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Revised unemployment benefits data validation handbook
Summary ETA replaced the benefits portion of the Unemployment Insurance Data Validation Handbook and told states to adjust their procedures. The attached handbook contains detailed validation instructions and specifications. ETA lists this letter as Active.
Document
Federal guidance
Agency
U.S. Department of Labor, Employment and Training Administration (ETA)
Document number
UIPL No. 17-10
Date issued
March 8, 2010
Status
Active
ETA lists this letter Active as of 2026-10-24; its PDF prints “Continuing” and rescinds the July 11, 2008 benefits handbook.
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.
UIPL17-10acc.pdf (https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2010/UIPL17-10acc.pdf)
CLASSIFICATION
EMPLOYMENT AND TRAINING ADMINISTRATION Unemployment Insurance
ADVISORY SYSTEM CORRESPONDENCE SYMBOL
U.S. DEPARTMENT OF LABOR OUI/DPM
Washington, D.C. 20210 DATE
March 8, 2010
ADVISORY: UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 17-10
TO: STATE WORKFORCE AGENCIES
FROM: JANE OATES /s/
Assistant Secretary
SUBJECT: Revisions to the State Unemployment Insurance (UI) Data Validation
(DV) Handbook, Benefits
1. Purpose. To transmit a revision of the Benefits portion of the UI DV Handbook, ET
Handbook No. 361.
2. References. ET Handbook No. 361, “UI Data Validation Handbook” (Benefits, July 11,
2008).
3. Background. UI Data Validation is necessary to ensure that data reported by states that are
used to measure performance, for administrative funding allocations, for economic analysis,
and for other purposes are accurate and comparable across states. The Benefits portion of the
UI DV Handbook has been revised to reflect current policy and program requirements. The
Department will issue a revision of the Tax portion at a later date. The authority for this
program (OMB collection No. 1205-0431) has been approved through July 31, 2011.
4. Handbook Modification Summary. The Benefits portion of the Handbook has been
revised to clarify instructions and refine overall content. The changes are summarized
below:
• All sections and appendices have been revised to reflect the most recent policy changes
disseminated in previous advisories, which are available on the DV website
http://www.ows.doleta.gov/dv/ .
• Some sections and appendices have been renamed, and others have been split for the sake
of clarity.
• Appendices H (Duplication Detection Criteria) and I (Record Layouts) have been
eliminated from the Handbook and incorporated into the DV User’s Guide that will be
published at a later date. These appendices are still available on the DV website
http://www.ows.doleta.gov/dv/ .
RESCISSIONS
ET Handbook No. 361, UI Data Validation Handbook EXPIRATION DATE
(July 11, 2008). Continuing
-2-
• Appendices D (Report Validation (RV) Summary Reports), E (Data Element Validation
(DEV) Worksheets), and F (DEV Reports) have been eliminated.
• Appendix C (Liable Agent Data Transfer (LADT) and Combined Wage Claims (CWC)
Technical Guidance) has been divided into two separate appendices, C and D, one for
interstate filed from agent records and another one for combined wage claims and
payments.
• Appendix G (Independent Count) has been renamed to Appendix E (Independent Count
Validation) and has been thoroughly revised to clarify instructions.
• A table of contents has been added for Appendix A (Subpopulation Specifications).
5. OMB Approval. The Office of Management and Budget (OMB) has approved ET
Handbook No. 361, “UI Data Validation Handbook”, for use through July 31, 2011. The
approval number is OMB No. 1205-0431. 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. 361. 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. Replace the Benefits portion of the ET Handbook No. 361, “UI
Data Validation Handbook”, dated July 11, 2008, in its entirety.
9. Inquiries. All questions should be directed to the appropriate Regional Office.
10. Attachment. ET Handbook No. 361, “UI Data Validation Handbook”, Benefits, November,
2009.
UIPL17-10a1.pdf (https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2010/UIPL17-10a1.pdf)
UNEMPLOYMENT INSURANCE
DATA VALIDATION HANDBOOK
Benefits
OFFICE OF UNEMPLOYMENT INSURANCE
DEPARTMENT OF LABOR
NOVEMBER 2009
OMB No: 1205-0431
OMB Expiration Date: July 31, 2011
Estimated Average Response Time: 550 hours.
OMB Approval. The reporting requirements for ETA Handbook 361 are approved by OMB according to
the Paperwork Reduction Act of 1995 under OMB No. 1205-0431 to expire July 31, 2011. The
respondents' obligation to comply with the reporting requirements is required to obtain or retain
benefits (Section 303(a)(6), SSA). Persons are not required to respond to this collection of information
unless it displays a currently valid OMB control number.
Burden Disclosure. SWA response time for this collection of information is estimated to average 550
hours per response (this is the average of a full validation every third year with an estimated burden of
900 hours, and partial validations in the two intervening years), including the time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing
and reviewing the collection of information. Send comments regarding this burden estimate or any other
aspect of this collection of information, including suggestions for reducing this burden to the U. S.
Department of Labor, Employment and Training Administration, Office of Workforce Security (Attn:
Burman Skrable), 200 Constitution Avenue, NW, Room S-4522, Washington, D.C. 20210 (Paperwork
Reduction Project 1205-0431).
TABLE OF CONTENTS
INTRODUCTION
A. PURPOSE ................................................................................................................................................. 1
B. DATA ERRORS IDENTIFIED THROUGH VALIDATION ................................................................................. 3
C. DATA SOURCES FOR FEDERAL REPORTING AND VALIDATION ................................................................. 3
D. BASIC VALIDATION APPROACH............................................................................................................... 6
E. RECONSTRUCTING FEDERAL REPORT ITEMS ............................................................................................ 6
F. VALIDATION TECHNIQUES AND SOURCES ................................................................................................ 9
G. HANDBOOK OVERVIEW ......................................................................................................................... 10
H. OVERVIEW OF THE DATA VALIDATION METHODOLOGY ....................................................................... 11
MODULE 1 – REPORT VALIDATION
A. PURPOSE .............................................................................................................................................. 1.1
B. METHODOLOGY .................................................................................................................................... 1.2
C. OVERVIEW OF MODULE 1 ..................................................................................................................... 1.4
MODULE 2 – DATA ELEMENT VALIDATION
A. PURPOSE .............................................................................................................................................. 2.1
B. METHODOLOGY .................................................................................................................................... 2.1
C. OVERVIEW OF MODULE 2 ..................................................................................................................... 2.4
MODULE 3 − DATA ELEMENT VALIDATION STATE SPECIFIC INSTRUCTIONS
A. PURPOSE .............................................................................................................................................. 3.1
B. METHODOLOGY .................................................................................................................................... 3.1
MODULE 4 – QUALITY SAMPLE VALIDATION
A. PURPOSE .............................................................................................................................................. 4.1
B. SAMPLE SIZE ........................................................................................................................................ 4.1
C. SAMPLE SELECTION.............................................................................................................................. 4.2
D. SAMPLE UNIVERSE ............................................................................................................................... 4.2
E. SAMPLE VALIDATION ........................................................................................................................... 4.3
F. RESULTS ................................................................................................................................................ 4.6
APPENDIX A – SUBPOPULATION SPECIFICATIONS
APPENDIX B – SAMPLE SPECIFICATIONS
APPENDIX C – INTERSTATE FILED FROM AGENT RECORDS
APPENDIX D – COMBINED WAGE CLAIMS AND PAYMENTS
APPENDIX E – INDEPENDENT COUNT VALIDATION
INTRODUCTION
A. Purpose
States report Unemployment Insurance (UI) data to the U.S. Department of Labor (DOL) on a
monthly and quarterly basis under the Unemployment Insurance Required Reports (UIRR)
system. The UIRR data are used for gathering economic statistics, allocating UI administrative
funding, measuring state performance, and accounting for fund utilization. Therefore, it is
important that states report UIRR data accurately and uniformly. The purpose of the Data
Validation (DV) program is to verify the accuracy of the UIRR data. This handbook covers the
part of the program that validates benefits data.
In the DV program, the states validate their data and report the results of the validation to the
Employment Training Administration (ETA). This handbook provides general instructions on
how to validate the data as well as individual instructions for each state (referred to as Module
3). States use the DV software provided by DOL to conduct the validation and submit results.
Table A shows the general types of UIRR data to be validated, the federal ETA reports on
which the data appear, and the areas where the data are used.
States are required to validate reported data every third year, except for data elements used to
calculate Government Performance and Results Act (GPRA) measures, which must be validated
annually. Items that do not pass validation must be revalidated the following year. The
“validation year” coincides with the State Quality Service Plan (SQSP) performance year. It
covers data of any reporting period during the twelve months beginning April 1 and ending
March 31. Results must be submitted to the National Office by June 10, which allows sufficient
time for data validation results to be included in the SQSP process. States that fail DV or do not
submit their DV results by the established deadline must address these deficiencies through the
SQSP.
UI DV HANDBOOK, BENEFITS 1 NOVEMBER 2009
INTRODUCTION
Table A
General Types of Data to be Validated
Funding
Economic Allocation/ Claimant Monitor
Data Type ETA Statistics Workload Performance Eligibility Trust
Report(s) Fund
Activity
Weeks Claimed 5159 X X
Final Payments 5159 X
218
Claims and 5159 X X X X
Claims Status1 218
586
Payments 5159 X X
586
9050
9051
Nonmonetary 207 X X X
Determinations/ 9052
Redeterminations
Appeals 5130 X X X
9054
9055
Overpayments 227 X X
1. The ETA 539, Weekly Claims Activity Report, is not validated. However, states are strongly encouraged to
compare the total claims reported on the 539 to the 5159 report for the same period to determine whether the counts
reported are the same or within +2%. If the counts differ by more than +2%, then the state should investigate and
advise its federal regional office of its findings and what it is doing to reconcile the differences.
UI DV HANDBOOK, BENEFITS 2 NOVEMBER 2009
INTRODUCTION
B. Data Errors Identified Through Validation
Systematic and random errors are the two major types of data errors that can occur in federal
UIRR reports. Systematic errors involve faulty design or execution of reporting programs.
Random errors involve judgment and input errors. Reporting system errors are always
systematic, while errors stemming from human judgment can be either systematic or random.
The DV program attempts to identify both types of errors.
Systematic errors are addressed through validation of the reporting programs that states use to
create federal reports. These errors tend to be constant and fall into one of three categories: 1)
too many transactions (overcounts), 2) too few transactions (undercounts), or 3) transactions
which are misclassified. Systematic human errors occur when staff is using incorrect definitions
or procedures. For example, a reporting unit may establish its own definition for a data element
that deliberately or inadvertently conflicts with the federal definition. Systematic errors are the
most serious because they occur repeatedly, but they are the easiest to detect and correct. In
most cases systematic errors do not need to be assessed very frequently.
Random errors are addressed through validation of a random sample of transactions by
evaluating the accuracy of data elements stored in the database. Random errors tend to be
sporadic, and are caused by human judgment. They fall into one of three categories: 1) input
errors, 2) judgment errors (as in nonmonetary determinations, status determinations, and
appeals), or 3) inconsistent application of state definitions or procedures.
Consistent and accurate reporting requires both good systems and good data, hence the
validation objective has not been achieved unless systems and data have both been validated.
C. Data Sources for Federal Reporting and Validation
Some states produce the federal reports directly from the state database. Computer programs
scan the entire database to select, classify, and count transactions. Other states produce a
database extract or flat file as transactions are processed, essentially keeping a running count of
items to be tabulated for the federal reports. Still other states use a combination of these
methods. Although states use different methods to prepare federal reports, the validation
approach is the same in all cases: states support their reported figures by reconstructing the
reported transactions.
The validation methodology is flexible in accommodating the different systems that states use.
However, validation is most effective when validation data are extracted directly from the state
benefits database. For cost reasons and to minimize changes in data over time, some states
prefer to use daily, weekly, or monthly flat files instead. When flat files are used, system errors
may occur: reportable transactions may be improperly excluded from the master file, or the flat
file may contain corrupt data. The only way to identify these problems is to independently
reconstruct or query the master database. States that prepare validation files from the same files
used to produce the UIRR, rather than directly from the database, must ensure that these files
contain all the appropriate transactions by recreating the logic used to produce the federal
reports. This handbook includes a validation tool, “independent count validation,” specifically
UI DV HANDBOOK, BENEFITS 3 NOVEMBER 2009
INTRODUCTION
for this purpose. The state programming staff must determine the specific type of independent
count (simple query, multiple queries, cross tabulation). There is, however, no way to
accurately reconstruct the report count when the flat file contains transactions that are no longer
present in the database (e.g., when it includes a claim or type of claim designation deleted from
the main database after a corrected determination is made for the same claimant).
Table B outlines variations in the validation methodology, based on typical state approaches to
reporting and data validation. To determine the specific validation methodology to be
implemented, the validator should identify the state’s reporting and validation sources for each
population.
UI DV HANDBOOK, BENEFITS 4 NOVEMBER 2009
INTRODUCTION
Table B
Variations in Validation Methodologies
Based on State Approaches to Reporting and Reconstruction
Benefits UIRR Reports Data Validation
Source
Transactions Independent Documentation
Overwritten Program Program Count Review
Scenario on Database Type Source Timing Type Source Timing Required Required Comments
1 No Count Database Snapshot* Extract Database Snapshot No No Best scenario because
File** comparing snapshots
eliminates timing
discrepancies
2 No Count Flat file*** Daily Extract Database Snapshot No No Database is only
File reconstruction source. There
could be changes in
transaction characteristics
(but will find all
transactions).
3 No Extract Database Snapshot Extract Database Snapshot Yes No Reporting and validation are
File File the same program.
Independent count may
mirror that program.
4 No Extract Flat file Daily Extract Flat file Daily Yes Yes Since transactions are not
File File overwritten, states should be
able to do Scenario 2
instead.
5 Yes Extract Flat file Daily Extract Flat file Daily NA NA No alternative validation
File File source. Cannot reconstruct
from the database. Not
thorough validation.
6 Yes Count Flat file Daily Must NA NA NA NA Cannot reconstruct from
create a database. Must change
daily reporting process to
extract Scenario 5.
* All records in the database on last day of reporting period ** File constructed directly from database ***File with accumulated records used for ETA reports
UI DV HANDBOOK, BENEFITS 5 NOVEMBER 2009
INTRODUCTION
D. Basic Validation Approach
The data validation methodology outlined in this handbook minimizes validation time and
burden. The methodology is highly automated and complements existing quality components
(such as the nonmonetary determinations quality review). The methodology involves
reconstructing the count of transactions reported during a specific period for each federal report
item to be validated. The validation specifications for reconstructing reported transactions
provide a blueprint of the criteria that states should use in their federal reporting. This
handbook therefore has two uses:
1. To provide technical assistance with federal reporting requirements;
2. To guide states through the data validation process.
The reconstruction files provide an audit trail to support the counts and classifications of
reported transactions. Validation of reported counts (referred to as report validation or RV) is
accomplished when all the transactions reported for a federal report item have been
reconstructed. For example, if a state reports 5,000 first payments during a month, then the
state must produce a file containing the 5,000 first payments, including relevant characteristics
of the transaction such as the Social Security Number (SSN), the program type code, and the
mail date. The DV software then sorts the payments into groups that are used to reconstruct the
counts for the appropriate items of the ETA 5159 and 9050 reports. Report validation is
discussed in detail in Module 1.
The DV software also draws samples of transactions from the reconstruction file and displays
them on worksheets to facilitate their validation. Validators then subject the sampled
transactions to a series of logic tests (state-specific “rules” described in Module 3), using the
most definitive source documentation (such as database screens) to test the accuracy of the data.
This validation of the characteristics of reported transactions is known as Data Element
Validation (DEV) and is described in detail in Module 2.
Data that passes RV and DEV are considered accurate.
E. Reconstructing Federal Report Items
Given that there are 11 UIRR benefits reports to validate, with over 700 report items, validation
could be a laborious process to both design and implement. A single UI benefits transaction--
for example, a payment, a nonmonetary determination, or an appeal--can be reported in
numerous federal report items. As an example, a first payment for a week of total
unemployment, for an interstate claim with both UI and Unemployment Compensation for
Federal Employees (UCFE) wages, is reported in eight items of the ETA 5159 report as well as
in one item of the ETA 9050 report.
A general principle of the validation design is to streamline the validation process as much as
possible. Transactions are analyzed only once, even if they appear in multiple items. The
UI DV HANDBOOK, BENEFITS 6 NOVEMBER 2009
INTRODUCTION
streamlining is accomplished by classifying the transactions into mutually exclusive groups
(referred to as populations), which match to one or more items on the federal reports.
Specifically, there are fifteen benefits populations, which are composed of 347 mutually
exclusive groups (referred to as subpopulations). Each subpopulation represents a unique set of
data elements or characteristics.
The first column of Table C lists each population. The second column identifies the ETA
reports on which the transactions in each population are reported.
The Reconstruction Period (third column) describes the time parameter that the programmer
uses to select the transactions to be extracted. When the reports are monthly, the reconstruction
can be for a single month, to match the reported counts. When the reports are quarterly, or both
monthly and quarterly reports are produced for the same type of transaction (for example,
claims are reported on both the ETA 5159, a monthly report, and the ETA 218, a quarterly
report), the reconstruction is for a quarter.
The Number of Report Items (fourth column) indicates the total number of items on each ETA
report that is validated by each transaction population. The Number of Subpopulations (fifth
column) refers to the number of subpopulations into which the population is divided for
validation purposes.
UI DV HANDBOOK, BENEFITS 7 NOVEMBER 2009
INTRODUCTION
Table C
Population Coverage
ETA Reconstruction Number of Number of
Population
Report Period Report Items Subpopulations
1 Weeks Claimed 5159 Month 9 9
2 Final Payments 5159 Quarter 3 4
218 12
3/3a Claims and Claims Status, and 5159 Quarter 19 52
Monetary Determinations 218 16
586 4
4 Payments 5159 Month 14 51
9050 12
9051 12
586 Quarter 10
5 Nonmonetary Determinations and 207 Quarter 36 70
Redeterminations 9052 14
6 Appeals Filed, Lower Authority 5130 Month 2 2
7 Appeals Filed, Higher Authority 5130 Month 2 2
8 Appeals Decisions, Lower Authority 5130 Month 18 55
9054 2
9 Appeals Decisions, Higher Authority 5130 Month 10 23
9054 2
10 Appeals Case Aging, Lower Authority 9055 Month 3 7
11 Appeals Case Aging, Higher Authority 9055 Month 3 6
12 Overpayments Established 227 Quarter 30 16
13 Overpayment Reconciliation Activities 227 Quarter 34 34
14 Age of Overpayments 227 Quarter 16 16
TOTAL 283 347
Notes: When populations relate to both monthly and quarterly reports (populations 2, 3, 4), it is preferable to
reconstruct all the counts for a quarter. It is easier and more accurate to add three monthly counts to create
a quarterly total for monthly reports, than to rerun the quarterly reports to obtain a month of data.
The software is not designed to validate nor is it a federal requirement to validate extended benefits and
disaster unemployment.
UI DV HANDBOOK, BENEFITS 8 NOVEMBER 2009
INTRODUCTION
F. Validation Techniques and Sources
Validating the counts of specific types of transactions, rather than validating report items,
eliminates duplication of effort when the identical transaction is reported in more than one
report item. In addition, the DV software processes validation files and generates all validation
worksheets and reports.
Table D summarizes the DEV techniques used for each population of transactions. The Review
History Screens column indicates when the validator will refer to computer-generated history
screens to make an assessment of error. The Review Source Documentation column indicates
when the validator will refer to source documentation, such as adjudication notes, adjudication
notices, appeals decisions, or overpayment records. This documentation may come from paper
files, microfilm, computer records, or images. Source documentation is important for
identifying human errors involving interpretational and input errors.
Table D
Validation Techniques by Population
Review
Population Review Source
History
Documentation
Screens
1 Weeks Claimed X
2 Final Payments X
3/3a Claims, Claims Status, and Monetary Determinations X
4 Payments X
a
5 Nonmonetary Determinations and Redeterminations X X
6 Appeals Filed, Lower Authority X
7 Appeals Filed, Higher Authority X
8 Appeals Decisions, Lower Authority X X
9 Appeals Decisions, Higher Authority X X
10 Appeals Case Aging, Lower Authority X
11 Appeals Case Aging, Higher Authority X
12 Overpayments Established X X
13 Overpayment Reconciliation Transactions X X
14 Age of Overpayments X
a
Examination of nonmonetary determination folders is accomplished through the quality review process.
UI DV HANDBOOK, BENEFITS 9 NOVEMBER 2009
INTRODUCTION
G. Handbook Overview
To achieve the data validation goal of determining the extent to which reported data are
accurate and meet federal reporting definitions, four separate validation processes or modules
have been developed. These modules include various tools to validate the quantity and quality
of federally reported data. The modules and accompanying appendices are outlined below.
• Module 1—Report Validation (RV)
Module 1 describes the procedures for validating that the state reporting programs that
create the federal reports are functioning correctly, i.e., that transactions are being counted
accurately. The DV software processes the validation files and generates the reconstructed
counts for federal report items from the subpopulations. It then compares the reconstructed
counts with the corresponding counts reported by the state. If transactions in the validation
file were rejected by the software as invalid, the validator needs to determine whether it is
necessary to regenerate or reload the validation files. If the reconstructed and reported
counts don’t differ by more than the tolerance rates established, then it is assumed that the
state’s reporting system is accurate.
• Module 2—Data Element Validation (DEV)
Module 2 validates that the data elements (transactions) used in report validation, were
classified correctly according the federal definitions. While RV verifies that all
transactions were counted, DEV verifies that the right transactions were counted. The
validator examines samples of transactions to determine their accuracy. The software
produces an automated worksheet containing the relevant data elements for each selected
transaction. The validator reviews the sampled transactions using the state-specific data
values and instructions in Module 3, which point the validator to the appropriate supporting
documentation (benefits history screens and/or paper files). The validator uses this
documentation to validate that the data elements are accurate and that the transactions are
assigned to the appropriate subpopulations.
• Module 3—State-Specific Data Element Validation Instructions
Only an introduction of Module 3 is included in this handbook. Each state maintains its
module and is responsible for updating and revising it. Module 3 provides the actual state-
specific set of instructions that the validator uses in data element validation. It lists the
state system screens or documents that contain the data to be validated as well as the rules
to validate them. State definitions or procedures which impact validation are also
documented to help state and federal staffs interpret the validation results and improve
procedures.
• Module 4—Quality Sample Validation
Module 4 has instructions for verifying that the samples selected for nonmonetary
determinations and lower authority appeals quality have been randomly selected from the
UI DV HANDBOOK, BENEFITS 10 NOVEMBER 2009
INTRODUCTION
correctly defined universe. It is important to review and check the quality sampling
methodology used by the state. The quality reviews are a key indicator of the state’s
performance, and the results must be statistically valid.
• Appendix A—RV Subpopulation Specification
Appendix A includes specifications for each subpopulation by population. This appendix
should be used when constructing the DV extract files. It indicates the data values that are
valid for each type of transaction or subpopulation. It also maps each subpopulation to the
corresponding federal report line item(s) and vice versa.
• Appendix B—DEV Sampling Specifications
Appendix B includes the specifications used by the software to select samples of
transactions for data element validation.
• Appendix C—LADT
Appendix C contains instructions on how to validate Interstate Filed from Agent records
received through the Liable Agent Data Transfer (LADT) System for Populations 1 and 3.
• Appendix D - CWC Technical Guidance
Appendix D provides instructions on how to validate combined wage claims (CWC) in
Populations 3 and 4.
• Appendix E—Independent Count Validation
Appendix D describes the procedure to follow for an independent count validation. This
appendix is only applicable to states that do not construct their validation extract files
directly from their database.
H. Overview of the Data Validation Methodology
This section gives an example, using Population 4, of the steps to follow in the data validation
process. Each step references the handbook module in which that aspect of the data validation
process is described. Readers should review the referenced modules for further information.
Step 1 Generate and submit ETA report
The state generates and submits ETA 9050. The report item shown in the upper-left-hand
corner represents the count of UI intrastate first payments that the state reported on the ETA
9050.
Step 2 Generate extract file
UI DV HANDBOOK, BENEFITS 11 NOVEMBER 2009
INTRODUCTION
The state extracts detailed records of transactions from their benefits database into a text
formatted file, following the specifications on the record layout for Population 4 and the
definitions in Module 3. (See Module 1, Module 3, and DV User’s Guide)
Step 3 Load extract file into software
The extract file generated in Step 2 is loaded into the DV software. The software rejects
invalid transactions. The validator reviews the rejected records, and if necessary, fixes the
errors in extract file and reloads it into the software. This process is repeated until the
extract file has no errors. (See Module 1)
Step 4 Validate counts (Report Validation)
The DV software compares the reconstructed counts from the validation extract file with the
reported counts. (See Module 1)
Step 5 Generate samples
The DV software selects a sample of transactions (following the sample specifications in
Appendix B) and displays them on a sample validation screen. (See Module 2)
Step 6 Refer to Module 3
The validator looks at the first field of the first record displayed on the first row of the
sample validation screen. The column header for that field refers to the step in Module 3
that the validator needs to validate the field, in this case, Step 10A.
Step 7 Lookup screen in state database
The validator calls up or prints out the Claims Inquiry screen from the state’s benefits
database. (See Modules 2 and 3.)
Step 8 Validate samples (Data Element Validation)
The validator follows the instructions in the rules for Step 10A (First Payments). The rules
for Step 10A require the validator to: 1) check for a payment indicator (payment code is 07
or 08); 2) check that the week reported as the first compensable week was not a waiting
week (payment code is not 02, 03, or 04); and 3) check that the week was the first week in
the benefit year after the waiting week without excessive earnings (earnings for the week
ending 2/10 are less than or equal to 120 percent of the WBA and thus not excessive, and
there are no earlier weeks other than the waiting week present on the payments history file).
The validator then places a check on the worksheet to show that the transaction was a valid
first payment. (See Modules 2 and 3)
Steps 7 through 9 are repeated for each field in the first record, and the rest of the sampled
records are validated in the same manner. All samples for the population should be
validated following the same steps.
Step 9 Submit results to the National Office
After all samples are completed, the validator accesses the Population Scores screen and
submits the validation results to the National Office.
UI DV HANDBOOK, BENEFITS 12 NOVEMBER 2009
INTRODUCTION
Figure A
Overview of Data Validation Methodology
Sample Portion of UIRR ETA 9050
Intrastate
UI UCFE
First Payments, ETA 9050 6 2
Sample Screen (from State Database)
Claims Inquiry
SSN Program Agent WBA
State
123 UI Same $120
Payments History
Payment Wk. End Amount STS Earnings
Date
2/3 $0 W $0
2/12 2/10 $120 A $0
2/19 2/17 $120 A $0
Minnesota
UI DV HANDBOOK, BENEFITS 13 NOVEMBER 2009
MODULE 1
Benefits
REPORT VALIDATION
REPORT VALIDATION MODULE 1
A. Purpose
The report validation process is used to determine the accuracy of counts reported on UIRR
benefits reports. Fifteen validation extract files are constructed according to specifications in
the DV User’s Guide and Appendix A. These files are used to reconstruct counts for 15 types of
UI benefits transaction populations. The 15 report validation population files are listed in Table
1.1.
Table 1.1
Populations
Population Population Description
1 Weeks Claimed
2 Final Payments
3 Claims and Claim Status (and Original Monetary Determinations)
3a Additional Claims
4 Payments/Weeks Compensated
5 Nonmonetary Determinations and Redeterminations
6 Appeals Filed, Lower Authority
7 Appeals Filed, Higher Authority
8 Appeals Decisions, Lower Authority
9 Appeals Decisions, Higher Authority
10 Pending Appeals, Lower Authority
11 Pending Appeals, Higher Authority
12 Overpayments Established - Sorted by Causes
13 Overpayment Reconciliation Transactions
14 Aged Overpayments
UI DV HANDBOOK, BENEFITS 1.1 NOVEMBER 2009
REPORT VALIDATION MODULE 1
B. Methodology
Step 1 Produce Report Validation Extract Files
State staff produces 15 report validation extract files based on the record layout
specifications in the DV validation software user’s guide. There is one extract file for each
of the 15 populations of UI benefit transactions and statuses (such as payments, claims, age
of overpayments, etc.). Claims are divided into two separate populations: Populations 3
and 3a. See Figure 1.1 for an example of a record layout.
The extract file type is ASCII, comma delimited. Data must be in the order listed in the
record layouts. The Data Type/Format column on the layouts indicates the generic values
for text fields.
The generic values must be followed by a dash and the state-specific value. See Figure 1.2
for an example of a sample extract file.
It is best to generate the validation files at the same time as the federal reporting programs
to eliminate differences in data caused by changes in the database over time. Because the
UIRR reports provide a snapshot of transactions during a specific time period, the
validation is intended to verify the transaction data at the time the report was run, even if
data later changed. It is less efficient to compare a set of transactions captured at one point
in time with a set of transactions captured at another point in time, because many
discrepancies will represent legitimate changes in a dynamic database, rather than systems
errors or faulty data. For example, claims can legitimately change from interstate to
intrastate, and program type can change from federal to combined UI-federal if UI wages
are added to a claim.
Step 2 Import Extract Files
The extract files are imported into the DV software following the instructions in the DV
User’s Guide. The software processes each extract file and builds the subpopulations as
specified in Appendix A. For example, Population 4, payments and weeks compensated,
includes all payments made during the month. The software assigns each transaction
record to a subpopulation based on unique combinations of payments and weeks
compensated, including characteristics such as first payments, continued payments, partial
payments, and program type. See Figure 1.3 for a sample of a validation file imported into
the software.
Step 3 Examine Error Reports and Reload Extracts if Necessary
When an extract file is loaded, the DV software reads each record to ensure that values in
all fields are valid. Any records with invalid data, missing mandatory data, or records
which appear to be duplicates are rejected and an error report is produced. The record
layouts in the DV User’s Guide specify the valid data formats for each field, and the
UI DV HANDBOOK, BENEFITS 1.2 NOVEMBER 2009
REPORT VALIDATION MODULE 1
population tables in Appendix A specify the valid values. The software uses the duplicate
detection criteria in the DV User’s Guide to reject invalid duplicate records.
After reviewing any error reports that are generated, state staff should determine if the
extracts are correct or whether they need to be regenerated or reformatted and reloaded into
the DV software. This process should be repeated until the extract files have no errors.
See Figure 1.4 for an example of an error report.
Step 4 Report Validation
The DV software automatically retrieves and loads the reported counts from the national UI
reports database. The software then calculates the difference between the validation and
reported counts and calculates an error rate. The software counts all transactions within a
subpopulation and combines subpopulations into corresponding report cells. The
validation counts are compared with the reported counts, and the reported counts are
considered valid if they fall within the established tolerance (+1% for groups that include
data used in Government Performance and Results Act (GPRA) measures and +2% for all
other groups).
Data used for the GPRA measure for timely first payments are validated in Populations 4
and data used for Detection of Overpayments are validated in Population 12. The groups
including these data are held to a +1% tolerance and the populations must be validated
annually. Benefits DV validates also data used in UI Performs Core Measures for first
payment timeliness, nonmonetary determinations timeliness, average age of pending
appeals, and detection of overpayments, as well as measures of payment and appeals
timeliness used to implement UI Secretary’s Standards These data are held to the +2%
tolerance for report validation, except for the data used for the Secretary’s Standard
measure for 14/21-day timeliness of intrastate payments because it is also used as the
GPRA measure.
