
C. Determination notices. with his monetary determination.
1. The agency must give each claimant a written notice of: a. Base period wages. The statement concerning base-period wages
a. Any monetary determination with respect to his benefit year; must be in sufficient detail to show the basis of computation of
b. Any determination with respect to purging a disqualification if, eligibility and weekly and maximum benefit amounts. (If maximum
under the State law, a condition or qualification must be satisfied with benefits are allowed, it may not be necessary to show details of
respect to each week of disqualification; but in lieu of giving written earnings.)
notice of each determination for each week in which it is determined b. Employer name. The name of the employer who reported the
that the claimant has met the requirements for purging, the agency may wages is necessary so that the worker may check the wage transcript
inform the claimant that he has purged the disqualification for a week and know whether it is correct. If the worker is given only the
by notation of his applicant identification card or otherwise in writing. employer number, he may not be able to check the accuracy of the
c. Any other determination which adversely affects1 his rights to wage transcript.
benefits, except that written notice of determination need c. Explanation of benefit formula—weekly and maximum benefit
not be given with respect to: amounts. Sufficient information must be given the worker so that he
(1) A week in a benefit year for which the claimant’s weekly benefit will understand how his weekly benefit amount, including allowances
amount is reduced in whole or in part by earnings if, the first time in for dependents, and his maximum benefit amount were figured. If
the benefit year that there is such a reduction, he is required to be benefits are computed by means of a table contained in the law, the
furnished a booklet or leaflet containing the information set forth table must be furnished with the notice of determination whether
below in paragraph 2f(1). However, a written notice of determination benefits are granted or denied. The written notice of determination
is required if: must show clearly the weekly benefit amount and the maximum
(a) there is a dispute concerning the reduction with respect to any potential benefits to which the claimant is entitled. The notice to a
week (e.g., as to the amount computed as the appropriate reduction, claimant found ineligible by reason of insufficient earnings in the base
etc.); or (b) there is a change in the State law (or in the application period must inform him clearly of the reason for ineligibility. An
thereof) affecting the reduction; or explanation of the benefit formula contained in a booklet or pamphlet
(2) Any week in a benefit year subsequent to the first week in such should be given to each claimant at or prior to the time he receives
benefit year in which benefits were denied, or reduced in whole or in written notice of a monetary determination.
part for reasons other than earnings, if denial or reduction for such d. Benefit year. An explanation of what is meant by the benefit year
subsequent week is based on the same reason and the same facts as for and identification of the claimant’s benefit year must be included in
the first week, and if written notice of determination is required to be the notice of determination.
given to the claimant with respect to such first week, and with such e. Information as to benefits for partial unemployment. There must
notice of determination, he is required to be given a booklet or be included either in the written notice of determination or in a booklet
pamphlet containing the information set forth below in paragraphs or pamphlet accompanying the notice an explanation of the claimant’s
2f(2) and 2h. However, a written notice of determination is required if: rights to partial benefits for any week with respect to which he is
(a) there is a dispute concerning the denial or reduction of benefits working less than his normal customary full-time workweek because
with respect to such week; or (b) there is a change in the State law (or of lack of work and for which he earns less than his weekly benefit
amount or weekly benefit amount plus earnings, whichever is provided
by the State law. If the explanation is contained in the notice of
1 A determination ‘‘adversely affects’’ claimant’s right to benefits if it (1) determination, reference to the item in the notice in which his weekly
results in a denial to him of benefits (including a cancellation of benefits or wage benefit amount is entered should be made.
credits or any reduction in whole or in part below the weekly or maximum f. Deductions from weekly benefits.
amount established by his monetary determination) for any week or other period; (1) Earnings. Although written notice of determinations deducting
or (2) denies credit for a waiting week; or (3) applies any disqualification or earnings from a claimant’s weekly benefit amount is generally not
penalty; or (4) determines that he has not satisfied a condition of eligibility, required (see paragraph 1 c (1) above), where written notice of
requalification for benefits, or purging a disqualification; or (5) determines that determination is required (or given) it shall set forth the amount of
an overpayment has been made or orders repayment or recoupment of any sum
paid to him; or (6) applies a previously determined overpayment, penalty, or
earnings, the method of computing the deduction in sufficient detail to
order for repayment or recoupment; or (7) in any other way denies claimant a enable the claimant to verify the accuracy of the deduction, and his
right to benefits under the State law. right to protest, request redetermination, and appeal. Where a written
notice of determination is given to the claimant because there has been
A-4 November 2009
a change in the State law or in the application of the law, an for the disqualification need not be a restatement of all facts
explanation of the change shall be included. Where claimant is not considered in arriving at the determination.
required to receive a written notice of determination, he must be given i. Appeal rights. The claimant must be given information with
a booklet or pamphlet the first time in his benefit year that there is a respect to his appeal rights.
deduction for earnings which shall include the following information: (1) The following information shall be included in the notice of
(a) The method of computing deductions for earnings in sufficient determination:
detail to enable the claimant to verify the accuracy of the deduction; (a) A statement that he may appeal or, if the State law requires or
(b) That he will not automatically be given a written notice of permits a protest or redetermination before an appeal, that he may
determination for a week with respect to which there is a deduction for protest or request a redetermination.
earnings (unless there is a dispute concerning the reduction with (b) The period within which an appeal, protest, or request for
respect to a week or there has been a change in the State law or in the redetermination must be filed. The number of days provided by statute
application of the law affecting the deduction) but that he may obtain must be shown as well as either the beginning date or ending date of
such a written notice upon request; and the period. (It is recommended that the ending date of the appeal
(c) A clear statement of his right to protest, request a period be shown, as this is the more understandable of the
redetermination, and appeal from any determination deducting alternatives.)
earnings from his weekly benefit amount even though he does not (2) The following information must be included either in the notice
automatically receive a written notice of determination; and if the State of determination or in separate informational material referred to in the
law requires written notice of determination in order to effectuate a notice:
protest, redetermination, or appeal, he must be so advised and advised (a) The manner in which the appeal, protest, or request for
also that he must request a written notice of determination before he redetermination must be filed, e.g., by signed letter, written statement,
takes any such action. or on a prescribed form, and the place or places to which the appeal,
(2) Other deductions. protest, or request for redetermination may be mailed or hand-
(a) A written notice of determination is required with respect to the delivered.
first week in claimant’s benefit year in which there is a reduction from (b) An explanation of any circumstances (such as nonworkdays,
his benefits for a reason other than earnings. This notice must describe good cause, etc.) which will extend the period for the appeal, protest,
the deduction made from claimant’s weekly benefit amount, the reason or request for redetermination beyond the date stated or identified in
for the deduction, the method of computing it in sufficient detail to the notice of determination.
enable him to verify the accuracy of such deduction, and his right to (c) That any further information claimant may need or desire can be
protest, request redetermination, or appeal. obtained together with assistance in filing his appeal, protest, or
(b) A written notice of determination is not required for subsequent request for redetermination from the local office. If the information is
weeks that a deduction is made for the same reason and on the basis of given in separate material, the notice of determination would
the same facts, if the notice of determination pursuant to (2)(a), or a adequately refer to such material if it said, for example, ‘‘For other
booklet or pamphlet given him with such notice explains (i) the several information about your (appeal), (protest), (redetermination) rights, see
kinds of deductions which may be made under the State law (e.g., pages ll to ll of the llll (name of pamphlet or booklet) heretofore
retirement pensions, vacation pay, and overpayments); (ii) the method furnished to you.’’
of computing each kind of deduction in sufficient detail that claimant
will be able to verify the accuracy of deductions made from his weekly
benefit payments; (iii) any limitation on the amount of any deduction 6014 Separation Information Requirements Designed To Meet
or the time in which any deduction may be made; (iv) that he will not Department of Labor Criteria:
automatically be given a written notice of determination for A. Information to agency. Where workers are separated, employers
subsequent weeks with respect to which there is a deduction for the are required to furnish the agency promptly, either upon agency
same reason and on the basis of the same facts, but that he may obtain request or upon such separation, a notice describing the reasons for and
a written notice of determination upon request; (v) his right to protest, the circumstances of the separation and any additional information
request redetermination, or appeal with respect to subsequent weeks which might affect a claimant’s right to benefits. Where workers are
for which there is a reduction from his benefits for the same reason, working less than full time, employers are required to furnish the
and on the basis of the same facts even though he does not agency promptly, upon agency request, information concerning a
automatically receive a written notice of determination; and (vi) that if claimant’s hours of work and his wages during the claim periods
the State law requires written notice of determination in order to involved, and other facts which might affect a claimant’s eligibility for
effectuate a protest, redetermination, or appeal, he must be so advised benefits during such periods. When workers are separated and the
and advised also that he must request a written notice of determination notices are obtained on a request basis, or when workers are working
before he takes any such action. less than full time and the agency requests information, it is essential
g. Seasonality factors. If the individual’s determination is affected to the prompt processing of claims that the request be sent out
by seasonality factors under the State law, an adequate explanation promptly after the claim is filed and the employer be given a specific
must be made. General explanation of seasonality factors which may period within which to return the notice, preferably within 2 working
affect determinations for subsequent weeks may be included in a days.
booklet or pamphlet given claimant with his notice of monetary When workers are separated and notices are obtained upon
determination. separation, it is essential that the employer be required to send the
h. Disqualification or ineligibility. If a disqualification is imposed, notice to the agency with sufficient promptness to insure that, if a
or if the claimant is declared ineligible for one or more weeks, he must claim is filed, it may be processed promptly. Normally, it is desirable
be given not only a statement of the period of disqualification or that such a notice be sent to the central office of the agency, since the
ineligibility and the amount of wage-credit reductions, if any, but also employer may not know in which local office the workers will file his
an explanation of the reason for the ineligibility or disqualification. claim. The usual procedure is for the employer to give the worker a
This explanation must be sufficiently detailed so that he will copy of the notice sent by the employer to the agency.
understand why he is ineligible or why he has been disqualified, and B. Information to worker.
what he must do in order to requalify for benefits or purge the 1. Information required to be given. Employers are required to give
disqualification. The statement must be individualized to indicate the their employees information and instructions concerning the
facts upon which the determination was based, e.g., state, ‘‘It is found employees’ potential rights to benefits and concerning registration for
that you left your work with Blank Company because you were tired of work and filing claims for benefits. The information furnished to
working; the separation was voluntary, and the reason does not employees under such a requirement need not be elaborate; it need
constitute good cause,’’ rather than merely the phrase ‘‘voluntary only be adequate to insure that the worker who is separated or who is
quit.’’ Checking a box as to the reason for the disqualification is not a working less than full time knows he is potentially eligible for benefits
sufficiently detailed explanation. However, this statement of the reason and is informed as to what he is to do or where he is to go to file his
A-5 November 2009
claim and register for work. When he files his claim, he can obtain Subpart B—Quarterly Wage Reporting
more detailed information.
In States that do not require employers to furnish periodically to the 603.20 Effective date of rule.
State agency detailed reports of the wages paid to their employees, 603.21 Alternative system.
each employer is required to furnish to his employees information as to AUTHORITY: Sec. 1102, Social Security Act, ch. 531,
(a) the name under which he is registered by the State agency, (b) the 49 Stat. 647, as amended (42 U.S.C
address where he maintains his payroll records, and (c) the workers’ 1302); Reorganization Plan No. 2 of 1949, 63 Stat.
need for this information if and when they file claims for benefits. 1065, 14 FR 5225.
2. Methods for giving information. The information and instructions SOURCE: 51 FR 7207, Feb. 28, 1986, unless otherwise
required above may be given in any of the following ways:
a. Posters prominently displayed in the employer’s establishment.
noted.
The State agency should supply employers with a sufficient number of
posters for distribution throughout their places of business and should § 603.1 Purpose.
see that the posters are conspicuously displayed at all times. (a) Section 2651 of Public Law 98–369 (the Deficit Reduction Act of
b. Leaflets. Leaflets distributed either periodically or at the time of 1984) amended title XI of the Social Security Act to include a
separation or reduction of hours. The State agency should supply requirement that States have an income and eligibility verification
employers with a sufficient number of leaflets. system in effect which would be used in verifying eligibility for, and
c. Individual notices. Individual notices given to each employee at the amount of, benefits available under several Federally assisted
the time of separation or reduction in hours. It is recommended that the programs including the Federal-State unemployment compensation
State agency’s publicity program be used to supplement the employer- program. The Act requires that employers in each State make quarterly
information requirements. Such a program should stress the wage reports to a State agency, which may be the State unemployment
availability and location of claim-filing offices and the importance of compensation agency, and that wage information and benefit
visiting those offices whenever the worker is unemployed, wishes to information obtained from other agencies be used in verifying
apply for benefits, and to seek a job. eligibility for benefits. The requirement of quarterly wage reporting
6015 Evaluation of Alternative State Provisions with Respect to may be waived if the Secretary of Labor (in consultation with the
Claim Determinations and Separation Information. If the State law Secretary of Health and Human Services and the Secretary of
provisions do not conform to the suggested requirements set forth in Agriculture) determines the State has in effect an alternative system
sections 6013 and 6014, but the State law contains alternative which is as effective and timely as quarterly wage reporting for the
provisions, the Bureau of Employment Security, in collaboration with purposes of providing employment related income and eligibility data.
the State agency, will study the actual or anticipated effects of the (b) Section 2651(d) of Public Law 98–396 added a new section
alternative provisions. If the Administrator of the Bureau concludes 303(f) of the Social Security Act (42 U.S.C. 503(f)), to provide that the
that the alternative provisions satisfy the criteria in section 6012, he agency charged with the administration of the State unemployment
will so notify the State agency. If the Administrator of the Bureau does compensation law shall provide that information shall be requested and
not so conclude, he will submit the matter to the Secretary. If the exchanged for purposes of income and eligibility verification in
Secretary concludes that the alternative provisions satisfy the criteria accordance with a State system which meets the requirements of
in section 6012, the State agency will be so notified. If the Secretary section 1137 of the Social Security Act, as added by Public Law 98–
concludes that there is a question as to whether the alternative 369. The regulations in this part are issued to implement this
provisions satisfy the criteria, the State agency will be advised that requirement.
unless the State law provisions are appropriately revised, a notice of
hearing will be issued as required by the Code of Federal Regulations, Subpart A—Income and Eligibility
title 20, section 601.5. Verification System
PART 603—INCOME AND § 603.2 Definitions.