The software then produces a summary that provides error rates for groups of report cells
and a pass or fail score for the population.
UI DV HANDBOOK, BENEFITS 1.3 NOVEMBER 2009
REPORT VALIDATION MODULE 1
C. Overview of Module 1
Table 1.2 and Figure 1.1 show an overview of Module 2 methodology.
Table 1.2
Overview of Module 1
Step Description of Step
1A – 1D Analyze the validation program specifications including:
1A. Record Layouts (DV User’s Guide): contains specifications to build the validation extract files
1B. Data Element Validation State Specific Instructions (Module 3): Includes instructions and state’s
specific screen names, element names and value codes for validating each data element.
1C. Duplicate Detection Criteria (DV User’s Guide): contains the criteria that the software uses
to detect duplicates.
1D. Subpopulation Specifications (Appendix A): contains reporting and sampling specifications
for each population.
2 Extract transaction records from the state database(s), including all of the data elements specified in
the record layouts. The extract process should include a routine to ensure that invalid duplicates are
excluded from the file, as specified in the duplicate detection criteria in the DV User’s Guide.
3 Import the validation files into the DV software, which processes the files and assigns transactions to
the subpopulations specified in Appendix A.
4 The RV screen compares the validation counts to the reported counts and displays the error rates
and a pass/fail population score.
UI DV HANDBOOK, BENEFITS 1.4 NOVEMBER 2009
REPORT VALIDATION MODULE 1
Figure 1.1
Overview of Module 1
The following figures are examples of:
1. Population 10 Record Layout (Figure 1.2)
2. Population 10 Sample Extract File (Figure 1.3)
3. Population 10 Validation File after Processed through DV Software (Figure 1.4)
4. Population 10 RV Summary (Figure 1.5)
UI DV HANDBOOK, BENEFITS 1.5 NOVEMBER 2009
REPORT VALIDATION MODULE 1
Figure 1.2
Population 10 Record Layout
This record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The Data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for Lower Authority Appeal is 100, then the data format would be LOWER-100.
No. Field Name Module 3 Reference Field Description Data Format Data Type Constraint
1 OBS State assigned sequential Number - 00000000 INTEGER NOT NULL
unique identifier for each (Required)
record in the extract file.
2 SSN Step 1E - Rule1 Social Security Number Number - 000000000 CHAR (9) NOT NULL
(Required)
3 Docket Step 1E - Rule 2 The Docket Number or Number - 0000000000 CHAR (30) NOT NULL
Number other unique number (Required)
Unique ID assigned to the appeal.
4 Appeal Level Step 24A - Rule 1 The appeal was a lower Text - Lower CHAR (20) NOT NULL
authority appeal. (Required)
5 Appeal Step 30B - Rule 1 No decision has been Text - No Decision CHAR (30)
Pending made on an appeal. (Optional)
6 Filed Date Step 32 - Rule 1 The date on which the Date - MM/DD/YYYY DATE NOT NULL
appeal was filed. (Required)
7 User User defined field. Can Text CHAR
be used for any additional (Optional) (100)
data element. Not
mandatory.
UI DV HANDBOOK, BENEFITS 1.6 NOVEMBER 2009
REPORT VALIDATION MODULE 1
Figure 1.3
Population 10 Extract File
1,123456789,1,LOWER-AP,NO DECISION-NO MAIL DATE,03/22/2006,10.1
2,123456791,2,LOWER-AP,NO DECISION-NO MAIL DATE,03/01/2006,10.2
3,123456792,3,LOWER-AP,NO DECISION-NO MAIL DATE,01/03/2006,10.3
4,123456793,4,LOWER-AP,NO DECISION-NO MAIL DATE,12/29/2005,10.4
5,123456794,5,LOWER-AP,NO DECISION-NO MAIL DATE,10/11/2005,10.5
6,123456795,6,LOWER-AP,NO DECISION-NO MAIL DATE,05/16/2005,10.6
7,123456796,7,LOWER-AP,NO DECISION-NO MAIL DATE,02/08/2005,10.7
8,123400008,18,LOWER-AP,No Decision,03/31/2006,10.1
9,123400009,19,lower,NO DECISION,03/18/2006,10.1
10,123400010,20,lower-1,no decision-1,03/06/2006,10.1
11,123400011,21,Lower,,03/05/2006,10.2
12,123400012,22,LoWeR,No Decision,02/26/2006,10.2
13,123400013,23,LOWER-AP,NO DECISION,02/19/2006,10.2
14,123400014,24,lower,no decision-2,02/18/2006,10.3
15,123400015,25,lower-2,,01/25/2006,10.3
16,123400016,26,Lower,No Decision,12/31/2005,10.3
17,123400017,27,LoWeR,NO DECISION,12/30/2005,10.4
18,123400018,28,LOWER-AP,no decision-3,12/16/2005,10.4
19,123400019,29,lower,,12/01/2005,10.4
20,123400020,30,lower-3,No Decision,11/30/2005,10.5
21,123400021,31,Lower,NO DECISION,11/01/2005,10.5
22,123400022,32,LoWeR,no decision-4,10/02/2005,10.5
23,123400023,33,LOWER-AP,,10/01/2005,10.6
24,123400024,34,lower,No Decision,08/03/2005,10.6
25,123400025,35,lower-4,NO DECISION,06/04/2005,10.6
26,123400026,36,Lower,no decision-5,04/05/2005,10.6
27,123400027,37,LoWeR,,04/04/2005,10.7
28,123400028,38,LOWER-AP,No Decision,11/16/2004,10.7
29,123400029,39,Lower,NO DECISION,07/05/2003,10.7
UI DV HANDBOOK, BENEFITS 1.7 NOVEMBER 2009
REPORT VALIDATION MODULE 1
Figure 1.4
Population 10 Validation File After Processed by DV Software
UI DV HANDBOOK, BENEFITS 1.8 NOVEMBER 2009
REPORT VALIDATION MODULE 1
Figure 1.5
Population 10 RV Screen
UI DV HANDBOOK, BENEFITS 1.9 NOVEMBER 2009
MODULE 2
Benefits
DATA ELEMENT VALIDATION
DATA ELEMENT VALIDATION MODULE 2
A. Purpose
One of the goals of the validation process is to determine how accurately individual benefits
transactions have been reported on the UIRR. After the report validation files have been built
and each transaction has been assigned to a specific subpopulation, the key question is whether
the data in each transaction record are correct. For example, if a claim is classified as UCFE, do
the base period wages match the federal criteria for a UCFE claim? This process is called data
element validation (DEV). In DEV, each data element used in the report validation file is
closely examined in a small sample of transactions.
Data element validation uses random and supplemental samples to address different types of
federal report errors and different requirements for accuracy. Samples were designed
considering the importance of the type of transaction and the type of error prone to be found in
certain data. The samples enable the validator to find systems logic and data quality errors.
There are four types of samples used in the DV program:
1. Random samples
Supplemental Samples:
2. Missing subpopulations samples
3. Outliers Samples
4. Minimum samples
Each of these sample types is described in detail in Appendix B.
In particular, random samples are used for the most important performance and reporting data
elements. Depending on the type of random sample, the DV software selects either 100 or 200
cases at random to be validated. Validators may need to review only the first 30 or 60 cases in a
random sample if the findings show that the error rate is conclusively below five percent (zero
errors) or above five percent.
B. Methodology
Step 1 Software generates samples
After extract files are loaded into the DV software, the software automatically selects
samples and displays the sampled data on a screen.
Step 2 Print sample worksheets
From the sample validation screen, the validator can print worksheets for each record
which contain all data to be validated. These worksheets facilitate the validation process
and provide an audit trail.
UI DV HANDBOOK, BENEFITS 2.1 NOVEMBER 2009
DATA ELEMENT VALIDATION MODULE 2
Step 3 Data Element Validation
To validate the sample, the validator goes to the Sample Validation screen and validates
each field in each record using the instructions on Module 3 for that particular field. A
record passes validation if all its fields pass. A random sample passes validation if the
sample results indicate that no more than five percent of the records from which the sample
was drawn contain errors.
On the Sample Validation screen, records are displayed in rows. Columns headers display
the step in Module 3 that the validator has to follow to validate each field. Fields have a
drop-down menu next to them with the values “PASS” and “FAIL”, so that the validator
can indicate whether the value in that field passes validation. In some instances, there will
not be a value for a particular data element. This can happen whenever a data element is
either optional or not applicable. The validator should select “PASS” when there is no
value in a field because a data element is either not applicable or optional. At the bottom of
the sample screen a row displays the total number of errors and the sample’s score. Refer
to the DV User’s Guide for other functionality available from the Sample Validation
screen.
To validate a field, the state validator compares it to the source documentation to verify
that it agrees with state practices and federal definitions. Module 3 provides state-specific
instructions on how to validate each data element using information from the state’s
database or paper files. This validation verifies that the state’s reporting programs are
functioning correctly, and benefits data are being classified correctly.
Although the validation instructions in Module 3 are state-specific, all states use the same
federal reporting guidelines to validate data. This ensures uniform and consistent validation
and reporting practices across all states. The instructions include sections for recording
comments and definitional problems that enable states to track federal report and data
validation issues. This is important for documenting issues that may affect validation in the
future, and for explaining inconsistencies.
Each random sample is scored separately and their results need to be submitted to the
National Office as part of determining whether a population passes or fails. Supplemental
samples, however, are only used as diagnostic tools and the results are not submitted.
Nevertheless, if errors are found in the supplemental samples, validators need to investigate
these and correct their systems accordingly.
Step 4 DEV Reports
The software generates DEV reports that summarize the type and number of errors found
for each sample. It also displays the error rate and the scores for random samples. This
report is not submitted to the National Office. States are advised to print this report for their
records.
UI DV HANDBOOK, BENEFITS 2.2 NOVEMBER 2009
DATA ELEMENT VALIDATION MODULE 2
Step 5 Send validation results to National Office
After all random sample validations in a population are completed, the validator can submit
results along with RV results to the National Office through the Population Scores screen
in the software (refer to the DV User’s Guide for details). If a population fails RV or DEV,
the population must be revalidated within a year. When a population passes validation,
results are considered valid for three years, except for Populations 4 and 12, which contain
GPRA elements and need to be validated every year. States that make changes to their
reporting system need to conduct data validation of the affected populations as soon as
possible after changes are implemented.
Step 6 Correcting Validation Errors
If validation identifies reporting errors, the state should correct the errors as soon as
possible. To document the steps required to correct errors and the timetable for completion,
the state must address the problem to its ETA Regional Office in accordance with the
annual State Quality Service Plan (SQSP). This will be in either the SQSP narrative or as
part of a DV Corrective Action Plan (CAP) The narrative or CAP should contain the
following information on every validated report element that failed validation:
• Report item(s) in error.
• Magnitude of error found.
• Status/Plan/Schedule for correcting. Note: If reporting errors were corrected in
the course of the first validation, the report should simply note “corrected during
validation.” (Validation of the affected transactions should occur immediately
after these corrections have been made.)
Timing of CAP or Narrative. The plan for correcting the errors should be submitted
within the established deadlines of the SQSP.
Revalidation. Populations that failed any validation item must be revalidated the following
year. A revalidation should confirm the success of the corrective action or if the state has
not completed corrective action, identify the current extent of the error.
Errors Discovered Outside the Validation Process. During the validation process, errors
in reporting may be identified that are outside the scope of the validation program. Such
errors should be included in the comments section of the state’s Data Validation
Summary/Analytical Report and included in the CAP or narrative if warranted. A CAP is
also required for any state that fails to conduct data validation.
UI DV HANDBOOK, BENEFITS 2.3 NOVEMBER 2009
DATA ELEMENT VALIDATION MODULE 2
C. Overview of Module 2
Table 2.1 and Figure 2.1 show an overview of Module 2 methodology.
Table 2.1
Overview of Module 2
Step Step Description
The validator uses the column headers on the sample screen to locate steps in Module 3. Fields for data
that are not relevant to a particular transaction will be blank, and the validator should click ‘PASS’.
1
In Figure 2.1, for the first sampled transaction the value of the fifth data element is UI-0. The column
header directs the validator to go to Step 4 in Module 3.
The validator turns to the corresponding step in Module 3. Steps can have different sub steps and each
sub step can have one or more rules listed. In addition, each step includes the “Federal Definition” from the
ETA 401; a “Definitional Issues” section that is used to document instances where state regulations or
2 practices conflict with the federal definitions; and a “State Comments” section where validator can write
comments that may be helpful for future validations.
In Figure 2.1, the validator looks up Step 4 and then selects the sub step that corresponds to the field
value. In this case, the value is “UI”, so the corresponding sub step is A.
The validator locates each source “Document” listed under each rule. The document is the source used to
compare the data on the sample screen with the data residing in the state database or state files. When all
3 of the data elements have been included on the sample screen it will not be necessary to pull any
additional documents. In other instances, it will be necessary for the validator to refer to screens and/or
case files.
The validator determines if the data element being validated passes the “Validation” using the required
4
“Documents”.
If the validated element fails any of the rules for the step, then the validator clicks the ‘FAIL’ check box on
5
the worksheet for that element.
If the data element passes all of the rules, then the validator clicks the ‘PASS’ check box on the worksheet
6
for that step.
The validator proceeds through each of the steps for each sampled transaction in the same manner. After
7 each of the steps has been validated for every sampled transaction required, the software calculates the
error rate and score for the sample.
UI DV HANDBOOK, BENEFITS 2.4 NOVEMBER 2009
DATA ELEMENT VALIDATION MODULE 2
Figure 2.1
Overview of Module 2
UI DV HANDBOOK, BENEFITS 2.5 NOVEMBER 2009
MODULE 3
Benefits
DATA ELEMENT VALIDATION
STATE SPECIFIC INSTRUCTIONS
DEV STATE SPECIFIC INSTRUCTIONS MODULE 3
A. Purpose
Module 3 provides the actual state-specific set of instructions that the validator uses in data
element validation. It lists the state system screens or documents that contain the data to be
validated as well as the rules to validate them. State definitions or procedures which impact
validation are also documented to help state and federal staffs interpret the validation results
and improve procedures.
Module 3 is not included in this handbook. It is maintained in a database that contains data for
every state. Since these instructions are state-specific, each state is responsible for reviewing
and updating its Module 3 regularly. Every year by June 10 States need to certify that they have
reviewed their Module 3 and that is up to date.
B. Methodology
Table 3.1 outlines each step and substep in the Module 3 that validators need to follow for
validating samples. Table 3.2 indicates the combination of validation steps required to validate
each population. The column headers on the sample screens in the DV software display the
steps that are used to validate each data element, i.e., the values for the relevant field of each
sampled record.
The validator begins the validation by looking at the first record (first row) on the Sample
Validation screen for the given population and then locates the first step number (e.g., Step 1)
listed in the first column header of the screen. The validator then turns to this step number in
Module 3. If there are substeps, and the substep is not specified in the column heading, the first
page for the step number in Module 3 will direct the validator to the appropriate substep (e.g.,
4A – UI program type, 4B – UCFE program type, 4C – UCX Program type). After following
all of the rules listed for this step, the validator should proceed to the second column on the
worksheet and locate the next step to be validated in Module 3. The validator continues
validating each step listed on the worksheet for each element in the record and then continues to
the next sampled record. This process is repeated until all necessary records are validated.
The inclusion of state-specific information in this module is not to be deemed a
finding that such information is in compliance with federal reporting data definitions.
UI DV HANDBOOK, BENEFITS 3.1 NOVEMBER 2009
DEV STATE SPECIFIC INSTRUCTIONS MODULE 3
Table 3.1
Data Element Validation Steps and Substeps
Step Substep A Substep B Substep C Substep D Substep E Substep F Substep G Substep H Substep I Substep J
Matching Sampled Nonmonetary
Overpayment
Transaction to Determinations Appeals -
1 Week Claimed Claims Payments Appeals - Lower Overpayments Reconciliation
Benefits History and Higher
Activities
Screen(s) Redeterminations
Regular Disaster
Extended
2 Type of UI Program Unemployment Workshare Unemployment
Benefits
Insurance Assistance (DUA)
Additional
Entering Self-
3/ Claims/ Transitional
Type of Claim New Claim Employment
3a Reopened Claims
Program
Claims
Self-
UCFE or Joint
4 Program Type UI UCX Employment
UCFE/UCX UI/Federal
Program
Interstate
Intrastate or Interstate Interstate Taken Interstate Filed
5 Intrastate Received as Intrastate CWC Interstate CWC
Claim as Agent State from Agent State
Liable State
Sufficient
Monetary Insufficient Wages
No Monetary Wages to
6 Claim Status Determination to Qualify for
Determination Qualify for
Within Quarter Benefits
Benefits
Maximum Weekly
7
Benefit
Maximum
Potential Weeks of Potential Weeks
8 Potential Weeks
Duration of Duration
of Duration
Less than
Actual Weeks of Actual Weeks of Maximum Actual
9 Maximum Actual
Duration Duration Weeks
Weeks
Continued
Types of Partial/Part-Total Adjusted Prior Weeks
10 First Payment (Weeks) Final Payment Total Payment
Compensation Payment Payments Compensated
Payment
11 Weeks Claimed
Self-
Amount UI Amount UCFE Amount UCX Amount CWC Amount Employment
12 Compensated Compensated Compensated Compensated Compensated Amount
Compensated
Week Ending Date of
13
Week Paid
Payment Mail or
14
Deposit Date
15* Payments Time Lapse NOT APPLICABLE. THIS STEP IS NOT MANUALLY VALIDATED.
UI DV HANDBOOK, BENEFITS 3.2 NOVEMBER 2009
DEV STATE SPECIFIC INSTRUCTIONS MODULE 3
Step Substep A Substep B Substep C Substep D Substep E Substep F Substep G Substep H Substep I Substep J
Nonmonetary
Nonmonetary Nonmonetary
16 Determination/
Determination Redetermination
Redetermination
Type of
17 Single Claimant Multiclaimant
Determination
Labor Dispute
Other Other
Voluntary Misconduct Able and Available Deductible Suitable Work Reporting (Substep K)
18 Determination Issues Separation Profiling Nonseparation
Quit To Work Income Refusal Requirements Other
Issues Issues
Multiclaimant
Issues
First Week Affected
19
by a Determination
20 Issue Detection Date
21 Notice Date
Nonmonetary First Week
Detection Date
22* Determination Time Affected to NOT APPLICABLE. THIS STEP IS NOT MANUALLY VALIDATED.
to Notice Date
Lapse Detection Date
Determination
Determination to
Outcome of or
23 Allow or
Determination Redetermination
Affirmed
to Deny
Lower Authority Higher Authority
24 Appeal Level
Appeal Appeal
25 Type of Appeal Single Claimant Multiclaimant
Other than
26 Appellant Claimant Employer Claimant or
Employer
In Favor of Not in Favor of
27 Outcome of Decision
Appellant Appellant
28 Appeal Decision Date
Appeal Case
Appeal Time
29* Appeal Time Lapse Age NOT APPLICABLE. THIS STEP IS NOT MANUALLY VALIDATED.
Lapse
Calculation
Disposed of
30 Appeal Disposition Not Disposed of
by Decision
Voluntary Suitable Work Able and Available
31 Appeal Issues Misconduct Other Issues Labor Dispute
Quit Refusals To Work
32 Appeal Filed Date
Type of Fraud
33 Nonfraud Penalty
Overpayments Overpayment
Cause of Multi-Claimant
34 Reversal (JAVA) SESA Error Employer Error Claimant Error Other Cause Penalty
Overpayments Schemes
UI DV HANDBOOK, BENEFITS 3.3 NOVEMBER 2009
DEV STATE SPECIFIC INSTRUCTIONS MODULE 3
Step Substep A Substep B Substep C Substep D Substep E Substep F Substep G Substep H Substep I Substep J
Other Non-
Controllable controllable
Overpayment Wage/Benefit New Hires Multi-Claimant
35 IB Crossmatch Special Project Overpayment Overpayment
Detection Activities Crossmatch System Scheme Systems
Detection Detection
Activities Activities
36 Established Date
Amount of
37 UI Federal
Overpayment
Overpayment State
Recovered Recovered
38 Reconciliation Income Tax By Other States Other Waived Written-Off Additions Subtractions
Cash Offset
Activities Offset
Overpayment
39 Reconciliation
Activity Date
Amount of
Overpayments
40 UI Federal
Reconciliation
Activity
Outstanding
41
Overpayment
Balance of
42 UI Federal
Overpayment
Overpayment Aging
43* Calculation and NOT APPLICABLE. THIS STEP IS NOT MANUALLY VALIDATED
Intervals
No -
44 Active Collection Yes or Blank Not in Active Dropped
Collection
* Step numbers 15, 22, 29 and 43 are no longer used but have been retained in Module 3 as placeholders. These steps correspond to time lapse calculations that are
now automatically validated by the software.
UI DV HANDBOOK, BENEFITS 3.4 NOVEMBER 2009
DEV STATE SPECIFIC INSTRUCTIONS MODULE 3
Table 3.2
Relevant Data Element Validation Steps
By Population
Population Relevant Data Element Validation Steps†
1 - Weeks Claimed 1, 2, 4, 5, 11
2 - Final Payments 1, 2, 4, 7, 9, 10
3/3a - Claims 1, 2, 3, 4, 5, 6, 7, 8
4 - Payments 1, 2, 4, 5, 10, 12, 13, 14
5 - Nonmonetary Determinations/ Redeterminations 1, 2, 4, 5, 16, 17, 18, 19, 20, 21, 23
6 - Appeals Filed, Lower Authority 1, 24, 25, 32
7 - Appeals Filed, Higher Authority 1, 24, 25, 32
8 - Appeals Decisions, Lower Authority 1, 2, 4, 5, 24, 25, 26, 27, 28, 30, 31, 32
9 - Appeals Decisions, Higher Authority 1, 2, 4, 5, 24, 25, 26, 27, 28, 30, 32
10 - Appeals Pending, Lower Authority 1, 24, 30, 32
11 - Appeals Pending, Higher Authority 1, 24, 30, 32
12 - Overpayments Established 1, 4, 33, 34, 35, 36, 37
13 - Overpayment Reconciliation 1, 4, 33, 38, 39, 40
14 - Overpayment Case Aging 1, 4, 33, 36, 41, 42, 44
† The appropriate substeps for each population are specified on the population tables in Appendix A.
UI DV HANDBOOK, BENEFITS 3.5 NOVEMBER 2009
MODULE 4
Benefits
QUALITY SAMPLE VALIDATION
QUALITY SAMPLE VALIDATION MODULE 4
A. Purpose
This module provides instructions for validating Benefits Timeliness and Quality (BTQ)
nonmonetary determinations samples--which comprise separate samples for separations and
non-separations--and lower authority appeals samples. These samples can be validated for any
quarter that falls within the validation year. They must be validated every three years, unless the
size of the universe from which the sample is drawn is not within ± 2% of the ETA 9052 or the
ETA 9054L benchmark counts. In such case, the validation must be repeated the following
year.
A properly selected sample is: (a) of the correct size, (b) randomly selected, and (c) drawn from
the correct universe. The validator must check the size and randomness of the sample as soon
as the sample is drawn because the quality review can only proceed for a randomly drawn
sample of the correct size. If the sample is not of the correct size or is not random, a new
sample must be selected, as many times as needed, until the draw is random and of the right
size. The universe should be checked as soon as the report counts are available.
State staff needs to validate separations and non-separations samples separately for
nonmonetary determinations, and the lower authority sample. Nonmonetary determinations
counts are validated in Population 5 and lower authority appeals counts in Population 8, so it is
desirable to validate these two populations before using the ETA 9052 and ETA 9054L counts
as benchmark when validating the universes of the samples.
B. Sample Size
Sample sizes are set based on the volume of nonmonetary determinations and lower authority
appeals decisions reported in the preceding calendar year.
Sample sizes for nonmonetary determinations are based on total counts reported on the ETA
9052 report, and are of size 100 (50 separations and 50 non-separations) for states that reported
100,000 or more nonmonetary determinations and 60 (30 separations and 30 non-separations)
for states that reported less than 100,000. However, the sample size for nonmonetary
determinations may be increased in any given quarter to make up for cases discarded in the
previous quarter. For example, if the assigned sample size is 100, and in the previous quarter 2
non-separation cases could not be reviewed because the case material was not found, the sample
size for the quarter must be equal to 102: 50 separations and 52 non-separations.
Sample sizes for lower authority appeals decisions are based on total counts reported on the
ETA 9054L report, and are of size 40 for states that reported 40,000 or more appeals and 20 for
states that reported less than 40,000.
If a sample is determined to have an incorrect sample size, it must be drawn again with the
correct size before the quality review can proceed.
UI DV HANDBOOK, BENEFITS 4.1 NOVEMBER 2009
QUALITY SAMPLE VALIDATION MODULE 4
C. Sample Selection
Different methods can be used to select the quality samples. For example, states can use
balanced systematic selection (as described in Handbook 301, Appendix A, pp. A-4 to A-6),
systematic random sampling, or use a utility that randomizes the file.
In systematic random sampling, a starting point is selected at random from the sampling
universe, and thereafter observations are selected at regular intervals. The size of the population
is divided by the desired size of the sample and rounded to the nearest integer to get the sample
interval i, which is then used to select every ith observation from a file containing all records in
the universe. For example, if a sample of 30 cases is wanted from a universe of 300 records,
then the sample interval is 300 ÷ 30 = 10, and every 10th observation is selected. To determine
the starting point--i.e., the first case to be selected--the validator multiplies a random number
between 0 and 1 (supplied by the National Office or generated by a random number generator
utility) by the sample interval, and rounds it to the closest integer. In the previous example, if
the random number is 0.2354, then 0.2354 x 10 = 2.354 ≈ 2, so the observations selected are 2,
12, 22, etc.
To validate that the sample selection was random when systematic random sampling is used, the
validator needs to check that the sample interval and the starting point were calculated correctly,
and that the observations were selected accordingly.
When a sampling utility is used, usually the sample frame is randomized and the first x
observations are selected, where x is the desired size of the sample (in the previous example, the
first 30 observations). This method is somewhat more difficult to validate because it could
involve reviewing the sample against the source file, or reviewing the utility specifications.
If the sample selection procedure is random, the sample can proceed to the quality review.
Otherwise, the sampling procedure must be fixed and the sample redrawn until it is randomly
selected.
D. Sample Universe
The number of observations in the sample universe for nonmonetary determinations must be
equal to the sum of all total counts in the ETA 9052 for the reporting quarter being validated.
Before these numbers are compared, Populations 5 should pass report validation to make sure
that the reported counts are accurate. If the number of observations in the universe is within ±
2% of the reported counts, then the sample universe passes validation, and results are valid for
three years. Otherwise, the state needs to revalidate the sample the following year.
The number of observations in the sample universe for lower authority appeals must be equal to
the sum of all total counts in the ETA 9054L for the reporting quarter being validated. Before
these numbers are compared, Populations 8 should pass report validation to make sure that the
reported counts are accurate. If the number of observations in the universe is within ± 2% of
the reported counts, then universe passes validation, and results are valid for three years.
Otherwise, the state needs to revalidate the sample the following year.
UI DV HANDBOOK, BENEFITS 4.2 NOVEMBER 2009
QUALITY SAMPLE VALIDATION MODULE 4
If ETA 9052 or ETA 9054L reported counts are not available when the quality samples are
drawn, comparing the sampling universe with the reported counts can be performed later to
ensure that the validation process does not delay the quality review process.
E. Sample Validation
To validate the quality samples, the validator must complete the following steps:
Step 1 Select reporting period
• Obtain a copy of the quality sample for the reporting period you want to validate
and for the previous quarter. Verify that all transactions in the universe are for the
indicated reporting period and that the reporting period to be validated falls within
April 1st of the previous year and March 31st of the current year.
Step 2 Validate the sample size
• Check that the sample size is in accordance with the number of transactions reported
in the previous year. For nonmonetary determinations the sample size should be 100
(50 separations and 50 non-separations, plus the make-up cases, if any) for states
that reported 100,000 or more nonmonetary determinations and 60 (30 separations
and 30 non-separations, plus make-up cases) for states that reported less than
100,000 nonmonetary determinations. For lower authority appeals, the sample size
should be 40 for states that reported 40,000 or more appeals and 20 for less than
40,000.
• If the sample size is not correct, the sample fails validation. Do not proceed any
further. The sample needs to be redrawn and validated again until it is of the correct
size.
Step 3 Validate that the sample selection was random
• Determine which method was used to select the sample.
If balanced systematic selection was used, verify that all steps were followed as described
in Handbook 301, Appendix A, pp. A-4 to A-6. (this instruction applies to both
nonmonetary determinations and lower authority appeals). Handbook 301 also references
the PICKNUMB sampling routine and refers the reader to Appendix A of Handbook 401.
The current (2007) version of Handbook 401 no longer contains Appendix A. Readers
needing guidance with the PICKNUMB program should contact the National Office or
obtain versions of Handbook 401 dated 2000 or earlier.
If systematic random sampling was used, then:
• Obtain a copy of the sample universe.
• Check that the sample interval used to select the sample is equal to the number of
cases in the universe divided by the sample size.
UI DV HANDBOOK, BENEFITS 4.3 NOVEMBER 2009
QUALITY SAMPLE VALIDATION MODULE 4
⎛ universe size ⎞
interval = Round⎜⎜ ⎟⎟
⎝ sample size ⎠
Remember that for nonmonetary determinations, the sample size must include
additional cases for any cases that were discarded in the previous quarter.
• Check that the starting point (first case selected) is equal to the random start number
supplied by the National Office multiplied by the sample interval, rounded to the
nearest integer.
starting point = Rou nd (random number × sample interval)
• Check that the proper subsequent cases were selected. For example, if the random
start was 10 and the interval was every 40th case, check that 50, 90, 130, and so on
were selected.
If a sampling utility was used, then:
• If the sample was drawn from a randomized file, determine how the file was
randomized and print out the file to check that it was not ordered by date, local
office number, or other nonrandom means. Compare this order with the way the file
was ordered prior to randomization to ensure that the file was randomly reordered.
• Check that the first n cases were selected where n equals the sample size.
If it is determined that the sample was not randomly selected, the sample fails the
validation. Do not proceed any further. The sample needs to be redrawn and validated again
until it is randomly selected.
Step 4 Validate the sample universe
This step should be performed when the ETA 9052 or the ETA 9054L counts are available.
• For nonmonetary determinations, check that the total number of determinations in
the sample universe is equal to or within ± 2% of the sum of all the total counts
reported on the ETA 9052 for the quarter being validated. This should be validated
after Population 5 passes report validation.
• For lower authority appeals, check that the total number of appeals in the sample
universe is equal to or within ± 2% of the sum of all the total counts reported on the
ETA 9054L for the quarter being validated. This should be validated after
Population 8 passes report validation.
Whereas the 9054 counts include both monetary and nonmonetary appeals, the 9057
sample universe may include only nonmonetary appeals. Further, this universe
should not include appeals decided but for which no hearing materials were
available to review--decisions representing withdrawals, dismissals, and no-shows.
If the universe was built by excluding monetary and non-reviewable appeals, then it
should be smaller than the count reported on the ETA 9054L reports. To compare
this universe with the 9054L count, add in the number of excluded appeals as in the
example below. If the sum of the two groups is within 2% of the count reported on
the ETA 9054L report for the quarter, then the universe passes validation.
Alternatively, the sample cases may be drawn from a universe that includes all
appeals, in which a flag distinguishes the reviewable nonmonetary appeals from
UI DV HANDBOOK, BENEFITS 4.4 NOVEMBER 2009
QUALITY SAMPLE VALIDATION MODULE 4
others.. In such a case compare the size of the universe file directly with the 9054L
count.
Example 4.1 shows an example of adjustments made to enable a proper comparison
of the two universes.
Example 4.1
Lower Authority Appeals Quality Sample
Benefits Population 8
Step Validation Item Appeals Pass/Fail
1 Reporting period (Year:Quarter) 2009:1 PASS
2 Sample size 20 PASS
Universe:
(a) Number of records in universe 2,298*
(b) ETA 9054L Counts 2,268
(c) Difference: |(a) - (b)| 30
3 (d) % Difference: [(c) ÷ (b)] x 100 1.32% PASS
4 Random sampling method Interval PASS
Score: PASS
Problems/Comments: The sample was drawn from the Appeals database. The
totals are consistent with the reports that are run from the data warehouse.
*Universe File 1,663
Withdrawn Cases 124
Dismissed Cases 477
Monetary Cases 2
Program type U8 32
Universe Total 2,298
If the universe fails the validation, the sample has to be validated again by the next validation
year. Otherwise, it must be validated again in three years.
UI DV HANDBOOK, BENEFITS 4.5 NOVEMBER 2009
QUALITY SAMPLE VALIDATION MODULE 4
F. Results
The software does not include a screen for forwarding the results of the quality reviews to the
National Office. These should be documented in a Microsoft Word® file using the format
below and sent via email to the National Office to [email protected]. The template can be
downloaded from the DV website at http://www.ows.doleta.gov/dv/. You can document any
validation problems in the Problems/Comments field.
Template 4.1
Nonmonetary Determinations Quality Sample
Benefits Population 5
STATE: VY:
Nonmonetary Determinations Quality Sample (Benefits Population 5)
Pass/ Non- Pass/
Step Validation Item Separations Fail Separations Fail
1 Reporting period (Year: Quarter)
2 Sample size
Universe:
(a) Number of records in universe
(b) ETA 9052 Counts
(c) Difference: |(a) - (b)|
3 (d) % Difference: [(c) ÷ (b)] x 100
4 Random sampling method
Score:
Problems/Comments:
Template 4.1
Nonmonetary Determinations Quality Sample
Benefits Population 5
STATE: VY:
Lower Authority Appeals Quality Sample (Benefits Population 8)
Pass/
Step Validation Item Appeals Fail
1 Reporting period (Year:Quarter)
2 Sample size
Universe:
(a) Number of records in universe
(b) ETA 9054L Counts
(c) Difference: |(a) - (b)|
3 (d) % Difference: [(c) ÷ (b)] x 100
4 Random sampling method
Score:
Problems/Comments:
UI DV HANDBOOK, BENEFITS 4.6 NOVEMBER 2009
QUALITY SAMPLE VALIDATION MODULE 4
Example 4.2
Nonmonetary Determinations Quality Sample
Benefits Population 5
STATE: ST Validation Year: 2009
Nonmonetary Determinations Quality Sample (Benefits Population 5)
Pass/ Non- Pass/
Step Validation Item Separations Fail Separations Fail
1 Reporting period (Year:Quarter) 2009:2 PASS 2009:2 PASS
2 Sample size 50 PASS 50 PASS
Universe:
(a) Number of records in universe 5,629 1,236
(b) ETA 9052 Counts 5,520 1,235
(c) Difference: |(a) - (b)| 109 1
3 (d) % Difference: [(c) ÷ (b)] x 100 1.97% PASS 0.08% PASS
4 Random sampling method Utility PASS Utility PASS
Score: PASS
Problems/Comments:
Where:
Step Passing Criteria
Is the reporting period within the validation year? Are all transactions included in the universe
1 within the indicated reporting period?
Is the sample size proportional to the volume of transactions of the previous year? In the case of
non-monetaries, does it include make-up cases to compensate for cases that couldn't be
2 reviewed in the previous quarter?
3 Is the difference 2% or less?
4 Was the sample randomly selected?
Score If all steps passed, then the score is "PASS"; otherwise, "FAIL".
UI DV HANDBOOK, BENEFITS 4.7 NOVEMBER 2009
APPENDIX A
Benefits
SUBPOPULATION SPECIFICATIONS
TABLE OF CONTENTS
A. PURPOSE ............................................................................................................................................. A.1
B. SUBPOPULATION SPECIFICATIONS BY POPULATION ......................................................... A.1
POPULATION 1 ......................................................................................................................................... A.3
POPULATION 2 ......................................................................................................................................... A.5
POPULATIONS 3 AND3A ............................................................................................................................ A.8
POPULATION 4 ....................................................................................................................................... A.22
POPULATION 5 ....................................................................................................................................... A.33
POPULATIONS 6 AND 7 ........................................................................................................................... A.45
POPULATION 8 ....................................................................................................................................... A.48
POPULATION 9 ....................................................................................................................................... A.59
POPULATIONS 10 AND 11 ....................................................................................................................... A.65
POPULATION 12 ..................................................................................................................................... A.69
POPULATION 13 ..................................................................................................................................... A.72
POPULATION 14 ..................................................................................................................................... A.77
SUBPOPULATION SPECIFICATIONS APPENDIX A
A. Purpose
This appendix includes specifications for each subpopulation by population. The software uses
these specifications to parse records in the extract files into subpopulations that are then used to
reconstruct counts for specific report cells. This appendix also maps each subpopulation to the
corresponding federal report line item(s) and vice versa.
The specifications in this appendix should be used in conjunction with the record layouts (in
User’s Guide) and the state’s Module 3 when constructing the DV extract files. They indicate
the data values that are valid for each type of transaction or subpopulation. Any transaction
included in a population extract file must fit the description of one subpopulation in the
population; otherwise, it will be rejected by the software as an invalid transaction.
B. Subpopulation Specifications by Population
The following pages contain the subpopulation specifications tables, mapping tables of
report cells to subpopulations, and notes for each of the 15 benefits populations.
In the specification tables, for each subpopulation, the corresponding report cells are
indicated, and the possible values for all fields in a transaction. The fields can have a
specific text value or a format requirement. The following describes the different kinds of
field formats.
1. Text. These fields must contain text values, such as “UI”, “Intrastate”, “VL”, etc.
The allowable text values for each field are listed in the record layout. The text
values must be followed by a dash and the corresponding state-specific value, for
example, “UI-503”, where 503 is a state code used for UI claims.
2. Required. These fields cannot be blank. For example, they may be mandatory
dates or dollar values.
3. Optional (these fields are shaded in gray). The software does not check these
fields. Any values can be entered in these fields or they can be left blank.
4. Must be blank. These are text or date fields that must be left blank. The software
will reject any records with values in any field that must be left blank (such as
monetary date for a claim with no monetary determination or a UCFE amount for a
UI only payment).
5. Must be blank or 0. These are numeric fields that should have the value “0” or be
left blank. The software will reject any records where these fields have a value other
than “0” or blank.
The column headers on the specifications tables, indicate the field and the related step and rule
in Module 3. When constructing the extract file, federal definitions for some fields can be found
in Module 3 using these references, as well as valid state codes. For most steps, Rule 1 asks the
UI DV HANDBOOK, BENEFITS A.1 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
state extract file programmer to build this element by accessing an indicator in the state system,
and instructs the validator to check for this indicator during data element validation. However,
if a state does not maintain the indicator specified in Rule 1, then the programmer must review
the other rules in that step in order to develop the required validation logic to build the element.
For each map of report cells to subpopulations, the subpopulations are referred only by the
number and not the population to be concise. For example, subpopulation 5.12 is referred to
only as 12 in the Population 5 map table.
Notes for each population contain relevant information that states should referred to when
constructing their extract files.
UI DV HANDBOOK, BENEFITS A.2 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.1.1
Population 1 Subpopulations
Weeks Claimed - Week was claimed during reporting/validation period
2 3 4 5 7 8 9 10
(Step 1A) (Step 1A) (Step 2A) (Step 4) 6 (Step 11) (Step 11) (Step 11) (Step 11)
(Rule 2) (Rule 1) (Rule 1) (Step 5) (Rule 1) (Rule 2) (Rule 3) (Rule 3)
Sub Claim Monetarily
pop Report, Line, Week- Type of Program Date Week Eligible
# and Column Ending Date SSN UI Program Type Intrastate/ Interstate Claimed or Pending Earnings WBA
INTRASTATE WEEKS CLAIMED (1.1 through 1.3)
1) Random sample: 60 or 200
1.1 5159A-201-10 Required Required Regular UI UI Intrastate Required Required Required
1.2 5159A-202-10 Required Required Regular UI UCFE Intrastate Required Required Required
1.3 5159A-203-10 Required Required Regular UI UCX Intrastate Required Required Required
INTERSTATE WEEKS CLAIMED RECEIVED AS LIABLE STATE (1.4 through 1.6)
1) Random sample: 30 or 100
Interstate Received
1.4 5159A-201-12 Required Required Regular UI UI Required Required Required
as Liable State*
Interstate Received
1.5 5159A-202-12 Required Required Regular UI UCFE Required Required Required
as Liable State*
Interstate Received
1.6 5159A-203-12 Required Required Regular UI UCX Required Required Required
as Liable State*
INTERSTATE WEEKS CLAIMED FILED FROM AGENT STATE (1.7 through 1.9)
1) Minimum Sample: First two cases
Interstate Filed from
1.7 5159A-201-11 Required Required Regular UI UI Required Required
Agent State*
Interstate Filed from
1.8 5159A-202-11 Required Required Regular UI UCFE Required Required
Agent State*
Interstate Filed from
1.9 5159A-203-11 Required Required Regular UI UCX Required Required
Agent State*
*These values are abbreviated in the record layout data format specifications (see Appendix I) but are shown here in their entirety for informational purposes.
UI DV HANDBOOK, BENEFITS A.3 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.1.2
Relationship between ETA 5159A Report Cells and Weeks Claimed Subpopulations in
Population 1
Continued Weeks Claimed
Interstate Filed Interstate Received
Intrastate from Agent State as Liable State
(10) (11) (12)
State UI 201 1 7 4
UCFE, No UI 202 2 8 5
UCX Only 203 3 9 6
Population 1 Notes
1. Population 1 includes the date of the week being claimed and the date the week was claimed:
A) Column 2(Step 1A), Week Claimed, is the benefit week ending (BWE) date of the week
being claimed.
B) Column 7 (Step 11), Date Week Claimed, is the date that the state processes the weekly
certification.
2. Column 8 (Step 11, Rule 2) is an optional field for the extract file. It is included to ensure that
the week claimed was valid based on monetary entitlement. Programmers may be able to
populate this field with data to show that the week was countable by including data that shows
that the claim was eligible (or pending), that an appeal of an ineligible monetary had been filed
and not decided or that the appeal period for an ineligible monetary determination had not
expired.
Regardless of whether programmers provide data in Column 8, validators will check this
information for sampled cases as part of the data element validation process.
3. Subpopulations 1.7 – 1.9: This information comes from the LADT claimant records.
Instructions for including data from these records for populations 1 and 3 can be found in
the LADT Information section of Appendix B, Technical Guidance.
4. Column 10 (Step 11, Rule 3), WBA: Use the Weekly Benefits Allowance (WBA) that is in
effect during the week claimed for this population.
UI DV HANDBOOK, BENEFITS A.4 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.2.1
Population 2 Subpopulations
Final Payments
3 5 7
2 (Step 1C) 4 (Step 4) 6 (Step 7) 8 9 10 11
(Step 1C) (Rule 2) (Step 2) (Step 9A) (Rules 1 & (Step 9A) (Step 9B) (Step 10C) (Step 10C)
(Rule 1) (Step 9B) 2) (Step 9C) (Rule 3) (Rule 2)
(Rule 1) Actual
Check Weeks Maximum Mail Date
Subpop Report, Line, Number Type of Program of Weeks of of Final
# and Column SSN Unique ID UI Program Type MBA WBA Duration Duration Payment Balance
FINAL PAYMENTS (2.1 through 2.4)
1) Random sample: 30 or 100
5159B-303-26
2.1 218B-104 (14, Required Required Regular UI UI >0 >0 > 25 Y Required Must be 0
19)
5159B-303-26
2.2 Required Required Regular UI UI >0 >0 Requireda N Required Must be 0
218B-102 (8-13)
2.3 5159B-303-27 Required Required Regular UI UCFE >0 >0 Required Must be 0
2.4 5159B-303-28 Required Required Regular UI UCX >0 >0 Required Must be 0
a
There are states where the actual weeks of duration may be more than 25 weeks and less than the state’s maximum weeks of duration due to state unemployment
regulations.
UI DV HANDBOOK, BENEFITS A.5 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.2.2
Relationship between ETA 218B Report and Final Payments Subpopulations in Population 2
SECTION B. ACTUAL DURATION FOR CLAIMANTS WHO RECEIVED FINAL PAYMENTS
LESS THAN MAXIMUM WEEKS OF DURATION
Less than 26 Weeks
LINE (8-13)
NO. ITEM
102 Actual 2
MAXIMUM WEEKS OF
DURATION
Number at Maximum
Average Weeks Duration
26-27 Weeks Duration
(20)
(14) (19)
Average Calculation from
104 Actual 1 1 Total Column for
Subpopulations 1 and 2
Table A.2.3
Relationship between ETA 5159B Report and Final Payments Subpopulations in Population 2
Final Payments for All Unemployment
State UI Program UCFE & UCX Programs
Total UCFE, No UI UCX Only
(26) (27) (28)
Number 303 1 and 2 3 4
Population 2 Notes
1. This population validates two reports for different time periods:
A) The 5159 which is a monthly report, and
B) The 218 which is a quarterly report
Validate a quarter by taking all records that should have been reported in ETA 218 for a given
quarter and the corresponding records of three 5159 monthly reports for that same reporting
period. There may be some dynamic data (values that change during the time period).
Therefore, the reported counts and validation counts may not match exactly.
UI DV HANDBOOK, BENEFITS A.6 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2. Columns 6 and 7 (Step 7), WBA and MBA: Use the final MBA and WBA on the claim for this
population.
3. Column 8 (Step 9A), Actual Weeks of Duration: Divide the final MBA by the final WBA
and round to the next highest whole number. The number of actual weeks of duration is
unrelated to the number of weeks compensated. If the claim included partial payments,
there will be more weeks compensated than actual weeks of duration. For example, if the
final MBA is $5,200.00 and the final WBA is $200.00, the actual weeks of duration are 26.
This claimant, however, may have been compensated for 30 weeks if partial payments
were made on the claim.
4. The balance on the claim may not be zero if the state retains the balance for disqualified
weeks on its database. For example, the final MBA is $5,200.00; the final WBA is $200.00; but
13 weeks were disqualified. The disqualified portion of $2,600.00 should be removed from the
final MBA before loading the file into the software. Therefore, the final MBA will be
$2,600.00, and the actual weeks of duration will be 13.
5. The range of duration breakouts is not validated. Only the totals are validated.
UI DV HANDBOOK, BENEFITS A.7 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.3.1
Population 3 Subpopulations
Claims – Claimant Eligibility
Claim Filed Date or Original Monetary Determination Date
For Claim Falls within Reporting/Validation Period
2 3 12 13
4 5 6 7 8 9 10 11
(Step (Step 3A) (Step 8A) (Step 8B)
(Step 2A (Step 3) (Step 4) (Step 5) (Step 6A) (Step 6C) (Step 7) (Step 8A)
1B) (Rules 1 &
(Rule 1)) (Step 6B) (Step 6D) (Step 8B)
6)
(Step 3C)
(Rule 1)
Date of Sufficient/
Potential Potential
Original Insufficient/
Sub Report, Line, Date Claim Weeks of Weeks
Type of UI Type of Program Intrastate/ Combined
pop and Column Filed/IB-4 Monetarya Maximum
# SSN Sent
Program Claim Type Interstate Wages WBA MBA Duration b Duration
NEW UI CLAIMS (3.1 through 3.14)
1) Random sample: 60 or 200; 2) Supplemental sample--missing strata
5159A-101-2 Within Within Must be Must be Must be blank
3.1 Required Regular UI New UI Intrastate Insufficient Must be blank
218A-100-2 Quarter Quarter blank blank or 0 or 0
5159A-101-2
Within Within Sufficient
3.2 218A-100 (3-6) Required Regular UI New UI Intrastate Maximum >0 >0 Y
Quarter Quarter New BY
218B-103 (14, 19)
5159A-101-2
Within Within Sufficient
3.3 218A-100 (3-5) Required Regular UI New UI Intrastate Maximum >0 >0 N
Quarter Quarter New BY
218B-101 (8-13)
5159A-101-2
Within Within Sufficient Less than
3.4 218A-100 (3-4) Required Regular UI New UI Intrastate >0 >0 Y
Quarter Quarter New BY Maximum
218B-103 (14, 19)
5159A-101-2
Within Within Sufficient Less than
3.5 218A-100 (3-4) Required Regular UI New UI Intrastate >0 >0 N
Quarter Quarter New BY Maximum
218B-101 (8-13)
Must be Must be blank
5159A-101-2 Within Within Sufficient Must be Must be blank
3.6 Required Regular UI New UI Intrastate blank or 0
218A-100-3 Quarter Quarter No BYc blank or 0
Must be Must be Must be blank
Within Must be Must be blank
3.7 5159A-101-2 Required Regular UI New UI Intrastate Must be blank blank blank or 0 or 0
Quarter blank
Interstate Must be Must be Must be blank
5159A-101-7 Within Within Must be blank
3.8 Required Regular UI New UI Received as Insufficient blank blank or 0 or 0
218A-100-2 Quarter Quarter
Liable State*
UI DV HANDBOOK, BENEFITS A.8 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 12 13
4 5 6 7 8 9 10 11
(Step (Step 3A) (Step 8A) (Step 8B)
(Step 2A (Step 3) (Step 4) (Step 5) (Step 6A) (Step 6C) (Step 7) (Step 8A)
1B) (Rules 1 &
(Rule 1)) (Step 6B) (Step 6D) (Step 8B)
6)
(Step 3C)
(Rule 1)
Date of Sufficient/
Potential Potential
Original Insufficient/
Sub Report, Line, Date Claim Weeks of Weeks
Type of UI Type of Program Intrastate/ Combined
pop and Column Filed/IB-4 Monetarya Maximum
# SSN Sent
Program Claim Type Interstate Wages WBA MBA Duration b Duration
5159A-101-7 Interstate
Within Within Sufficient
3.9 218A-100 (3-6) Required Regular UI New UI Received as Maximum >0 >0 Y
Quarter Quarter New BY
218B-103 (14, 19) Liable State*
5159A-101-7 Interstate
Within Within Sufficient
3.10 218A-100 (3-5) Required Regular UI New UI Received as Maximum >0 >0 N
Quarter Quarter New BY
218B-101 (8-13) Liable State*
5159A-101-7 Interstate
Within Within Sufficient Less than
3.11 218A-100 (3-4) Required Regular UI New UI Received as >0 >0 Y
Quarter Quarter New BY Maximum
218B-103 (14, 19) Liable State*
5159A-101-7 Interstate
Within Within Sufficient Less than
3.12 218A-100 (3-4) Required Regular UI New UI Received as >0 >0 N
Quarter Quarter New BY Maximum
218B-101 (8-13) Liable State*
Interstate Must be Must be Must be blank
5159A-101-7 Within Within Sufficient Must be blank
3.13 Required Regular UI New UI Received as blank blank or 0 or 0
218A-100-3 Quarter Quarter No BYc
Liable State*
Interstate Must be Must be Must be blank
Within Must be Must be blank
3.14 5159A-101-7 Required Regular UI New UI Received as Must be blank blank blank or 0 or 0
Quarter blank
Liable State*
NEW UCFE/UCX CLAIMS (3.15 through 3.18)
1) Minimum sample: First two cases from each subpopulation
Within
3.15 5159A-102-2 Required Regular UI New UCFE Intrastate
Quarter
Within
3.16 5159A-103-2 Required Regular UI New UCX Intrastate
Quarter
Interstate
Within
3.17 5159A-102-7 Required Regular UI New UCFE Received as
Quarter
Liable State*
Interstate
Within
3.18 5159A-103-7 Required Regular UI New UCX Received as
Quarter
Liable State*
UI DV HANDBOOK, BENEFITS A.9 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 12 13
4 5 6 7 8 9 10 11
(Step (Step 3A) (Step 8A) (Step 8B)
(Step 2A (Step 3) (Step 4) (Step 5) (Step 6A) (Step 6C) (Step 7) (Step 8A)
1B) (Rules 1 &
(Rule 1)) (Step 6B) (Step 6D) (Step 8B)
6)
(Step 3C)
(Rule 1)
Date of Sufficient/
Potential Potential
Original Insufficient/
Sub Report, Line, Date Claim Weeks of Weeks
Type of UI Type of Program Intrastate/ Combined
pop and Column Filed/IB-4 Monetarya Maximum
# SSN Sent
Program Claim Type Interstate Wages WBA MBA Duration b Duration
INTERSTATE FILED FROM AGENT STATE CLAIMS (3.19 through 3.21)
1) Minimum sample: First two cases from each subpopulation
New
Interstate
Within Transitional
3.19 5159A-101-4 Required Regular UI UI Filed from
Quarter Additional
Agent State*
Reopened
New
Interstate
Within Transitional
3.20 5159A-102-4 Required Regular UI UCFE Filed from
Quarter Additional
Agent State*
Reopened
New
Interstate
Within Transitional
3.21 5159A-103-4 Required Regular UI UCX Filed from
Quarter Additional
Agent State*
Reopened
INTERSTATE CLAIMS TAKEN AS AGENT STATE (3.22 through 3.24)
1) Minimum sample: First two cases from each subpopulation
New
Interstate
Within Transitional
3.22 5159A-101 (4, 5) Required Regular UI UI Taken as
Quarter Additional
Agent State*
Reopened
New
Interstate
Within Transitional
3.23 5159A-102 (4, 5) Required Regular UI UCFE Taken as
Quarter Additional
Agent State*
Reopened
New
Interstate
Within Transitional
3.24 5159A-103 (4, 5) Required Regular UI UCX Taken as
Quarter Additional
Agent State*
Reopened
UI DV HANDBOOK, BENEFITS A.10 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 12 13
4 5 6 7 8 9 10 11
(Step (Step 3A) (Step 8A) (Step 8B)
(Step 2A (Step 3) (Step 4) (Step 5) (Step 6A) (Step 6C) (Step 7) (Step 8A)
1B) (Rules 1 &
(Rule 1)) (Step 6B) (Step 6D) (Step 8B)
6)
(Step 3C)
(Rule 1)
Date of Sufficient/
Potential Potential
Original Insufficient/
Sub Report, Line, Date Claim Weeks of Weeks
Type of UI Type of Program Intrastate/ Combined
pop and Column Filed/IB-4 Monetarya Maximum
# SSN Sent
Program Claim Type Interstate Wages WBA MBA Duration b Duration
INTRASTATE AND INTERSTATE TRANSITIONAL CLAIMS (3.25 through 3.33)
1) Random sample: 30 or 100
Must be Must be Must be blank
5159A-101-6 Within Within Must be blank
3.25 Required Regular UI Transitional UI Insufficient blank blank or 0 or 0
218A-100-2 Quarter Quarter
5159A-101-6
Within Within Sufficient
3.26 218A-100 (3-6) Required Regular UI Transitional UI Maximum >0 >0 Y
Quarter Quarter New BY
218B-103 (14, 19)
5159A-101-6
Within Within Sufficient
3.27 218A-100 (3-5) Required Regular UI Transitional UI Maximum >0 >0 N
Quarter Quarter New BY
218B-101 (8-13)
5159A-101-6
Within Within Sufficient Less than
3.28 218A-100 (3-4) Required Regular UI Transitional UI >0 >0 Y
Quarter Quarter New BY Maximum
218B-103 (14, 19)
5159A-101-6
Within Within Sufficient Less than
3.29 218A-100 (3-4) Required Regular UI Transitional UI >0 >0 N
Quarter Quarter New BY Maximum
218B-101 (8-13)
Must be Must be Must be blank
5159A-101-6 Within Within Sufficient Must be blank
3.30 Required Regular UI Transitional UI blank blank or 0 or 0
218A-100-3 Quarter Quarter No BYc
Must be Must be Must be blank
Within Must be Must be blank
3.31 5159A-101-6 Required Regular UI Transitional UI Must be blank blank blank or 0 or 0
Quarter blank
Within
3.32 5159A-102-6 Required Regular UI Transitional UCFE
Quarter
Within
3.33 5159A-103-6 Required Regular UI Transitional UCX
Quarter
CWC CLAIMS (3.34 through 3.39)
1) Random sample: 30 or 100; 2) Supplemental sample--missing strata
Insufficient Must be Must be Must be blank
Within Must be Must be blank
3.34 586A-101-1 Required Regular UI CWC New CWC Intrastate (Wages Not blank blank or 0 or 0
Quarter blank
Combined)*
UI DV HANDBOOK, BENEFITS A.11 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 12 13
4 5 6 7 8 9 10 11
(Step (Step 3A) (Step 8A) (Step 8B)
(Step 2A (Step 3) (Step 4) (Step 5) (Step 6A) (Step 6C) (Step 7) (Step 8A)
1B) (Rules 1 &
(Rule 1)) (Step 6B) (Step 6D) (Step 8B)
6)
(Step 3C)
(Rule 1)
Date of Sufficient/
Potential Potential
Original Insufficient/
Sub Report, Line, Date Claim Weeks of Weeks
Type of UI Type of Program Intrastate/ Combined
pop and Column Filed/IB-4 Monetarya Maximum
# SSN Sent
Program Claim Type Interstate Wages WBA MBA Duration b Duration
Within Within Sufficient
3.35 586A-101 (1-2) Required Regular UI CWC New CWC Intrastate
Quarter Quarter New CWC BY
Insufficient Must be Must be Must be blank
Within Must be Must be blank
3.36 586A-102-1 Required Regular UI CWC New CWC Interstate (Wages Not blank blank or 0 or 0
Quarter blank
Combined)*
Within Within Sufficient
3.37 586A-102 (1-2) Required Regular UI CWC New CWC Interstate
Quarter Quarter New CWC BY
New CWC
A Prior BY for CWC Within Sufficient
3.38 586A-101-2 Required Regular UI CWC Intrastate
Quarter Claim Filed in Quarter New CWC BY
Prior Quarter*
New CWC
A Prior BY for CWC Within Sufficient
3.39 586A-102-2 Required Regular UI CWC Interstate
Quarter Claim Filed in Quarter New CWC BY
Prior Quarter*
NEW CLAIMS FILED IN THE PRIOR QUARTER (3.40 through 3.45)d
1) Random sample: 30 or 100; 2) Supplemental sample--missing strata
New Claim Must be Must be Must be blank
A Prior Within Must be blank
3.40 218A-100-2 Required Regular UI Filed in UI Insufficient blank blank or 0 or 0
Quarter Quarter
Prior Quarter*
New Claim
218A-100 (3-6) A Prior Within Sufficient
3.41 Required Regular UI Filed in UI Maximum >0 >0 Y
218B-103 (14, 19) Quarter Quarter New BY
Prior Quarter*
New Claim
218A-100 (3-5) A Prior Within Sufficient
3.42 Required Regular UI Filed in UI Maximum >0 >0 N
218B-101 (8-13) Quarter Quarter New BY
Prior Quarter*
New Claim
218A-100 (3-4) A Prior Within Sufficient Less than
3.43 Required Regular UI Filed in UI >0 >0 Y
218B-103 (14, 19) Quarter Quarter New BY Maximum
Prior Quarter*
UI DV HANDBOOK, BENEFITS A.12 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 12 13
4 5 6 7 8 9 10 11
(Step (Step 3A) (Step 8A) (Step 8B)
(Step 2A (Step 3) (Step 4) (Step 5) (Step 6A) (Step 6C) (Step 7) (Step 8A)
1B) (Rules 1 &
(Rule 1)) (Step 6B) (Step 6D) (Step 8B)
6)
(Step 3C)
(Rule 1)
Date of Sufficient/
Potential Potential
Original Insufficient/
Sub Report, Line, Date Claim Weeks of Weeks
Type of UI Type of Program Intrastate/ Combined
pop and Column Filed/IB-4 Monetarya Maximum
# SSN Sent
Program Claim Type Interstate Wages WBA MBA Duration b Duration
New Claim
218A-100 (3-4) A Prior Within Sufficient Less than
3.44 Required Regular UI Filed in UI >0 >0 N
218B-101 (8-13) Quarter Quarter New BY Maximum
Prior Quarter*
New Claim Must be Must be Must be blank
A Prior Within Sufficient Must be blank
3.45 218A-100-3 Required Regular UI Filed in UI blank blank or 0 or 0
Quarter Quarter No BYc
Prior Quarter*
ENTERING SELF-EMPLOYMENT PROGRAM (3.46)
1) Minimum sample: First two cases
Entering
Within
3.46 5159A-201-13 Required Regular UI Self-
Quarter
Employment
*These values are abbreviated in the record layout data format specifications (see Appendix I) but are shown here in their entirety for informational purposes.
aFor subpopulations 3.34 through 3.39, “original monetary” refers to the first monetary determination/redetermination using wages from more than one state.
bObservations reported in all populations which require the number of weeks of potential duration will be sorted by the number of weeks and subtotaled by the range of weeks.
cThis situation will only occur when the State does not automatically establish a new benefit year for claimants who are monetarily eligible for benefits.
dThese are new or transitional claims filed in a prior quarter. States should use the same federal generic value of “Prior Qtr New Claim” for either type in the Population 3 extract
file.
UI DV HANDBOOK, BENEFITS A.13 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.3.2
Population 3A Subpopulations
Claims – Claimant Eligibility
Claim Filed Date or Original Monetary Determination Date
For Claim Falls within Reporting/Validation Period
2 3 4 5 6 7 8 9 10 11
(Step 1B) (Step 3B) (Step 2A) (Step 3B) (Step 4) (Step 5) (Step 3B) (Step 3B) (Step 3B) (Step 3B)
(Rule 1) (Rule 2) (Rule 3) (Rule 4) (Rule 5) (Rule 6)
Subpop Report, Line, Date Type of UI Type of Unclaimed Separation Separation
# and Column SSN Claim Filed Program Claim Program Intrastate/ Week Date Last Reason
Type Interstate Employer
ADDITIONAL CLAIMS (3a.1 through 3a.6)
1) Random sample: 60 or 200
3a.1 5159A-101-3 Required Required Regular UI Additional UI Intrastate Required Required Required
3a.2 5159A-102-3 Required Required Regular UI Additional UCFE Intrastate Required Required Required
3a.3 5159A-103-3 Required Required Regular UI Additional UCX Intrastate Required Required Required
3a.4 5159A-101-7 Required Required Regular UI Additional UI Interstate Required Required Required
Received as
Liable State*
3a.5 5159A-102-7 Required Required Regular UI Additional UCFE Interstate Required Required Required
Received as
Liable State*
3a.6 5159A-103-7 Required Required Regular UI Additional UCX Interstate Required Required Required
Received as
Liable State*
*These values are abbreviated in the record layout data format specifications (see Appendix I) but are shown here in their entirety for informational purposes.