For the purposes of this part:
ELIGIBILITY VERIFICATION (a) State unemployment compensation agency means the agency
SYSTEM charged with the administration of the unemployment compensation
law approved by the Secretary of Labor under section 3304 of the
Sec. Internal Revenue Code of 1954 (26 U.S.C. 3304).
(b) Wage information means information about wages as defined in
603.1 Purpose. the State’s unemployment compensation law and includes the Social
Security Number (or numbers, if more than one) and quarterly wages
Subpart A—Income and Eligibility of an employee, and the name, address, State, and (when known)
Verification System Federal employer identification number of an employer reporting
wages under a State unemployment compensation law, except that in a
603.2 Definitions. State in which wages are not required
603.3 Eligibility condition for claimants.
603.4 Notification to claimants.
603.5 Disclosure of information.
603.6 Agreement between State unemployment
compensation agency and requesting agency.
603.7 Protection of confidentiality.
603.8 Obtaining information from other
agencies and crossmatching with wage
information.
603.9 Effective date of rule.
A-6 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 1
APPENDIX B
Claimant Questionnaires
y BAM Paid Claims Claimant Questionnaire B-2
y Denials Monetary Claimant Questionnaire B-10
y Denials Separations Claimant Questionnaire B-14
y Denials Nonseparations Claimant Questionnaire B-16
y Employer Questionnaire and Verification B-21
y Key Week Error Summary Worksheet B-23
November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 2
BENEFITS ACCURACY MEASUREMENT
CLAIMANT QUESTIONNAIRE - PAID CLAIM
Batch # ____________Seq____
Please answer the following questions as accurately as possible. If you do not know the answer, leave it blank. The interviewer
will discuss it with you later. It you need help, please ask. Please print clearly. Your answers will be used to determine if your
unemployment insurance benefits were properly paid. This information will be verified. The last page of this questionnaire is for
recording your work history.
Benefit Accuracy Measurement (BAM) audits randomly selected paid and denied Unemployment Compensation (UC) claims to
verify their accuracy. Failures to report, disclose, or provide information when directed or to complete the BAM questionnaire by
the due date may result in a delay or in a denial of benefits. Your responses are subject to state confidentiality statutes, which must
conform to Federal regulations (20 CFR Part 603). State and Federal agencies safeguard the confidentiality of the BAM information
by:
1) using the information only for purposes of verifying claimant eligibility for UC and identifying general descriptive
characteristics about the Unemployment Insurance program;
2) permitting access to the information by only authorized persons;
3) ensuring that the physical and electronic storage of the information is secure; and
4) publishing the results of the BAM audits in a format that precludes the identification of any individual providing the
information.
1. Name (First, Middle, Last) 10. Race - Indicate by selecting one or more of the following:
White
Black or African-American
In the past three years, if you were known or earned income by another Asian
name, enter it here:
American Indian or Alaska Native
Native Hawaiian or other Pacific Islander
Unknown
2. Social Security Number 11. Ethnic Group - Indicate by selecting one of the following:
Not Hispanic or Latino
In the past three years, if you earned income under another Social Hispanic or Latino
Security Number (SSN), enter the SSN here:
Unknown
3. Street Address 12. US Citizen? Yes No
If No, Alien Registration #___________________________
Apt Number
4. City, State, ZIP 13. Highest level of education completed (circle one):
Grade School - 0 1 2 3 4 5 6 7 8
5. Mailing Address (if different) High School - 9 10 11 12
Some College Associate Degree
BA/BS Graduate School
Major Field of Study: _____________________________
6. If you have moved since you first filed for unemployment benefits 14. Have you had vocational or technical school training?
on _______________, enter your address when you first filed: Yes No
Type of certificate: ________________________
7. Telephone Number (include area code) 15. Circle the days of the week you usually work.
SUN MON TUES WED THURS FRI SAT
Do you usually work part time? Yes No
8. Date of Birth (MM/DD/YYYY) 16. Circle the days of the week you are willing and able to work.
SUN MON TUES WED THURS FRI SAT
Are you only seeking part time work? Yes No
9. Gender: 17. What hours or shifts do you usually work?
Male Female 1st shift – Day 2nd shift – Swing
3rd shift – Night Other shift – including rotation
Page 1 of 8 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 3
BENEFITS ACCURACY MEASUREMENT
CLAIMANT QUESTIONNAIRE - PAID CLAIM
18. What hours are you willing and able to work on a job? 23. Do you expect to be called back to work by any past employer?
Yes No
FROM _____________am TO _______________ pm OR
If “Yes”, please answer the following:
FROM _____________am TO _______________ pm
Do you have or have you received a recall notice?
19. Which shifts are you willing and able to work on a job? Yes No
1st shift – Day 2nd shift – Swing
When were you told you would be recalled?
3 shift – Night
rd Other shift – including rotation
_________/_____/______
20. In the last 18 months, what has been your normal wage for the work Month Day Year
you usually do?
Who notified you? _______________________________________
$ ____________ per _________
21. What is the lowest rate of pay you will accept for a job? When will you report back to work? ___________________________
$ ____________ per _________ Name, Address and Phone Number of employer:
22. In the last 18 months, what has been your usual occupation?
_________________________________________________
_________________________________________________
What are your main job duties at your usual work? _________________________________________________
_________________________________________________ _________________________________________________
_________________________________________________ _________________________________________________
WORK SEARCH
The next group of questions asks about your efforts to find work. Some of these questions will refer to a specific week, called “THE
WEEK”. “THE WEEK” is the week that began on _________________and ended on _______________. Please keep these dates
in mind when answering the questions about “THE WEEK”.
24. How many miles are you willing to travel one-way daily to a job? 31. During “THE WEEK”, did the State Employment Service refer
you to any jobs? Yes No
25. How many minutes or hours are you willing to travel one way daily 32. What were the results of these referrals? _______________
to a job?
______________________________________________
26. Do you have a valid driver’s license? Have you received any referrals from the State Employment Services
Yes No since you opened your current claim? Yes No
27. By what means do you normally travel to look for work? (Check all If “Yes”, to how many jobs were you referred? _________________
that apply)
33. Have you registered with a private employment agency since you first
Personally owned vehicle Borrow a vehicle filed for unemployment benefits on ______________?
Ride with friends Public transportation Yes No
or relatives Other (specify)
If “Yes”, when did you register with the agency?__________________
Do you have transportation to get to and from a job? Yes No
28. Would a job have to last a certain period of time before you would Name, Address, Phone Number of Agency:
accept it? ______________________________________________
Yes No
If “Yes”, explain: ______________________________________________
______________________________________________
29. What is the type of work you are looking for?
During “THE WEEK”, did the Agency refer you to any jobs?
a. _______________ b. __________________ Yes No
What is the length and type of experience you have in these occupations? If “Yes”, to how many jobs were you referred? _________________
a. _______________ b. __________________
What were the results of these referrals? ___________________
30. Have you registered with the State Employment Service to find work ______________________________________________
since you first filed for unemployment benefits on
_________________? Yes No
Page 2 of 8 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 4
“THE WEEK” is the week that began on _______________________ and ended on ______________________.
34. During THE WEEK, were you an active member of a union? 36. During THE WEEK, did you have or a member of your immediate
Yes No family any health problem, handicap or disability that limited your ability
If “Yes” complete the following: to do your usual work or to look for work? Yes No
Union Name: __________________________________
If “Yes”, explain:
Local Number: __________________________________
Address: __________________________________
__________________________________ 37. During THE WEEK, did you have any dependent(s) or other
person(s) for whom you provided care during your normal working
Phone Number: __________________________________ hours?
Yes No
Does your union a have a local hiring hall? Yes No
If “No” go to Question 38.
Are your dues considered current? Yes No
If “Yes” was there some other person or place available to provide care?
Whom do you contact at the local? Yes No
_________________________________________ If “Yes” provide the name, address and phone number of the care
provider:
Do you get work ONLY through the union? Yes No
_____________________________________________
Will you accept a non-union job? Yes No
_____________________________________________
During THE WEEK, were you eligible to be referred to jobs by the
union? Yes No _____________________________________________
If “No”, explain: __________________________________________ 38. During THE WEEK, was there any day(s) that you were NOT
available for work? Yes No
_________________________________________________
If “Yes” list the day(s) and reason(s) you were NOT available:
_________________________________________________
During THE WEEK, were you on the out-of-work list? Yes No
39. During THE WEEK, was there any reason that you could NOT
If “Yes”, when was the last time you signed the list? ________________ accept full-time work? Yes No
If “No”, explain: __________________________________________ If “Yes” explain:
_________________________________________________
_________________________________________________ 40. During THE WEEK, were you an officer of a corporation, union,
or other organization? Yes No
During THE WEEK, how many jobs were you referred to by the
union? __________________ If “Yes” give name of organization and office held:
_______________________________________________
What were the results of these referrals? _________________________
_______________________________________________
_________________________________________________
35. During THE WEEK, were you attending school or enrolled in a 41. During THE WEEK, did you need any special licenses or
training program? Yes No certificates to do the type of work you are seeking? Yes No
If “Yes”, complete the following: Name, Address, Phone Number of
school or training program: If “Yes”, did you have the license or certificate needed?
Yes No
_____________________________________________
What kind of license or certificate is it?
_____________________________________________
______________________________________________
_____________________________________________
Is the schooling or training related either to the type of work you usually When does it expire? _____________________________________
do or the type of work you are seeking? Yes No
Do you have or can you obtain evidence that you are making satisfactory
progress? Yes No
Page 3 of 8 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 5
42. WORK SEARCH CONTACTS
Complete the following information for the job contacts you made during THE WEEK. If you had more than four job contacts, the interviewer
will give you another worksheet. List all job contacts you made during THE WEEK, including those with unions, private employment agencies,
and the State Employment Service.
“THE WEEK” is the week that began on _______________________ and ended on ______________________.
1. Employer Name Contact Date: Method of Contact:
In Person Mail
Telephone Fax
Internet Other (Specify):
____________________________
Address: Employer Phone (include area code): Application taken? Yes No
Resume submitted? Yes No
City/State/Zip Type of work applied for: Was a job offered? Yes No
2. Employer Name Contact Date: Method of Contact:
In Person Mail
Telephone Fax
Internet Other (Specify):
____________________________
Address: Employer Phone (include area code): Application taken? Yes No
Resume submitted? Yes No
City/State/Zip Type of work applied for: Was a job offered? Yes No
3. Employer Name Contact Date: Method of Contact:
In Person Mail
Telephone Fax
Internet Other (Specify):
____________________________
Address: Employer Phone (include area code): Application taken? Yes No
Resume submitted? Yes No
City/State/Zip Type of work applied for: Was a job offered? Yes No
4. Employer Name Contact Date: Method of Contact:
In Person Mail
Telephone Fax
Internet Other (Specify):
____________________________
Address: Employer Phone (include area code): Application taken? Yes No
Resume submitted? Yes No
City/State/Zip Type of work applied for: Was a job offered? Yes No
Please indicate any other job-development activities you engaged in during THE WEEK (such as networking, resume writing, visiting web sites
or employment agencies, job clubs, etc.)
Page 4 of 8 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 6
“THE WEEK” is the week that began on _______________________ and ended on ______________________.
43. During THE WEEK, did you get any job offers either from the 45a. Check all of the following sources of income you had during THE
contacts you listed in question 42 or from contacts you made in WEEK, excluding unemployment compensation, and list the amount you
previous weeks? Yes No received from each source for THE WEEK, even if you were paid at
some other time.
If “Yes”, did you accept any jobs offered to you? Yes No None If “None”, go to Question 45b
Wages $ ________________
If “No”, why not?
____________________________________________ Earnings from self-employment $ ________________
or contract labor
____________________________________________
Commission Payments $ ________________
____________________________________________
Reserve or National Guard Pay $ ________________
If “Yes”, complete the following:
Separation or Severance Pay $ ________________
Date you accepted the offer: ________________
Holiday Pay $ ________________
Date you began or will begin work: ________________ Wages in Lieu of Notice $ ________________
Vacation Pay $_________________
Name, address and phone number of employer:
Tips or Gratuities $_________________
____________________________________________
Workers Compensation $_________________
____________________________________________
Disability Payments $_________________
____________________________________________ (Do NOT include Social Security or Veteran’s Benefits)
____________________________________________ Other (specify): $_________________
44. During THE WEEK, did you do work of any kind? 45b. During THE WEEK, were you entitled to any Social Security,
Yes No pension, or retirement fund payments?
If “Yes”, what type of work did you do?
____________________________________________ Yes No
____________________________________________ If “No”, go to Question 46
____________________________________________ If “Yes”, give the amount you received:
Days and times worked:
____________________________________________ Social Security $ ________________
____________________________________________ Veterans Benefits $ ________________
Name, address and phone number of employer:
Railroad Retirement $ ________________
____________________________________________
Federal Civil Service Retirement $ ________________
____________________________________________
U.S. Military Retirement $ ________________
____________________________________________
State/Local Government Retirement $ ________________
____________________________________________
Private Employer or Union Pension $ ________________
Are you still working for this employer? Yes No
If “no” provide the reason you are no longer employed: Other $ ________________
_______________________________________________
_______________________________________________
_______________________________________________
_______________________________________________
Page 5 of 8 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 7
BENEFITS ACCURACY MEASUREMENT
CLAIMANT QUESTIONNAIRE - PAID CLAIM
46. Did you receive information about your unemployment benefits, 47. Have you had any problems with your unemployment insurance
rights, and responsibilities when you first filed for benefits? claim?
Yes No
Yes No
If “Yes”, explain:
If “Yes”, how was this information given to you?
(Check ALL that apply)
In-person (individual) interview
Group interview
48. Do you have any questions to ask about your unemployment
insurance claim or about your responsibilities and rights as an
Booklet or Pamphlet
unemployment insurance claimant?
Internet/telephone/other multimedia
Yes No
Other (specify) _________________________ If “Yes”, explain:
Please complete your work history on the following page.
49. Between the day you filed for unemployment benefits and day that you completed this questionnaire, have you worked for any employers?
Yes No
If yes, are you still working for this employer? Yes No If “No”, Why are you no longer working for this employer?
____________________________________________________________________________________________________________
____________________________________________________________________________________________________________
____________________________________________________________________________________________________________
____________________________________________________________________________________________________________
I have understood the questions on this questionnaire and I have answered them truthfully to the best of my knowledge. I know my answers will be
used to determine if my unemployment benefits were paid properly. I know the law provides penalties for false statements made to obtain benefits.
I also know that my answers will be verified.