UI DV HANDBOOK, BENEFITS A.14 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.3.3
Relationship between ETA 5159A and 586A Reports and Claims Subpopulations in Population 3
Initial Claims
New Intrastate Interstate Interstate Interstate Entering
Excluding Additional Filed from Taken as Received as Self-employment,
Line Transitional Intrastate Agent State Agent State Transitional Liable State All Programs
Program No. (2) (3) (4) (5) (6) (7) (13)
State UI 101 1-7 3a.1 19 and 22 22 25-31 8-14 and 3a.4
UCFE, No UI 102 15 3a.2 20 and 23 23 32 17 and 3a.5
UCX Only 103 16 3a.3 21 and 24 24 33 18 and 3a.6
State UI 201 46
Persons
Establishing
Line New Claims Benefit Years
State UI No. (1) (2)
Intrastate 101 34 and 35 35 and 38
Interstate
Recvd.
as Paying State 102 36 and 37 37 and 39
UI DV HANDBOOK, BENEFITS A.15 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.3.4
Relationship between ETA 218 Reports and New UI Claims Subpopulations in Population 3
SECTION A. MONETARY DETERMINATIONS
NUMBER OF CLAIMANTS ESTABLISHING
DETERMINATIONS BENEFIT YEARS
Insufficient Sufficient Total Maximum Weekly Maximum Benefit
LINE NO. Wage Credits Wage Credits Benefit & Duration
(2) (3) (4) (5) (6)
2-6 2-5 2-3
9-13 9-12 9-10
100 1, 8, 25, 40 2, 9, 26, 41
26-30 26-29 26-27
41-45 41-44 41-42
SECTION B. POTENTIAL DURATION FOR DETERMINATIONS ESTABLISHING BENEFIT YEARS
LESS THAN MAXIMUM WEEKS OF DURATION
LINE Less than 26 Weeks
NO. ITEM (8-13)
101 Potential 3, 5, 10, 12, 27, 29, 42, 44
MAXIMUM WEEKS OF DURATION
26-27 Weeks Number at Maximum Duration Average Weeks Durationa
(14) (19) (20)
Average Calculation from Total
Column
103 Potential 2, 4, 9, 11, 26, 28, 41, 43 2, 4, 9, 11, 26, 28, 41, 43
for Subpopulations 2-5, 9-12, 26-29,
and 41-44
UI DV HANDBOOK, BENEFITS A.16 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Population 3/3a Notes
1. Overview
Population 3 includes new, transitional and CWC claims. Population 3a includes additional
claims. The only additional and reopened claims reported in Population 3 are interstate filed
from agent state claims from the LADT report or interstate taken as agent state claims. New
and transitional UI claims are reported on the 5159 and the monetary determinations associated
with these claims are reported on the ETA 218. For new and transitional UI claims, states are
required to produce a single record showing the claim and monetary. This is the only way to
ensure that each claim is reported once and only once on the ETA 218.
ETA 5159: All claims filed (established) during the report/validation quarter.
Validation of New and Transitional UI claims validates two federal reports:
ETA 218: New and transitional UI claims where the original monetary determination was
issued during the quarter. The claims will match three months of the ETA 5159
report, and their most recent monetary determinations will match the quarterly
ETA 218 report (see the tables on the previous page for the relationship between
claims populations and cells on the ETA 5159 and ETA 218 reports).
UCFE and UCX claims are included only on the ETA 5159 report and not on
the ETA 218 report. Therefore, columns 8 through 13 are optional for UCFE
and UXC claims.
CWC claims are extracted, processed and reported using completely separate logic from that
used to extract, process and report non-CWC claims. In fact, each CWC claim is reported
twice, once as a CWC claim and once as a regular claim. The CWC technical assistance guide,
in Appendix C, provides instructions for extracting and labeling CWC claims.
2. Monetary Determinations
Many states generate a monetary determination automatically when a claim is filed, even when
a wage request is pending. For these states, the counts of new and transitional UI claims on the
5159 will match the counts of original monetary determinations on the ETA 218.
Some states do not automatically generate a monetary determination when a claim is filed. For
these states, the counts on the two reports may differ when a claim is filed in one quarter, but
the original monetary determination for that claim is generated in the following quarter. The
validation methodology handles these situations as follows:
A) When no original monetary determination was sent during the quarter being validated
UI DV HANDBOOK, BENEFITS A.17 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
in which the new claim was filed, the claim will be reported on the ETA 5159, but
there will be no monetary status reported on the ETA 218 for the quarter being
validated. These claims are assigned to subpopulations 3.7 (new intrastate), 3.14 (new
interstate), and 3.31 (transitional).
B) When the original monetary determination was sent during the quarter being validated
but the claim was filed during the previous quarter, the monetary status will be
reported on the ETA 218, but there will be no claim reported on the ETA 5159 for the
quarter being validated. These monetary determinations are assigned to
subpopulations 3.32 through 3.36, depending on their monetary status.
3. Reporting Criteria
The ETA 5159 report criteria and procedures for building claims extract files are as follows:
The date the claim was filed or processed determines the reporting on the 5159.
Assign a claim type category (new, transitional, or additional) and sort into the
categories in Column 4.
Assign an intrastate or interstate category based on the liable and agent state(s) and
sort into the categories in Column 7.
Assign a program type (UI, UCFE, or UCX) based on the wages present on the most
recent monetary determination at the time the report program is run and sort into the
categories in Column 6. If no wages were found, assign the program type based on the
type of claim filed. Follow the current program type hierarchy (any UI wages are UI;
any UCFE wages without UI are UCFE; and UCX wages are only UCX).
The following table shows how various types of claims are assigned to the reporting categories
on the 5159 report based on the type of claim and the intra/interstate type.
Table A.3.5
Mapping of Claim Types to ETA 5159 Report Items
New
Intrastate Interstate Interstate Interstate
Excluding Additional Filed from Taken as Received as
Transitional Intrastate Agent State Agent State Transitional Liable State
Type of
(2) (3) (4) (5) (6) (7)
Claim
New X X X X
Transitional X X X
Additional X X X X
Reopen X X
UI DV HANDBOOK, BENEFITS A.18 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
The ETA 218 report criteria and procedures for extracting information from monetary
determinations are as follows:
The date of the original monetary determination determines the reporting on the ETA
218.
Based on the most recent monetary determination/WBA at the time the report is run,
assign a monetary determination status and sort into the categories in Column 9.
Column (7) Lines 101 ― 103 (Interstate Additional Claims):
When both Populations 3 and 3a are loaded, the software transfers the count of any
interstate additional claims from Population 3a to Population 3. Thus the validation
counts for Lines 101 ― 103 (7) in Population 3, may be higher after Population 3a is
loaded.
The count of UI interstate additional claims on the RV Summary will be the sum of 3.8 ―
3.14 plus 3a.4.
The count of UCFE interstate additional claims on the RV Summary will be the sum of
3.17 and 3a.5.
The count of UCX interstate additional claims on the RV Summary will be the sum of 3.18
and 3a.6.
4. Summary of Subpopulations
3.1: These records represent insufficient monetary determinations (ineligible claims).
3.2 ― 3.5: These records represent sufficient monetary determinations (eligible claims)
with a new benefit year established. These records include monetary information
in columns 8― 13 (Date of the Original Monetary, Sufficient/Insufficient,
WBA, MBA, Potential Weeks of Duration and Potential Weeks of Maximum
Duration).
3.6: These records represent sufficient monetary determinations with no new benefit
year established. This applies to states where a new benefit year is not
established at the same time that the claim is filed.
3.7: These records represent new claims filed where no monetary determination was issued.
3.8 ― 3.14: These records represent interstate received as liable claims and are assigned to
subpopulations using the same logic as subpopulations 3.1 ― 3.7.
3.15 ― 3.18: These records represent new UCFE/UCX claims. The monetary information
columns 8 ― 13 (Date of the Original Monetary, Sufficient/Insufficient, WBA,
UI DV HANDBOOK, BENEFITS A.19 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
MBA, Potential Weeks of Duration, and Potential Weeks of Maximum
Duration) are not required because these claims are not reported on the ETA
218. You may leave data in these fields in the extract file. The software will
ignore them.
3.19 ― 3.21: These records represent interstate filed from agent state claims. This
information comes from the LADT claimant records. Instructions for building
the records to be added to the extract file from the LADT detail records can be
found in Appendix C, Technical Guidance.
3.22 ― 3.24: These records represent interstate taken as agent state claims. These are claims
against other states that are filed in your state agency.
3.25 ― 3.33: These records represent transitional claims (UI/UCFE/UCX). Transitional UI
claims are reported on the ETA 5159 and the ETA 218.
3.34 ― 3.37: These records represent new CWC claims. Procedures for validating CWC
claims and payments are found in Appendix C.
A new CWC claim occurs when the first IB4 request to transfer wages is sent to
another state for a claim.
If the first IB4 for a claim is sent during a quarter and a monetary determination
or redetermination is issued using wages from more than one state during that
quarter, it constitutes a new CWC claim and a new CWC benefit year.
These records are assigned to subpopulations 3.35 (for intrastate) and 3.37 (for
interstate).
If the first IB4 for a claim is sent during a quarter but no monetary determination
or redetermination using wages from more than one state is issued during that
quarter, then this constitutes an insufficient CWC claim (no new benefit year is
established), and these transactions are assigned to subpopulations 3.34 (for
intrastate) and 3.36 (for interstate).
There are several reasons why a monetary determination using wages from more
than one state may not be issued in the quarter in which the initial IB-4 was sent
for a claim:
1) Wages were not found in the other state
2) Wages were found in the other state but not used
3) Wages were found but used in a subsequent quarter
3.38 ― 3.39: These transactions represent new CWC benefit years where the new CWC claim
was filed in a prior quarter. This occurs when the first monetary determination
UI DV HANDBOOK, BENEFITS A.20 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
or redetermination using wages from more than one state was issued during the
quarter but the initial IB4 was sent during a previous quarter.
3.40 ― 3.45: These transactions represent new UI claims filed in a quarter prior to the quarter
being validated when the initial monetary determination or redetermination was
issued during the quarter being validated.
3.46: These transactions represent claims filed under the entering self-employment
program.
3a.1 ― 3a.6: These transactions represent intrastate and interstate additional claims
(UI/UCFE/UCX).
5. Commuter Claim
If a claimant commuted from the claimant’s residence in another state to a job in your (the
liable) state and that person filed directly with your (the liable) state, the claim is reported as an
intrastate claim.
UI DV HANDBOOK, BENEFITS A.21 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.4.1
Population 4 Subpopulations
Payments/Weeks Compensated
Payment Mail Date Falls within Reporting/Validation Period
2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17
(Step 1C) (Step (Step 2A) (Step 4) (Step 5) (Step 10A) (Step 10D)
(Step (Step (Step (Step (Step (Step (Step (Step 13) (Step 14)
(Rule 1) 1C) (Step 10B) (Step 10E)
10D) 10D) 12A) 12B) 12C) 12D) 12E)
(Rule 2) (Step 10F) (Rule 2) (Rule 3)
(Step 10G) Partial/ (Step (Step
Check Total Weeks 10E) 10E) Self-
Sub Number Type of Type of of (Rule 2) (Rule 3) Employ- Week
pop Report, Line, Unique UI Program Intrastate/ Compensa- Unemploy- UI UCFE UCX CWC ment Ending
# and Column SSN ID Program Type Interstate tion ment Earnings WBA Amount Amount Amount Amount Amount Date Mail
Date
FIRST PAYMENTS (4.1 through 4.16)
1) Random sample: 60 or 200; 2) Supplemental sample--missing strata; 3) Supplemental sample--outliers
5159B-301 (14-15) Must be Must be Must be Must be
4.1 5159B-302 (14-15) Required Required Regular UI UI Only Intrastate First Payment Total ≥0 >0 >0 blank or blank or blank or blank or Required Required
9050-All-C2 0 0 0 0
5159B-301 (14-16) Must be Must be Must be Must be
4.2 5159B-302 (14-16) Required Required Regular UI UI Only Interstate First Payment Total ≥0 >0 >0 blank or blank or blank or blank or Required Required
9050-All-C6 0 0 0 0
5159B-301 (14, 15, 17) > 0 if > 0 if Must be Must be
Joint
4.3 5159B-302 (14, 15, 17) Required Required Regular UI Intrastate First Payment Total ≥0 >0 >0 Col. 12 = Col. 11 = blank or blank or Required Required
UI/Federal
9050-All-C2 0a 0a 0 0
5159B-301 (14-17) > 0 if > 0 if Must be Must be
Joint
4.4 5159B-302 (14-17) Required Required Regular UI Interstate First Payment Total ≥0 >0 >0 Col. 12 = Col. 11 = blank or blank or Required Required
UI/Federal
9050-All-C6 0a 0a 0 0
0 for
UCFE UCFE
5159B-301 (17-18) Must be Must be Must be
Only or only, >
4.5 5159B-302 (17-18) Required Required Regular UI Intrastate First Payment Total ≥0 >0 blank or >0 blank or blank or Required Required
UCFE/ 0 for
9050-All-C3 0 0 0
UCX UCFE/
UCX
0 for
UCFE UCFE
5159B-301 (17-18) Must be Must be Must be
Only or only, > 0
4.6 5159B-302 (17-18) Required Required Regular UI Interstate First Payment Total ≥0 >0 blank or >0 blank or blank or Required Required
UCFE/ for
9050-All-C7 0 0 0
UCX UCFE/
UCX
UI DV HANDBOOK, BENEFITS A.22 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17
(Step 1C) (Step (Step 2A) (Step 4) (Step 5) (Step 10A) (Step 10D)
(Step (Step (Step (Step (Step (Step (Step (Step 13) (Step 14)
(Rule 1) 1C) (Step 10B) (Step 10E)
10D) 10D) 12A) 12B) 12C) 12D) 12E)
(Rule 2) (Step 10F) (Rule 2) (Rule 3)
(Step 10G) Partial/ (Step (Step
Check Total Weeks 10E) 10E) Self-
Sub Number Type of Type of of (Rule 2) (Rule 3) Employ- Week
pop Report, Line, Unique UI Program Intrastate/ Compensa- Unemploy- UI UCFE UCX CWC ment Ending
# and Column SSN ID Program Type Interstate tion ment Earnings WBA Amount Amount Amount Amount Amount Date Mail
Date
5159B-301 (17, 19) Must be Must be Must be Must be
4.7 5159B-302 (17, 19) Required Required Regular UI UCX Only Intrastate First Payment Total ≥0 >0 blank or blank or >0 blank or blank or Required Required
9050-All-C4 0 0 0 0
5159B-301 (17, 19) Must be Must be Must be Must be
4.8 5159B-302 (17, 19) Required Required Regular UI UCX Only Interstate First Payment Total ≥0 >0 blank or blank or >0 blank or blank or Required Required
9050-All-C8 0 0 0 0
5159B-301-14
Must be Must be Must be Must be
5159B-302-14
4.9 Required Required Regular UI UI Only Intrastate First Payment Partial ≥0 >0 >0 blank or blank or blank or blank or Required Required
9050-All-C2
0 0 0 0
9050-Part-C2
5159B-301 (14, 16) Must be Must be Must be Must be
4.10 5159B-302 (14, 16) Required Required Regular UI UI Only Interstate First Payment Partial ≥0 >0 >0 blank or blank or blank or blank or Required Required
9050-Part-C6 0 0 0 0
5159B-301 (14, 17) Must be
> 0 if > 0 if Must be
5159B-302 (14, 17) Joint blank or
4.11 Required Required Regular UI Intrastate First Payment Partial ≥0 >0 >0 Col. 12 = Col. 11 = blank or Required Required
9050-All-C2 UI/Federal 0
0a 0a 0
9050-Part-C2
5159B-301 (14, 16, 17) > 0 if Must be Must be
Joint > 0 if
4.12 5159B-302 (14, 16, 17) Required Required Regular UI Interstate First Payment Partial ≥0 >0 >0 Col. 12 = blank or blank or Required Required
UI/Federal Col. 11 =
9050-Part-C6 0a 0 0
0a
0 for
UCFE UCFE
5159B-301 (17-18) Must be Must be Must be
Only or only, > 0
4.13 5159B-302 (17-18) Required Required Regular UI Intrastate First Payment Partial ≥0 >0 blank or >0 blank or blank or Required Required
UCFE/ for
9050-Part-C3 0 0 0
UCX UCFE/
UCX
0 for
UCFE UCFE
5159B-301 (17-18) Must be Must be Must be
Only or only, > 0
4.14 5159B-302 (17-18) Required Required Regular UI Interstate First Payment Partial ≥0 >0 blank or >0 blank or blank or Required Required
UCFE/ for
9050-Part-C7 0 0 0
UCX UCFE/
UCX
UI DV HANDBOOK, BENEFITS A.23 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17
(Step 1C) (Step (Step 2A) (Step 4) (Step 5) (Step 10A) (Step 10D)
(Step (Step (Step (Step (Step (Step (Step (Step 13) (Step 14)
(Rule 1) 1C) (Step 10B) (Step 10E)
10D) 10D) 12A) 12B) 12C) 12D) 12E)
(Rule 2) (Step 10F) (Rule 2) (Rule 3)
(Step 10G) Partial/ (Step (Step
Check Total Weeks 10E) 10E) Self-
Sub Number Type of Type of of (Rule 2) (Rule 3) Employ- Week
pop Report, Line, Unique UI Program Intrastate/ Compensa- Unemploy- UI UCFE UCX CWC ment Ending
# and Column SSN ID Program Type Interstate tion ment Earnings WBA Amount Amount Amount Amount Amount Date Mail
Date
Must Must
5159B-301 (17, 19) Must be Must be
be be
4.15 5159B-302 (17, 19) Required Required Regular UI UCX Only Intrastate First Payment Partial ≥0 >0 >0 blank or blank or Required Required
blank blank
9050-Part-C4 0 0
or 0 or 0
5159B-301 (17, 19) Must be Must be Must be Must be
4.16 5159B-302 (17, 19) Required Required Regular UI UCX Only Interstate First Payment Partial ≥0 >0 blank or blank or >0 blank or blank or Required Required
9050-Part-C8 0 0 0 0
CONTINUED TOTAL PAYMENTS (4.17 through 4.24)
1) Supplemental sample--outliers
5159B-301 (14-15) Must be Must be Must be Must be
Continued
4.17 5159B-302 (14-15) Required Required Regular UI UI Only Intrastate Total ≥0 >0 >0 blank or blank or blank or blank or Required Required
Payment
9051-All-C2 0 0 0 0
5159B-301 (14-16) Must be Must be Must be Must be
Continued
4.18 5159B-302 (14-16) Required Required Regular UI UI Only Interstate Total ≥0 >0 >0 blank or blank or blank or blank or Required Required
Payment
9051-All-C6 0 0 0 0
5159B-301 (14, 15, 17) > 0 if > 0 if Must be Must be
Joint Continued
4.19 5159B-302 (14, 15, 17) Required Required Regular UI Intrastate Total ≥0 >0 >0 Col. 12 = Col. 11 = blank or blank or Required Required
UI/Federal Payment
9051-All-C2 0a 0a 0 0
5159B-301 (14-17) > 0 if > 0 if Must be Must be
Joint Continued
4.20 5159B-302 (14-17) Required Required Regular UI Interstate Total ≥0 >0 >0 Col. 12 = Col. 11 = blank or blank or Required Required
UI/Federal Payment
9051-All-C6 0a 0a 0 0
0 for
UCFE UCFE
5159B-301 (17-18) Must be Must be Must be
Only or Continued only, > 0
4.21 5159B-302 (17-18) Required Required Regular UI Intrastate Total ≥0 >0 blank or >0 blank or blank or Required Required
UCFE/ Payment for
9051-All-C3 0 0 0
UCX UCFE/
UCX
0 for
UCFE
5159B-301 (17-18) Must be UCFE Must be Must be
Only or Continued
4.22 5159B-302 (17-18) Required Required Regular UI Interstate Total ≥0 >0 blank or >0 only, > 0 blank or blank or Required Required
UCFE/ Payment
9051-All-C7 0 for UCFE 0 0
UCX
/UCX
UI DV HANDBOOK, BENEFITS A.24 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17
(Step 1C) (Step (Step 2A) (Step 4) (Step 5) (Step 10A) (Step 10D)
(Step (Step (Step (Step (Step (Step (Step (Step 13) (Step 14)
(Rule 1) 1C) (Step 10B) (Step 10E)
10D) 10D) 12A) 12B) 12C) 12D) 12E)
(Rule 2) (Step 10F) (Rule 2) (Rule 3)
(Step 10G) Partial/ (Step (Step
Check Total Weeks 10E) 10E) Self-
Sub Number Type of Type of of (Rule 2) (Rule 3) Employ- Week
pop Report, Line, Unique UI Program Intrastate/ Compensa- Unemploy- UI UCFE UCX CWC ment Ending
# and Column SSN ID Program Type Interstate tion ment Earnings WBA Amount Amount Amount Amount Amount Date Mail
Date
5159B-301 (17, 19) Must be Must be Must be Must be
Continued
4.23 5159B-302 (17, 19) Required Required Regular UI UCX Only Intrastate Total ≥0 >0 blank or blank or >0 blank or blank or Required Required
Payment
9051-All-C4 0 0 0 0
5159B-301 (17, 19) Must be Must be Must be Must be
Continued
4.24 5159B-302 (17, 19) Required Required Regular UI UCX Only Interstate Total ≥0 >0 blank or blank or >0 blank or blank or Required Required
Payment
9051-All-C8 0 0 0 0
CONTINUED PARTIAL PAYMENTS (4.25 through 4.32)
1) Random sample: 30 or 100
5159B-301-14 Must be Must be Must be Must be
Continued
4.25 5159B-302-14 Required Required Regular UI UI Only Intrastate Partial ≥0 >0 >0 blank or blank or blank or blank or Required Required
Payment
9051-Part-C2 0 0 0 0
5159B-301 (14, 16) Must be Must be Must be Must be
Continued
4.26 5159B-302 (14, 16) Required Required Regular UI UI Only Interstate Partial ≥0 >0 >0 blank or blank or blank or blank or Required Required
Payment
9051-Part-C6 0 0 0 0
5159B-301 (14, 17) > 0 if > 0 if Must be Must be
Joint Continued
4.27 5159B-302 (14, 17) Required Required Regular UI Intrastate Partial ≥0 >0 >0 Col. 12 = Col. 11 = blank or blank or Required Required
UI/Federal Payment
9051-Part-C2 0a 0a 0 0
5159B-301 (14, 16, 17) > 0 if > 0 if Must be Must be
Joint Continued
4.28 5159B-302 (14, 16, 17) Required Required Regular UI Interstate Partial ≥0 >0 >0 Col. 12 = Col. 11 = blank or blank or Required Required
UI/Federal Payment
9051-Part-C6 0a 0a 0 0
0 for
UCFE UCFE
5159B-301 (17-18) Must be Must be Must be
Only or Continued only, >
4.29 5159B-302 (17-18) Required Required Regular UI Intrastate Partial ≥0 >0 blank or >0 blank or blank or Required Required
UCFE/ Payment 0 for
9051-Part-C3 0 0 0
UCX UCFE/
UCX
0 for
UCFE UCFE
5159B-301 (17-18) Must be Must be Must be
Only or Continued only, > 0
4.30 5159B-302 (17-18) Required Required Regular UI Interstate Partial ≥0 >0 blank or >0 blank or blank or Required Required
UCFE/ Payment for
9051-Part-C7 0 0 0
UCX UCFE/
UCX
UI DV HANDBOOK, BENEFITS A.25 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17
(Step 1C) (Step (Step 2A) (Step 4) (Step 5) (Step 10A) (Step 10D)
(Step (Step (Step (Step (Step (Step (Step (Step 13) (Step 14)
(Rule 1) 1C) (Step 10B) (Step 10E)
10D) 10D) 12A) 12B) 12C) 12D) 12E)
(Rule 2) (Step 10F) (Rule 2) (Rule 3)
(Step 10G) Partial/ (Step (Step
Check Total Weeks 10E) 10E) Self-
Sub Number Type of Type of of (Rule 2) (Rule 3) Employ- Week
pop Report, Line, Unique UI Program Intrastate/ Compensa- Unemploy- UI UCFE UCX CWC ment Ending
# and Column SSN ID Program Type Interstate tion ment Earnings WBA Amount Amount Amount Amount Amount Date Mail
Date
5159B-301 (17, 19) Must be Must be Must be Must be
Continued
4.31 5159B-302 (17, 19) Required Required Regular UI UCX Only Intrastate Partial ≥0 >0 blank or blank or >0 blank or blank or Required Required
Payment
9051-Part-C4 0 0 0 0
5159B-301 (17, 19) Must be Must be Must be Must be
Continued
4.32 5159B-302 (17, 19) Required Required Regular UI UCX Only Interstate Partial ≥0 >0 blank or blank or >0 blank or blank or Required Required
Payment
9051-Part-C8 0 0 0 0
ADJUSTED PAYMENTS (4.33 through 4.42)
1) Supplemental sample--outliers by dollars
Must be Must be Must be Must be
4.33 5159B-302 (14-15) Required Required Regular UI UI Only Intrastate Adjustment Total ≥0 >0 >0 blank or blank or blank or blank or Required
0 0 0 0
Must be Must be Must be Must be
4.34 5159B-302 (14-16) Required Required Regular UI UI Only Interstate Adjustment Total ≥0 >0 >0 blank or blank or blank or blank or Required
0 0 0 0
> 0 if > 0 if Must be Must be
Joint
4.35 5159B-302 (14, 15, 17) Required Required Regular UI Intrastate Adjustment Total ≥0 >0 >0 Col. 12 = Col. 11 = blank or blank or Required
UI/Federal
0a 0a 0 0
> 0 if > 0 if Must be Must be
Joint
4.36 5159B-302 (14-17) Required Required Regular UI Interstate Adjustment Total ≥0 >0 >0 Col. 12 = Col. 11 = blank or blank or Required
UI/Federal
0a 0a 0 0
0 for
UCFE UCFE
Must be Must be Must be
Only or only, > 0
4.37 5159B-302 (17-18) Required Required Regular UI Adjustment blank or >0 blank or blank or Required
UCFE/ for
0 0 0
UCX UCFE/
UCX
Must be Must be Must be Must be
4.38 5159B-302 (17, 19) Required Required Regular UI UCX Only Adjustment blank or blank or >0 blank or blank or Required
0 0 0 0
UI DV HANDBOOK, BENEFITS A.26 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17
(Step 1C) (Step (Step 2A) (Step 4) (Step 5) (Step 10A) (Step 10D)
(Step (Step (Step (Step (Step (Step (Step (Step 13) (Step 14)
(Rule 1) 1C) (Step 10B) (Step 10E)
10D) 10D) 12A) 12B) 12C) 12D) 12E)
(Rule 2) (Step 10F) (Rule 2) (Rule 3)
(Step 10G) Partial/ (Step (Step
Check Total Weeks 10E) 10E) Self-
Sub Number Type of Type of of (Rule 2) (Rule 3) Employ- Week
pop Report, Line, Unique UI Program Intrastate/ Compensa- Unemploy- UI UCFE UCX CWC ment Ending
# and Column SSN ID Program Type Interstate tion ment Earnings WBA Amount Amount Amount Amount Amount Date Mail
Date
Must be Must be Must be Must be
4.39 5159B-302-14 Required Required Regular UI UI Only Intrastate Adjustment Partial ≥0 >0 >0 blank or blank or blank or blank or Required
0 0 0 0
Must be Must be Must be Must be
4.40 5159B-302 (14, 16) Required Required Regular UI UI Only Interstate Adjustment Partial ≥0 >0 >0 blank or blank or blank or blank or Required
0 0 0 0
> 0 if > 0 if Must be Must be
Joint
4.41 5159B-302 (14, 17) Required Required Regular UI Intrastate Adjustment Partial ≥0 >0 >0 Col. 12 = Col. 11 = blank or blank or Required
UI/Federal
0a 0a 0 0
> 0 if > 0 if Must be Must be
Joint
4.42 5159B-302 (14, 16, 17) Required Required Regular UI Interstate Adjustment Partial ≥0 >0 >0 Col. 12 = Col. 11 = blank or blank or Required
UI/Federal
0a 0a 0 0
SELF-EMPLOYMENT PAYMENTS (4.43)
1) Minimum sample: First two cases
Must be Must be Must be Must be
5159B-301-20 Self- Intrastate or Self-
4.43 Required Required Regular UI blank or blank or blank or blank or >0 Required
5159B-302-20 employ Interstate Employment
0 0 0 0
CWC FIRST PAYMENTS (4.44 through 4.45)
1) Random sample: 30 or 100
Must be Must be Must be Must be
586A-101 (4-5) Intrastate
4.44 Required Required Regular UI First Payment blank or blank or blank or >0 blank or Required Required
586B Column 8 (Total) CWC
0 0 0 0
Must be Must be Must be Must be
586A-102 (4-5) Interstate
4.45 Required Required Regular UI First Payment blank or blank or blank or >0 blank or Required Required
586B Column 9 (Total) CWC
0 0 0 0
UI DV HANDBOOK, BENEFITS A.27 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17
(Step 1C) (Step (Step 2A) (Step 4) (Step 5) (Step 10A) (Step 10D)
(Step (Step (Step (Step (Step (Step (Step (Step 13) (Step 14)
(Rule 1) 1C) (Step 10B) (Step 10E)
10D) 10D) 12A) 12B) 12C) 12D) 12E)
(Rule 2) (Step 10F) (Rule 2) (Rule 3)
(Step 10G) Partial/ (Step (Step
Check Total Weeks 10E) 10E) Self-
Sub Number Type of Type of of (Rule 2) (Rule 3) Employ- Week
pop Report, Line, Unique UI Program Intrastate/ Compensa- Unemploy- UI UCFE UCX CWC ment Ending
# and Column SSN ID Program Type Interstate tion ment Earnings WBA Amount Amount Amount Amount Amount Date Mail
Date
CWC WEEKS COMPENSATED/NOT FIRST PAYMENTS (4.46 through 4.47)
1) Minimum sample: First two cases from each subpopulation
Weeks
Must be Must be Must be Must be
Intrastate Compensated
4.46 586A-101 (4–5) Required Required Regular UI blank or blank or blank or >0 blank or Required
CWC Not First
0 0 0 0
Payments*
Weeks
Must be Must be Must be Must be
Interstate Compensated
4.47 586A-102 (4-5) Required Required Regular UI blank or blank or blank or >0 blank or Required
CWC Not First
0 0 0 0
Payments*
CWC ADJUSTED PAYMENTS (4.48 through 4.49)
1) Minimum sample: First two cases from each subpopulation
Must be Must be Must be Must be
Intrastate
4.48 586A-101-5 Required Required Regular UI Adjustment blank or blank or blank or >0 blank or Required
CWC
0 0 0 0
Must be Must be Must be Must be
Interstate
4.49 586A-102-5 Required Required Regular UI Adjustment blank or blank or blank or >0 blank or Required
CWC
0 0 0 0
CWC PRIOR QUARTER (4.48 through 4.49)
1) Minimum sample: First two cases from each subpopulation
Prior Weeks Must be Must be Must be Must be
Intrastate
4.50 586A-101 (6-7) Required Required Regular UI Compensate blank or blank or blank or >0 blank or Required
CWC
d 0 0 0 0
Prior Weeks Must be Must be Must be Must be
Interstate
4.51 586A-102 (6-7) Required Required Regular UI Compensate blank or blank or blank or >0 blank or Required
CWC
d 0 0 0 0
*These values are abbreviated in the record layout data format specifications (see Appendix I) but are shown here in their entirety for informational
purposes. They are referred to as “Continued Payment” in the record layout.
a
Either the UCFE or UCX amount (or both) must be entered.