________________________________________________ _________________________________________________
Claimant’s Signature Date Signed
________________________________________________ ________________________________________________
Interviewer’s Signature Date Signed
AGENCY USE ONLY Æ Information obtained by: Mail Fax Phone In-person E-mail
Please complete your work history on the following page(s).
Page 6 of 8 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 8
BENEFITS ACCURACY MEASUREMENT
CLAIMANT QUESTIONNAIRE - PAID CLAIM
EMPLOYMENT HISTORY PAGE 1
Please provide the following information about employers for whom you worked. Begin with your most recent employer and work
back to the date shown. Include ALL employment (i.e. full time, part time, out of state, federal employment or contract work).
FROM THE PRESENT BACK TO ___________________________
MONTH / DAY / YEAR
CURRENT OR MOST 2ND MOST RECENT 3RD MOST RECENT 4TH MOST RECENT
RECENT
Employer Name Employer Name Employer Name Employer Name
Address Address Address Address
Location of Job Site Location of Job Site Location of Job Site Location of Job Site
Telephone Number Telephone Number Telephone Number Telephone Number
Type of work Type of work Type of work Type of work
Check all that apply Check all that apply Check all that apply Check all that apply
Full time Full time Full time Full time
Part Time Part Time Part Time Part Time
Contract Contract Contract Contract
Federal Federal Federal Federal
Military Military Military Military
Length of Employment Length of Employment Length of Employment Length of Employment
First day _____________ First day _____________ First day _____________ First day _____________
Last day _____________ Last day _____________ Last day _____________ Last day _____________
Your Job Title Your Job Title Your Job Title Your Job Title
Your Wages on this Job Your Wages on this Job Your Wages on this Job Your Wages on this Job
$________ Per_______ $________ Per_______ $________ Per_______ $________ Per_______
What were your main job duties? What were your main job duties? What were your main job duties? What were your main job duties?
Reason for Separation Reason for Separation Reason for Separation Reason for Separation
Still employed Still employed Still employed Still employed
Lack of Work or Layoff Lack of Work or Layoff Lack of Work or Layoff Lack of Work or Layoff
Discharge or Fired Discharge or Fired Discharge or Fired Discharge or Fired
Quit or Retired Quit or Retired Quit or Retired Quit or Retired
Labor Dispute Labor Dispute Labor Dispute Labor Dispute
Seasonal Seasonal Seasonal Seasonal
Other Compelling Reasons Other Compelling Reasons Other Compelling Reasons Other Compelling Reasons
Page 7 of 8 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 9
BENEFITS ACCURACY MEASUREMENT
CLAIMANT QUESTIONNAIRE - PAID CLAIM
EMPLOYMENT HISTORY PAGE 2
Please continue to provide the following information about employers for whom you worked. Continue your work history from the
prior page and work back to the date shown below. Include ALL employment (i.e. full time, part time, out of state, federal
employment or contract work).
FROM THE PRESENT BACK TO ___________________________
MONTH / DAY / YEAR
5TH MOST RECENT 6TH MOST RECENT 7RD MOST RECENT 8TH MOST RECENT
Employer Name Employer Name Employer Name Employer Name
Address Address Address Address
Location of Job Site Location of Job Site Location of Job Site Location of Job Site
Telephone Number Telephone Number Telephone Number Telephone Number
Type of work Type of work Type of work Type of work
Check all that apply Check all that apply Check all that apply Check all that apply
Full time Full time Full time Full time
Part Time Part Time Part Time Part Time
Contract Contract Contract Contract
Federal Federal Federal Federal
Military Military Military Military
Length of Employment Length of Employment Length of Employment Length of Employment
First day _____________ First day _____________ First day _____________ First day _____________
Last day _____________ Last day _____________ Last day _____________ Last day _____________
Your Job Title Your Job Title Your Job Title Your Job Title
Your Wages on this Job Your Wages on this Job Your Wages on this Job Your Wages on this Job
$________ Per_______ $________ Per_______ $________ Per_______ $________ Per_______
What were your main job duties? What were your main job duties? What were your main job duties? What were your main job
duties?
Reason for Separation Reason for Separation Reason for Separation Reason for Separation
Still employed Still employed Still employed Still employed
Lack of Work or Layoff Lack of Work or Layoff Lack of Work or Layoff Lack of Work or Layoff
Discharge or Fired Discharge or Fired Discharge or Fired Discharge or Fired
Quit or Retired Quit or Retired Quit or Retired Quit or Retired
Labor Dispute Labor Dispute Labor Dispute Labor Dispute
Seasonal Seasonal Seasonal Seasonal
Other Compelling Reasons Other Compelling Reasons Other Compelling Reasons Other Compelling Reasons
Page 8 of 8 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 10
BENEFITS ACCURACY MEASUREMENT
CLAIMANT QUESTIONNAIRE - MONETARY DENIAL CLAIM
Batch # _____________Seq___
Please answer the following questions as accurately as possible. If you do not know the answer, leave it blank. The interviewer will
discuss it with you later. It you need help, please ask. Please print clearly. Your answers will be used to determine if the decision to
deny your unemployment insurance benefits was proper. This information will be verified. The last page of this questionnaire is for
recording your work history.
Benefit Accuracy Measurement (BAM) audits randomly selected paid and denied Unemployment Compensation (UC) claims to verify
their accuracy. Failures to report, disclose, or provide information when directed or to complete the BAM questionnaire by the due
date may result in a delay or in a denial of benefits. Your responses are subject to state confidentiality statutes, which must conform to
Federal regulations (20 CFR Part 603). State and Federal agencies safeguard the confidentiality of the BAM information by:
1) using the information only for purposes of verifying claimant eligibility for UC and identifying general descriptive
characteristics about the Unemployment Insurance program;
2) permitting access to the information by only authorized persons;
3) ensuring that the physical and electronic storage of the information is secure; and
4) publishing the results of the BAM audits in a format that precludes the identification of any individual providing the
information.
1. Name (First, Middle, Last) 11. Ethnic Group - Indicate by selecting one of the following:
Not Hispanic or Latino
Hispanic or Latino
In the past three years, if you were known or earned income by another
name, enter it here: Unknown
2. Social Security Number 12. US Citizen? Yes No
In the past three years, if you earned income under another Social If No, Alien Registration #___________________________
Security Number (SSN), enter the SSN here:
3. Street Address 13. Highest level of education completed (circle one):
Grade School - 0 1 2 3 4 5 6 7 8
Apt Number High School - 9 10 11 12
4. City: Some College Associate Degree
BA/BS Graduate School
State: ZIP code: Major Field of Study: _____________________________________
5. Mailing Address (if different) 14. Have you had vocational or technical school training?
Yes No
Type of certificate: _____________________________
6. If you have moved since you first filed for unemployment benefits on 15. Are you currently attending school or enrolled in a training program?
_________________, enter your address when you first filed: Yes No If “Yes”, provide the following: Name, Address,
Phone Number of school or training program:
________________________________________________
7. Telephone Number (include area code)
________________________________________________
8. Date of Birth (MM/DD/YYYY)
________________________________________________
Do you have or can you obtain evidence that you are making satisfactory
9. Gender: Male Female progress? Yes No
10. Race - Indicate by selecting one or more of the following: 16. In the last 18 months, what has been your usual occupation?
White _________________________________________________
Black or African-American
What are your main job duties at your usual work?
Asian
American Indian or Alaska Native _________________________________________________
Native Hawaiian or other Pacific Islander
Unknown ________________________________________________
Page 1 of 4 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 11
BENEFITS ACCURACY MEASUREMENT
CLAIMANT QUESTIONNAIRE - MONETARY DENIAL CLAIM
17. What type of work are you looking for? 20. Do you need any special licenses or certificates to do the type of work
________________________________________________ you are seeking? Yes No
If “Yes”, did you have the license or certificate needed?
________________________________________________
Yes No
________________________________________________ What kind of license or certificate is it? _________________________
Months/Years experience in this type of work:____________________ When does it expire? ______________________________________
Are you only seeking part time work? Yes No ________________________________________________
18. In the last 18 months, what has been your normal wage for the
work you usually do? ________________________________________________
$ ____________ per _________
What is the lowest rate of pay you will accept for a job?
$ ____________ per _________
19. Did you receive information about your unemployment benefits, 21. Were you entitled to any Social Security, pension, or retirement fund
rights, and responsibilities when you first filed for benefits? payments since the effective date of your current claim?
Yes No
Yes No
If “Yes”, how was this information given to you?
(Check ALL that apply) If “Yes”, give the amount you received:
In-person (individual) interview Social Security $ _________________
Group interview Veterans Benefits $ _________________
Booklet or Pamphlet Railroad Retirement $ _________________
Internet/telephone/other multimedia Federal Civil Service Retirement $ _________________
Other (specify) _________________________ U.S. Military Retirement $ _________________
State/Local Government Retire. $ _________________
Private Employer or Union Pension $ _________________
Other (specify) $ _________________
Please complete your work history on the following page and sign the form.
Page 2 of 4 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 12
BENEFITS ACCURACY MEASUREMENT
CLAIMANT QUESTIONNAIRE - MONETARY DENIAL CLAIM
EMPLOYMENT HISTORY PAGE 1
Please provide the following information about employers for whom you worked. Begin with your most recent employer and work back
to the date shown. Include ALL employment (i.e. full time, part time, out of state, federal employment or contract work).
FROM THE PRESENT BACK TO ___________________________
MONTH / DAY / YEAR
CURRENT OR MOST 2ND MOST RECENT 3RD MOST RECENT 4TH MOST RECENT
RECENT
Employer Name Employer Name Employer Name Employer Name
Address Address Address Address
Location of Job Site Location of Job Site Location of Job Site Location of Job Site
Telephone Number Telephone Number Telephone Number Telephone Number
Check all that apply Check all that apply Check all that apply Check all that apply
Type of work Type of work Type of work Type of work
Full time Full time Full time Full time
Part Time Part Time Part Time Part Time
Contract Contract Contract Contract
Federal Federal Federal Federal
Military Military Military Military
Length of Employment Length of Employment Length of Employment Length of Employment
First day _____________ First day _____________ First day _____________ First day _____________
Last day _____________ Last day _____________ Last day _____________ Last day _____________
Your Job Title Your Job Title Your Job Title Your Job Title
Your Wages on this Job Your Wages on this Job Your Wages on this Job Your Wages on this Job
$________ Per_______ $________ Per_______ $________ Per_______ $________ Per_______
What were your main job duties? What were your main job duties? What were your main job duties? What were your main job duties?
Reason for Separation Reason for Separation Reason for Separation Reason for Separation
Still employed Still employed Still employed Still employed
Lack of Work or Layoff Lack of Work or Layoff Lack of Work or Layoff Lack of Work or Layoff
Discharge or Fired Discharge or Fired Discharge or Fired Discharge or Fired
Quit or Retired Quit or Retired Quit or Retired Quit or Retired
Labor Dispute Labor Dispute Labor Dispute Labor Dispute
Seasonal Seasonal Seasonal Seasonal
Other Compelling Reasons Other Compelling Reasons Other Compelling Reasons Other Compelling Reasons
I have understood the questions on this questionnaire and I have answered them truthfully to the best of my knowledge. I know my answers will be used
to determine if my unemployment benefits were denied properly. I know the law provides penalties for false statements made to obtain benefits. I also
know that my answers will be verified.
________________________________________________ ___________________________________________
Claimant’s Signature Date Signed
________________________________________________ ___________________________________________
Interviewer’s Signature Date Signed
AGENCY USE ONLY Æ Information obtained by: Mail Fax Phone In-person E-mail
Page 3 of 4 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 13
BENEFITS ACCURACY MEASUREMENT
CLAIMANT QUESTIONNAIRE - MONETARY DENIAL CLAIM
EMPLOYMENT HISTORY PAGE 2
Please continue to provide the following information about employers for whom you worked. Continue your work history from the
prior page and work back to the date shown below. Include ALL employment (i.e. full time, part time, out of state, federal
employment or contract work).
FROM THE PRESENT BACK TO ___________________________
MONTH / DAY / YEAR
5TH MOST RECENT 6TH MOST RECENT 7RD MOST RECENT 8TH MOST RECENT
Employer Name Employer Name Employer Name Employer Name
Address Address Address Address
Location of Job Site Location of Job Site Location of Job Site Location of Job Site
Telephone Number Telephone Number Telephone Number Telephone Number
Type of work Type of work Type of work Type of work
Check all that apply Check all that apply Check all that apply Check all that apply
Full time Full time Full time Full time
Part Time Part Time Part Time Part Time
Contract Contract Contract Contract
Federal Federal Federal Federal
Military Military Military Military
Length of Employment Length of Employment Length of Employment Length of Employment
First day _____________ First day _____________ First day _____________ First day _____________
Last day _____________ Last day _____________ Last day _____________ Last day _____________
Your Job Title Your Job Title Your Job Title Your Job Title
Your Wages on this Job Your Wages on this Job Your Wages on this Job Your Wages on this Job
$________ Per_______ $________ Per_______ $________ Per_______ $________ Per_______
What were your main job duties? What were your main job duties? What were your main job duties? What were your main job duties?
Reason for Separation Reason for Separation Reason for Separation Reason for Separation
Still employed Still employed Still employed Still employed
Lack of Work or Layoff Lack of Work or Layoff Lack of Work or Layoff Lack of Work or Layoff
Discharge or Fired Discharge or Fired Discharge or Fired Discharge or Fired
Quit or Retired Quit or Retired Quit or Retired Quit or Retired
Labor Dispute Labor Dispute Labor Dispute Labor Dispute
Seasonal Seasonal Seasonal Seasonal
Other Compelling Reasons Other Compelling Reasons Other Compelling Reasons Other Compelling Reasons
Page 4 of 4 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 14
BENEFITS ACCURACY MEASUREMENT
CLAIMANT QUESTIONNAIRE - SEPARATION DENIAL CLAIM
Batch # ______________Seq__
Please answer the following questions as accurately as possible. If you do not know the answer, leave it blank. The interviewer will discuss it with
you later. It you need help, please ask. Please print clearly. Your answers will be used to determine if the decision to deny your unemployment
insurance benefits was proper. This information will be verified. The last page of this questionnaire is for recording your work history.
Benefit Accuracy Measurement (BAM) audits randomly selected paid and denied Unemployment Compensation (UC) claims to verify their
accuracy. Failures to report, disclose, or provide information when directed or to complete the BAM questionnaire by the due date may result in a
delay or in a denial of benefits. Your responses are subject to state confidentiality statutes, which must conform to Federal regulations (20 CFR
Part 603). State and Federal agencies safeguard the confidentiality of the BAM information by:
1) using the information only for purposes of verifying claimant eligibility for UC and identifying general descriptive characteristics about
the Unemployment Insurance program;
2) permitting access to the information by only authorized persons;
3) ensuring that the physical and electronic storage of the information is secure; and
4) publishing the results of the BAM audits in a format that precludes the identification of any individual providing the information.
1. Name (First, Middle, Last) 11. Ethnic Group - Indicate by selecting one of the following:
Not Hispanic or Latino
In the past three years, if you were known or earned income by
Hispanic or Latino
another name, enter it here:
Unknown
2. Social Security Number 12. US Citizen? Yes No
In the past three years, if you earned income under another Social If No, Alien Registration #___________________________
Security Number (SSN), enter the SSN here:
3. Street Address 13. Highest level of education completed (circle one):
Grade School - 0 1 2 3 4 5 6 7 8
Apt Number High School - 9 10 11 12
4. City: Some College Associate Degree
BA/BS Graduate School
State: ZIP code: Major Field of Study: _____________________________
5. Mailing Address (if different) 14. Have you had vocational or technical school training?
Yes No
Type of certificate: ________________________
6. If you have moved since you first filed for unemployment benefits 15. Are you currently attending school or enrolled in a training program?
on _________________, enter your address when you first filed: Yes No
If “Yes”, complete the following: Name, Address, Phone Number of
school or training program:
7. Telephone Number (include area code)
________________________________________________
8. Date of Birth (MM/DD/YYYY) ________________________________________________
________________________________________________
9. Gender: Male Female
Do you have or can you obtain evidence that you are making satisfactory
progress? Yes No
10. Race - Indicate by selecting one or more of the following: 16. In the last 18 months, what has been your usual occupation?
White ________________________________________________
Black or African-American
Asian What are your main job duties at your usual work?
American Indian or Alaska Native
Native Hawaiian or other Pacific Islander ________________________________________________
Unknown
________________________________________________
Page 1 of 2 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 15
BENEFITS ACCURACY MEASUREMENT
CLAIMANT QUESTIONNAIRE - SEPARATION DENIAL CLAIM
17. What type of work are you looking for? 21. Do you need any special licenses or certificates to do the type of work
________________________________________________ that you are seeking? Yes No
If “Yes”, did you have the license or certificate needed?
Months/Years experience in this type of work:___________________ Yes No
What kind of license or certificate is it?
18. In the last 18 months, what has been your normal wage for the
work you usually do? ______________________________
$ ____________ per _________
What is the lowest rate of pay you will accept for a job? When does it expire? ____________________
$ ____________ per _________
19. Did you receive information about your unemployment benefits, 22. In your usual job do you normally work part time? Yes No
rights, and responsibilities when you first filed for benefits?
Yes No
If “Yes”, how was this information given to you? Are you only seeking part time work? Yes No
(Check ALL that apply)
In-person (individual) interview Group interview
Booklet or Pamphlet
Internet/telephone/other multimedia
Other (specify) _________________________
20. Name, address and telephone number of last employer: 23. Reason for Separation (Check block that indicates why you are no
longer working for this employer.)
__________________________________________ Still employed
__________________________________________ Lack of Work or Layoff
Discharge or Fired
__________________________________________ Quit or Retired
__________________________________________ Labor Dispute
Seasonal
Work site: _________________________________________ Quit to move with spouse
Your job title: ______________________________________ Other Compelling Reasons (explain): _____________________
______________________________________________________
__________________________________________________________
24. Between the last day you worked for your last employer and the time you filed for unemployment benefits, did you work for any other employer?
Yes No If “Yes”, provide the name, address and phone number for this employer:
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
If yes, are you still working for this employer? Yes No If “No”, Why are you no longer working for this employer?
____________________________________________________________________________________________________________
____________________________________________________________________________________________________________
____________________________________________________________________________________________________________
I have understood the questions on this questionnaire and I have answered them truthfully to the best of my knowledge. I know my answers will be
used to determine if my unemployment benefits were denied properly. I know the law provides penalties for false statements made to obtain benefits.
I also know that my answers will be verified.
________________________________________________ ___________________________________________
Claimant’s Signature Date Signed
________________________________________________ ___________________________________________
Interviewer’s Signature Date Signed
AGENCY USE ONLY Æ Information obtained by: Mail Fax Phone In-person E-mail
Page 2 of 2 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 16
BENEFITS ACCURACY MEASUREMENT
CLAIMANT QUESTIONNAIRE - NONSEPARATION DENIAL CLAIM
Batch # _____________Seq___
Please answer the following questions as accurately as possible. If you do not know the answer, leave it blank. The interviewer will
discuss it with you later. It you need help, please ask. Please print clearly. Your answers will be used to determine if the decision to
deny your unemployment insurance benefits was proper. This information will be verified. The last page of this questionnaire is for
recording your work history.
Benefit Accuracy Measurement (BAM) audits randomly selected paid and denied Unemployment Compensation (UC) claims to verify
their accuracy. Failures to report, disclose, or provide information when directed or to complete the BAM questionnaire by the due
date may result in a delay or in a denial of benefits. Your responses are subject to state confidentiality statutes, which must conform to
Federal regulations (20 CFR Part 603). State and Federal agencies safeguard the confidentiality of the BAM information by:
1) using the information only for purposes of verifying claimant eligibility for UC and identifying general descriptive
characteristics about the Unemployment Insurance program;
2) permitting access to the information by only authorized persons;
3) ensuring that the physical and electronic storage of the information is secure; and
4) publishing the results of the BAM audits in a format that precludes the identification of any individual providing the
information.
1. Name (First, Middle, Last) 11. Ethnic Group - Indicate by selecting one of the following:
Not Hispanic or Latino
In the past three years, if you were known or earned income by
Hispanic or Latino
another name, enter it here:
Unknown
2. Social Security Number 12. US Citizen? Yes No
In the past three years, if you earned income under another Social If No, Alien Registration #___________________________
Security Number (SSN), enter the SSN here:
3. Street Address 13. Highest level of education completed (circle one):
Grade School - 0 1 2 3 4 5 6 7 8
Apt Number High School - 9 10 11 12
Some College Associate Degree
4. City:
BA/BS Graduate School
State: ZIP code: Major Field of Study: _____________________________
5. Mailing Address (if different) 14. Have you had vocational or technical school training? Yes No
Type of certificate: ________________________
6. If you have moved since you first filed for unemployment 15. Are you currently attending school or enrolled in a training program?
benefits on _________________, enter your address when you first Yes No
filed:
If “Yes”, complete the following: Name, Address, Phone Number of school or
training program:
7. Telephone Number (include area code) _____________________________________
_____________________________________
8. Date of Birth (MM/DD/YYYY)
_____________________________________
9. Gender: Male Female
Do you have or can you obtain evidence that you are making satisfactory
progress? Yes No
10. Race - Indicate by selecting one or more of the following:
16. In the last 18 months, what has been your usual occupation? __________
White
______________________________________________________
Black or African-American
Asian What are your main job duties at your usual work? _____________________
American Indian or Alaska Native
Native Hawaiian or other Pacific Islander ______________________________________________________
Unknown
Page 1 of 5 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 17
BENEFITS ACCURACY MEASUREMENT
CLAIMANT QUESTIONNAIRE - NONSEPARATION DENIAL CLAIM
17. What type of work are you looking for? 22. Do you need any special licenses or certificates to do the type of work
________________________________________________ you are seeking? Yes No
If “Yes”, did you have the license or certificate needed? Yes No
Months/Years experience in this type of work:____________________
What kind of license or certificate is it? _________________
18. In the last 18 months, what has been your normal wage for the work
you usually do?
$ ____________ per __________ When does it expire? ______________________________
What is the lowest rate of pay you will accept for a job?
$ ______________ per _________
19. Did you receive information about your unemployment benefits, 23. Have you registered with the State Employment Service since you
rights, and responsibilities when you first filed for benefits? filing for unemployment benefits on _________________?
Yes No Yes No
If “Yes”, how was this information given to you? (Check ALL that apply)
If “Yes”, date: _________________ Number of referrals: ____________
In-person (individual) interview Group interview
Booklet or Pamphlet Internet/telephone/other multimedia What were the results of these referrals?
Other (specify) _________________________
20. Are you entitled to any Social Security, pension, or retirement fund 24. Have you registered with a private employment agency since you first
payments? Yes No filed for unemployment benefits on _________________?
If “Yes”, give the amount you received: Yes No
Social Security $ __________________
If “Yes”, number of referrals: ____________
Veterans Benefits $ __________________
Railroad Retirement $ __________________ What were the results of these referrals?
Federal Civil Service Retirement $ __________________
U.S. Military Retirement $ __________________ _________________________________________________
State/Local Government Retirement $ __________________
_________________________________________________
Private Employer or Union Pension $ __________________
Other (specify) $ __________________
21. Do you expect to be called back to work by any past employer? 25. Are you a member of a Union? Yes No
Yes No If “Yes” complete the following:
If “Yes”, please answer the following: Union Name: __________________________________
Do you have or have you received a recall notice? Local Number __________________________________
Yes No
Address: __________________________________
When were you told you would be recalled?
_________/_____/______ __________________________________
Month Day Year
Who notified you? _____________________ Phone Number: __________________________________
When will you report back to work? ______________ Whom do you contact at the local? _______________________
Name, Address and Phone Number of employer: Does your union have a local hiring hall? Yes No
Are your dues considered current? Yes No
Do you get work ONLY through the union? Yes No
__________________________________________
Will you accept a non-union job? Yes No
__________________________________________ Are you eligible to be referred to jobs by the union? Yes No
If “No”, explain:
__________________________________________ Are you on the out-of-work list? Yes No
__________________________________________ If “Yes”, when was the last time you signed the list? _________________
If “No”, explain: ____________________________________________
__________________________________________
How many jobs were you referred to by the union? _______
What were the results of these referrals? __________________________
Page 2 of 5 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 18
BENEFITS ACCURACY MEASUREMENT
CLAIMANT QUESTIONNAIRE - NONSEPARATION DENIAL CLAIM
26. During the period that you where denied, did you have or a member 27. During the period you where denied, did you have any dependent(s)
of your immediate family any health problem, handicap or disability that or other person(s) for whom you provided care during your normal
limited your ability to do your usual work or to look for work? working hours? Yes No
Yes No If “No” go to Question 28.
If “Yes”, explain: If “Yes” was there some other person or place available to provide care?
Yes No
_________________________________________________________
If “Yes” provide the name, address and phone number of the care
_________________________________________________________ provider:
_________________________________________________________
_________________________________________________________
_________________________________________________________
_________________________________________________________
28. During the period you where denied did you have transportation to get to and from a job? Yes No
29. Did you actively seek work during the week of _____________________________? Yes No If “Yes”, complete the following:
1. Employer Name Contact Date: Method of Contact:
In Person Mail
Telephone Fax
Internet Other (Specify):
Address: Employer Phone (include area code): Application taken? Yes No
Resume submitted? Yes No
City/State/Zip Type of work applied for: Was a job offered? Yes No
2. Employer Name Contact Date: Method of Contact:
In Person Mail
Telephone Fax
Internet Other (Specify):
Address: Employer Phone (include area code): Application taken? Yes No
Resume submitted? Yes No
City/State/Zip Type of work applied for: Was a job offered? Yes No
3. Employer Name Contact Date: Method of Contact:
In Person Mail
Telephone Fax
Internet Other (Specify):
Address: Employer Phone (include area code): Application taken? Yes No
Resume submitted? Yes No
City/State/Zip Type of work applied for: Was a job offered? Yes No
4. Employer Name Contact Date: Method of Contact:
In Person Mail
Telephone Fax
Internet Other (Specify):
Address: Employer Phone (include area code): Application taken? Yes No
Resume submitted? Yes No
City/State/Zip Type of work applied for: Was a job offered? Yes No
Please indicate any other job-development activities you engaged in during THE WEEK (such as networking, resume writing, visiting
web sites or employment agencies.)
Page 3 of 5 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 19
BENEFITS ACCURACY MEASUREMENT
CLAIMANT QUESTIONNAIRE - NONSEPARATION DENIAL CLAIM
EMPLOYMENT HISTORY PAGE 1
Please provide the following information about employers for whom you worked. Begin with your most recent employer and work back to the date
shown. Include ALL employment (i.e. full time, part time, out of state, federal employment or contract work).
FROM THE PRESENT BACK TO ___________________________
MONTH / DAY / YEAR
CURRENT OR MOST 2ND MOST RECENT 3RD MOST RECENT 4TH MOST RECENT
RECENT
Employer Name Employer Name Employer Name Employer Name
Address Address Address Address
Location of Job Site Location of Job Site Location of Job Site Location of Job Site
Telephone Number Telephone Number Telephone Number Telephone Number
Type of work Type of work Type of work Type of work
Check all that apply Check all that apply Check all that apply Check all that apply
Full time Full time Full time Full time
Part Time Part Time Part Time Part Time
Contract Contract Contract Contract
Federal Federal Federal Federal
Military Military Military Military
Length of Employment Length of Employment Length of Employment Length of Employment
First day _____________ First day _____________ First day _____________ First day _____________
Last day _____________ Last day _____________ Last day _____________ Last day _____________
Your Job Title Your Job Title Your Job Title Your Job Title
Your Wages on this Job Your Wages on this Job Your Wages on this Job Your Wages on this Job
$________ Per_______ $________ Per_______ $________ Per_______ $________ Per_______
What were your main job duties? What were your main job duties? What were your main job duties? What were your main job duties?
Reason for Separation Reason for Separation Reason for Separation Reason for Separation
Still employed Still employed Still employed Still employed
Lack of Work or Layoff Lack of Work or Layoff Lack of Work or Layoff Lack of Work or Layoff
Discharge or Fired Discharge or Fired Discharge or Fired Discharge or Fired
Quit or Retired Quit or Retired Quit or Retired Quit or Retired
Labor Dispute Labor Dispute Labor Dispute Labor Dispute
Seasonal Seasonal Seasonal Seasonal
Other Compelling Reasons Other Compelling Reasons Other Compelling Reasons Other Compelling Reasons
I have understood the questions on this questionnaire and I have answered them truthfully to the best of my knowledge. I know my answers will be used
to determine if my unemployment benefits were denied properly. I know the law provides penalties for false statements made to obtain benefits. I also
know that my answers will be verified.