UI DV HANDBOOK, BENEFITS A.28 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
NOTE: For Joint Claims, Column 11 represents the UI portion of the payment, and Columns 12 and 13 represent the Federal portion of the
payment.
The term supplement includes supplemental payments, partial offset payments, and negative adjustments. Observations reported in all
populations of first and continued payments (Column 3) will be sorted by time lapse days in ascending order and subtotaled by time lapse
categories. Observations reported in all populations of supplemental payments will be sorted by SSN.
UI DV HANDBOOK, BENEFITS A.29 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.4.2
Relationship between ETA 9050, ETA 9051, and ETA 586B Payments Time Lapse and Subpopulations in Population 4
Intrastate Interstate
(586B- (586B-
UI UCFE UCX TOTAL) UI UCFE UCX TOTAL)
CWC CWC
C2 C3 C4 (8) C6 C7 C8 (9)
All First Payments 9050 (All) 1, 3, 9, and 11 5 and 13 7 and 15 44 2, 4, 10, and 12 6 and 14 8 and 16 45
Partial First Payments 9050 (Part) 9 and 11 13 15 10 and 12 14 16
All Continued Payments 9051(All) 17, 19, 25, and 27 21 and 29 23 and 31 18, 20, 26, and 28 22 and 30 24 and 32
Partial Continued Payments 9051(Part) 25 and 27 29 31 26 and 28 30 32
Table A.4.3
Relationship between ETA 5159B Weeks Compensated and Subpopulations in Population 4
State UI Programa UCFE and UCX Programs
All Weeks Total Self-employment
5159 Compensated Unemployment Interstate Total UCFE - No UI UCX Only All Programs
Section B (14) (15) (16) (17) (18) (19) (20)
1- 4 5-8 5-6 7-8
Number
9 - 12 1-4 2, 4, 10, 12 13 - 16 13 - 14 15 - 16
43
17 - 20 17 - 20 18, 20, 26, 28 21 - 24 21 - 22 23 - 24
301
25 - 28 29 - 32 29 - 30 31 - 32
Column 10 Column 10 Column 10 Columns 11 & Columns 11 & Column 12c
1-4 1-4 2, 4, 10, 12 12 12b 7-8
9 - 12 17 - 20 18, 20, 26, 28 3-8 5-6 15 - 16
Amount
17 - 20 33 - 36 34, 36, 40, 42 11 - 16 13 - 14 23 - 24
43
25 - 28 19 - 24 21 - 22 31 - 32
302
33 - 36 27 - 32 29 - 30 38
39 - 42 35 - 38 37
41 - 42
a
If joint claim, then only includes the UI share of the payment. bIncludes all payments from UCFE and the UCX portion of UCFE/UCX funds.
c
Includes all payments from UCX funds.
UI DV HANDBOOK, BENEFITS A.30 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.4.4
Relationship between ETA 586A Payment Activity and Subpopulations in Population 4
Weeks
Compensated Benefits Paid Prior Weeks Prior Benefits Paid
Compensated
State UI Line No. (4) (5) (6) (7)
Intrastate 101 44, 46 44, 46, 48 50 50
Interstate Received as Paying State 102 45, 47 45, 47, 49 51 51
UI DV HANDBOOK, BENEFITS A.31 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Population 4 Notes
1. The First Payment time lapse performance measure (as reported on the ETA 9050 report)
uses a different definition of first payment than the definition of first payment used on the
ETA 5159 report. The measure in the ETA 9050 uses the first compensable week rather
than the first week compensated.
First payments are payments for the first compensable week in the benefit year after the
waiting week where there were no excessive earnings. Because it is determined by the
week paid, it is possible that the first payment date could fall after other payments have
been made on the claim.
The ETA 5159 counts, which are not currently validated, use the first week compensated,
i.e. the earliest payment date on the claim.
2. Adjusted Payments (Subpopulations 4.33 – 4.42): These are payments for weeks that
have previously been compensated. The initial payment for the week is counted as a week
compensated, and only additional payments for the same week are considered adjustments.
These are reported on row 302 (section B) of the ETA 5159 only. Only dollar amounts are
included. These payments are not counted as weeks compensated in row 301 (section B) of
the ETA 5159 nor are they included on the ETA 9050 or ETA 9051 reports.
3. Self-employment: These payments are reported twice. They are reported as self-
employment and also as part of the regular program; therefore, they must be extracted
twice.
4. CWC prior weeks compensated (Subpopulations 4.50 – 4.51): The software allows the
state to check the integrity of the files by using date ranges. For example, the ETA 5159 is
a monthly report, and the dates must be within the month being validated. CWC prior
weeks compensated payment dates will not fall during the same month being validated, but
the software will accept and count these in subpopulations 4.50 and 4.51.
5. Joint Payments: In situations where a payment for a joint claim is made that does not use
funds from more than one program, that payment is not considered joint and should be
reported as UI, UCFE, or UCX.
6. Timing: The extract file must be built with a quarter’s worth of CWC data
(Subpopulations 4.44 to 4.51) to validate the quarterly CWC ETA 586 report. The other
payments data (subpopulations 4.1 – 4.50), to validate counts and dollars on the monthly
5159, 9050, and 9051 reports, must be for the last month of the quarter. When loading the
file, use the period Start and End dates for the quarter to allow the validation counts to
match the ETA 586 report. The software will retrieve the monthly counts for the last
month of the quarter. Records labeled “CWC Prior Weeks Compensated” (subpopulations
4.50 and 4.51) will have payment dates prior to the quarter, but the software will allow
those to import .
UI DV HANDBOOK, BENEFITS A.32 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.5.1
Population 5 Subpopulations
Nonmometary Determinations and Redeterminations
Notice Date Falls within Reporting /Validation Period
2 3 4 5 6 7 8 9 10 11 12 13
(Step 1D) (Step 1D) (Step 2) (Step 4) (Step 5) (Step 16) (Step 17) (Step 18) (Step 19) (Step 20) (Step 21) (Step 23)
(Rule 1) (Rule 2)
Sub First
pop Report, Line, Issue Number Type of Program Intrastate/ Determination/ Type of Issue Week Detection Allowa
# and Column SSN (Unique ID) UI Program Type Interstate Redetermination Determination Types Affected Date Notice Date or Deny
SINGLE CLAIMANT NON-MONETARY DETERMINATIONS (5.1 through 5.60)
1) Random sample: 30 or 100; 2) Supplemental sample--missing strata; 3) Supplemental sample--outliers
207: A 101-2; Required if State Regular UI
5.1 B 201-8 Required maintains a or UI Intrastate Determination Single VL Required Required Allow
9052A-C2; unique ID Workshare
207: A 101-2; Required if State Regular UI
5.2 B 201-9 Required maintains a or UI Intrastate Determination Single MC Required Required Allow
9052A-C2; unique ID Workshare
207: A 101-2; Required if State Regular UI
5.3 B 201-10 Required maintains a or UI Intrastate Determination Single Sep/Other Required Required Allow
9052A-C2; unique ID Workshare
207: A 101-2; Required if State Regular UI
5.4 C 301-12 Required maintains a or UI Intrastate Determination Single A&A Required Required Allow
9052B-C98; unique ID Workshare
207: A 101-2; Required if State Regular UI
Ded.
5.5 C 301-13 Required maintains a or UI Intrastate Determination Single Required Required Allow
Income
9052B-C98; unique ID Workshare
207: A 101-2; Required if State Regular UI
Suitable
5.6 C 301-14 Required maintains a or UI Intrastate Determination Single Required Required Allow
Work
9052B-C98; unique ID Workshare
207: A 101-2; Required if State Regular UI
5.7 C 301-15 Required maintains a or UI Intrastate Determination Single Reporting Required Required Allow
9052B-C98; unique ID Workshare
UI DV HANDBOOK, BENEFITS A.33 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13
(Step 1D) (Step 1D) (Step 2) (Step 4) (Step 5) (Step 16) (Step 17) (Step 18) (Step 19) (Step 20) (Step 21) (Step 23)
(Rule 1) (Rule 2)
Sub First
pop Report, Line, Issue Number Type of Program Intrastate/ Determination/ Type of Issue Week Detection Allowa
# and Column SSN (Unique ID) UI Program Type Interstate Redetermination Determination Types Affected Date Notice Date or Deny
207: A 101-2; Required if State Regular UI
5.8
C 301-16 Required maintains a or UI Intrastate Determination Single Profiling Required Required Allow
9052B-C98; unique ID Workshare
207: A 101-2; Required if State Regular UI
Other
C 301-17 Required maintains a or UI Intrastate Determination Single Required Required Allow
5.9 Nonsep
9052B-C98; unique ID Workshare
207: A 101-2; Required if State Regular UI
5.10 B 201-8 Required maintains a or UI Interstate Determination Single VL Required Required Allow
9052A-C6; unique ID Workshare
207: A 101-2; Required if State Regular UI
5.11 B 201-9 Required maintains a or UI Interstate Determination Single MC Required Required Allow
9052A-C6; unique ID Workshare
207: A 101-2; Required if State Regular UI
5.12 B 201-10 Required maintains a or UI Interstate Determination Single Sep/Other Required Required Allow
9052A-C6; unique ID Workshare
207: A 101-2; Required if State Regular UI
5.13 C 301-12 Required maintains a or UI Interstate Determination Single A&A Required Required Allow
9052B-C102; unique ID Workshare
207: A 101-2; Required if State Regular UI
Ded.
5.14 C 301-13 Required maintains a or UI Interstate Determination Single Required Required Allow
Income
9052B-C102; unique ID Workshare
207: A 101-2; Required if State Regular UI
Suitable
5.15 C 301-14 Required maintains a or UI Interstate Determination Single Required Required Allow
Work
9052B-C102; unique ID Workshare
207: A 101-2; Required if State Regular UI
5.16 C 301-15 Required maintains a or UI Interstate Determination Single Reporting Required Required Allow
9052B-C102; unique ID Workshare
207: A 101-2; Required if State Regular UI
5.17 C 301-16 Required maintains a or UI Interstate Determination Single Profiling Required Required Allow
9052B-C102; unique ID Workshare
UI DV HANDBOOK, BENEFITS A.34 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13
(Step 1D) (Step 1D) (Step 2) (Step 4) (Step 5) (Step 16) (Step 17) (Step 18) (Step 19) (Step 20) (Step 21) (Step 23)
(Rule 1) (Rule 2)
Sub First
pop Report, Line, Issue Number Type of Program Intrastate/ Determination/ Type of Issue Week Detection Allowa
# and Column SSN (Unique ID) UI Program Type Interstate Redetermination Determination Types Affected Date Notice Date or Deny
207: A 101-2; Required if State Regular UI
Other
5.18 C 301-17 Required maintains a or UI Interstate Determination Single Required Required Allow
Nonsep
9052B-C102; unique ID Workshare
207A: 101-2;
102-2 Required if State Regular UI
5.19 207B: 201-8; Required maintains a or UI Intrastate Determination Single VL Required Required Deny
202-8 unique ID Workshare
9052A-C2;
207A: 101-2;
102-2 Required if State Regular UI
5.20 207B: 201-9; Required maintains a or UI Intrastate Determination Single MC Required Required Deny
202-9 unique ID Workshare
9052A-C2;
207A: 101-2;
102-2 Required if State Regular UI
5.21 207B: 201-10; Required maintains a or UI Intrastate Determination Single Sep/Other Required Required Deny
202-10 unique ID Workshare
9052A-C2;
207A: 101-2;
102-2 Required if State Regular UI
5.22 207C: 301-12; Required maintains a or UI Intrastate Determination Single A&A Required Required Deny
302-12 unique ID Workshare
9052B-C98;
207A: 101-2;
102-2 Required if State Regular UI
Ded.
5.23 207C: 301-13; Required maintains a or UI Intrastate Determination Single Required Required Deny
Income
302-13 unique ID Workshare
9052B-C98;
207A: 101-2;
102-2 Required if State Regular UI
Suitable
5.24 207C: 301-14; Required maintains a or UI Intrastate Determination Single Required Required Deny
Work
302-14 unique ID Workshare
9052B-C98;
UI DV HANDBOOK, BENEFITS A.35 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13
(Step 1D) (Step 1D) (Step 2) (Step 4) (Step 5) (Step 16) (Step 17) (Step 18) (Step 19) (Step 20) (Step 21) (Step 23)
(Rule 1) (Rule 2)
Sub First
pop Report, Line, Issue Number Type of Program Intrastate/ Determination/ Type of Issue Week Detection Allowa
# and Column SSN (Unique ID) UI Program Type Interstate Redetermination Determination Types Affected Date Notice Date or Deny
207A: 101-2;
102-2 Required if State Regular UI
5.25 207C: 301-15; Required maintains a or UI Intrastate Determination Single Reporting Required Required Deny
302-15 unique ID Workshare
9052B-C98;
207A: 101-2;
102-2 Required if State Regular UI
5.26 207C: 301-16; Required maintains a or UI Intrastate Determination Single Profiling Required Required Deny
302-16 unique ID Workshare
9052B-C98;
207A: 101-2;
102-2 Required if State Regular UI
Other
5.27 207C: 301-17; Required maintains a or UI Intrastate Determination Single Required Required Deny
Nonsep
302-17 unique ID Workshare
9052B-C98;
207A: 101-2;
102-2 Required if State Regular UI
5.28 207B: 201-8; Required maintains a or UI Interstate Determination Single VL Required Required Deny
202-8 unique ID Workshare
9052A-C6;
207A: 101-2;
102-2 Required if State Regular UI
5.29 207B: 201-9; Required maintains a or UI Interstate Determination Single MC Required Required Deny
202-9 unique ID Workshare
9052A-C6;
207A: 101-2;
102-2 Required if State Regular UI
5.30 207B: 201-10; Required maintains a or UI Interstate Determination Single Sep/Other Required Required Deny
202-10 unique ID Workshare
9052A-C6;
UI DV HANDBOOK, BENEFITS A.36 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13
(Step 1D) (Step 1D) (Step 2) (Step 4) (Step 5) (Step 16) (Step 17) (Step 18) (Step 19) (Step 20) (Step 21) (Step 23)
(Rule 1) (Rule 2)
Sub First
pop Report, Line, Issue Number Type of Program Intrastate/ Determination/ Type of Issue Week Detection Allowa
# and Column SSN (Unique ID) UI Program Type Interstate Redetermination Determination Types Affected Date Notice Date or Deny
207A: 101-2;
102-2 Required if State Regular UI
5.31 207C: 301-12; Required maintains a or UI Interstate Determination Single A&A Required Required Deny
302-12 unique ID Workshare
9052B-C102;
207A: 101-2;
102-2 Required if State Regular UI
Ded.
5.32 207C: 301-13; Required maintains a or UI Interstate Determination Single Required Required Deny
Income
302-13 unique ID Workshare
9052B-C102;
207A: 101-2;
102-2 Required if State Regular UI
Suitable
5.33 207C: 301-14; Required maintains a or UI Interstate Determination Single Required Required Deny
Work
302-14 unique ID Workshare
9052B-C102;
207A: 101-2;
102-2 Required if State Regular UI
5.34 207C: 301-15; Required maintains a or UI Interstate Determination Single Reporting Required Required Deny
302-15 unique ID Workshare
9052B-C102;
207A: 101-2;
102-2 Required if State Regular UI
5.35 207C: 301-16; Required maintains a or UI Interstate Determination Single Profiling Required Required Deny
302-16 unique ID Workshare
9052B-C102;
207A: 101-2;
102-2 Required if State Regular UI
Other
5.36 207C: 301-17; Required maintains a or UI Interstate Determination Single Required Required Deny
Nonsep
302-17 unique ID Workshare
9052B-C102;
207: A 103-1; Required if State Regular UI
5.37 B 203-8 Required maintains a or UCFE Intrastate Determination Single VL Required Required Allow
9052A-C3; unique ID Workshare
UI DV HANDBOOK, BENEFITS A.37 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13
(Step 1D) (Step 1D) (Step 2) (Step 4) (Step 5) (Step 16) (Step 17) (Step 18) (Step 19) (Step 20) (Step 21) (Step 23)
(Rule 1) (Rule 2)
Sub First
pop Report, Line, Issue Number Type of Program Intrastate/ Determination/ Type of Issue Week Detection Allowa
# and Column SSN (Unique ID) UI Program Type Interstate Redetermination Determination Types Affected Date Notice Date or Deny
207: A 103-1; Required if State Regular UI
5.38 B 203-9 Required maintains a or UCFE Intrastate Determination Single MC Required Required Allow
9052A-C3; unique ID Workshare
207: A 103-1; Required if State Regular UI
5.39 B 203-10 Required maintains a or UCFE Intrastate Determination Single Sep/Other Required Required Allow
9052A-C3; unique ID Workshare
Required if State Regular UI
207A-103-1
5.40 Required maintains a or UCFE Intrastate Determination Single Nonsep Required Required Allow
9052B-C99;
unique ID Workshare
207: A 103-1; Required if State Regular UI
5.41 B 203-8 Required maintains a or UCFE Interstate Determination Single VL Required Required Allow
9052A-C7; unique ID Workshare
207: A 103-1; Required if State Regular UI
5.42 B 203-9 Required maintains a or UCFE Interstate Determination Single MC Required Required Allow
9052A-C7; unique ID Workshare
207: A 103-1;
Required if State Regular UI
B 203-10
5.43 Required maintains a or UCFE Interstate Determination Single Sep/Other Required Required Allow
9052A-C7;
unique ID Workshare
Required if State Regular UI
207A-103-1
5.44 Required maintains a or UCFE Interstate Determination Single Nonsep Required Required Allow
9052B-C103;
unique ID Workshare
207A: 103-1;
104-1 Required if State Regular UI
5.45 207B: 203-8; Required maintains a or UCFE Intrastate Determination Single VL Required Required Deny
204-8 unique ID Workshare
9052A-C3;
207A: 103-1;
104-1 Required if State Regular UI
5.46 207B: 203-9; Required maintains a or UCFE Intrastate Determination Single MC Required Required Deny
204-9 unique ID Workshare
9052A-C3;
UI DV HANDBOOK, BENEFITS A.38 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13
(Step 1D) (Step 1D) (Step 2) (Step 4) (Step 5) (Step 16) (Step 17) (Step 18) (Step 19) (Step 20) (Step 21) (Step 23)
(Rule 1) (Rule 2)
Sub First
pop Report, Line, Issue Number Type of Program Intrastate/ Determination/ Type of Issue Week Detection Allowa
# and Column SSN (Unique ID) UI Program Type Interstate Redetermination Determination Types Affected Date Notice Date or Deny
207A: 103-1;
104-1 Required if State Regular UI
5.47 207B: 203-10; Required maintains a or UCFE Intrastate Determination Single Sep/Other Required Required Deny
204-10 unique ID Workshare
9052A-C3;
207A: 103-1; Required if State Regular UI
5.48 104-1 Required maintains a or UCFE Intrastate Determination Single Nonsep Required Required Deny
9052B-C99; unique ID Workshare
207A: 103-1;
104-1 Required if State Regular UI
5.49 207B: 203-8; Required maintains a or UCFE Interstate Determination Single VL Required Required Deny
204-8 unique ID Workshare
9052A-C7;
207A: 103-1;
104-1 Required if State Regular UI
5.50 207B: 203-9; Required maintains a or UCFE Interstate Determination Single MC Required Required Deny
204-9 unique ID Workshare
9052A-C7;
207A: 103-1;
104-1 Required if State Regular UI
5.51 207B: 203-10; Required maintains a or UCFE Interstate Determination Single Sep/Other Required Required Deny
204-10 unique ID Workshare
9052A-C7;
207A: 103-1; Required if State Regular UI
5.52 104-1 Required maintains a or UCFE Interstate Determination Single Nonsep Required Required Deny
9052B-C103; unique ID Workshare
207A-105-1 Required if State Regular UI
5.53 9052A-C4; Required maintains a or UCX Intrastate Determination Single Sep Required Required Allow
unique ID Workshare
Required if State Regular UI
207A-105-1
5.54 Required maintains a or UCX Intrastate Determination Single Nonsep Required Required Allow
9052B-C100;
unique ID Workshare
UI DV HANDBOOK, BENEFITS A.39 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13
(Step 1D) (Step 1D) (Step 2) (Step 4) (Step 5) (Step 16) (Step 17) (Step 18) (Step 19) (Step 20) (Step 21) (Step 23)
(Rule 1) (Rule 2)
Sub First
pop Report, Line, Issue Number Type of Program Intrastate/ Determination/ Type of Issue Week Detection Allowa
# and Column SSN (Unique ID) UI Program Type Interstate Redetermination Determination Types Affected Date Notice Date or Deny
Required if State Regular UI
207A-105-1
5.55 Required maintains a or UCX Interstate Determination Single Sep Required Required Allow
9052A-C8;
unique ID Workshare
Required if State Regular UI
207A-105-1
5.56 Required maintains a or UCX Interstate Determination Single Nonsep Required Required Allow
9052B-C104;
unique ID Workshare
207A: 105-1;
Required if State Regular UI
106-1
5.57 Required maintains a or UCX Intrastate Determination Single Sep Required Required Deny
9052A-C4;
unique ID Workshare
207A: 105-1; Required if State Regular UI
5.58 106-1 Required maintains a or UCX Intrastate Determination Single Nonsep Required Required Deny
9052B-C100; unique ID Workshare
207A: 105-1;
Required if State Regular UI
106-1
5.59 Required maintains a or UCX Interstate Determination Single Sep Required Required Deny
9052A-C8;
unique ID Workshare
207A: 105-1; Required if State Regular UI
5.60 106-1 Required maintains a or UCX Interstate Determination Single Nonsep Required Required Deny
9052B-C104; unique ID Workshare
MULTI-CLAIMANT NON-MONETARY DETERMINATIONS (5.61 through 5.64)
1) Minimum Sample: First two cases from each subpopulation
Required if State Regular UI
207A-101-5 Labor
5.61 Required maintains a or Determination Multi Required Required Allow
9052C-C194; Dispute
unique ID Workshare
207A: 101-5; Required if State Regular UI
Labor
5.62 102-5 Required maintains a or Determination Multi Required Required Deny
Dispute
9052C-C194; unique ID Workshare
Required if State Regular UI Other
207A-101-6
5.63 Required maintains a or Determination Multi Multiclaim Required Required Allow
9052C-C195;
unique ID Workshare ant
UI DV HANDBOOK, BENEFITS A.40 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13
(Step 1D) (Step 1D) (Step 2) (Step 4) (Step 5) (Step 16) (Step 17) (Step 18) (Step 19) (Step 20) (Step 21) (Step 23)
(Rule 1) (Rule 2)
Sub First
pop Report, Line, Issue Number Type of Program Intrastate/ Determination/ Type of Issue Week Detection Allowa
# and Column SSN (Unique ID) UI Program Type Interstate Redetermination Determination Types Affected Date Notice Date or Deny
207A: 101-6; Required if State Regular UI Other
5.64 102-6 Required maintains a or Determination Multi Multiclaim Required Required Deny
9052C-C195; unique ID Workshare ant
REDETERMINATIONS (5.65 through 5.70)
1) Random Sample: 30 or 100
Required if State Regular UI Intrastate
5.65 207A-101-3 Required maintains a or UI or Redetermination Single Required Required Allow
unique ID Workshare Interstate
Required if State Regular UI Intrastate
207A: 101-3;
5.66 Required maintains a or UI or Redetermination Single Required Required Deny
102-3
unique ID Workshare Interstate
Required if State Regular UI Intrastate
5.67 207A-103-1 Required maintains a or UCFE or Redetermination Single Required Required Allow
unique ID Workshare Interstate
Required if State Regular UI Intrastate
207A: 103-1;
5.68 Required maintains a or UCFE or Redetermination Single Required Required Deny
104-1
unique ID Workshare Interstate
Required if State Regular UI Intrastate
5.69 207A-105-1 Required maintains a or UCX or Redetermination Single Required Required Allow
unique ID Workshare Interstate
Required if State Regular UI Intrastate
207A: 105-1;
5.70 Required maintains a or UCX or Redetermination Single Required Required Deny
106-1
unique ID Workshare Interstate
a
Allow or affirmed
UI DV HANDBOOK, BENEFITS A.41 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.5.2
Relationship between ETA 207Reporting Cells and Subpopulations in Population 5
Total
207 SECTION A Determinations and
Redeterminations Determinations Redeterminations Multi-labor Multi-other
(1) (2) (3) (5) (6)
UI Dets 101 1-36 65-66 61-62 63-64
UI Denials 102 19-36 66 62 (Column 7)a 64 (Column 7)a
37-52
UCFE Dets 103
67-68
45-52
UCFE Denials 104
68
53-60
UCX Dets 105
69-70
57-60
UCX Denials 106
70
Total Seps VL MC Other Separations
207 SECTION B (7) (8) (9) (10)
1, 10 2, 11 3, 12
UI Dets 201
19, 28 20, 29 21, 30
UI Denials 202 19, 28 20, 29 21, 30
37, 41 38, 42 39, 43
UCFE Dets 203
45, 49 46, 50 47, 51
UCFE Denials 204 45, 49 46, 50 47, 51
207 SECTION C Total Nonseps A&A Ded. Income Suit. Work Reporting Profiling Other
(11) (12) (13) (14) (15) (16) (17)
UI Dets 301 4, 13, 22, 31 5, 14, 23, 32 6, 15, 24, 33 7, 16, 25, 34 8, 17, 26, 35 9, 18, 27, 36
UI Denials 302 22, 31 23, 32 24, 33 25, 34 26, 35 27, 36
a
Add the number of multiclaimants involved.
UI DV HANDBOOK, BENEFITS A.42 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.5.3
Relationship between ETA 9052 Adjudications Time Lapse and Subpopulations in Population 5
Separation Non-Separation
9052A 9052B Labor
Intrastate Interstate Intrastate Interstate Dispute Other
UI UCFE UCX UI UCFE UCX UI UCFE UCX UI UCFE UCX
C2 C3 C4 C6 C7 C8 C98 C99 C100 C102 C103 C104 C194 C195
Single 1-3 37-39 53 10-12 41-43 55 4-9 40 54 13-18 44 56
Claimant 9052 19-21 45-47 57 28-30 49-51 59 22-27 48 58 31-36 52 60
Multi- 61 63
claimant 9052C 62 64
NOTE: There are 11 time lapse categories in each of these table cells.
UI DV HANDBOOK, BENEFITS A.43 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Population 5 Notes
1. For states that require a week to be claimed in order to count non-monetary determinations,
use the transaction date of the non-monetary determination when the mail date precedes the
week claimed date. For example, if a determination is mailed in December and the week is
claimed in January, the state enters the transaction (or countable) date in January to signify
that this non-monetary determination is countable for Federal reporting purposes.
2. This population includes non-monetary determinations for Short Time Compensation
(STC) Program (workshare) claims. These records should be labeled as “Workshare” for
“Type of UI Program.” See the software record layouts for more details.
3. Multiclaimant Nonmonetary Determinations to deny benefits are counted in two ways on
the ETA 207 report. Section A 101(6) counts the number of determinations. Section A
102(6) counts the number of claimants. Currently the software does not distinguish
between the number of claimants and the number of determinations. If a single record
representing a determination is entered, the count of determinations will be correct;
however, the count of claimants involved in denials will be incorrect. Likewise, if ten
records representing ten claimants are entered, the count of denials will be correct;
however, the count of determinations will be incorrect.
The software will be revised in the future so that multiclaimant determinations to deny
benefits will be counted by both the number of determinations and the number of claimants
in the same way that it is currently done for all multiclaimant appeals reported on the ETA
5130 (Populations 8 and 9).
In the meantime, enter a record for each claimant in a multiclaimant determination to deny
benefits. The number of multiclaimant denials will be correct although the number of
determinations will be incorrect. Indicate in the comments field of the RV screen that the
discrepancy is due to a software limitation and is not a state error.
UI DV HANDBOOK, BENEFITS A.44 NOVEMBER 2009
DATA ELEMENT VALIDATION APPENDIX A
Table A.6.1
Population 6 Subpopulations
Claimants involved in State UI Appeals Filed - Lower
2 3 4 5 6 7
(Step 1E) (Step 1E) (Step 24A) (Step 25A) (Step 25B) (Step 32)
(Rule 1) (Rule 2) (Rule 1) (Rules 3 – 6)
(Step 25B)
(Rule 1)
ETA ar5130B Docket Type of Appeal
Subpop Line and Number (Single or Number of
# Column SSN Unique ID Appeal Level Multiclaimant) Claimants Filed Date
LOWER AUTHORITY APPEALS FILED (6.1 through 6.2)
1) Minimum sample: First two cases from each subpopulation
6.1 200-8 S
Required Required Lower Required
6.2a 200-10 M ≥1
Required Required Lower Required
a
States can list each claimant involved in multiclaimant appeals or just provide the number of claimants based on how the files are stored in the system.
Table A.6.2
Relationship between ETA AR5130B Report Cells and Subpopulations in Population 6
SECTION B: Claimants Involved in State UI Appeals Cases by Status of Appeals
Single-Claimant Appeals Multi-Claimant Appeals
Lower Authority Lower Authority
Line No. Status of Appeals (8) (10)
200 Filed During Month 1 2
UI DV HANDBOOK, BENEFITS A.45 NOVEMBER 2009
DATA ELEMENT VALIDATION APPENDIX A
Table A.7.1
Population 7 Subpopulations
Claimants involved in State UI Appeals Filed – Higher
2 3 4 5 6 7
(Step 1F) (Step 1F) (Step 24B) (Step 25A) (Step 25B) (Step 32)
(Rule 1) (Rule 2) (Rule 1) (Rules 3 – 6)
(Step 25B)
(Rule 1)
ETA ar5130B Docket Type of Appeal
Subpop Line and Number (Single or Number of
# Column SSN Unique ID Appeal Level Multiclaimant) Claimants Filed Date
HIGHER AUTHORITY APPEALS FILED (7.1 through 7.2)
1) Minimum sample: First two cases from each subpopulation
7.1 200-9 S
Required Required Higher Required
a
7.2 200-11 M ≥1
Required Required Higher Required
a
States can list each claimant involved in multiclaimant appeals or just provide the number of claimants based on how the files are stored in the system.
Table A.7.2
Relationship between ETA AR5130B Report Cells and Subpopulations in Population 7
SECTION B: Claimants Involved in State UI Appeals Cases by Status of Appeals
Single-Claimant Appeals Multi-Claimant Appeals
Higher Authority Higher Authority
Line No. Status of Appeals (9) (11)
200 Filed During Month 1 2
UI DV HANDBOOK, BENEFITS A.46 NOVEMBER 2009
DATA ELEMENT VALIDATION APPENDIX A
Population 6 and 7 Notes
1. Appeal Filed Date: If a state experiences delays in mailed appeals, it can use the received
date rather than the postmark date to ensure that all appeals are counted. The received date
can be used because there is no time lapse for these populations. This would help in those
situations where appeals are received after the ETA 5130 report has been run for the
previous month. For example, an appeal with a postmark of 3/31/02 that is received on
4/10/02, in a state where the ETA 5130 was run on 4/7/02, would be reported as having
been filed in April rather than in March.
2. Subpopulations 6.2 and 7.2, Number of Claimants Involved in Multi-Claimant Appeal:
States will either store an individual record for each claimant involved in the appeal or one
record with the number of claimants. The software will count the number of records or add
the number of claimants in Column 6 to derive the number of claimants involved in multi-
claimant appeals filed.