________________________________________________ __________________________________________
Claimant’s Signature Date Signed
________________________________________________ __________________________________________
Interviewer’s Signature Date Signed
AGENCY USE ONLY Æ Information obtained by: Mail Fax Phone In-person E-mail
Page 4 of 5 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 20
BENEFITS ACCURACY MEASUREMENT
CLAIMANT QUESTIONNAIRE - NONSEPARATION DENIAL CLAIM
EMPLOYMENT HISTORY PAGE 2
Please continue to provide the following information about employers for whom you worked. Continue your work history from the
prior page and work back to the date shown below. Include ALL employment (i.e. full time, part time, out of state, federal
employment or contract work).
FROM THE PRESENT BACK TO ___________________________
MONTH / DAY / YEAR
5TH MOST RECENT 6TH MOST RECENT 7RD MOST RECENT 8TH MOST RECENT
Employer Name Employer Name Employer Name Employer Name
Address Address Address Address
Location of Job Site Location of Job Site Location of Job Site Location of Job Site
Telephone Number Telephone Number Telephone Number Telephone Number
Type of work Type of work Type of work Type of work
Check all that apply Check all that apply Check all that apply Check all that apply
Full time Full time Full time Full time
Part Time Part Time Part Time Part Time
Contract Contract Contract Contract
Federal Federal Federal Federal
Military Military Military Military
Length of Employment Length of Employment Length of Employment Length of Employment
First day _____________ First day _____________ First day _____________ First day _____________
Last day _____________ Last day _____________ Last day _____________ Last day _____________
Your Job Title Your Job Title Your Job Title Your Job Title
Your Wages on this Job Your Wages on this Job Your Wages on this Job Your Wages on this Job
$________ Per_______ $________ Per_______ $________ Per_______ $________ Per_______
What were your main job duties? What were your main job duties? What were your main job duties? What were your main job duties?
Reason for Separation Reason for Separation Reason for Separation Reason for Separation
Still employed Still employed Still employed Still employed
Lack of Work or Layoff Lack of Work or Layoff Lack of Work or Layoff Lack of Work or Layoff
Discharge or Fired Discharge or Fired Discharge or Fired Discharge or Fired
Quit or Retired Quit or Retired Quit or Retired Quit or Retired
Labor Dispute Labor Dispute Labor Dispute Labor Dispute
Seasonal Seasonal Seasonal Seasonal
Other Compelling Reasons Other Compelling Reasons Other Compelling Reasons Other Compelling Reasons
Page 5 of 5 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 21
Benefit Accuracy Measurement Employer Verification Batch Seq Claim Type
Claimant Name: Claimant SSN:
Employer: Employer Acct #: Contact Person:
Employer Address: Phone: Fax:
Claimant Hired on: Separated on: Last Day Worked: States worked in: Other SSN or Name used: while employed
in last three years? Yes No
If Yes, provide it:
Claimant provided I-9 Employment - US Citizen -Alien Authorized to Work Alien #
Eligibility Verification Information Lawful Permanent Resident
Payroll: frequency is? Circle answer Daily, Weekly, Pay Period begins on what day of the week? Pay Day is on what day?
Biweekly, Semi-Monthly, Monthly, Commission And ends on what day?
Recall Yes No Claimant actively employed? Rate of pay when employed For requalification:
Date? Yes No $_______ Per: total earnings since _____ = $
Type of work (Check all that apply) Full time Part Time Contract worker Federal Military Seasonally
Claimant Job title: Claimant Job Responsibilities
Circle Separation type: Quit / Fired or Discharged for Misconduct / Permanent layoff –Reduction In Force / Temporary layoff / Still
working / Retirement / Discharge - no misconduct (unable to perform) / Other compelling reasons (i.e. move with spouse, family illness)
Explain separations except lack of work/layoff.
If wages were for any time period after last day worked, please complete the following:
TYPE OF PAY $ AMOUNT # OF WEEKS DATES COVERED
Accrued Vacation
Holiday \ Sick
Last Pay Period
Commission \ Bonus
Wages in Lieu of Notice
Severance \ Separation Pay
Pension - Employer contribution plan? Yes or No
BASE PERIOD YEAR – FROM ( / / ) TO ( / / )
Year/Quarter: Year/Quarter:
IMPORTANT: PAY PERIOD PAY PERIOD
Please enter BEGIN AND BEGIN AND
PAYDAY GROSS PAY PAYDAY GROSS PAY
each pay period END DATES END DATES
end date and
gross pay for
each payday in
the quarter. If
the amounts for
all weeks do not
match the
original amount
reported by you
– please call!
TOTAL AUDITED
Page 1 of 2 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 22
BASE PERIOD YEAR – FROM ( / / ) TO ( / / )
Year/Quarter: Year/Quarter:
IMPORTANT: PAY PERIOD PAY PERIOD
Please enter BEGIN AND PAYDAY GROSS PAY BEGIN AND PAYDAY GROSS PAY
each pay END DATES END DATES
period end
date and gross
pay for each
payday in the
quarter. If the
amounts for all
weeks do not
match the
original
amount
reported by
you – please
call!
TOTAL AUDITED
CLAIM BENEFIT YEAR EARNINGS – FROM ( / / ) TO ( / / )
If you hired this person after the “from” date above, was this new hire reported to the New Hire Registry? Yes No.
If yes, when and to which state was the new hire reported ______________________.
If did not report this person as a new hire, did you previously employ this person within the past 365 days? Yes No.
IMPORTANT: PAY PERIOD PAY PERIOD
Please enter BEGIN AND PAYDAY GROSS PAY BEGIN AND PAYDAY GROSS PAY
each pay period END DATES END DATES
end date and
gross pay for
each payday in
the benefit
claim period
shown above.
If the amounts
for all weeks do
not match the
original amount
reported by you
– please call!
TOTAL AUDITED
I certify that the above information is correct to the best of my knowledge and belief.
Employer’s signature: Title: Date:
Official Use Only
Auditor’s signature: Phone: Fax: Date Received:
Form completed: Employer is: Batch Seq# Type
Employer is represented by a third party:
Page 2 of 2 November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 23
KEY WEEK ERROR SUMMARY WORKSHEET
Record issues (overpayments and underpayments) as independent actions in section A or B below as
appropriate, but exclude formal warnings and officially reversed actions (Key Week Action codes 14,
16, (11, 12, 13, and 15 when Prior Agency Action (ei6) equals 90 to 99), 23, and 24 from ei2 of
Screen I).
Cause Code -- Enter the Error Cause code (ei3).
$ Amount -- Dollar Amount of Key Week issue.
DQW (Disqualified Week) -- Enter X if this issue would cause the claimant to be
disqualified for the entire week for nonmonetary reasons, e.g., VQ denial, not able and available,
paid for waiting week, etc.
Case ID (f13) Amount Paid:
A. Overpayments B. Underpayments
Cause Code $ Amount DQW Cause Code $ Amount
1 1
2 2
3 3
4 4
5 5
6 6
7 7
8 8
9 9
10 10
11 11
12 12
Total OP: Total UP:
Page 1 of 2
November 2009
ET HANDBOOK NO. 395, 5th EDITION APPENDIX B Page 24
C. (h2) Amount That Claimant Should Have Been Paid
Complete one of the following to determine (h2):
1. If KW is DQW, (h2) = 0:
or
2.a If KW is not DQW, enter WBA After Investigation (e10)
2.b List specific adjustments to WBA for KW, e.g., reduction for earnings:
Enter total $ amount of adjustments: $
2.c Subtract 2(b) from 2(a); h2 = $
D. (h5) Total Key Week Overpayments
1. Enter the Total OP from A, page 1: $
2. Enter the Amount Paid for KW (f13): $
Total KW OP equals lesser of (1) or (2) (h5): $
E. (h6) Total Key Week Underpayments
1. Enter the state maximum WBA plus Dependents’ Allowance: $
2. Enter the Amount Paid for KW (f13): $
3. (1) – (2) $
4. Enter the Total UP from B, page 1: $
Total KW UP equals lesser of (3) or (4) (h6): $
Page 2 of 2
November 2009
ET HANDBOOK NO. 395, 5th EDITION
APPENDIX C
INVESTIGATIVE GUIDE
C-1
November 2009
ET HANDBOOK NO. 395, 5th EDITION
Appendix C
Investigative Guide
Source, Action, and Documentation
This table is designed to provide BAM staff with a summary guide to the required investigative
process. The table was developed based on the following assumptions:
1. That all procedures of the BAM process are being followed.
2. That a general review of all questionnaire items is conducted with the claimant as part
of the normal BAM process.
3. That the Summary of Investigation will be used to explain each case.
Therefore, these steps are not included in the table. Instead, the initial action beyond those basic steps
is presented. Following through using standard practices, such as fact-finding interviews, is required
when issues are identified.
When a source is listed, it is assumed that the necessary information has already been obtained from
that source. For several data items, the documentation column shows only the primary document for
that item. This is not meant to be all inclusive of the documents that may result.
C-2 November 2009
ET HANDBOOK NO. 395, 5th EDITION
INVESTIGATIVE GUIDE
PART A - MASTER TABLE
DATA ELEMENTS DATA SOURCE ACTION DOCUMENTATION
REQUIRED
1. Social Security Number State Records State must capture new System confirmation that a new
Claimant Questionnaire verification from verification was asked for.
Employer Records sources against claimant
Claimant S.S. Card, if system information
needed.
2. Week Ending Date of KW State Records None None
3. Case Type BAM System Verify the case is None
Generated a regular Core BAM
case and not part of
special study
4. Batch Number BAM System Compare to correct None
Generated number assignment
from OUI Issuance
5. Sequence Number BAM System None None
Generated
6. State I.D. Code BAM System None None
Generated
7. Local Office Number State Records Determine if proper None
Local Office of local office assignment
Record for the Claim
8. Investigator ID Code ID Number Assigned Compare to valid None
by Supervisor Investigator ID Nos.
C-3 November 2009
ET HANDBOOK NO. 395, 5th EDITION
PART B - CLAIMANT INFORMATION
DATA ELEMENTS DATA SOURCE ACTION REQUIRED DOCUMENTATION
1. Method Claimant Questionnaire None if obtained Explanation if not
Information was Obtained Case Documentation Obtained
2. U.S. Citizen Questionnaire -If citizen - None Photocopy Alien Reg. Card
State Records -If not, verify INS Report
Alien Reg. Card status with Fact-finding statement
Employer(s) INS if an issue
Immigration
3. Education Questionnaire None None
Employment Service
Records
4. Voc/Tech Training Questionnaire Compare sources to None
Employment Service determine proper
Records code
5. Current Training Status Questionnaire Verify and compare Fact-finding Statement
State Records information from if applicable
Training Facility sources to determine
proper code
6. Occupational Code Last Employer Verify and compare Separating Employer
Occupation State Records information from Verification and Claimant
Questionnaire sources to determine Questionnaire
Proper Code
7. Occupational Code Employer Compare sources to BAM Wage Verification
Primary Occupation State Records determine proper
Questionnaire code
8. Normal Hourly Wage Claimant Compare sources to BAM Wage Verification
Questionnaire determine proper
Employer code
Questionnaire
State Records
Observation
9. Occupational Code Seeking Questionnaire Review claimant’s Fact-finding Statement
Work State Records interest and work if an issue
Employment Service if history to determine
Registered proper code
Compare sources for
consistency
10. Lowest Wage will accept Questionnaire Compare claimant’s Fact-finding Statement
State Records wage demand to if Wage Restriction
prevailing wage for
occupation
11. Date of Birth Questionnaire Compare sources for None
State Records consistency
Drivers License Review with claimant
12. Sex Questionnaire Compare sources for None
State Records consistency
Observation
13. Ethnic Group Questionnaire Compare sources for None
State Records consistency
Observation
C-4 November 2009
ET HANDBOOK NO. 395, 5th EDITION
PART C - BENEFIT YEAR INFORMATION
DATA ELEMENTS DATA SOURCE ACTION DOCUMENTATION
REQUIRED
1. Program Code State Records Verify accuracy during Wage Verification
Employer(s) Records wage verification
2. Combine Wage Claim State Records Review work history with Wage Verification
Employer(s) Records claimant. Verify with IB-4 copy
employer during wage
verification
3. Benefit Year Beginning State Records Compare initial claim Initial Claim
filing date to BYB.
4. Init./AC Clm Filing Method State Records None Initial Claim
5. Benefit Rights Given State Records Compare sources for Copy of BRI Record
Questionnaire consistency
6. Number of ERPs State Records Sum from state records Copy of ERI Record
7. Last ERP Date State Records None Copy of ERI Record
8. Number of Nonsep State Records Sum from state records Copy of All Non-sep
Determinations issued Non-mon Records
9. Number of Prior Disqualified State Records None Copy of All Non-sep
for Nonseparation Issues Non-mon Records
C-5 November 2009
ET HANDBOOK NO. 395, 5th EDITION
PART D - SEPARATION INFORMATION
DATA ELEMENTS DATA SOURCE ACTION DOCUMENTATION
REQUIRED
1. Separation Reason (Before) State Records None State Records
2. Separation. Reason (After) Questionnaire Compare sources for Fact-finding Statements
Employer proper determination from ERs and Claimant
3. Date of Separation (Before) State Records None None
4. Date of Separation (After) Questionnaire Compare sources for Fact-finding Statements
Employer proper data and potential from ERs and Claimant
unreported earnings if an issue
5. Recall Status (Before) State Records None Work Search Exemption
Policy if Applicable
6. Recall Status (After) Employer Compare sources for Fact-finding Statements
Questionnaire proper data from ERs and Claimant
State Records
7. Tax Rate (Last Employer) State Records None Employer Quarterly
Report
8. Industry Code (Last Employer) Separation Employer Review sources for None
State Records accurate code assignment
Questionnaire
NAICS Handbook
C-6 November 2009
ET HANDBOOK NO. 395, 5th EDITION
PART ME - MONETARY ELIGIBILITY
DATA ELEMENTS DATA SOURCE ACTION DOCUMENTATION
REQUIRED
1.No. of Base Period Employers Monetary None Monetary Determination
(Before) Determination
2. No. of Base Period Employers Employer(s) Verify wages with all Wage Verification
(After) Monetary base period ERs to
Determination determine proper #
Claimant
3. Base Period Wages (Before) Monetary None Monetary Determination
Determination
4. Base Period Wages (After) Employer(s) Verify wages with all Wage Verification
Monetary base period ERs to
Determination determine proper
amount
5. High Quarter Wages (Before) Monetary None Monetary Determination
Determination State Records
6. High Quarter Wages (After) Employer(s) Verify wages with all Wage Verification
Monetary base period ERs to
Determination determine proper
Claimant amount
7. Base Period Weeks Worked State Records None Monetary Determination
(Before)
8. Base Period Weeks Worked State Records Verify weeks with Wage Verification
(After) employer(s) to Base Period Employer
determine proper #
9. WBA (Before) Monetary None Monetary Determination
Determination
10. WBA (After) Employer(s) Verify that WBA is Wage Verification
Monetary based on Monetary Redetermination if
Determination employ./Wage applicable
Claimant Verification
11. MBA (Before) Monetary None Monetary Ddetermination
Determination
12. MBA (After) Employer(s) Verify that MBA is Wage Verification
Monetary based on Monetary Redetermination if
Determination employ./Wage applicable
Verification
13. # Dependents Claimed State Records None None
(Before)
14. # Dependents Claimed (After) Questionnaire Verify as required by Verification Document(s)
State Records State procedures Dependent Award
15. Dependent Allowance (B) State Records None None
16. Dependent Allowance (A) Questionnaire Compare sources to Dependent Award (monetary
Dependency determine correct determination)
State records amount
17. Primary BPE Industry Employer(s) Review sources for Wage Verification
State records accurate code
NAICS
18. Monetary Redeterminations Monetary None Copy of Redetermination
Before Redetermination
19. Remaining Balance Benefit History None Benefit History
C-7 November 2009
ET HANDBOOK NO. 395, 5th EDITION
INVESTIGATIVE GUIDE
PART F - BENEFIT PAYMENT HISTORY
DATA ELEMENTS DATA SOURCE ACTION DOCUMENTATION
REQUIRED
1. Amt KW Earnings (Before) State Records Compare sources to State Records
Benefit History determine proper Benefit History
Weekly Certification amount Weekly Certification
2. Amt KW Earnings (After) Employer(s) Compare sources to Fact-finding statement
Questionnaire determine proper re: wage verification if
State Records amount applicable – NDNH
NDNH Crossmatch
3. Earn. Deduction (Before) State Records Compare sources to State Records
Benefit History determine earnings Benefit History
Weekly Certification deduction Weekly Certification
4. Earn. Deduction (After) Employer(s) Compare sources to Wage Verification
Questionnaire determine proper
State Records amount deducted
5. Other Deductible Income (B) State Records Compare sources to State Records
Benefit History determine all other Benefit History
Weekly Certification deductible income Weekly Certification
6. Other Deductible Income (A) State Records Compare sources to Wage Verifications
Benefit History determine proper Pension Verification if
Weekly Certification amount applicable
7. Other Deductions (B) State records Compare sources to State records
Benefit history determine amount of Benefit history
Weekly certification deduction Weekly certification
8. Other Deductions (A) Employer(s) Compare sources to Wage Verifications
Questionnaire determine proper Pension Verification
amount deducted
9. 1st Compensable Week State Records None Benefit History
Ending Date
10. Date of First Payment State Records None Benefit History
11. KW Filing Method State Records None KW Certification
12. KW Certification Procedure State Records None KW Certification
13. Amount Paid/Offset State Records None Benefit History
C-8 November 2009
ET HANDBOOK NO. 395, 5th EDITION
PART G - REGISTRATION/WORK SEARCH INFORMATION
DATA ELEMENTS DATA SOURCE ACTION DOCUMENTATION
REQUIRED
1. Required to seek work State Records If required to seek Agency Policy Statement
work, obtain official
policy/requirement
2. State Employment Service State Records If registration required, Agency Policy Statement
Registration Required obtain official
policy/regulation
3. Registered with State State Records Verify if claimant is ES 511 Records
Employment Service Questionnaire referable
Status with Employment
Service
4. Reason State Employment State Records If deferred, obtain Deferral Explanation
Service Registration Questionnaire explanation; i.e. official
Deferred policy
5. # of State Employment State Records Compare sources to ES 511 Records
Services Referrals Questionnaire determine proper
number
6. Private Employment Questionnaire None None
Registered
7. # Private Employment Questionnaire If information available, Work Search Verification
Referrals Private Agency verify as part of
verification
8. Union Referral Status Union Records Verify with union Union Verification
State Records claimant’s standing and Fact-finding Statement if
Questionnaire its effect on eligibility applicable
9. # Union Referrals – KW Union Sum of Sources Union Verification
Questionnaire
10. # Work Search Contacts- Employer(s), Unions Sum from All Sources None
KW Private Employment
Agencies
Questionnaire
11. # WS Contacts Outside State Records Sum from All Sources None
KW Employer(s), Union
Private Employment
Agencies
12. # WS Contacts Employer(s) Sum from All Sources Work Search Verification
Investigated Union Contacted for for Each Source
Private Employment Verification
Agencies
13. # WS Contacts Acceptable Employer(s), Union Record number of Work Search Verification
Private Employment contacts verified as
Agencies valid
14. # WS Contacts- Employer(s), Union Record number of Work Search Verification
Unacceptable Private Employment contacts verified as Explanation in Summary
Agencies invalid of Investigation (SOI)
Conduct fact-finding on Fact-finding Statement if
WS issue applicable
15. # WS Contacts- Employer(s) Record number of Work Search Verification
Unverifiable Union contacts that couldn’t Explanation in SOI
Private Employment be verified
Agencies
C-9 November 2009
ET HANDBOOK NO. 395, 5th EDITION
PART H - ERROR CLASSIFICATION/COMPLETION INFORMATION
DATA ELEMENTS DATA SOURCE ACTION DOCUMENTATION
REQUIRED
1. Action Code BAM Investigative File None on proper Explanation in Summary
payment; appropriate of Investigation and Copy
action on improper of Official Agency Actions
payments if applicable
2. Amount should have been BAM Investigative File None on proper Explanation in Summary
paid payment. Compute of Investigation and Copy
correct amount for of Official Agency Actions
improper payments if applicable
3. Total $ Amount of OP BAM Investigative File Determine sum of OP Explanation in Summary
(including KW) and complete official of Investigation and Copy
action of Official Agency Actions
if applicable
4. Total $ Amount of UP BAM Investigative File Determine sum of UP Monetary
(including KW) and complete official Redeterminations
action Printout of Supplemental.
Checks
5. Total OP for KW BAM Investigative File Determine amount of Explanation in Summary
KW OP and complete of Investigation and Copy
official action of Official Agency Actions
if applicable
6. Total UP for KW BAM Investigative File Determine amount of Explanation in Summary
KW UP and complete of Investigation and Copy
official action of Official Agency Actions
if applicable
7. Investigation completed Investigator All investigation Summary of Investigation
information is complete
and entered in database
8. Investigation completed date BAM System None None
Generated
9. Supervisory Review BAM Supervisor All official action Supervisor Sign-off
Completed. completed and approval
code entered
10. Supervisory Complete Date BAM System None None
Generated
11. Supervisor ID BAM System None None
Generated
C-10 November 2009
ET HANDBOOK NO. 395, 5th EDITION
PART I - ERROR ISSUE(S) CLASSIFICATION
DATA ELEMENTS DATA SOURCE ACTION DOCUMENTATION
REQUIRED
1. Dollar Amount of KW Error BAM Investigative Determine amount Explanation in Summary
File Copy of Official Agency
Action
2. KW Action: BAM Investigative Complete error Explanation in Summary
OP codes UP codes File classification procedures Copy of Official Agency
10 20 Action
11 21
12 22
13 23
14 24
15
16
3. Error Cause BAM Investigative Complete error Explanation in Summary
Series: File classification procedures Copy of Official Agency
100- Benefit Year errors Classification Copy of official agency Action
200- Base Period errors procedures
300- Separation issue errors
400- Eligibility issue errors
500- Dependents’ Allow. errors
600- Other issue errors
4. Error Responsibility BAM Investigative Complete error Explanation in Summary
File classification procedures Copy of Official Agency
Action
5. Detection Point BAM Investigative Complete error Explanation in Summary
10- WS verification File classification procedures Copy of Official Agency
20- Wage/sep. verification Action
30- Claimant interview
40- 3rd party verification
50- UI records
60- ES records
70- Union verification
80- New Hire Crossmatch
90- Wage Record Crossmatch
6. Prior Agency Action BAM Investigative Complete error Explanation in Summary
10- Not detectable normally File classification procedures Copy of Official Agency
20- State in process of correction Action
30- Identified; took wrong action
40- Suff. info. but took no action
50- Official actions not followed
60- New Hire crossmatch before
BAM Investigation completed
70- Wage Record crossmatch before
BAM Investigation completed
80- State provided incorrect
information or instructions
90- Another state’s workforce
agency’s procedural error or
incorrect information
C-11 November 2009
ET HANDBOOK NO. 395, 5th EDITION
PART I - ERROR ISSUE(S) CLASSIFICATION – Continued
DATA ELEMENTS DATA SOURCE ACTION DOCUMENTATION
REQUIRED
7. Prior Employer Action BAM Investigative Complete error Explanation in Summary
10- ER provide timely/adeq. info File classification procedures Copy of Official Agency
20- ER provide timely/late info Action
30- ER provide wrong/timely info
40- ER provide wrong/late info
50- ER did not respond
60- ER not asked for info
70- Not an employer-related issue
80- Employer did not report new
hire
8. Appeal Action BAM Investigative Complete error Explanation in Summary
1- No appeal filed/NA File classification procedures Copy of official Agency
2- Cl’t appeal det/ER interested Action
3- Cl’t appeal det/ER not interest
4- ER appeal det/cl’t interested
5- Cl’t/ER appeal BAM det.
6- State appealed BAM det.
9. Prior Claimant Action BAM Investigative Complete error Explanation in Summary
10- Cl’t provide timely/adeq. info File classification procedures Copy of Official Agency
20- Cl’t provide timely/late info Action
30- Cl’t provide wrong/timely info
40- Cl’t provide wrong/late info
50- Cl’t did not respond
60- State did not request info
C-12 November 2009
ET HANDBOOK NO. 395, 5th EDITION
SCREEN R - REOPEN TABLE
DATA ELEMENTS DATA SOURCE ACTION DOCUMENTATION
REQUIRED
Batch Number See Master Table None None
Sequence Number See Master Table None None
Case Type See Master Table None None
Reopen Case BAM Investigative File Verify correct code has None
been entered
Reopen Case Date BAM System Generated None None
Reopen Case Identification Staffing File Compare to list of valid None
ID numbers
Reopen Case Date BAM System Generated None None
C-13 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Appendix D
APPENDIX D
DATA COLLECTION INSTRUMENTS D-2
DATABASE DESCRIPTION &
DATABASE PRIMARY TABLES D-10
D-1 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Appendix D
PAID CLAIMS ACCURACY
DATA COLLECTION INSTRUMENT (DCI)
State Batch # Sequence # Sample Type
SSN Key Week / / Investigator ID Local Office
b1 Method Info Obtained . e15 Dep Allowance Before
b2 U.S. Citizen e16 Dep Allowance After
b3 Education .. e17 Ind Code Primary Empl.
b4 Voc/Tech School . e18 Mon. Redeterm. Before
b5 Currently In Training .. e19 Remain Balance $.....
b6 Occ Code Last
b7 Occ Code Usual ... f1 KW Earnings Before $...
b8 Normal Hourly Wage $...... f2 KW Earnings After $...
b9 Occ Code Seeking ... f3 Earn Deduct Before $...
b10 Lowest Hourly Wage $...... f4 Earn Deduct After $...
b11 Date of Birth / / f5 Other Income Before $...
b12 Gender f6 Other Income After $...
b13 Race/Ethnic f7 Other Deduct Before $...
f8 Other Deduct After $...
c1 Program Code f9 First CWK Date / /
c2 Combined Wage Claim f10 Date First Pay / /
c3 Benefit Year Begin / / f11 KW File Method 4
c4 Init Claim Filing Meth . f12 KW Certification 2
c5 Benefit Rights Given .... f13 Original Amount Paid $.....
c6 ERPs .
c7 Last ERPs ../../.... g1 WS Requirement
c8 Prior Nonsep Issues . g2 LE Reg Required
c9 Prior Nonsep Disq . g3 LE Reg/Services
g4 LE Deferred
d1 Reason Sep Before .. g5 LE Referrals
d2 Reason Sep After .. g6 Regis Private Agency
d3 Date Sep Before ../../.... g7 Priv Agency Refers
d4 Date Sep After ../../.... g8 Union Status
d5 Recall Status Before . g9 Union Referral Status
d6 Recall Status After . g10 KW Contacts
d7 Tax Rate Last Empl. ..... g11 Prior KW Contacts
d8 Ind Code Last Empl. .... g12 Contacts Inv
g13 Contacts Acceptable
e1 BP Employers Before g14 Contacts Unacceptable
e2 BP Employers After .. g15 Contacts Unverified
e3 BP Wages Before $
e4 BP Wages After $...... h1 Action Code
e5 High Qtr Wages Before $..... h2 Should Have Been Paid $.
e6 High Qtr Wages After $..... h3 Total Amount OP $.
e7 Weeks Worked Before h4 Total Amount UP $.
e8 Weeks Worked After h5 Total KW OP $
e9 WBA Before $ h6 Total KW UP $
e10 WBA After $... h7 Inv Completed .
e11 MBA Before $ h8 Inv Completion Date / /
e12 MBA After $..... h9 Supv Review Completed .
e13 Dep Before h10 Supv Completion Date / /
e14 Dep After h11 Supervisor ID ........