UI DV HANDBOOK, BENEFITS A.47 NOVEMBER 2009
DATA ELEMENT VALIDATION APPENDIX A
Table A.8.1
Population 8 Subpopulations
Lower Authority Appeals Decisions
Decision Date Falls within Reporting/Validation Period
Sort in Ascending Order by Time Lapsed Days
2 3 4 5 6 7 8 9 10 11 12 13 14 15
(Step 1E) (Step 1E) (Step 2) (Step 4) (Step 5) (Step (Step 25A) (Step 25B) (Step 26) (Step 27A) (Step 32) (Step 28) (Step 30A) (Step 31)
(Rule 1) (Rule 2) 24A) (Step 25B) (Step 27B) (Step 30B)
(Rule 1) Number
Type of of
Docket Type Appeal Claimants in Disposed
Report, Line, Number of UI Program Intrastate/ (Single or Multiclaimant In Favor of Decision of by Issue
Subpop and Column SSN Unique ID Program Type Interstate Appeal Multiclaimant) Appeal Appellant Appellant Filed Date Date Decision Code
Level
SINGLE CLAIMANT LOWER AUTHORITY APPEALS DECISIONS (8.1 through 8.44)
1) Random sample: 60 or 200 (includes review of folders); 2) Supplemental sample--missing strata (8.33 through 8.40 only); 3) Supplemental sample--outliers
ar5130: A-100-1;
B 210-8
ar5130C: 300-14; Regular UI
Must be blank
8.1 310-14 Required Required or UI Intrastate Lower S Claimant Y Required Required VL
or 0
ar5130D-400-21 Workshare
9054A-C2
ar5130: A 100-1;
B 210-8
` ar5130C: 300-16; Regular UI
Must be blank
8.2 310-16 Required Required or UI Intrastate Lower S Employer Y Required Required VL
or 0
ar5130D-400-21 Workshare
9054A-C2
ar5130: A 100-1;
B 210-8
Regular UI
ar5130: C 300-14; Must be blank
8.3 Required Required or UI Intrastate Lower S Claimant N Required Required VL
D 400-21 or 0
Workshare
9054A-C2
ar5130: A 100-1;
B 210-8
Regular UI
ar5130: C 300-16; Must be blank
8.4 Required Required or UI Intrastate Lower S Employer N Required Required VL
D 400-21 or 0
Workshare
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130C: 300-14; Regular UI
Must be blank
8.5 310-14 Required Required or UI Interstate Lower S Claimant Y Required Required VL
or 0
ar5130D-400-21 Workshare
9054A-C3
UI DV HANDBOOK, BENEFITS A.48 NOVEMBER 2009
DATA ELEMENT VALIDATION APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13 14 15
(Step 1E) (Step 1E) (Step 2) (Step 4) (Step 5) (Step (Step 25A) (Step 25B) (Step 26) (Step 27A) (Step 32) (Step 28) (Step 30A) (Step 31)
(Rule 1) (Rule 2) 24A) (Step 25B) (Step 27B) (Step 30B)
(Rule 1) Number
Type of of
Docket Type Appeal Claimants in Disposed
Report, Line, Number of UI Program Intrastate/ (Single or Multiclaimant In Favor of Decision of by Issue
Subpop and Column SSN Unique ID Program Type Interstate Appeal Multiclaimant) Appeal Appellant Appellant Filed Date Date Decision Code
Level
ar5130: A 100-1;
B 210-8
ar5130C: 300-16; Regular UI
Must be blank
8.6 310-16 Required Required or UI Interstate Lower S Employer Y Required Required VL
or 0
ar5130D-400-21 Workshare
9054A-C3
ar5130: A 100-1;
B 210-8
Regular UI
ar5130: C 300-14; Must be blank
8.7 Required Required or UI Interstate Lower S Claimant N Required Required VL
D 400-21 or 0
Workshare
9054A-C3
ar5130: A 100-1;
B 210-8
Regular UI
ar5130: C 300-16; Must be blank
8.8 Required Required or UI Interstate Lower S Employer N Required Required VL
D 400-21 or 0
Workshare
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130C: 300-14; Regular UI
Must be blank
8.9 310-14 Required Required or UI Intrastate Lower S Claimant Y Required Required MC
or 0
ar5130D-400-22 Workshare
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130C: 300-16; Regular UI
Must be blank
8.10 310-16 Required Required or UI Intrastate Lower S Employer Y Required Required MC
or 0
ar5130D-400-22 Workshare
9054A-C2
ar5130: A 100-1;
B 210-8
Regular UI
ar5130: C 300-14; Must be blank
8.11 Required Required or UI Intrastate Lower S Claimant N Required Required MC
D 400-22 or 0
Workshare
9054A-C2
ar5130: A 100-1;
B 210-8
Regular UI
ar5130: C 300-16; Must be blank
8.12 Required Required or UI Intrastate Lower S Employer N Required Required MC
D 400-22 or 0
Workshare
9054A-C2
UI DV HANDBOOK, BENEFITS A.49 NOVEMBER 2009
DATA ELEMENT VALIDATION APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13 14 15
(Step 1E) (Step 1E) (Step 2) (Step 4) (Step 5) (Step (Step 25A) (Step 25B) (Step 26) (Step 27A) (Step 32) (Step 28) (Step 30A) (Step 31)
(Rule 1) (Rule 2) 24A) (Step 25B) (Step 27B) (Step 30B)
(Rule 1) Number
Type of of
Docket Type Appeal Claimants in Disposed
Report, Line, Number of UI Program Intrastate/ (Single or Multiclaimant In Favor of Decision of by Issue
Subpop and Column SSN Unique ID Program Type Interstate Appeal Multiclaimant) Appeal Appellant Appellant Filed Date Date Decision Code
Level
ar5130: A 100-1;
B 210-8
ar5130C: 300-14; Regular UI
310-14 Required Required or Lower S Must be blank Y Required Required MC
8.13 UI Interstate Claimant
ar5130D-400-22 Workshare or 0
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130C: 300-16; Regular UI
8.14 Must be blank
310-16 Required Required or UI Interstate Lower S Employer Y Required Required MC
or 0
ar5130D-400-22 Workshare
9054A-C3
ar5130: A 100-1;
B 210-8
Regular UI
ar5130: C 300-14; Must be blank
8.15 Required Required or UI Interstate Lower S Claimant N Required Required MC
D 400-22 or 0
Workshare
9054A-C3
ar5130: A 100-1;
B 210-8
Regular UI
ar5130: C 300-16; Must be blank
8.16 Required Required or UI Interstate Lower S Employer N Required Required MC
D 400-22 or 0
Workshare
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130C: 300-14; Regular UI
Must be blank
8.17 310-14 Required Required or UI Intrastate Lower S Claimant Y Required Required Suit
or 0
ar5130D-400-23 Workshare
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130C: 300-16; Regular UI
Must be blank
8.18 310-16 Required Required or UI Intrastate Lower S Employer Y Required Required Suit
or 0
ar5130D-400-23 Workshare
9054A-C2
ar5130: A 100-1;
B 210-8
Regular UI
ar5130: C 300-14; Must be blank
8.19 Required Required or UI Intrastate Lower S Claimant N Required Required Suit
D 400-23 or 0
Workshare
9054A-C2
UI DV HANDBOOK, BENEFITS A.50 NOVEMBER 2009
DATA ELEMENT VALIDATION APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13 14 15
(Step 1E) (Step 1E) (Step 2) (Step 4) (Step 5) (Step (Step 25A) (Step 25B) (Step 26) (Step 27A) (Step 32) (Step 28) (Step 30A) (Step 31)
(Rule 1) (Rule 2) 24A) (Step 25B) (Step 27B) (Step 30B)
(Rule 1) Number
Type of of
Docket Type Appeal Claimants in Disposed
Report, Line, Number of UI Program Intrastate/ (Single or Multiclaimant In Favor of Decision of by Issue
Subpop and Column SSN Unique ID Program Type Interstate Appeal Multiclaimant) Appeal Appellant Appellant Filed Date Date Decision Code
Level
ar5130: A 100-1;
B 210-8
Regular UI
ar5130: C 300-16; Must be blank
8.20 Required Required or UI Intrastate Lower S Employer N Required Required Suit
D 400-23 or 0
Workshare
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130C: 300-14; Regular UI
Must be blank
8.21 310-14 Required Required or UI Interstate Lower S Claimant Y Required Required Suit
or 0
ar5130D-400-23 Workshare
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130C: 300-16; Regular UI
Must be blank
8.22 310-16 Required Required or UI Interstate Lower S Employer Y Required Required Suit
or 0
ar5130D-400-23 Workshare
9054A-C3
ar5130: A 100-1;
B 210-8
Regular UI
ar5130: C 300-14; Must be blank
8.23 Required Required or UI Interstate Lower S Claimant N Required Required Suit
D 400-23 or 0
Workshare
9054A-C3
ar5130: A 100-1;
B 210-8
Regular UI
ar5130: C 300-16; Must be blank
8.24 Required Required or UI Interstate Lower S Employer N Required Required Suit
D 400-23 or 0
Workshare
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130C: 300-14; Regular UI
Must be blank
8.25 310-14 Required Required or UI Intrastate Lower S Claimant Y Required Required A&A
or 0
ar5130D-400-24 Workshare
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130C: 300-16; Regular UI
Must be blank
8.26 310-16 Required Required or UI Intrastate Lower S Employer Y Required Required A&A
or 0
ar5130D-400-24 Workshare
9054A-C2
UI DV HANDBOOK, BENEFITS A.51 NOVEMBER 2009
DATA ELEMENT VALIDATION APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13 14 15
(Step 1E) (Step 1E) (Step 2) (Step 4) (Step 5) (Step (Step 25A) (Step 25B) (Step 26) (Step 27A) (Step 32) (Step 28) (Step 30A) (Step 31)
(Rule 1) (Rule 2) 24A) (Step 25B) (Step 27B) (Step 30B)
(Rule 1) Number
Type of of
Docket Type Appeal Claimants in Disposed
Report, Line, Number of UI Program Intrastate/ (Single or Multiclaimant In Favor of Decision of by Issue
Subpop and Column SSN Unique ID Program Type Interstate Appeal Multiclaimant) Appeal Appellant Appellant Filed Date Date Decision Code
Level
ar5130: A 100-1;
B 210-8
Regular UI
ar5130: C 300-14; Must be blank
8.27 Required Required or UI Intrastate Lower S Claimant N Required Required A&A
D 400-24 or 0
Workshare
9054A-C2
ar5130: A 100-1;
B 210-8
Regular UI
ar5130: C 300-16; Must be blank
8.28 Required Required or UI Intrastate Lower S Employer N Required Required A&A
D 400-24 or 0
Workshare
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130C: 300-14; Regular UI
Must be blank
8.29 310-14 Required Required or UI Interstate Lower S Claimant Y Required Required A&A
or 0
ar5130D-400-24 Workshare
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130C: 300-16; Regular UI
Must be blank
8.30 310-16 Required Required or UI Interstate Lower S Employer Y Required Required A&A
or 0
ar5130D-400-24 Workshare
9054A-C3
ar5130: A 100-1;
B 210-8
Regular UI
ar5130: C 300-14; Must be blank
8.31 Required Required or UI Interstate Lower S Claimant N Required Required A&A
D 400-24 or 0
Workshare
9054A-C3
ar5130: A 100-1;
B 210-8
Regular UI
ar5130: C 300-16; Must be blank
8.32 Required Required or UI Interstate Lower S Employer N Required Required A&A
D 400-24 or 0
Workshare
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130C: 300-14; Regular UI
Must be blank
8.33 310-14 Required Required or UI Intrastate Lower S Claimant Y Required Required Other
or 0
ar5130D-400-26 Workshare
9054A-C2
UI DV HANDBOOK, BENEFITS A.52 NOVEMBER 2009
DATA ELEMENT VALIDATION APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13 14 15
(Step 1E) (Step 1E) (Step 2) (Step 4) (Step 5) (Step (Step 25A) (Step 25B) (Step 26) (Step 27A) (Step 32) (Step 28) (Step 30A) (Step 31)
(Rule 1) (Rule 2) 24A) (Step 25B) (Step 27B) (Step 30B)
(Rule 1) Number
Type of of
Docket Type Appeal Claimants in Disposed
Report, Line, Number of UI Program Intrastate/ (Single or Multiclaimant In Favor of Decision of by Issue
Subpop and Column SSN Unique ID Program Type Interstate Appeal Multiclaimant) Appeal Appellant Appellant Filed Date Date Decision Code
Level
ar5130: A 100-1;
B 210-8
ar5130C: 300-16; Regular UI
Must be blank
8.34 310-16 Required Required or UI Intrastate Lower S Employer Y Required Required Other
or 0
ar5130D-400-26 Workshare
9054A-C2
ar5130: A 100-1;
B 210-8
Regular UI
ar5130: C 300-14; Must be blank
8.35 Required Required or UI Intrastate Lower S Claimant N Required Required Other
D 400-26 or 0
Workshare
9054A-C2
ar5130: A 100-1;
B 210-8
Regular UI
ar5130: C 300-16; Must be blank
8.36 Required Required or UI Intrastate Lower S Employer N Required Required Other
D 400-26 or 0
Workshare
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130C: 300-14; Regular UI
Must be blank
8.37 310-14 Required Required or UI Interstate Lower S Claimant Y Required Required Other
or 0
ar5130D-400-26 Workshare
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130C: 300-16; Regular UI
Must be blank
8.38 310-16 Required Required or UI Interstate Lower S Employer Y Required Required Other
or 0
ar5130D-400-26 Workshare
9054A-C3
ar5130: A 100-1;
B 210-8
Regular UI
ar5130: C 300-14; Must be blank
8.39 Required Required or UI Interstate Lower S Claimant N Required Required Other
D 400-26 or 0
Workshare
9054A-C3
ar5130: A 100-1;
B 210-8
Regular UI
ar5130: C 300-16; Must be blank
8.40 Required Required or UI Interstate Lower S Employer N Required Required Other
D 400-26 or 0
Workshare
9054A-C3
ar5130A-100-3 Regular UI
Must be blank
8.41a 9054A-C2 Required Required or UCFE Intrastate Lower S Required Required
or 0
Workshare
UI DV HANDBOOK, BENEFITS A.53 NOVEMBER 2009
DATA ELEMENT VALIDATION APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13 14 15
(Step 1E) (Step 1E) (Step 2) (Step 4) (Step 5) (Step (Step 25A) (Step 25B) (Step 26) (Step 27A) (Step 32) (Step 28) (Step 30A) (Step 31)
(Rule 1) (Rule 2) 24A) (Step 25B) (Step 27B) (Step 30B)
(Rule 1) Number
Type of of
Docket Type Appeal Claimants in Disposed
Report, Line, Number of UI Program Intrastate/ (Single or Multiclaimant In Favor of Decision of by Issue
Subpop and Column SSN Unique ID Program Type Interstate Appeal Multiclaimant) Appeal Appellant Appellant Filed Date Date Decision Code
Level
ar5130A-100-3 Regular UI
Must be blank
8.42a 9054A-C3 Required Required or UCFE Interstate Lower S Required Required
or 0
Workshare
ar5130A-100-5 Regular UI
Must be blank
8.43a 9054A-C2 Required Required or UCX Intrastate Lower S Required Required
or 0
Workshare
ar5130A-100-5 Regular UI
Must be blank
8.44a 9054A-C3 Required Required or UCX Interstate Lower S Required Required
or 0
Workshare
MULTI-CLAIMANT LOWER AUTHORITY APPEALS DECISIONS (8.45 through 8.55)
1) Minimum sample: First two cases from each subpopulation (includes review of folders)
ar5130: A 100-1;
B 210-10
ar5130C: 300-14; Regular UI
M-1 or Labor
8.45 310-14 Required Required or UI Intrastate Lower ≥1 Claimant Y Required Required
M-Lead Disp
ar5130D-400-25 Workshare
9054A-C2
ar5130: A 100-1;
B 210-10
ar5130C: 300-16; Regular UI
M-1 or Labor
8.46 310-16 Required Required or UI Intrastate Lower ≥1 Employer Y Required Required
M-Lead Disp
ar5130D-400-25 Workshare
9054A-C2
ar5130: A 100-1;
B 210-10
Regular UI
ar5130: C 300-14; M-1 or Labor
8.47 Required Required or UI Intrastate Lower ≥1 Claimant N Required Required
D 400-25 M-Lead Disp
Workshare
9054A-C2
ar5130: A 100-1;
B 210-10
Regular UI
ar5130: C 300-16; M-1 or Labor
8.48 Required Required or UI Intrastate Lower ≥1 Employer N Required Required
D 400-25 M-Lead Disp
Workshare
9054A-C2
UI DV HANDBOOK, BENEFITS A.54 NOVEMBER 2009
DATA ELEMENT VALIDATION APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13 14 15
(Step 1E) (Step 1E) (Step 2) (Step 4) (Step 5) (Step (Step 25A) (Step 25B) (Step 26) (Step 27A) (Step 32) (Step 28) (Step 30A) (Step 31)
(Rule 1) (Rule 2) 24A) (Step 25B) (Step 27B) (Step 30B)
(Rule 1) Number
Type of of
Docket Type Appeal Claimants in Disposed
Report, Line, Number of UI Program Intrastate/ (Single or Multiclaimant In Favor of Decision of by Issue
Subpop and Column SSN Unique ID Program Type Interstate Appeal Multiclaimant) Appeal Appellant Appellant Filed Date Date Decision Code
Level
ar5130: A 100-1;
B 210-10
ar5130C: 300-14; Regular UI
M-1 or
8.49 310-14 Required Required or UI Intrastate Lower ≥1 Claimant Y Required Required Other
M-Lead
ar5130D-400-26 Workshare
9054A-C2
ar5130: A 100-1;
B 210-10
ar5130C: 300-16; Regular UI
M-1 or
8.50 310-16 Required Required or UI Intrastate Lower ≥1 Employer Y Required Required Other
M-Lead
ar5130D-400-26 Workshare
9054A-C2
ar5130: A 100-1;
B 210-10
Regular UI
ar5130: C 300-14; M-1 or
8.51 Required Required or UI Intrastate Lower ≥1 Claimant N Required Required Other
D 400-26 M-Lead
Workshare
9054A-C2
ar5130: A 100-1;
B 210-10
Regular UI
ar5130: C 300-16; M-1 or
8.52 Required Required or UI Intrastate Lower ≥1 Employer N Required Required Other
D 400-26 M-Lead
Workshare
9054A-C2
VL or
MC or
Regular UI Suit or
ar5130B-210-10 Lower
8.53 Required Required or UI Intrastate M-Nonlead 1 Required Required A & A or
Workshare Other or
Labor
Disp
ar5130A: 100-1 VL or
ar5130B: 210-8; MC or
210-10 Regular UI S or Suit or
≥ 1 or blank
8.54 ar5130C: 300-18; Required Required or UI Intrastate Lower M-1 or Other Y Required Required A & A or
or 0
310-18 Workshare M-Lead Other or
9054A-C2 Labor
Disp
UI DV HANDBOOK, BENEFITS A.55 NOVEMBER 2009
DATA ELEMENT VALIDATION APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13 14 15
(Step 1E) (Step 1E) (Step 2) (Step 4) (Step 5) (Step (Step 25A) (Step 25B) (Step 26) (Step 27A) (Step 32) (Step 28) (Step 30A) (Step 31)
(Rule 1) (Rule 2) 24A) (Step 25B) (Step 27B) (Step 30B)
(Rule 1) Number
Type of of
Docket Type Appeal Claimants in Disposed
Report, Line, Number of UI Program Intrastate/ (Single or Multiclaimant In Favor of Decision of by Issue
Subpop and Column SSN Unique ID Program Type Interstate Appeal Multiclaimant) Appeal Appellant Appellant Filed Date Date Decision Code
Level
VL or
ar5130A: 100-1
MC or
ar5130B: 210-8;
Regular UI S or Suit or
210-10 ≥ 1 or blank
8.55 Required Required or UI Intrastate Lower M-1 or Other N Required Required A & A or
ar5130C: 300-18 or 0
Workshare M-Lead Other or
9054A-C2
Labor
Disp
a
If a UCFE or UCX multiclaimant appeal is decided, report as a separate population and manually validate the 5130 report.
UI DV HANDBOOK, BENEFITS A.56 NOVEMBER 2009
DATA ELEMENT VALIDATION APPENDIX A
Table A.8.2
Relationship between ETA AR5130 Report Cells and Subpopulations in Population 8
SECTION A. Single Claimant and Multiclaimant Appeals Case Decisions and Other Dispositions
UI Decisions UCFE-No UI Decisions UCX Only Decisions
Lower Authority Lower Authority Lower Authority
Line No. (1) (3) (5)
1-40
45-52 41-42a 43-44a
100
54-55
SECTION B. Claimants Involved in State UI Appeals Cases by Status of Appeals
Single Claimant Appeals Multi-Claimant Appeals
Lower Authority Lower Authority
Line No. Status of Appeals (8) (10)
Disposed of During Month 1-40
210 45-53
by Decision 54-55b
SECTION C. State UI Appeals Decisions by Type of Appellant
Claimant Employer Other
UI Appeals Lower Authority Lower Authority Lower Authority
Line No. Decisions (14) (16) (18)
1, 3, 5, 7 2, 4, 6, 8
9, 11, 13, 15 10, 12, 14, 16
17, 19, 21, 23 18, 20, 22, 24
300 Total 54-55
25, 27, 29, 31 26, 28, 30, 32
33, 35, 37, 39 34, 36, 38, 40
45, 47, 49, 51 46, 48, 50, 52
1, 5. 9, 13 2, 6, 10, 14
310 In favor of Appellant 17, 21, 25, 29 18, 22, 26, 30 54
33, 37, 45, 49 34, 38, 46, 50
SECTION D. Number of Lower Authority State UI Appeals Decisions by Issue
Refusal of
Voluntary Suitable Not Able or Labor
Quit Misconduct Work Available Dispute Other
Line No. (21) (22) (23) (24) (25) (26)
33-40
400 1-8 9-16 17-24 25-32 45-48
49-52
a
Also includes multiclaimant UCFE and UCX decision subpopulations that are not listed.
b
Single claimant only
c
Multiclaimant only
UI DV HANDBOOK, BENEFITS A.57 NOVEMBER 2009
DATA ELEMENT VALIDATION APPENDIX A
Table A.8.2
Relationship between ETA 9054A Report Cells and Subpopulations in Population 8
Section A. Lower Authority Appeals Time Lapse from Date Filed to Decision Date
Days Intrastate Interstate
Total C2 C3
1-4 5-8
9-12 13-16
17-20 21-24
25-28 29-32
33-36 37-40
41, 43 42, 44
45-52
54-55
UI DV HANDBOOK, BENEFITS A.58 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.9.1
Population 9 Subpopulations
Higher Authority Appeals Decisions,
Decision Date Falls within Reporting/Validation Period
2 3 4 5 6 8 9 10 11 12 13 14
(Step 1F) (Step 1F) (Step 2) (Step 4) (Step 5) 7 (Step 25A) (Step 25B) (Step 26) (Step 27A) (Step 32) (Step 28) (Step
(Rule 1) (Rule 2) (Step (Step 25B) (Rules 3 (Step 27B) 30A)
24B) and 5) (Step
(Rule 1) 30B)
Type of Number of
Docket Type Appeal Claimants in In Favor
Number of UI Program Intrastate/ (Single or Multiclaimant of Filed Decision
Subpop Report, Line, SSN Unique Program Type Interstate Appeal Multiclaimant) Appeal Appellant Appellant Date Date Disposed
# and Column ID Level of by
Decision
SINGLE CLAIMANT HIGHER AUTHORITY APPEALS DECISIONS (9.1 through 9.12)
1) Random sample: 30 or 100 (includes review of folders); 2) Supplemental sample--outliers
ar5130: A 100-2
B 210-9 Regular UI
Must be blank
9.1 ar5130C: 300-15 Required Required or UI Intrastate Higher S Claimant Y Required Required
or 0
310-15 Workshare
9054B-C2
ar5130: A 100-2
B 210-9 Regular UI
Must be blank
9.2 ar5130C: 300-17 Required Required or UI Intrastate Higher S Employer Y Required Required
or 0
310-17 Workshare
9054B-C2
ar5130: A 100-2
Regular UI
B 210-9 Must be blank
9.3 Required Required or UI Intrastate Higher S Claimant N Required Required
ar5130C-300-15 or 0
Workshare
9054B-C2
ar5130: A 100-2
Regular UI
B 210-9 Must be blank
9.4 Required Required or UI Intrastate Higher S Employer N Required Required
ar5130C-300-17 or 0
Workshare
9054B-C2
ar5130: A 100-2
B 210-9 Regular UI
Must be blank
9.5 ar5130C: 300-15 Required Required or UI Interstate Higher S Claimant Y Required Required
or 0
310-15 Workshare
9054B-C3
UI DV HANDBOOK, BENEFITS A.59 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 8 9 10 11 12 13 14
(Step 1F) (Step 1F) (Step 2) (Step 4) (Step 5) 7 (Step 25A) (Step 25B) (Step 26) (Step 27A) (Step 32) (Step 28) (Step
(Rule 1) (Rule 2) (Step (Step 25B) (Rules 3 (Step 27B) 30A)
24B) and 5) (Step
(Rule 1) 30B)
Type of Number of
Docket Type Appeal Claimants in In Favor
Number of UI Program Intrastate/ (Single or Multiclaimant of Filed Decision
Subpop Report, Line, SSN Unique Program Type Interstate Appeal Multiclaimant) Appeal Appellant Appellant Date Date Disposed
# and Column ID Level of by
Decision
ar5130: A 100-2
B 210-9 Regular UI
Must be blank
9.6 ar5130C: 300-17 Required Required or UI Interstate Higher S Employer Y Required Required
or 0
310-17 Workshare
9054B-C3
ar5130: A 100-2
Regular UI
B 210-9 Must be blank
9.7 Required Required or UI Interstate Higher S Claimant N Required Required
ar5130C-300-15 or 0
Workshare
9054B-C3
ar5130: A 100-2
Regular UI
B 210-9 Must be blank
9.8 Required Required or UI Interstate Higher S Employer N Required Required
ar5130C-300-17 or 0
Workshare
9054B-C3
Regular UI
ar5130A-100-4 Must be blank
9.9a Required Required or UCFE Intrastate Higher S Required Required
9054B-C2 or 0
Workshare
Regular UI
ar5130A-100-4 Must be blank
9.10a Required Required or UCFE Interstate Higher S Required Required
9054B-C3 or 0
Workshare
Regular UI
ar5130A-100-6 Must be blank
9.11a Required Required or UCX Intrastate Higher S Required Required
9054B-C2 or 0
Workshare
Regular UI
ar5130A-100-6 Must be blank
9.12a Required Required or UCX Interstate Higher S Required Required
9054B-C3 or 0
Workshare
UI DV HANDBOOK, BENEFITS A.60 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 8 9 10 11 12 13 14
(Step 1F) (Step 1F) (Step 2) (Step 4) (Step 5) 7 (Step 25A) (Step 25B) (Step 26) (Step 27A) (Step 32) (Step 28) (Step
(Rule 1) (Rule 2) (Step (Step 25B) (Rules 3 (Step 27B) 30A)
24B) and 5) (Step
(Rule 1) 30B)
Type of Number of
Docket Type Appeal Claimants in In Favor
Number of UI Program Intrastate/ (Single or Multiclaimant of Filed Decision
Subpop Report, Line, SSN Unique Program Type Interstate Appeal Multiclaimant) Appeal Appellant Appellant Date Date Disposed
# and Column ID Level of by
Decision
MULTI-CLAIMANT HIGHER AUTHORITY APPEALS DECISIONS (9.13 through 9.23)
1) Minimum sample: First two cases from each subpopulation (includes review of folders)
ar5130: A 100-2
B 210-
Regular UI
11 M-1 or
9.13 Required Required or UI Intrastate Higher ≥1 Claimant Y Required Required
ar5130C: 300-15 M-Lead
Workshare
310-15
9054B-C2
ar5130: A 100-2
B 210-
Regular UI
11 M-1 or
9.14 Required Required or UI Intrastate Higher ≥1 Employer Y Required Required
ar5130C: 300-17 M-Lead
Workshare
310-17
9054B-C2
ar5130: A 100-2
B 210- Regular UI
M-1 or
9.15 11 Required Required or UI Intrastate Higher ≥1 Claimant N Required Required
M-Lead
ar5130C-300-15 Workshare
9054B-C2
ar5130: A 100-2
B 210- Regular UI
M-1 or
9.16 11 Required Required or UI Intrastate Higher ≥1 Employer N Required Required
M-Lead
ar5130C-300-17 Workshare
9054B-C2
ar5130: A 100-2
B 210-
Regular UI
11 M-1 or
9.17 Required Required or UI Interstate Higher ≥1 Claimant Y Required Required
ar5130C: 300-15 M-Lead
Workshare
310-15
9054B-C3
UI DV HANDBOOK, BENEFITS A.61 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 8 9 10 11 12 13 14
(Step 1F) (Step 1F) (Step 2) (Step 4) (Step 5) 7 (Step 25A) (Step 25B) (Step 26) (Step 27A) (Step 32) (Step 28) (Step
(Rule 1) (Rule 2) (Step (Step 25B) (Rules 3 (Step 27B) 30A)
24B) and 5) (Step
(Rule 1) 30B)
Type of Number of
Docket Type Appeal Claimants in In Favor
Number of UI Program Intrastate/ (Single or Multiclaimant of Filed Decision
Subpop Report, Line, SSN Unique Program Type Interstate Appeal Multiclaimant) Appeal Appellant Appellant Date Date Disposed
# and Column ID Level of by
Decision
ar5130: A 100-2
B 210-
Regular UI
11 M-1 or
9.18 Required Required or UI Interstate Higher ≥1 Employer Y Required Required
ar5130C: 300-17 M-Lead
Workshare
310-17
9054B-C3
ar5130: A 100-2
B 210- Regular UI
M-1 or
9.19 11 Required Required or UI Interstate Higher ≥1 Claimant N Required Required
M-Lead
ar5130C-300-15 Workshare
9054B-C3
ar5130: A 100-2
B 210- Regular UI
M-1 or
9.20 11 Required Required or UI Interstate Higher ≥1 Employer N Required Required
M-Lead
ar5130C-300-17 Workshare
9054B-C3
Regular UI
9.21 ar5130B-210-11 Required Required or UI Higher M-Nonlead 1 Required Required
Workshare
ar5130A: 100-2
ar5130B: 210-9 Regular UI
Must be
9.22 210-11 Required Required or UI Intrastate Higher S Other Y or N Required Required
blank or 0
ar5130C: 300-19 Workshare
9054B-C2
ar5130A: 100-2
ar5130B: 210-9 Regular UI
M-1 or
9.23 210-11 Required Required or UI Intrastate Higher ≥1 Other Y or N Required Required
M-Lead
ar5130C: 300-19 Workshare
9054B-C2
a
If a UCFE or UCX multiclaimant appeal is decided, report as a separate population.