D-2 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Appendix D
PAID CLAIMS ACCURACY
DATA COLLECTION INSTRUMENT (DCI)
State Batch # Sequence # Sample Type
SSN Key Week Investigator ID Local Office
ERROR ISSUES
Error Issue #: 1
ei1 Amount Key Week Error ei5 QC Detection Point
ei2 Key Week Action ei6 Prior Agency Action
ei3 Error Cause ei7 Prior Employer Action
ei4 Error Responsibility ei8 QC Action Appealed
ei9 Claimant Action
Error Issue #: 2
ei1 Amount Key Week Error ei5 QC Detection Point
ei2 Key Week Action ei6 Prior Agency Action
ei3 Error Cause ei7 Prior Employer Action
ei4 Error Responsibility ei8 QC Action Appealed
ei9 Claimant Action
Error Issue #: 3
ei1 Amount Key Week Error ei5 QC Detection Point
ei2 Key Week Action ei6 Prior Agency Action
ei3 Error Cause ei7 Prior Employer Action
ei4 Error Responsibility ei8 QC Action Appealed
ei9 Claimant Action
Error Issue #: 4
ei1 Amount Key Week Error ei5 QC Detection Point
ei2 Key Week Action ei6 Prior Agency Action
ei3 Error Cause ei7 Prior Employer Action
ei4 Error Responsibility ei8 QC Action Appealed
ei9 Claimant Action
Error Issue #: 5
ei1 Amount Key Week Error ei5 QC Detection Point
ei2 Key Week Action ei6 Prior Agency Action
ei3 Error Cause ei7 Prior Employer Action
ei4 Error Responsibility ei8 QC Action Appealed
ei9 Claimant Action
D-3 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Appendix D
BENEFIT ACCURACY MEASUREMENT
DENIED CLAIMS ACCURACY
DATA COLLECTION INSTRUMENT (DCI)
Monetary Denial
1. Batch: 2. Sequence: 3. Sample Type: 2 Monetary Denial
CLAIMANT INFORMATION: MONETARY DATA:
4 SSN: 42 Reason Mon. Det. Before:
5 Claim Date: / / 43 Reason Mon. Det. After:
6 Claim Type: 44 BP Emps. Before:
7 State: 45 BP Emps. After:
8 LO: 46 BP Wages Before: $
9 Investigator ID: 47 BP Wages After: $
10 Method Info Obt: 48 HQ Wages Before: $
11 Citizen: 49 HQ Wages After: $
12 Birth Date: / / 50 Wks. Worked Before:
13 Gender: 51 Wks. Worked After:
14 Ethnic/Race: 52 Depend. Before:
15 Education: 53 Depend. After:
16 Voc/Tech School: 54 Depend. Allow Before:
17 Training Status: 55 Depend. Allow After:
18 Usual Occ Code: 56 Mon. Redet.:
19 Seeking Occ Code:
20 Normal Hr. Wage:
21 Lowest Hr. Wage:
BENEFIT YEAR INFORMATION:
22 Program:
23 CWC:
24 Ben. Yr. Beg: / /
25 Init. Clm. File Method:
26 BRI:
27 Ind. Code Primary Emp:
28 Ind. Code Last Emp: CASE ACTION:
29 File Meth: 90 Action Flag:
30 Orig. Amt. Paid: 91 Initial Det. Appealed:
31 No. Wks. Denied, Before: 92 Result of Init. App:
32 No. Wks. Denied, After: 93 Inv. Completed:
33 WBA Before: 94 Inv. Comp. Date: / /
34 WBA After: 95 Supv. Rev. Completed:
35 MBA Before: 96 Supv. Comp. Date: / /
36 MBA After: 97 Supv. ID:
D-4 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Appendix D
BENEFIT ACCURACY MEASUREMENT
DENIED CLAIMS ACCURACY
DATA COLLECTION INSTRUMENT (DCI)
Monetary Denial
1. Batch: 2. Sequence: 3. Sample Type:
2- Monetary Denial
ERROR ISSUES
Error Issue #: 1
98 Dollar Amount of Error: 102 Detection Point:
99 Action Code: 103 Prior Agency Action:
100 Cause: 104 Prior Employer Action:
101 Responsibility: 105 Action Appealed:
106 Claimant Action:
Error Issue #: 2
98 Dollar Amount of Error: 102 Detection Point:
99 Action Code: 103 Prior Agency Action:
100 Cause: 104 Prior Employer Action:
101 Responsibility: 105 Action Appealed:
106 Claimant Action:
Error Issue #: 3
98 Dollar Amount of Error: 102 Detection Point:
99 Action Code: 103 Prior Agency Action:
100 Cause: 104 Prior Employer Action:
101 Responsibility: 105 Action Appealed:
106 Claimant Action:
Error Issue #: 4
98 Dollar Amount of Error: 102 Detection Point:
99 Action Code: 103 Prior Agency Action:
100 Cause: 104 Prior Employer Action:
101 Responsibility: 105 Action Appealed:
106 Claimant Action:
D-5 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Appendix D
BENEFIT ACCURACY MEASUREMENT
DENIED CLAIMS ACCURACY
DATA COLLECTION INSTRUMENT (DCI) REPORT
Separation Denial
1. Batch: 2. Sequence: 3. Sample Type: 3- Separation Denial
CLAIMANT INFORMATION: SEPARATION DATA:
4 SSN: 57 Sep. Issue Number:
5 Claim Date: / / 58 Reason Sep. Before:
6 Claim Type: 59 Reason Sep. After:
7 State: 60 Date Sep. Before: / /
8 LO: 61 Date Sep. After: / /
9 Investigator ID:
10 Method Info Obt:
11 Citizen:
12 Birth Date: / /
13 Gender:
14 Ethnic/Race:
15 Education:
16 Voc/Tech School:
17 Training Status:
18 Usual Occ Code:
19 Seeking Occ Code:
20 Normal Hr. Wage: $
21 Lowest Hr. Wage: $
BENEFIT YEAR INFORMATION:
22 Program:
23 CWC:
24 Ben. Yr. Beg: / /
25 Init. Clm. File Method:
26 BRI:
27 Ind. Code Primary Emp:
28 Ind. Code Last Emp: CASE ACTION:
29 File Meth: 90 Action Flag: 9
30 Orig. Amt. Paid: $ 91 Initial Det. Appealed: 0
31 No. Wks. Denied, Before: 92 Result of Init. App: 0
32 No. Wks. Denied, After: 93 Inv. Completed: 1
33 WBA Before: $ 94 Inv. Comp. Date: / /
34 WBA After: $ 95 Supv. Rev. Completed:
35 MBA Before: $ 96 Supv. Comp. Date: / /
36 MBA After: $ 97 Supv. ID:
D-6 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Appendix D
BENEFIT ACCURACY MEASUREMENT
DENIED CLAIMS ACCURACY
DATA COLLECTION INSTRUMENT (DCI)
Separation Denial
1. Batch: 2. Sequence: 3. Sample Type:
3 - Separation Denial
ERROR ISSUES
Error Issue #: 1
98 Dollar Amount of Error: 102 Detection Point:
99 Action Code: 103 Prior Agency Action:
100 Cause: 104 Prior Employer Action:
101 Responsibility: 105 Action Appealed:
106 Claimant Action:
Error Issue #: 2
98 Dollar Amount of Error: 102 Detection Point:
99 Action Code: 103 Prior Agency Action:
100 Cause: 104 Prior Employer Action:
101 Responsibility: 105 Action Appealed:
106 Claimant Action:
Error Issue #: 3
98 Dollar Amount of Error: 102 Detection Point:
99 Action Code: 103 Prior Agency Action:
100 Cause: 104 Prior Employer Action:
101 Responsibility: 105 Action Appealed:
106 Claimant Action:
Error Issue #: 4
98 Dollar Amount of Error: 102 Detection Point:
99 Action Code: 103 Prior Agency Action:
100 Cause: 104 Prior Employer Action:
101 Responsibility: 105 Action Appealed:
106 Claimant Action:
D-7 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Appendix D
BENEFIT ACCURACY MEASUREMENT
DENIED CLAIMS ACCURACY
DATA COLLECTION INSTRUMENT (DCI)
Nonseparation Denial
1. Batch: 2. Sequence: 3. Sample Type: 4 - Nonseparation Denial
CLAIMANT INFORMATION: NONSEPARATION DATA:
4 SSN: 62 Nonsep. Issue Number:
5 Claim Date: / / 63 Reason Nonsep. Before:
6 Claim Type: 64 Reason Nonsep. After:
7 State: 65 Recall Stat. Before:
8 LO: 66 Recall Stat. After:
9 Investigator ID: 67 Earnings Before: $
10 Method Info Obt: 68 Earnings After: $
11 Citizen: 69 Earn. Deduct. Before: $
12 Birth Date: / / 70 Earn. Deduct. After: $
13 Gender: 71 Other Deductible Inc. Before: $
14 Ethnic/Race: 72 Other Deductible Inc. After: $
15 Education: 73 Other Income Deductions Bef: $
16 Voc/Tech School: 74 Other Income Deductions Aft: $
17 Training Status: 75 WS Requirement:
18 Usual Occ Code: 76 Contacts:
19 Seeking Occ Code: 77 Prior Contacts:
20 Normal Hr. Wage: $ 78 Contacts Inv:
21 Lowest Hr. Wage: $ 79 Contacts Acc:
BENEFIT YEAR INFORMATION: Contacts Unacc:
22 Program: 81 Contacts Unver:
23 CWC: 82 LE Reg. Req:
24 Ben. Yr. Beg: / / 83 LE Reg/Services:
25 Init. Clm. File Method: 84 LE Defer:
26 BRI: 85 LE Referrals:
27 Ind. Code Primary Emp: 86 Regis. Priv. Agency:
28 Ind. Code Last Emp: 87 Priv. Agency Referrals:
29 File Meth: 88 Union Referral Status:
30 Orig. Amt. Paid: $ 89 Union Refers:
31 No. Wks. Denied, Before: CASE ACTION:
32 No. Wks. Denied, After: 90 Action Flag:
33 WBA Before: $ 91 Initial Det. Appealed:
34 WBA After: $ 92 Result of Init. App:
35 MBA Before: $ 93 Inv. Completed:
36 MBA After: $ 94 Inv. Comp. Date: / /
95 Supv. Rev. Completed:
96 Supv. Comp. Date: / /
97 Supv. ID:
D-8 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Appendix D
DENIED CLAIMS ACCURACY
DATA COLLECTION INSTRUMENT (DCI)
Nonseparation Denial
1. Batch: 2. Sequence: 3. Sample Type:
4 - Nonseparation Denial
ERROR ISSUES
Error Issue #: 1
98 Dollar Amount of Error: 102 Detection Point:
99 Action Code: 103 Prior Agency Action:
100 Cause: 104 Prior Employer Action:
101 Responsibility: 105 Action Appealed:
106 Claimant Action:
Error Issue #: 2
98 Dollar Amount of Error: 102 Detection Point:
99 Action Code: 103 Prior Agency Action:
100 Cause: 104 Prior Employer Action:
101 Responsibility: 105 Action Appealed:
106 Claimant Action:
Error Issue #: 3
98 Dollar Amount of Error: 102 Detection Point:
99 Action Code: 103 Prior Agency Action:
100 Cause: 104 Prior Employer Action:
101 Responsibility: 105 Action Appealed:
106 Claimant Action:
Error Issue #: 4
98 Dollar Amount of Error: 102 Detection Point:
99 Action Code: 103 Prior Agency Action:
100 Cause: 104 Prior Employer Action:
101 Responsibility: 105 Action Appealed:
106 Claimant Action:
D-9 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Appendix D
Database Description
Naming Conventions
The DCA system utilizes the following naming conventions within the UI database:
• Each table will have a prefix of b-dca-xxxx. (The prefix's meaning is:
'b-' = Benefits Accuracy Measurement and
'dca-' = Denied Claims Accuracy.
• Each table will have the same base name as the BAM PCA accuracy tables.
The base names are:
comparison The data characteristics table provides aggregate sample and population
data for several demographic data elements.
master The primary table that consists of base record information.
errisu The error issue table contains information on the cause, responsibility,
point of detection, and other data elements for improper denials.
reopen The reopen table contains a record of any modification to a master
record after the record has been closed by the supervisor.
assigndate The assignment table contains the investigator's case assignment
information with respect to his/her master record.
Paid Tables
PAID CLAIMS ACCURACY TABLES
Table Name Table Type
b-comparison Primary
b-master Primary
b-errisu Primary
b-assigndate Primary
b-reopen Primary
Denials Tables
DENIED CLAIMS ACCURACY TABLES
Table Name Table Type
b-dca-comparison Primary
b-dca-master Primary
b-dca-errisu Primary
b-dca-assigndate Primary
b-dca-reopen Primary
D-10 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Appendix D
In addition to the five primary DCA tables, DCA utilizes additional tables also used by BAM
paid claims accuracy software: b-uaf, b-qcslo, b-batch, b-cre, and b-vallim. The DCA
software utilizes the g-states generic table as well.
Primary Keys
FIELD KEY DEFINITION
batch Primary Batch identifies the year (YYYY) and week
(WW) of the record. The format of the field is:
YYYYWW.
seq Primary Primary Sequence Number identifies the record
number within the batch by sample type.
Range of values: 1 - 99.
At least two (2) sample cases are required for
each batch and sample type because of
statistical validity requirements.
samptype Primary Sample Type identifies the specific record type
within the batch.
1 - BAM paid claim
2 - Monetary denials
3 - Separation denials
4 - Nonmonetary nonseparation denials
Example: batch = 200003; seq = 3; samptype = 2 identifies the record as the third sampled
monetary denied case within the third week of 2000.