UI DV HANDBOOK, BENEFITS A.62 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.9.2
Relationship between ETA AR5130 Report Cells and Subpopulations in Population 9
SECTION A. Single Claimant and Multiclaimant Appeals Case Decisions and Other Dispositions
UI Decisions UCFE-No UI Decisions UCX Only Decisions
Higher Authority Higher Authority Higher Authority
Line No. (2) (4) (6)
1-8
100 13-20 9-10a 11-12a
22-23
SECTION B. Claimants Involved in State UI Appeals Cases by Status of Appeals
Single Claimant Appeals Multi-Claimant Appeals
Higher Authority Higher Authority
Line No. Status of Appeals (9) (11)
1-8 13-21
210 Disposed of During Month
22b 23c
SECTION C. State UI Appeals Decisions by Type of Appellant
Claimant Employer Other
Higher Authority Higher Authority Higher Authority
Line No. UI Appeals Decisions (15) (17) (19)
1, 3 2, 4
5, 7 6, 8
300 Total 22-23
13, 15 14, 16
17, 19 18, 20
1, 5 2, 6
310 In favor of Appellant
13, 17 14, 18
a
Also includes multiclaimant UCFE and UCX decisions subpopulations that are not listed.
b
Single claimant only
c
Multiclaimant only
Table A.9.2
Relationship between ETA 9054B Report Cells and Subpopulations in Population 9
SECTION B. Higher Authority Appeals Time Lapse from Date Filed to Decision Date
Days Intrastate Interstate
Total C2 C3
1-4 5-8
9, 11 10, 12
13-16 17-20
22-23
UI DV HANDBOOK, BENEFITS A.63 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Population 8 and 9 Notes
1. Column 8 (Step 23B), Multiclaimant appeals:
States will either store an individual record for each appeal or one record with the number
of appellants. States that maintain a single record for multiclaimant appeals with a field for
the number of claimants involved should insert a text prefix of “M-1” (for multi-one record)
in the multi-claimant field.
States which maintain multiple records (one for each claimant) for a multi-claimant appeal
should insert a text prefix of “M-Lead” for one of the records. Both of these types of
records will be assigned to subpopulations 8.45 through 8.52 (lower authority) and 9.13
through 9.20 (higher authority). States which maintain multiple records should insert a text
prefix of “M-Nonlead” in the multiclaimant field for the non-lead claimants. These records
will be assigned to subpopulations 8.53 (lower authority) and 9.21 (higher authority).
2. Column 14 (Disposed of by Decision) is optional. States which have an indicator to
distinguish countable from uncountable decisions should insert the value of the countable
appeal indicator in this field to show that it is countable based on information in the appeals
file
3. . These populations include appeals for Short Time Compensation (STC) Program
(workshare) claims. These records should be labeled as “Workshare” for “Type of UI
Program.” See the software record layouts for more details.
UI DV HANDBOOK, BENEFITS A.64 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.10.1
Population 10 Subpopulations
Lower Authority Appeals Case Aging
Appeals Pending at the End of the Month Being Validated
Sort by Days Pending Within Each Category
2 3 4 5 6
(Step 1E) (Step 1E) (Step 24A) (Step 30B) (Step 32)
(Rule 1) (Rule 2) (Rule 1)
Docket Number Appeal
Subpopulation # ETA 9055 Column SSN Unique ID Appeal Level Pending Filed Date
LOWER AUTHORITY APPEALS CASE AGING (10.1 through 10.7)
1) Supplemental sample--outliers
Section 9055L –
Required*
10.1 Age ≤ 25 days Required Required Lower
Section 9055L –
10.2 Age 26-40 days Required Required LOWER Required*
Section 9055L –
10.3 Age 41-90 days Required Required LOWER Required*
Section 9055L –
10.4 Age 91-120 days Required Required Lower Required*
Section 9055L –
10.5 Age 121-180 days Required Required Lower Required*
Section 9055L –
10.6 Age 181-360 days Required Required Lower Required*
Section 9055L –
10.7 Age > 360 days Required Required Lower Required*
* Ages are calculated from this date to the last day of the report period being validated. The software groups the transactions into each subpopulation on the basis of the
date ranges given in “ETA 9055 Column.”
UI DV HANDBOOK, BENEFITS A.65 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.10.2
Relationship between ETA 9055 Report Cells and Subpopulations in Population 10
Age of Pending Lower Authority Single Claimant Appeals Cases
DAYS Total
Total 10.1-10.7
≤ 25 10.1
26-40 10.2
41-90 10.3
91-120 10.4
121-180 10.5
181-360 10.6
> 360 10.7
UI DV HANDBOOK, BENEFITS A.66 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.11.1
Population 11 Subpopulations
Higher Authority Appeals Case Aging
Appeals Pending at the End of the Month Being Validated
Sort by Days Pending Within Each Category
2 3 4 5 6
(Step 1F) (Step 1F) (Step 24B) (Step 30B) (Step 32)
(Rule 1) (Rule 2)
ETA 9055 Column Docket Number Appeal
SSN Unique ID Appeal Level Pending Filed Date
Subpopulation #
HIGHER AUTHORITY APPEALS CASE AGING (11.1 through 11.6)
1) Supplemental sample--outliers
Section 9055H – Required*
11.1 Required Required Higher
Age ≤ 40 days
Section 9055H – Required*
11.2 Required Required Higher
Age 41-70 days
Section 9055H – Required*
11.3 Required Required Higher
Age 71-120 days
Section 9055H – Required*
11.4 Required Required Higher
Age 121-180 days
Section 9055H – Required*
11.5 Required Required Higher
Age 181-360 days
Section 9055H – Required*
11.6 Required Required Higher
Age > 360 days
* Ages are calculated from this date to the last day of the report period being validated. The software groups the transactions into each subpopulation on the basis
of the date ranges given in “ETA 9055 Column.”
UI DV HANDBOOK, BENEFITS A.67 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.11.2
Relationship between ETA 9055 Report Cells and Subpopulations in Population 11
Age of Pending Higher Authority Single Claimant Appeals Cases
Days Total
Total 11.1-11.6
≤ 40 11.1
41-70 11.2
71-120 11.3
121-180 11.4
181-360 11.5
> 360 11.6
Population 10 and 11 Notes
1. Capture the lower authority and higher authority appeals data at the end of the month.
2. Column 5 (Step 30B), Appeal Pending, is an optional field for both Populations 10 and 11.
UI DV HANDBOOK, BENEFITS A.68 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.12.1
Population 12 Subpopulations
Overpayments Established Sorted by Causes
2 3 4 5 6 7 8 9 10
(Step 1G) (Step 1G) (Step 4) (Step 33) (Step 34) (Step 35) (Step 36) (Step (Step 37B)
(Rule 1) (Rule 2) 37A)
Sub ETA 227A
pop Line and Program Type of Cause of Detection Date UI Federal
# Column SSN Unique ID Type Overpayment Overpayment Type Established Amount Amount
OVERPAYMENTS (12.1 through 12.16)
1) Random Sample: 60 or 200 (includes review of folders); 2) Supplemental sample--missing strata; 3) Supplemental sample--outliers by dollars
Required if > 0 if joint claim;
12.1 101 (2, 4, 5) Required State maintains UI Fraud Other Required Required >0 otherwise blank
a unique ID or 0
Required if > 0 if joint claim;
Multi Claimant
12.2 102 (2, 4, 5) Required State maintains UI Fraud Required Required >0 otherwise blank
Schemes*
a unique ID or 0
Required if > 0 if joint claim;
12.3 104 (2, 4, 5) Required State maintains UI Nonfraud Reversals Required Required >0 otherwise blank
a unique ID or 0
Required if > 0 if joint claim;
12.4 105 (2, 4, 5) Required State maintains UI Nonfraud SESA Errors* Required Required >0 otherwise blank
a unique ID or 0
Required if > 0 if joint claim;
Employer
12.5 106 (2, 4, 5) Required State maintains UI Nonfraud Required Required >0 otherwise blank
Errors*
a unique ID or 0
Required if > 0 if joint claim;
Claimant
12.6 107 (2, 4, 5) Required State maintains UI Nonfraud Required Required >0 otherwise blank
Errors*
a unique ID or 0
Required if > 0 if joint claim;
12.7 108 (2, 4, 5) Required State maintains UI Nonfraud Other Required Required >0 otherwise blank
a unique ID or 0
Required if > 0 if joint claim;
12.8 109 (4, 5) Required State maintains UI Penalty Required Required >0 otherwise blank
a unique ID or 0
UI DV HANDBOOK, BENEFITS A.69 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10
(Step 1G) (Step 1G) (Step 4) (Step 33) (Step 34) (Step 35) (Step 36) (Step (Step 37B)
(Rule 1) (Rule 2) 37A)
Sub ETA 227A
pop Line and Program Type of Cause of Detection Date UI Federal
# Column SSN Unique ID Type Overpayment Overpayment Type Established Amount Amount
Required if Must be
UCFE or
12.9 101 (3, 5) Required State maintains Fraud Other Required Required blank or >0
UCX
a unique ID 0
Required if Must be
12.1 UCFE or Multi Claimant
102 (3, 5) Required State maintains Fraud Required Required blank or >0
0 UCX Schemes*
a unique ID 0
Required if Must be
12.1 UCFE or
104 (3, 5) Required State maintains Nonfraud Reversals Required Required blank or >0
1 UCX
a unique ID 0
Required if Must be
12.1 UCFE or
105 (3, 5) Required State maintains Nonfraud SESA Errors* Required Required blank or >0
2 UCX
a unique ID 0
Required if Must be
12.1 UCFE or Employer
106 (3, 5) Required State maintains Nonfraud Required Required blank or >0
3 UCX Errors*
a unique ID 0
Required if Must be
12.1 UCFE or Claimant
107 (3, 5) Required State maintains Nonfraud Required Required blank or >0
4 UCX Errors*
a unique ID 0
Required if Must be
12.1 UCFE or
108 (3, 5) Required State maintains Nonfraud Other Required Required blank or >0
5 UCX
a unique ID 0
Required if Must be
12.1 UCFE or
109 (5) Required State maintains Penalty Required Required blank or >0
6 UCX
a unique ID 0
*These values are abbreviated in the record layout data format specifications (see Appendix I) but are shown here in their entirety for informational
purposes.
a
For Subpopulations 12.1 through 12.8, the federal amount is the federal share of a joint UI-Federal claim.
UI DV HANDBOOK, BENEFITS A.70 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.1.2
Relationship between ETA 227 Report Cells and Subpopulations in Population 12
A. PAGE 1 OF FORM
A. OVERPAYMENT ESTABLISHED − CAUSES
No. Number of Cases Dollar Amounts
Line
Cause Schemes UI UCFE/UCX UI UCFE/UCX
No.
(1) (2) (3) (4) (5)
Fraud − Total 101 1 9 1 1 and 9
Multi Claimant
102 2 10 2 2 and 10
Schemes
Nonfraud − Total 103
Reversals 104 3 11 3 3 and 11
SESA Errors 105 4 12 4 4 and 12
Employer Errors 106 5 13 5 5 and 13
Claimant Errors 107 6 14 6 6 and 14
Other 108 7 15 7 7 and 15
Penalty 109 8 8 and 16
Population 12 Notes
1. Subpopulations 12.1 – 12.8: Enter the federal amount in Column 10 for joint claims.
2. Do not include revisions to overpayment amounts made in subsequent quarters. For
example, if an overpayment was established in March and a revision to the amount was
made in April, these revisions are reported in Population 13 as additions and subtractions
but not reported in Population 12.
3. The “cause” of fraud overpayments must be either “multiclaimant schemes” or “other.”
The software will reject records for fraud overpayments where the cause is not
“multiclaimant schemes” or “other.” States that use multiple codes for types of fraud
should code these as “other.”
UI DV HANDBOOK, BENEFITS A.71 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.13.1
Population 13 Subpopulations
Overpayment Reconciliation Activities
Overpayment Reconciliation Transaction Occurred during
Reporting Quarter Being Validated
ETA 227 – Section C
2 3 4 5 6 7 8 9
(Step 1H) (Step 1H) (Step 4) (Step 33) (Step 38) (Step 39) (Step 40A) (Step 40B)
(Rule 1) (Rule 2)
Sub ETA 227C Type of Date of Federal
pop Line and SSN Program Type of Reconciliation Reconciliation UI Reconciliation
# Column Unique ID Type Overpayment Activity Activity Reconciliation Amounta
Amount
OVERPAYMENT RECONCILIATION TRANSACTIONS (13.1 through 13.34)
1) Random sample: 30 or 100 (includes review of folders); 2) Supplemental sample-missing strata; 3) Supplemental sample--outliers by dollars
Required if State > 0 if joint claim;
13.1 Required maintains a UI Fraud Cash Required >0 otherwise
303 (11, 12)
unique ID blank or 0
Required if State > 0 if joint claim;
13.2 Required maintains a UI Fraud Benefit Offset Required >0 otherwise
304 (11, 12)
unique ID blank or 0
Required if State > 0 if joint claim;
State Income
13.3 Required maintains a UI Fraud Required >0 otherwise
305 (11, 12) Tax Offset*
unique ID blank or 0
Required if State > 0 if joint claim;
13.4 Required maintains a UI Fraud By Other State Required >0 otherwise
306 (11, 12)
unique ID blank or 0
Required if State > 0 if joint claim;
13.5 Required maintains a UI Fraud Other Required >0 otherwise
307 (11, 12)
unique ID blank or 0
Required if State > 0 if joint claim;
13.6 Required maintains a UI Fraud Write-Off Required >0 otherwise
309 (11, 12)
unique ID blank or 0
Required if State > 0 if joint claim;
13.7 Required maintains a UI Fraud Addition Required >0 otherwise
310 (11, 12)
unique ID blank or 0
UI DV HANDBOOK, BENEFITS A.72 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9
(Step 1H) (Step 1H) (Step 4) (Step 33) (Step 38) (Step 39) (Step 40A) (Step 40B)
(Rule 1) (Rule 2)
Sub ETA 227C Type of Date of Federal
pop Line and SSN Program Type of Reconciliation Reconciliation UI Reconciliation
# Column Unique ID Type Overpayment Activity Activity Reconciliation Amounta
Amount
Required if State > 0 if joint claim;
13.8 Required maintains a UI Fraud Subtraction Required >0 otherwise
311 (11, 12)
unique ID blank or 0
Required if State
UCFE or Must be blank or
13.9 Required maintains a Fraud Cash Required >0
303 (12) UCX 0
unique ID
Required if State
UCFE or Must be blank or
13.10 Required maintains a Fraud Benefit Offset Required >0
304 (12) UCX 0
unique ID
Required if State
UCFE or State Income Must be blank or
13.11 Required maintains a Fraud Required >0
305 (12) UCX Tax Offset* 0
unique ID
Required if State
UCFE or Must be blank or
13.12 Required maintains a Fraud By Other State Required >0
306 (12) UCX 0
unique ID
Required if State
UCFE or Must be blank or
13.13 Required maintains a Fraud Other Required >0
307 (12) UCX 0
unique ID
Required if State
UCFE or Must be blank or
13.14 Required maintains a Fraud Write-Off Required >0
309 (12) UCX 0
unique ID
Required if State
UCFE or Must be blank or
13.15 Required maintains a Fraud Addition Required >0
310 (12) UCX 0
unique ID
Required if State
UCFE or Must be blank or
13.16 Required maintains a Fraud Subtraction Required >0
311 (12) UCX 0
unique ID
Required if State > 0 if joint claim;
13.17 Required maintains a UI Nonfraud Cash Required >0 otherwise
303 (13, 14)
unique ID blank or 0
UI DV HANDBOOK, BENEFITS A.73 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9
(Step 1H) (Step 1H) (Step 4) (Step 33) (Step 38) (Step 39) (Step 40A) (Step 40B)
(Rule 1) (Rule 2)
Sub ETA 227C Type of Date of Federal
pop Line and SSN Program Type of Reconciliation Reconciliation UI Reconciliation
# Column Unique ID Type Overpayment Activity Activity Reconciliation Amounta
Amount
Required if State > 0 if joint claim;
13.18 Required maintains a UI Nonfraud Benefit Offset Required >0 otherwise
304 (13, 14)
unique ID blank or 0
Required if State > 0 if joint claim;
State Income
13.19 Required maintains a UI Nonfraud Required >0 otherwise
305 (13, 14) Tax Offset*
unique ID blank or 0
Required if State > 0 if joint claim;
13.20 Required maintains a UI Nonfraud By Other State Required >0 otherwise
306 (13, 14)
unique ID blank or 0
Required if State > 0 if joint claim;
13.21 Required maintains a UI Nonfraud Other Required >0 otherwise
307 (13, 14)
unique ID blank or 0
Required if State > 0 if joint claim;
13.22 Required maintains a UI Nonfraud Waived Required >0 otherwise
308 (13, 14)
unique ID blank or 0
Required if State > 0 if joint claim;
13.23 Required maintains a UI Nonfraud Write-Off Required >0 otherwise
309 (13, 14)
unique ID blank or 0
Required if State > 0 if joint claim;
13.24 Required maintains a UI Nonfraud Addition Required >0 otherwise
310 (13, 14)
unique ID blank or 0
Required if State > 0 if joint claim;
13.25 Required maintains a UI Nonfraud Subtraction Required >0 otherwise
311 (13, 14)
unique ID blank or 0
Required if State
UCFE or Must be blank or
13.26 Required maintains a Nonfraud Cash Required >0
303 (14) UCX 0
unique ID
Required if State
UCFE or Must be blank or
13.27 Required maintains a Nonfraud Benefit Offset Required >0
304 (14) UCX 0
unique ID
UI DV HANDBOOK, BENEFITS A.74 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9
(Step 1H) (Step 1H) (Step 4) (Step 33) (Step 38) (Step 39) (Step 40A) (Step 40B)
(Rule 1) (Rule 2)
Sub ETA 227C Type of Date of Federal
pop Line and SSN Program Type of Reconciliation Reconciliation UI Reconciliation
# Column Unique ID Type Overpayment Activity Activity Reconciliation Amounta
Amount
Required if State
UCFE or State Income Must be blank or
13.28 Required maintains a Nonfraud Required >0
305 (14) UCX Tax Offset* 0
unique ID
Required if State
UCFE or Must be blank or
13.29 Required maintains a Nonfraud By Other State Required >0
306 (14) UCX 0
unique ID
Required if State
UCFE or Must be blank or
13.30 Required maintains a Nonfraud Other Required >0
307 (14) UCX 0
unique ID
Required if State
UCFE or Must be blank or
13.31 Required maintains a Nonfraud Waived Required >0
308 (14) UCX 0
unique ID
Required if State
UCFE or Must be blank or
13.32 Required maintains a Nonfraud Write-Off Required >0
309 (14) UCX 0
unique ID
Required if State
UCFE or Must be blank or
13.33 Required maintains a Nonfraud Addition Required >0
310 (14) UCX 0
unique ID
Required if State
UCFE or Must be blank or
13.34 Required maintains a Nonfraud Subtraction Required >0
311 (14) UCX 0
unique ID
*These values are abbreviated in the record layout data format specifications (see Appendix I) but are shown here in their entirety for informational
purposes.
a
For Subpopulations 13.9 through 13.16 and Subpopulations 13.26 through 13.34, the federal amount is the federal share of a joint UI-Federal claim.
UI DV HANDBOOK, BENEFITS A.75 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.13.2
Relationship between ETA 227 Report Cells and Subpopulations in Population 13
C. PAGE 2 OF FORM
C. RECOVERY/RECONCILIATION
Dollar Amount
Fraud Nonfraud
Line UI UCFE/UC UI UCFE/UC
Item
No. X X
Column 7 Column 8 Column 7 Column 8
(11) (12) (13) (14)
Recovered - Total 302
Cash 303 1 1 and 9 17 17 and 26
Benefit Offset 304 2 2 and 10 18 18 and 27
State Income Tax Offset 305 3 3 and 11 19 19 and 28
By Other States 306 4 4 and 12 20 20 and 29
Other 307 5 5 and 13 21 21 and 30
Waived 308 22 22 and 31
Written-Off 309 6 6 and 14 23 23 and 32
Additions 310 7 7 and 15 24 24 and 33
Subtractions 311 8 8 and 16 25 25 and 34
Population 13 Notes
1. Reconstructing this population requires a detailed transaction history file that associates
activities (Column 6) with particular overpayment types (Column 5).
2. Subpopulations 13.1 – 13.8 and 13.17 – 13.25: Enter the federal amount in Column 9 for
joint claims (field number 9 on the record layout).
3. Column 6 (Type of Reconciliation Activity). Additions include payments made on
previously removed balances. Otherwise, additions and subtractions reflect changes in the
balance resulting from administrative decisions such as appeal reversals.
4. The validation of Receivables Removed at the End of the Period occurs in
Population 14.
UI DV HANDBOOK, BENEFITS A.76 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.14.1
Population 14 Subpopulations
Age of Overpayments
2 3 4 5 6 7 8 9 10
(Step (Step 1G) (Step 36) (Step 4) (Step 41) (Step 44) (Step 33) (Step 42A) (Step 42B)
ETA 227C 1G) (Rule 2)
ETA 227E (Rule 1) Type of UI Federal
Sub Report, Line, Date Program Outstanding Active Overpayme Balance at Balance at
pop # and Column SSN Unique ID Established Type Overpayment Collection nt End of Qtr End of Qtr
E501 (18, 19) Required if State > 0 if joint claim;
14.1 Required Requireda UI >0
Age ≤ 90 days maintains a unique ID otherwise blank or 0
E502 (18, 19) Required if State > 0 if joint claim;
14.2 Required Requireda UI >0
Age 91-180 days maintains a unique ID otherwise blank or 0
E503 (18, 19) Required if State > 0 if joint claim;
14.3 Required Requireda UI >0
Age 181-270 days maintains a unique ID otherwise blank or 0
E504 (18, 19) Required if State > 0 if joint claim;
14.4 Required Requireda UI >0
Age 271-360 days maintains a unique ID otherwise blank or 0
E505 (18, 19) Required if State > 0 if joint claim;
14.5 Required Requireda UI >0
Age 361-450 days maintains a unique ID otherwise blank or 0
E506 (18, 19) Required if State > 0 if joint claim;
14.6 Required Requireda UI Y or N* >0
Age > 450 days maintains a unique ID otherwise blank or 0
E501 (19) Required if State UCFE or Must be
14.7 Requireda >0
Age ≤ 90 days Required maintains a unique ID UCX blank or 0
E502 (19) Required if State UCFE or Must be
14.8 Required Requireda >0
Age 91-180 days maintains a unique ID UCX blank or 0
E503 (19) Required if State UCFE or Must be
14.9 Required Requireda >0
Age 181-270 days maintains a unique ID UCX blank or 0
E504 (19) Required if State UCFE or Must be
14.10 Required Requireda >0
Age 271-360 days maintains a unique ID UCX blank or 0
E505 (19) Required if State UCFE or Must be
14.11 Requireda >0
Age 361-450 days Required maintains a unique ID UCX blank or 0
E506 (19) Required if State UCFE or Must be
14.12 Required Requireda Y or N* >0
Age > 450 days maintains a unique ID UCX blank or 0
Required if State > 0 if joint claim;
14.13 C312 (11, 12) Required Requiredb UI N or D* Fraud >0
maintains a unique ID otherwise blank or 0
Required if State > 0 if joint claim;
14.14 C312 (13, 14) Required Requiredb UI N or D* Nonfraud >0
maintains a unique ID otherwise blank or 0
Required if State UCFE or Must be
14.15 C312 (12) Required Requiredb N or D* Fraud >0
maintains a unique ID UCX blank or 0
Required if State UCFE or Must be
14.16 C312 (14) Required Requiredb N or D* Nonfraud >0
maintains a unique ID UCX blank or 0
UI DV HANDBOOK, BENEFITS A.77 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Column 4:
a
Ages are calculated from this date to the last day of the report period being validated. The software groups the transactions into each
subpopulation on the basis of the date ranges given in “ETA 227C ETA 227E Report, Line, and Column.”
b
These overpayments have been reported in line 506 (18,19) in at least 3 prior quarters.
Column 7:
Y* = Yes, overpayment in active collection throughout the report quarter. Overpayment records must be coded with N or Y as soon as they are
old enough to be reported in E-506 (18 or 19)—Age 451+ days.
N = No, overpayment not in active collection throughout the entire report quarter. Records of overpayments not in active collection must be
coded with N as soon as they are old enough to be reported in E-506 (18 or 19)--Age 451+ days--and will be removed after having been reported in
Section E for eight previous quarters.
D* = Dropped, overpayment not in active collection in or throughout the report quarter after being in active collection throughout the prior quarter
and reported in Section E at least nine previous quarters
UI DV HANDBOOK, BENEFITS A.78 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.14.1
Relationship between ETA 227 Report Cells and Subpopulations in Population 14
E. PAGE 3 OF FORM
SECTION E: AGING OF BENEFIT OVERPAYMENT ACCOUNTS
Dollar Amounts
UI UCFE/UCX
Accounts Receivable Line No.
(18) (19)
90 days or less 501 1 1 and 7
91 − 180 days 502 2 2 and 8
181 − 270 days 503 3 3 and 9
271 − 360 days 504 4 4 and 10
361 − 450 days 505 5 5 and 11
451 days or more 506 6 6 and 12
Total Accounts Receivable 507
Table A.14.2
Relationship between ETA 227 Report Cells and Subpopulations in Population 14
C. PAGE 2 OF FORM
C. RECOVERY/RECONCILIATION
Dollar Amount
Fraud Nonfraud
Line
Item
No. UI UCFE/UCX UI UCFE/UCX
Column 6 Column 7 Column 6 Column 7
(11) (12) (13) (14)
Receivables Removed at End of Period 312 13 13, 15 14 14, 16
UI DV HANDBOOK, BENEFITS A.79 NOVEMBER 2009
SUBPOPULATION SPECIFICATIONS APPENDIX A
Population 14 Notes
1. Population 14 has been designed to process a state’s entire outstanding overpayments file
and generate:
• Section E of the ETA 227 Report (Age of Outstanding Overpayments)
• Amounts removed on Section C of the ETA 227 Report (Overpayments
Reconciliation Activities – Row 312)
The validation of amounts removed in Section C uses the population 14 file and not the
population 13 file which validates Section C because removal is determined by examining
outstanding overpayments.
The software will ignore any overpayments that are included in the extract file that are too
old to be included in Section E and are not removed during the quarter.
Overpayments are not removed automatically when they have been included on the
previous eight 227 reports. If the overpayment is in Active Collection status in the ninth
quarter after it was established, it is not removed until the state indicates that it has dropped
the Active Collection status.
Therefore, states must label each outstanding overpayment that has been reported on eight
227 reports in Column 7 (Active Collection) as either:
• Yes – in active collection. These overpayments will not be removed and will be
included in section E (greater than 450 days).
• No – not in active collection. These overpayments will be removed (not included
in section E but included in Section C line 12) in the ninth quarter after the date
established. Any overpayment greater than nine quarters old with a no in Column
7 is not included in Sections C or E.
• Dropped – the overpayment has been reported for 9 or more quarters and was in
active collection in the prior quarter but has been dropped during the report
quarter from active collection status. These payments will be included in Section
C line 12 as removed during the quarter.
2. Overpayment in Active Collection: Overpayments for which a payment schedule is
established with the claimant or for which offsets are being collected.
3. Section C of the ETA 227 report requires the amounts removed to be identified as fraud or
non-fraud. Therefore, a value of fraud or non-fraud is required in Column 8 for
overpayments which had been reported for eight quarters and are not in active collection or
overpayments which had been reported for nine or more quarters and the state dropped
active collection during the quarter.
UI DV HANDBOOK, BENEFITS A.80 NOVEMBER 2009
APPENDIX B
Benefits
SAMPLE SPECIFICATIONS
SAMPLE SPECIFICATIONS APPENDIX B
A. Purpose
This appendix describes the sampling specifications used by the software to select samples of
transactions for data element validation.
B. TYPES OF SAMPLES
The validation software uses specific random and supplemental sampling techniques to ensure
that the validation methodology is efficient but thorough. The software selects four different
types of samples:
• Random
• Missing subpopulations
• Outliers
• Minimum
There are 17 random samples among all benefits populations. These samples pass with an error
rate of 5% or less. If a random sample fails to pass validation, the population must be
revalidated within a year.
Non-random samples are supplemental and are not used when calculating population pass/fail
scores, but states must complete them and save their results for three years in case of an Office
of Inspector General (OIG) audit.
C. Random Samples
Random samples are used to validate the most important transaction types, for which ETA
requires the most comprehensive validation. These transaction types are used for funding or for
important performance measures, such as initial claims, nonmonetary determinations, appeals,
and first payments.
The DV program uses a two-tier random sampling method. This approach is very efficient
because it allows states to review a relatively small number of cases while still ensuring that the
data meet UI validation standards.
Depending on the type of transactions to be validated, the software selects 100 or 200 cases at
random from a specific set of subpopulations. The validator initially reviews 30 cases for
samples of 100 records or 60 for samples of 200 records, referred to as the first tier of the
sample. After the validator finishes validating the first tier, the software indicates whether it is
necessary to continue to review the remaining cases. If there are no errors or a sufficiently large
number of errors in the first tier, it is not necessary to validate the remaining cases because the
error rate of the whole sample is conclusively below 5% or above 5%. It is only necessary to
validate the remaining cases when the error rate is not conclusively below or above 5%. The
UI DV HANDBOOK, BENEFITS B.1 NOVEMBER 2009
SAMPLE SPECIFICATIONS APPENDIX B
method the software uses to determine pass/fail scores follows. Specifications for each type of
random sample are found in Table B.1 on page B.7.
Procedures for reviewing 30/100 samples:
Step 1: Review the 30 cases in the first tier.
0 errors: the error rate is considered to be below 5%, and it is not necessary to
review the remaining cases in the sample. The sample passes validation.
5 or more errors: the error rate is considered to be above 5%, and it is not
necessary to review the remaining cases in the sample. The sample fails
validation.
1 - 4 errors: the error rate is inconclusive, and the remaining 70 cases in the
second tier of the sample must be reviewed (proceed to step 2)
Step 2: Review the remaining 70 cases in the second tier.
9 or fewer errors (out of 100): the error rate is considered to be below 5%, and
hence the sample passes the validation.
10 or more errors (out of 100): the error rate is considered to be above 5%, and
hence the sample fails the validation.
Procedures for reviewing 60/200 samples:
Step 1: Review the 60 cases in the first tier.
0 errors: the error rate is considered to be below 5%, and it is not necessary to
review the remaining cases in the sample. The sample passes validation.
7 or more errors: the error rate is considered to be above 5%, and it is not
necessary to review the remaining cases in the sample. The sample fails
validation.
1 - 6 errors: the error rate is inconclusive, and the remaining 140 cases in the
second tier of the sample must be reviewed (proceed to step 2).
Step 2: Review of the remaining 140 cases in the second tier:
15 or fewer errors (out of 200): the error rate is considered to be below 5%, and
hence the sample passes the validation
16 or more errors (out of 200): the error rate is considered to be above 5%, and
hence the sample fails the validation
UI DV HANDBOOK, BENEFITS B.2 NOVEMBER 2009
SAMPLE SPECIFICATIONS APPENDIX B
D. Missing Subpopulations Samples
Each missing subpopulations sample is related to a specific random sample. These are
supplemental samples that check one transaction from each subpopulation for which no
transactions were selected in the corresponding random sample. The purpose of these samples is
to make sure that all types of critical transactions are reviewed.
For example, when selecting a random sample of first payments, the sample might not include
any interstate first payments for claimants with both state UI and federal wages (subpopulation
4.12) because this type of payment might occur infrequently. For the corresponding minimum
sample, the software would then randomly select one transaction from subpopulation 4.12 and
from any other subpopulation not represented in the random sample.