D-11 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Appendix D
BAM DATA ELEMENTS
Data Elements in b_master:
Column Data Item Column Data Item
Name Type Name Name Type Name
mssn char(9) SSN d5 char(2) Rec Stat B
mkw date KW d6 char(2) Rec Stat A
mcatyp smallint Case Type d7 dec(4,2) Tx R Last
mp4 integer Serial # d8 char(4) Ind Last
mbatch integer Batch # e1 smallint BP Emps B
mseq smallint Sequence # e2 smallint BP Emps A
ma1 smallint Modif. Code e3 mon(6,0) BP Wages B
ma2 date Modif. Date e4 mon(6,0) BP Wages A
mstate char(2) State Fips e5 mon(5,0) High Qtr B
mlo char(4) Local Off e6 mon(5,0) High Qtr A
minv smallint Invest e7 smallint Wks Wkd B
b1 char(2) Meth Info e8 smallint Wks Wkd A
b2 char(2) Citizen e9 mon(3,0) WBA Before
b3 char(2) Education e10 mon(3,0) WBA After
b4 char(2) Voc/Tech e11 mon(5,0) MBA Before
b5 char(2) In Trainin e12 mon(5,0) MBA After
b6 char(3) Occ Last e13 smallint Depend B
b7 char(3) Occ Usual e14 smallint Depend A
b8 mon(5,2) Normal Hr e15 mon(3,0) Depend Alw
b9 char(3) Code Seeki e16 mon(3,0) Depend Alw
b10 mon(5,2) Lowest Hr e17 char(4) Ind Cd Pri
b11 date Birth Day e18 char(1) Mon Redt B
b12 char(2) Sex e19 mon(4,0) Remain Bal
b13 char(2) Ethnic f1 mon(3,0) KW Earn B
c1 char(1) Program f2 mon(3,0) KW Earn A
c2 smallint CW Clm f3 mon(3,0) Earn Ded B
c3 date Yr Beg f4 mon(3,0) Earn Ded A
c4 char(2) Initial Cl f5 mon(3,0) Other In B
c5 char(4) BRI f6 mon(3,0) Other In A
c6 smallint ERPs f7 mon(3,0) Other Dd B
c7 date Last Erp D f8 mon(3,0) Other Dd A
c8 smallint Pr Nons B f9 date First CWE
c9 smallint Pr Nons Dq f10 date Dt 1st Pmt
d1 char(2) Resn Sep B f11 char(2) KW Method
d2 char(2) Resn Sep A f12 char(1) KW Cert
d3 date Date Sep B f13 mon(5,0) Orig Amt P
d4 date Date Sep A g1 smallint WS Require
D-12 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Appendix D
Data Elements in b_master:
Column Data Item Column Data Item
Name Type Name Name Type Name
g2 smallint JS Require g15 smallint Cts Unver
g3 smallint Act/Cur Rg h1 smallint ActCodeFlg
g4 smallint JS Defer h2 mon(3,0) Amt S B Pd
g5 smallint JS Refer h3 mon(5,0) Tot Amt OP
g6 smallint Regis Priv h4 mon(5,0) Tot Amt UP
g7 smallint Prv Ag Ref h5 mon(3,0) Tot KW OP
g8 smallint Union Stat h6 mon(3,0) Tot KW UP
g9 smallint Union Refs h7 char(1) Inv Compl Code
g10 smallint KW Conts h8 date Inv Compl Date
g11 smallint Pr KW Cont h9 char(1) Supv Compl Code
g12 smallint Conts Inv h10 date Supv Compl Date
g13 smallint Conts Acc h11 char(8) Supv ID
g14 smallint Cts Unacc mdp Datetime Data Pick up flag
b_asigndate b_reopen
Column Type Name Column Type Name
abatch integer Batch #
aseq smallint Sequence # rbatch integer Batch #
acatyp smallint Case Type rseq smallint Sequence #
aidx smallint Assign Idx rcatyp smallint Case Type
agp5 integer Serial # ridx smallint Reopen Idx
ag1 date Assign Date rop5 integer Serial #
ag2 smallint Investigato ro1 char(1) Reopen Code
ag3 smallint QCS Id Code ro2 date Reopen Date
ag4 char (1) Assign Code ro3 char(8) User Id
adp Datetime Data pick up rdp Datetime Data pick up
b_errisu b_errisu
Column Type Name Column Type Name
ebatch integer Batch # ei6 char(2) Prior Agenc
eseq smallint Sequence # ei7 char(2) Prior Empl
ecatyp smallint Case Type ei8 char(1) QC Act Appl
eidx smallint Error Index ei9 char(2) Prior Clmt
eip5 integer Serial # edp Datetime Data Pick up
ei1 money(3,0 ) Amt KW Err
ei2 char(2) KW Action
ei3 char(3) Error Cause
ei4 char(4) Error Resp
ei5 char(2) Detect. Pt.
D-13 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Appendix D
b_comparison b_comparison
Column Type Name Column Type Name
cbatch integer Batch # cm38 integer Pop Amt 151/200
cidx smallint Comp Indx cm39 smallint Samp Amt <200
cm1 smallint Samp Size cm40 integer Pop Amt <200
cm2 integer Pop Size cm41 smallint Samp Amt Pd Miss
cm3 money(5,0) Samp $ cm42 integer Pop Amt Pd Miss
cm4 money(9,0) Pop $ cdp datetime Data Pick up
cm5 dec(10,2) Samp Var.
cm6 dec(10,2) Pop Var.
cm7 smallint Samp Male
cm8 integer Pop Male The comparison table is created
cm9 smallint Samp Female by the COBOL program on the SWA
cm10 integer Pop Female mainframe computer & downloaded.
cm11 smallint Samp Sex Missg
cm12 integer Pop Sex Missg
cm13 smallint Samp White
cm14 integer Pop White
cm15 smallint Samp Non White
cm16 integer Pop Non White
cm17 smallint Samp Race Missg
cm18 integer Pop Race Missg
cm19 smallint Samp Age U 25
cm20 integer Pop Age U 25
cm21 smallint Samp 25/34
cm22 integer Pop 25/34
cm23 smallint Samp 35/44
cm24 integer Pop 35/44
cm25 smallint Samp 45/64
cm26 integer Pop 45/64
cm27 smallint Samp Over 65
cm28 integer Pop Over 65
cm29 smallint Samp Age Missg
cm30 integer Pop Age Missg
cm31 smallint Samp Amt <50
cm32 integer Pop Amt <50
cm33 smallint Samp Amt 51/100
cm34 integer Pop Amt 51/100
cm35 smallint Samp Amt 101/150
cm36 integer Pop Amt 101/150
cm37 smallint Samp Amt 151/200
D-14 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Appendix D
DCA TABLES and ELEMENTS
b_dca_master
Column Name Data Type Column Name Data Type
ssn char(9) allowbef money(3,0)
clmdate date allowaft money(3,0)
clmtype smallint priempsic char(4)
samptype smallint monredet char(2)
batch integer balbef money(5,0)
seq smallint balaft money(5,0)
state char(2) monstatbef char(2)
locoff char(4) monstataft char(2)
invid smallint totearnbef money(4,0)
methinfoobt char(2) totearnaft money(4,0)
citizen char(2) earndedbef money(4,0)
educ char(2) earndedaft money(4,0)
voctech char(2) othdedincbef money(4,0)
trainstat char(2) othdedincaft money(4,0)
lastempsic char(4) othdedsbef money(4,0)
usualocc char(3) othdedsaft money(4,0)
ushrwage money(5,2) wkfilmeth char(2)
seekocc char(3) origamtpd money(5,0)
lohrwage money(5,2) wksdenbef smallint
dob date wksdenaft smallint
gender char(2) wsreq smallint
ethnic char(2) jsregreq smallint
program char(1) jsreg smallint
cwc smallint jsregdef smallint
byb date jsref smallint
icfilmeth char(2) privagreg smallint
bri char(4) privagref smallint
sepbef char(2) unrefstat smallint
sepaft char(2) unref smallint
sepdatebef date unserv smallint
sepdateaft date unastreq smallint
nonsepbef char(2) unast smallint
nonsepaft char(2) jobcon smallint
rclstatbef char(2) prjobcon smallint
rclstataft char(2) wsconinv smallint
bpempbef smallint wsconok smallint
bpempaft smallint wsconnotok smallint
bpwbef money(6,0) wsconunver smallint
bpwaft money(6,0) actflag smallint
hqwbef money(5,0) detapp smallint
hqwaft money(5,0) apprslt smallint
bpwksbef smallint invcomp char(1)
bpwksaft smallint invcompdate date
wbabef money(3,0) supcomp char(1)
wbaaft money(3,0) supcompdate date
mbabef money(5,0) suplogin char(10)
mbaaft money(5,0) lockid smallint
depbef smallint data_pickup_date datetime
depaft smallint
D-15 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Appendix D
b_dca_assigndate b_dca_reopen
Column Name Data Type Column Name Data Type
batch integer batch integer
seq smallint seq smallint
samptype smallint samptype smallint
index smallint index smallint
assigndate date reoptype char (1)
invid smallint reopdate date
supid smallint reopid char (10)
assignflag char (1) data_pickup_date datetime
data_pickup_date datetime
b_dca_errisu
Column Name Data Type
batch integer
seq smallint
samptype smallint
index smallint
totamt money (5,0)
action char (2)
cause char (3)
resp char (4)
detectpt char (2)
agact char (2)
empact char (2)
actapp char (2)
data_pickup_date datetime
b_dca_comparison b_dca_comparison
Column Name Data Type Column Name Data Type
batch integer age45_64samp smallint
samptype smallint age45_64pop integer
sampsize smallint age65oversamp smallint
popsize integer age65overpop integer
malesamp smallint agemisssamp smallint
malepop integer agemisspop integer
femsamp smallint uiprogsamp smallint
fempop integer uiprogpop integer
genmisssamp smallint fedprogsamp smallint
genmisspop integer fedprogpop integer
whsamp smallint progmisssamp smallint
whpop integer progmisspop integer
nonwhsamp smallint data_pickup_date datetime
nonwhpop integerq
ethmisssamp smallint
ethmisspop integer
ageund25samp smallint
ageund25pop integer
age25_34samp smallint
age25_34pop integer
age35_44samp smallint
age35_44pop integer
D-16 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Appendix E
BAM Integrity Rate Definitions
The Benefit Accuracy Measurement (BAM) program is designed to determine the accuracy of paid
and denied claims in three major Unemployment Insurance (UI) programs: State UI,
Unemployment Compensation for Federal Employees (UCFE), and Unemployment Compensation
for Ex-Service members (UCX). State Workforce Agencies (SWAs) select weekly random samples
of UI payments and denied claims. BAM investigators audit these paid and denied claims to
determine whether the claimant was properly paid or denied eligibility. The results of the BAM
statistical samples are used to estimate accuracy rates for the populations of paid and denied claims.
In addition, BAM is a diagnostic tool for Federal and State Workforce Agency (SWA) staff to use in
identifying systemic errors and their causes and in correcting and tracking solutions to these
problems.
The Improper Payments Information Act (IPIA) of 2002 (Pub. L. No. 107-300) requires agencies to
examine the risk of erroneous payments in all programs and activities they administer. An improper
payment includes any payment that was made to an ineligible recipient, duplicate payments, and
payments that are for the incorrect amount -- both overpayments and underpayments, including
inappropriate denials of payment or service. Agencies are required to review all programs and
activities they administer and identify those that may be susceptible to significant erroneous
payments. The Office of Management and Budget (OMB) has defined “significant erroneous
payments” as annual erroneous payments exceeding both 2.5 percent of program payments and $10
million. UI meets both of these criteria. The Department of Labor (DOL) reports to OMB the
Annual Report and Operational Overpayment rates, as well as the underpayment rate and improper
denial rates, as part of its IPIA report. It is extremely important that BAM accurately measures the
level of improper payments so that performance against the targets can be properly evaluated.
Readers are strongly cautioned that it may be misleading to compare one state's payment accuracy
rates with another state's rates. No two states' written laws, regulations, and policies specifying
eligibility conditions are identical, and differences in these conditions influence the potential for
error. States have developed many different ways to determine monetary entitlement to UI.
Additionally, nonmonetary requirements are, in large part, based on how a state interprets its law.
Two states may have identical laws, but may interpret them quite differently. States with stringent
or complex provisions tend to have higher improper payment rates than those with simpler, more
straightforward provisions.
No single measure can reflect all aspects of UI benefit payment integrity. DOL uses six analytical
measures to assess payment accuracy and estimate the risk of erroneous denial of benefits. BAM
captures 110 data elements for each sampled payment or denial and DOL uses these elements to
produce the various integrity rates listed. Data for nine of these elements are completed only for
erroneous payments or denials. Each integrity rate represents a different view of the BAM data set.
The BAM data construct provides multiple perspectives; and payment errors may be included or
excluded for a specific rate
E-1 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Appendix E
The following charts summarize the definitions for the integrity rates included in the BAM analyses.
Paid Claims
Rate Sample Type Action Code Cause
Annual Report 1 - Paid 10 - Fraud All cause codes.
Claims 11 - Nonfraud recoverable
12 - Nonfraud nonrecoverable
13 - Technically proper due to finality rules
15 - Technically proper due to rules other
than finality or formal warning rule
Operational 1 - Paid 10 - Fraud 100-159 Benefit year earnings
Claims 11 - Nonfraud recoverable 300-329 Separation
400-419 Able and available
430-439 Refusal of suitable work
440-449 Self-employment
450-459 Illegal alien status
470-479 Other eligibility issues
480-489 Identity theft
500-519 Dependents
Fraud 1 - Paid 10 - Fraud All cause codes.
Claims
Agency 1 - Paid 10 - Fraud All cause codes.
Responsibility Claims 11 - Nonfraud recoverable
12 - Nonfraud nonrecoverable
13 - Technically proper due to finality rules
15 - Technically proper due to rules other
than finality or formal warning rule
Includes only those overpayments for which
the agency had full or partial responsibility --
codes 30, 1030, 230, 34, 1230, 1034, 234,
1234.
Underpayment 1 - Paid BAM investigation determines that the All cause codes.
Claims payment was too small:
20 - Supplemental check issued/offset
applied or increase in weekly benefit amount
(WBA), dependents’ allowance (DA)
entitlement, maximum benefit amount
(MBA), or remaining balance (RB)
21 - Technically proper due to finality rules
22 - Technically proper due to rules other
than finality
E-2 November 2009
ET HANDBOOK NO. 395, 5th EDITION
Appendix E
Denied Claims
Rate Sample Type Action Code Cause
Improperly 2 - Monetary BAM investigation determines that the denial For Action codes 20-23:
Denied 3 - Separation determination was improper or benefit All causes except 700 - 729.
4 - Nonseparation payment was too small:
For Action code 24:
20 - Official agency action finds the claimant
to be eligible for a supplemental check 710-719: Claimant not entitled
issued/offset applied or increase in WBA, to benefits due to other issues
DA, MBA, or RB affecting the claim
21 - Technically proper due to finality rules 720-729: Claimant not entitled
to benefits because no week was
22 - Technically proper due to rules other claimed (Codes valid only for
than finality Sample Type 3 or 4)
23 - Supplemental check issued/offset
applied which was later officially reversed,
revised, adjusted or modified, and BAM
disagrees with the official action
24 - No payment is due to the claimant
Adjusted 2 - Monetary Same as Improperly Denied minus: For Action codes 20-23:
Improperly 3 - Separation
Denied 4 - Nonseparation Prior Agency Action codes 20-29: Agency All causes except 700 - 729.
was in the process of resolving issue and For Action code 24:
took correct action before DCA investigation
completed or agency had correctly resolved 710-719: Claimant not entitled
issue prior to sample being selected to benefits due to other issues
affecting the claim.
.- or –
720-729: Claimant not entitled
Results of Appeal of Initial Determination to benefits because no week was
codes claimed (Codes valid only for
1 - affirmed, eligible; or Sample Type 3 or 4)
3 - reversed, eligible
Overpayment 3 - Separation Action codes 10-16 All causes except 700 - 729.
4 - Nonseparation
Properly Denied 2 - Monetary Action Code 30 Cause codes 700-709
3 - Separation
4 - Nonseparation
E-3 November 2009
What does federal law require in your situation?
Ezel checks current federal labor law against your facts and answers with citations.
Opens in Ezel Pro.
- Checks the law as it stands today, not only this page
- Cites every source it relies on, so you can verify it
- Chat, drafting and research in one workspace