E. Outliers Samples
Random and missing subpopulations samples ensure that critical transactions have been defined
correctly. However, these types of samples will not necessarily examine time lapse and dollar
amount extremes (the shortest and longest time lapses, and the lowest and highest dollar
amounts) where data or programming errors may occur. Review of data outliers is the most
efficient way of detecting calculation or logic errors because it examines the extremes in a
distribution of cases sorted by time lapse or dollar amount.
For example, to ensure that there are no calculation or date errors, the software draws the five
cases with the lowest time lapse in days and the five cases with the highest time lapse in days
for transactions subjected to time lapse measurement. The user then validates these cases to
determine whether there are some anomalies. The same method is applied for transactions that
report dollar amounts, such as overpayments established and overpayment reconciliation
activities. Specifications for each outliers sample are found in Table B.1.
F. Minimum Samples
Supplemental minimum samples are used for transactions which have low priority for validation
and for which no random sample is drawn by the software. For these types of transactions, it is
only necessary to ensure that the state reporting software uses the correct fields in the database
to process and report the transactions. For example, for new UCFE/UCX claims
(subpopulations 3.15-3.18), only a supplemental sample of two cases per subpopulation (or
eight cases in total) is reviewed and no random sample is drawn. Specifications for each
supplemental minimum sample are found in Table B.1.
G. SAMPLE SELECTION SPECIFICATIONS
Table B.1 summarizes the sampling specifications. It lists all samples drawn by the software
along with the subpopulations sampled, the sample size, the sample name, the sample type, and
the corresponding RV group. For example, Sample 100 is a random sample of 200 records
selected from subpopulations 1.1 through 1.3 (intrastate weeks claimed), related to Group 1.01
UI DV HANDBOOK, BENEFITS B.3 NOVEMBER 2009
SAMPLE SPECIFICATIONS APPENDIX B
of the RV.
The following is a description of each column in Table B.1:
Column 1: Sample number
Column 2: Type of Transaction (population)
Column 3: Sample ID corresponds to the sample numbers in the software
Column 4: Sample Name of sampled subset
Column 5: Type and size of sample (shows whether the sampled transactions come from a
random, minimum, missing subpopulation, or outlier sample and the required
sample size)
Column 6: Universe (subpopulations) subset from which each sample is derived
Column 7: Group Number for the corresponding RV Pass/Fail group
Column 8: Group Name for the corresponding RV Pass/Fail group
UI DV HANDBOOK, BENEFITS B.4 NOVEMBER 2009
SAMPLE SPECIFICATIONS APPENDIX B
Table B.1
Sample Specifications
Benefits
Population Data Element Validation Samples Pass/Fail Groups
(1) (2) (3) (4) (5) (6) (7) (8)
Type of Sample Universe Group
Pop Transaction ID Sample Name Type and Size (Subpops) Number Group Name
100 Intrastate Weeks Claimed Random 60/200 1.1-1.3 1.01 5159 Intrastate Weeks Claimed
110 Interstate Liable Weeks Claimed Random 30/100 1.4-1.6 1.02 5159 Interstate Liable Weeks Claimed
Interstate Weeks Claimed from 5159 Interstate Weeks Claimed Filed from
1 Weeks Claimed 120 Agent Minimum--6 1.7-1.9 1.03 Agent State
200 Final Payments Random 30/100 2.1-2.4 2.01 5159 Final Payments
2 Final Payments 2.02 218 Final Payments
5159 New Intrastate & Interstate Received as
300 New Intra & Inter Liable Claims Random 60/200 3.1-3.18 3.01 Liable
Missing Subpops ≤
301 New Intra & Inter Liable Claims 17 3.1-3.18 3.02 5159 Filed from Agent
305 Interstate Filed from Agent Minimum--6 3.19-3.21 3.03 5159 Taken as Agent
310 Interstate Taken as Agent Minimum--6 3.22-3.24 3.08 218 Total Determinations
315 Intra and Inter Transitional Claims Random 30/100 3.25-3.33 3.04 5159 Transitional
320 CWC Claims Random 30/100 3.34-3.39 3.06 586 New CWC
321 CWC Claims Missing Subpops ≤ 5 3.34-3.39 3.07 586 New CWC BY Established
325 Monetary Sent w/o New Claim Minimum--12 3.40-3.45 3.09 218 Total Benefit Year Established
3 Claims 330 Entering Self Employment Program Minimum--2 3.46 3.1 218 BY Established by Weeks
Additional
3a Claims 350 Intrastate Additional Claims Random 60/200 3A.1-3A.3 3A.1 5159 Additional Intrastate
360 Interstate Liable Additional Claims Minimum--6 3A.4-3A.6
UI DV HANDBOOK, BENEFITS B.5 NOVEMBER 2009
SAMPLE SPECIFICATIONS APPENDIX B
Benefits
Population Data Element Validation Samples Pass/Fail Groups
(1) (2) (3) (4) (5) (6) (7) (8)
Type of Sample Universe Group
Pop Transaction ID Sample Name Type and Size (Subpops) Number Group Name
400 First Payments Random 60/200 4.1-4.16 4.01 9050 First Payments
Missing Subpops ≤
405 First Payments 15 4.1-4.16 4.02 9050 Partial First Payments
4.1, 4.3, 4.5,
4.7, 4.9,
4.11, 4.13,
410 First Payments Outliers--10 4.15 4.03 9051 Continued Weeks Compensated
415 Continued Weeks Total Payments Outliers--10 4.17-4.24 4.05 586 Weeks Compensated
Continued Weeks Partial
420 Payments Random 30/100 4.25-4.32 4.04 9051 Continued Partial Weeks Compensated
425 Adjusted Payments Outliers--10 4.33-4.42 4.06 586 Prior Weeks Compensated
430 Self Employment Payments Minimum--2 4.43 4.07 586 Benefits Paid ($)
435 CWC First Payments Random 30/100 4.44-4.45 4.09 586 CWC First Payments
440 CWC Continued Payments Minimum--4 4.46-4.47 4.08 586 Prior Benefits Paid ($)
445 CWC Adjusted Payments Minimum--4 4.48-4.49 4.1 5159 UI Weeks Compensated
450 CWC Prior Weeks Compensated Minimum--4 4.50-4.51 4.11 5159 UCFE/UCX Weeks Compensated
4.12 5159 UI Amount Paid ($)
4 Payments 4.13 5159 UCFE/UCX Amount Paid ($)
9052 Single Claimant Non Monetary
5.09 Determinations
Nonmonetary Single Claimant Nonmon
5 Determinations 500 Determinations Random 30/100 5.1-5.60
Single Claimant Nonmon Missing Subpops ≤ 207 Total Single Claimant Dets and
501 Determinations 59 5.1-5.60 5.01 UCFE/UCX Redets
Single Claimant Nonmon
505 Determinations Outliers--10 5.1-5.60 5.03 207 Single Claimant Denials
5.04 and 207 and 9052 Multi-Claimant Non Monetary
510 UI Multi-Claimant Determinations Minimum--8 5.61-5.64 5.10 Determinations
520 Single Claimant Redeterminations Random 30/100 5.65-5.70 5.02 207 UI Single Claimant Redeterminations
5.05 207 Separation Determinations
5.06 207 Separation Denials
5.07 207 UI Non Separation Determinations
5.08 207 UI Non Separation Denials
UI DV HANDBOOK, BENEFITS B.6 NOVEMBER 2009
SAMPLE SPECIFICATIONS APPENDIX B
Benefits
Population Data Element Validation Samples Pass/Fail Groups
(1) (2) (3) (4) (5) (6) (7) (8)
Type of Sample Universe Group
Pop Transaction ID Sample Name Type and Size (Subpops) Number Group Name
Appeals Filed,
6 Lower Authority 600 Appeals Filed, Lower Authority Minimum--4 6.1-6.2 6.01 5130 Lower Authority Appeals
Appeals Filed,
7 Higher Authority 700 Appeals Filed, Higher Authority Minimum--4 7.1-7.2 7.01 5130 Higher Authority Appeals
8.01 5130 All Decisions
8.1-8.52;
800 Lower Authority Appeals Decisions Random 60/200 8.54-8.55 8.06 9054 All Appeals
Missing Subpops ≤ 8.33-8.52;
810 Lower Authority Appeals Decisions 21 8.54-8.55 8.02 5130 UI Disposed of During Month
8.1-8.52;
820 Lower Authority Appeals Decisions Outliers--10 8.54-8.55 8.03 5130 UI Decisions (by Type)
Appeals
8.04 5130 UI in Favor of Appellant
Decisions,
8 Lower Authority 8.05 5130 UI Decisions (by Issue)
9.01 5130 All Decisions
9.1-9.20;
900 Higher Authority Appeals Decisions Random 30/100 9.22-9.23 9.05 9054B All Appeals
Multi Claimant Appeals, Higher 9.13 – 9.20;
910 Authority Missing Subpops ≤ 9 9.22-9.23 9.02 5130 UI Disposed of During Month
9.13 – 9.20;
Appeals
920 Higher Authority Appeals Decisions Outliers--10 9.22-9.23 9.03 5130 UI Decisions (by Type)
Decisions,
9 Higher Authority 9.04 5130 UI in Favor of Appellant
Appeals Case
Aging, Lower Appeals Case Aging, Lower
10 Authority 1000 Authority Outliers--10 10.1-10.7 10.01 9055 Lower Authority Appeals Case Aging
Appeals Case
Aging, Higher Appeals Case Aging, Higher
11 Authority 1100 Authority Outliers--10 11.1-11.6 11.01 9055 Higher Authority Appeals Case Aging
12.1-12.7;
1200 Overpayment $ Established Random 60/200 12.9-12.15 12.04 227 Total Dollars Established ($)
Missing Subpops ≤ 12.1-12.7;
1210 Overpayment $ Established 13 12.9-12.15 12.01 227 Multi Schemes, # Cases
12.1-12.7;
1220 Overpayment $ Established Outliers--10 12.9-12.15 12.02 227 Fraud
12.03 227 Non-fraud
Overpayments
12 Established 12.05 227 Penalty ($)
UI DV HANDBOOK, BENEFITS B.7 NOVEMBER 2009
SAMPLE SPECIFICATIONS APPENDIX B
Benefits
Population Data Element Validation Samples Pass/Fail Groups
(1) (2) (3) (4) (5) (6) (7) (8)
Type of Sample Universe Group
Pop Transaction ID Sample Name Type and Size (Subpops) Number Group Name
Overpayment Reconciliation
1300 Activities Random 30/100 13.1-13.34 13.01 227 Recovered ($)
Overpayment Reconciliation Missing Subpops ≤
1310 Activities 33 13.1-13.34 13.02 227 Waived ($)
Overpayment Reconciliation
1320 Activities Outliers--10 13.1-13.34 13.03 227 Written-Off ($)
Overpayment
13.04 227 Addition ($)
Reconciliation
13 Activities 13.05 227 Subtraction ($)
1400 Aged Overpayments Random 30/100 14.1-14.12 14.01 227 UI Total Accounts Receivable ($)
227 Receivables Removed at End of Period
1410 Aged Overpayments Outliers--10 14.1-14.12 14.03 ($)
Aged Missing Subpops ≤ 227 UCFE/UCX Total Accounts Receivable
14 Overpayments 1420 Aged Overpayments 11 14.1-14.12 14.02 ($)
UI DV HANDBOOK, BENEFITS B.8 NOVEMBER 2009
SAMPLE SPECIFICATIONS APPENDIX B
H. Sample Sizes below the Guidelines
For some smaller states, the number of cases to be randomly sampled (100 or 200) may exceed
the universe for the selected time period being validated. In that case, the software will use the
following table (Table B.2) to determine the score of the sample.
Table B.2
Numbers of Errors and Conclusions for Samples under Supplemented Guidelines
Total Number of Error Rate is Less than Error Rate is at Least
Transactions Sampled 5% (Pass) if Number of 5% (Fail)if Number of
(Range) Errors is No More Than: Errors is at Least
3 to 7 1 2
8 to 16 2 3
17 to 28 3 4
29 to 40 4 5
41 to 53 5 6
54 to 67 6 7
68 to 81 7 8
82 to 95 8 9
96 to 110 9 10
111 to 125 10 11
126 to 140 11 12
141 to 155 12 13
156 to 171 13 14
172 to 187 14 15
188 to 200 15 16
UI DV HANDBOOK, BENEFITS B.9 NOVEMBER 2009
APPENDIX C
Benefits
INTERSTATE FILED FROM AGENT RECORDS
POPULATIONS 1 AND 3
INTERSTATE FILED FROM AGENT RECORDS APPENDIX C
A. Purpose
Agent States are informed about New Claims and Continued Claims filed directly from
claimants in their state against paying states through the Liable Agent Data Transfer (LADT)
system. The LADT records are transferred from liable states to agent states via the Interstate
Connection (ICON) system, and are the source from which Interstate Agent claim counts are
reported and validated. LADT individual records are the source for building the validation
records for Interstate Agent Weeks Claimed (subpopulations 1.7-1.9 of Population 1) and
Interstate Agent Initial Claims (subpopulations 3.19-3.21 of Population 3.) This appendix
provides instructions on how to build these records. If LADT individual records are not stored
on the state UI database, then Populations 1 and 3 constructed directly from the database will
contain no Interstate agent records and separate steps must be taken to construct and add them
to the extract files
B. Methodology
The two record layouts below provide guidance on how the LADT individual record data are
used to build Interstate Filed from Agent records. The records must be appended to records in
the extract files for Populations 1 and 3 before importing them into the validation software.
These records must be constructed as ASCII comma-delimited columns, as other records in the
extract file. Data must be in the order listed on the record layout.
Module 3 indicates the step where the state-specific values for each field are documented.
Where the LADT record does not contain the appropriate information, the record layout
indicates “Leave blank” in the LADT field number column. The Data Type/Format indicates the
generic values for text fields. These must be followed by a dash and the state-specific value.
Refer to field number 62 (Record Type) in the LADT record to determine whether the record’s
data are to be used for Population 1 or 3. Population 1 uses data from Record Type = 2.
Population 3 extract records are built from LADT Records Type = 1 and 3.
UI DV HANDBOOK, BENEFITS C.1 NOVEMBER 2009
INTERSTATE FILED FROM AGENT RECORDS APPENDIX C
Table C.1
Record Layout for Creating Records for
Interstate Filed From Agent State Weeks Claimed
Population 1: Weeks Claimed
ETA 5159 reference: Row 201, column 11; Row 202, column 11; Row 203, column 11
Subpopulations: 1.7 – 1.9
Field 62 (Record Type) in LADT = 2 (Weeks Claimed)
LADT Field
Num Field Name Module 3 Reference Field Description Data Type/Format
Number
1 OBS N/A State assigned sequential unique Number – 00000000
identifier for each record in the (Required)
extract file.
2 Claim Week-Ending Date Step 1A – Rule 2 52 The week-ending date of the Date - MM/DD/YYYY
week claimed. (Required)
3 SSN Step 1A – Rule 1 1 Social Security Number Number – 000000000
(Required)
4 Type of UI Program Regular UI: Field 28 = 0 Regular UI claim. Text – Regular UI (Required)
Step 2A – Rule 1
5 Program Type UI: Step 4A – Rule 1 27 UI, UCFE, or UCX Text – UI;
UCFE;
UCFE: Step 4B – Rule 1 UCX
(Required)
UCX: Step 4C – Rule 1
6 Intrastate/ Interstate Intrastate: Step 5A – Rules 1 and 2 Insert “Interstate Intrastate, Interstate received as Text – Intrastate;
Agent” liable state, or Interstate filed from Interstate liable; Interstate agent
Interstate Received as Liable agent state.
(Required)
State: Step 5B – Rules 1 and 2
Interstate Filed From Agent State:
Step 5D – Rules 1 and 2
7 Date Week Claimed Step 11 – Rule 1 63 The date the week was claimed. Date – MM/DD/YYYY (Required)
8 Monetarily Eligible or Step 11 – Rule 2 Leave Blank Claimant is monetarily eligible for Text - Eligible; Pending
Pending benefits when the week was (Optional)
claimed if: benefits have not been
exhausted or monetary eligibility
is pending, i.e., eligibility has not
been finally determined. .
UI DV HANDBOOK, BENEFITS C.2 NOVEMBER 2009
INTERSTATE FILED FROM AGENT RECORDS APPENDIX C
LADT Field
Num Field Name Module 3 Reference Field Description Data Type/Format
Number
9 Earnings Step 11 – Rule 3 Leave Blank Earnings for the week claimed Number – 00000.00
except for interstate filed from (Required except optional for
agent state claims. interstate filed from agent state
claims)
10 WBA Step 11 – Rule 3 33 Weekly benefit allowance. Number – 00000.00 (Required)
11 User N/A Leave Blank User defined field. Can be used Text
for any additional data element. (Optional)
Not mandatory.
UI DV HANDBOOK, BENEFITS C.3 NOVEMBER 2009
INTERSTATE FILED FROM AGENT RECORDS APPENDIX C
Table C.2
Record Layout for Creating Records for
Interstate Filed From Agent State Claims
Population 3: Claims
ETA 5159 reference: Row 101, column 4; Row 102, column 4; Row 103, column 4
Subpopulations: 3.19 – 3.21
Field 62 (Record Type) in LADT = 1 or 3 (TIC or Reopen/Transfer)
LADT Field
Num Field Name Module 3 Reference Field Description Data Type/Format
Number
1 OBS N/A State assigned sequential Number – 00000000 (Required)
unique identifier for each record
in the extract file.
2 SSN Step 1B – Rule 1 1 Social Security Number Number – 000000000 (Required)
3 Date Claim Step 3A – Rule 1 25 The date the claim was filed in Date – MM/DD/YYYY (Required)
Filed/IB-4 Step 3B – Rule 1 person, by mail or telephone, or
Sent Step 3C – Rule 1 by other means.
4 Type of UI Regular UI: Field 28 = 0 Regular UI claim. Text – Regular UI (Required)
Program Step 2A – Rule 1
5 Type of Claim New: Step 3A – Rule 2 30 or New claim, Text – New; Transitional;
59 = Transitional claim, Entering Self-Employment;
Transitional: Step 3C – Rule 2 1(Reopen) Entering self-employment,
Additional;
Additional claim,
Reopened;
Entering Self-Employment: Step 3D – Reopened claim,
CWC New;
Rule 2 New CWC claim,
Prior Qtr New CWC;
New CWC claim filed in a prior
Prior Qtr New Claim
Additional: Step 3B – Rule 2 quarter, or
(Required)
New claim filed in a prior
Reopened: Step 3B – Rule 7 quarter.
New CWC claim: Step 3A – Rule 6
New CWC claim filed in prior quarter:
Step 3A – Rule 7
New claim filed in prior quarter: Step
3A – Rule 5
UI DV HANDBOOK, BENEFITS C.4 NOVEMBER 2009
INTERSTATE FILED FROM AGENT RECORDS APPENDIX C
LADT Field
Num Field Name Module 3 Reference Field Description Data Type/Format
Number
6 Program UI: Step 4A – 27 UI, UCFE, or UCX. Text – UI;
Type UCFE;
Rule 1 UCX
(Required except optional for CWC and entering self-
UCFE: Step 4B – Rule 1 employment program claims)
UCX: Step 4C – Rule 1
7 Intrastate/ Intrastate: Step 5A – Rules 1 and 2 Insert Intrastate, Text – Intrastate;
Interstate “Interstate Interstate received as liable, Interstate liable;
Agent” Interstate taken as agent, Interstate taken;
Interstate Received as Liable State: Interstate agent;
Step 5B – Rules 1 and 2 Interstate filed from agent state,
CWC Intrastate;
Intrastate combined wage claim,
CWC Interstate;
or
Interstate Taken as Agent State: (Required except optional for transitional claims, new
Interstate combined wage claim.
Step 5C – Rules 1 and 2 claims filed during a prior quarter, and entering self-
employment program claims)
Interstate Filed From Agent State: Step
5D – Rules 1 and 2
Intrastate CWC: Step 5E – Rules 1 and
2
Interstate CWC: Step 5F – Rules 1
through 4
8 Date of Step 6A – Rules 1 and 2 Leave Date when the original Date – MM/DD/YYYY (Required except must be
Original Blank determination was made on blank for “No Monetary” claim and CWC claims with
Monetary Step 6B – Rule 1 whether the claimant has insufficient wages and optional for UCFE, UCX,
sufficient base-period wages interstate filed from agent state, interstate taken as
and/or employment to establish agent state, and entering self-employment program
a benefit year. claims)
9 Sufficient/ Sufficient Wages – New Benefit Year: Leave The status of the new UI or Text – Insufficient; Sufficient New BY; Sufficient No
Insufficient/ Step 6C – Rules 1 and 2 Blank CWC claim at the time the 218 BY; Sufficient New CWC BY
Combined report was run: Sufficient – new (Required except must be blank for “No Monetary”
Wages Sufficient Wages – No New Benefit base year established, claim and optional for UCFE, UCX, interstate filed
Year: Step 6C – Rule 3 Sufficient – no new base year from agent state, interstate taken as agent state, and
established, entering self-employment program claims)
Insufficient Wages: Step 6D – Rule 1 Insufficient,
a new CWC claim,
New CWC Wages: Step 6C – Rule 4 or not a new CWC claim.
No New CWC Wages: Step 6D – Rules
2 and 3
UI DV HANDBOOK, BENEFITS C.5 NOVEMBER 2009
INTERSTATE FILED FROM AGENT RECORDS APPENDIX C
LADT Field
Num Field Name Module 3 Reference Field Description Data Type/Format
Number
10 WBA Step 7 – Rules 1 and 2 33 Weekly benefit allowance is the Text – Maximum; Less than Maximum (Required
maximum or less than except must be blank for insufficient, sufficient but no
maximum. benefit year, and “No Monetary” claim, and optional
for UCFE, UCX, interstate filed from agent state,
interstate taken as agent state, CWC, and entering
self-employment program claims)
(States should include the WBA after the dash which
follows the generic federal value.)
11 MBA Steps 8A and 8B – Rule 1 Leave Maximum benefit allowance. Number – 00000.00 (Required except must be blank
Blank or 0 for insufficient, sufficient but no benefit year, and
“No Monetary” claim, and optional for UCFE, UCX,
interstate filed from agent state, interstate taken as
agent state, CWC, and entering self-employment
program claims)
12 Potential Step 8A – Rule 1 Leave The number of full weeks of Number – 00 (Required except must be blank or 0
Weeks of Blank benefits for which a claimant is for insufficient, sufficient but no benefit year, and “No
Duration determined to be eligible within Monetary” claim, and optional for UCFE, UCX,
a benefit year. interstate filed from agent state, interstate taken as
agent state, CWC, and entering self-employment
program claims)
13 Potential Step 8B – Rules 1 and 2 Leave The duration of the benefit year Text – Y;
Weeks Blank is or is not the maximum for the N
Maximum State. (Required except must be blank for insufficient,
Duration sufficient but no benefit year, and “No Monetary”
claim, and optional for UCFE, UCX, interstate filed
from agent state, interstate taken as agent state,
CWC, and entering self-employment program
claims)
14 User N/A Leave User defined filed. Can be used Text
Blank for any additional data element. (Optional)
Not mandatory.
UI DV HANDBOOK, BENEFITS C.6 NOVEMBER 2009
APPENDIX D
Benefits
COMBINED WAGE CLAIMS AND PAYMENTS
POPULATIONS 3 AND 4
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
A. Purpose
The ETA 5159 report includes information on claims filed and payments made. If those claims
and payments involve combining wages from more than one state--i.e., they are combined wage
claims (CWC)—they are also reported on the ETA 586 report of the paying state. The way
CWC are reported on the two reports, however, is completely different. For this reason, the
data validation program counts CWC claims and payments as separate transactions for which
separate records are built and extracted differently for Populations 3 and 4, even though they
represent a single claim or payment on the 5159. This guide indicates how the two sets of
records are built and gives examples of both kinds of records.
For Population 3, state programmers need to extract claim records in subpopulations 3.1 to 3.33;
3.40 to 3.46 using the reporting rules of ETA 5159, where the issue of wages from multiple
states is irrelevant. Then, the programmers in the CWC paying state need to extract CWC
records for subpopulations 3.34 to 3.39 using the logic presented in the scenarios on the
following pages where wages from more than one state are involved (including where wages
were requested and/or added to the claim). Once the claims are extracted, the programmers
must merge the records into a single file that can be loaded into the DV software.
The same approach is used for CWC payments in Population 4. The reporting of weeks
compensated on the ETA 5159 report and of payments’ time lapse on the ETA 9050 and ETA
9051 reports is not affected by how many states’ wages are used. The reporting rules for weeks
compensated on the ETA 586 report is explained in this guide and is very different from the
rules for the ETA 5159, ETA 9050, and ETA 9051 reports.
State programmers should extract payments for subpopulations 4.1 to 4.43 using the ETA 5159,
ETA 9050, and ETA 9051 reporting rules. Then, using the logic explained in the scenarios on
the following pages, create a separate extract file for CWC payments for subpopulations 4.44 to
4.51. These two files must then be merged to load into Population 4 in the DV software.
Obviously, it is not necessary to physically create two extracts each for Populations 3 and 4 and
then merge them. Programmers could combine the two sets of extract logic into a single extract
process for each of these populations.
B. Methodology
The following scenarios illustrate examples of different ways that combined wage claims and
their associated payments are reported and validated on the ETA 586. For the first five
scenarios, the first quarter of 2006 (January to March, 2006) was used. Activities that were
reported on prior ETA 586 reports are listed as N/A for that specific quarter. Reporting
activities on the ETA 5159 and ETA 218 reports are also listed. A sixth scenario illustrates the
UI DV HANDBOOK, BENEFITS D.1 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
effect of a regulation issued in November 2008 (effective January 2009) that changes the
definition of the CWC paying state.
Scenario 1 Wages were requested and combined for the initial claim within the same
quarter and before the issuance of the first payment.
Table D.1
Scenario 1
Reporting of
Reporting of
Transaction as
Step Date Action Subpopulation Transaction as
Regular
CWC Transaction
Transaction
1 02/02/2006 New UI intrastate 3.01 (Insufficient) or N/A 5159A-101-2
claim and request for 3.04 (Sufficient, less
wages from another than Maximum)
state
2 02/03/2006 IB-4 is sent 3.34 or 3.35 586-101-1 N/A
depending on the
outcome of the
monetary
New CWC
3 02/06/2006 Monetary 3.35 586-101-2 218A-100-1 (3-5)
determination of a New CWC Benefit 218B-101 (8-13)
$150 weekly benefit Year (BY) (after
allowance (WBA) redetermination for
was made based on CWC wages)
wages from two
states
4 02/10/2006 First Payment of 4.1 (UI 1st payment); 586-101-4, 5159B-301 (14-15);
$150 4.44 CWC first 586-101-5 ($) 5159B-302 (14-15);
payment 586B (8) – 1st 9050-All-C2
payment
5 02/17/2006 Payment of $150 4.17, UI continued 586-101-4, 5159B-301 (14-15);
payment 586-101-5 ($) 5159B-302 (14-15);
4.46 CWC continued 9051-All-C2
payment
6 02/24/2006 Payment of $150 4.17, UI continued 586-101-4, 5159B-301 (14-15);
payment 586-101-5 ($) 5159B-302 (14-15);
4.46 CWC continued 9051-All-C2
payment
7 03/03/2006 Payment of $150 4.17, UI continued 586-101-4, 5159B-301 (14-15);
payment 586-101-5 ($) 5159B-302 (14-15);
4.46 CWC continued 9051-All-C2
payment
1. A new UI intrastate claim is filed and determined monetarily insufficient or sufficient
for less than the maximum WBA on 02/02/2006 (if the original monetary were for the
Maximum MBA/WBA, wages could not be combined to yield a New CWC BY.) In
many state environments, the claimant may request that wages be combined as part of
filing an IC; in such cases, the initial claim process will include sending IB-4’s to the
states where the claimant worked, and a monetary determination will not be done until
the requested out-of-state wages are received.
UI DV HANDBOOK, BENEFITS D.2 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
2. An IB-4 request to combine wages is sent. This results in a new CWC that is reported
on the ETA 586 in cell 101-1.
3. A monetary redetermination is issued that combines wages from two states and sets a
WBA of $150. This results in a new CWC benefit year that is reported on the ETA586
report of the first quarter of 2006, in cell 101-2.
4. A payment of $150 is made. This is considered a CWC first payment and is reported on
the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. The payment
is also reported on the 9050 and on the 5159, and $ on the 5159.
5. A second payment of $150 is made. This is considered a CWC continued payment and
is reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5.
The payment is also reported on the 9051 and on the 5159, and $ on the 5159.
6. A third payment of $150 is made. This is considered a CWC continued payment and is
reported on the 586 in cell 101-4. The dollar amount is reported in cell 101-5. The
payment is also reported on the 9051 and on the 5159, and $ on the 5159.
7. A fourth payment of $150 is made. This is considered a CWC continued payment and is
reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. The
payment is also reported on the 9051 and on the 5159, and $ on the 5159.
The following tables illustrate the records that would be built for Populations 3 and 4. CWC
records are shaded.
UI DV HANDBOOK, BENEFITS D.3 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Table D.2
Scenario 1
How the Steps Would be Reflected in Population 3 Validation Records
Potential
Date Date Potential
Type UI Claim Program Intrastate/ Sufficient/ Weeks
Step Claim Original WBA MBA Weeks Subpop
Program Type Type Interstate Insufficient Max
Filed Monetary Duration
Duration
1 2/2/2006 Regular UI-1 NEW UI Intrastate-01 2/2/2009 Insufficient 0 0 3.01
Sufficient New Less than
1
2/2/2006 Regular UI-1 NEW UI Intrastate-01 2/2/2009 BY maximum 2600 26 Y 3.04
CWC CWC Sufficient New Maximum 3900 26 Y
2,3
2/3/2006 Regular UI NEW UI Intrastate 2/6/2006 CWC BY (Optional) (Optional) (Optional) (Optional) 3.35
Table D.3
Scenario 1
How the Steps Would be Reflected in Population 4 Validation Records
Intra/
Type UI Program Type of Partial UI UCFE UCX CWC SE Week End
Step Inter Earnings WBA Mail Date Subpop
Program Type Comp. /Total Amount Amount Amount Amount Amount Date
Claim
Regular Intrastate First
4 UI Only-U Total 0 150 0 0 0 150 0 2/1/2006 2/10/2006 4.44
UI-1 CWC-1 Payment
Regular First
4 UI Only-U Intrastate Total 0 150 150 0 0 0 0 2/1/2006 2/10/2006 4.1
UI-1 Payment
Regular Intrastate Continued
5 UI Only-U Total 0 150 0 0 0 150 0 2/8/2006 2/17/2006 4.46
UI-1 CWC-1 Payment
Regular Continued
5 UI Only-U Intrastate Total 0 150 150 0 0 0 0 2/8/2006 2/17/2006 4.17
UI-1 Payment
Regular Intrastate Continued
6 UI Only-U Total 0 150 0 0 0 150 0 2/15/2006 2/24/2006 4.46
UI-1 CWC-1 Payment
Regular Continued
6 UI Only-U Intrastate Total 0 150 150 0 0 0 0 2/15/2006 2/24/2006 4.17
UI-1 Payment
Regular Intrastate Continued
7 UI Only-U Total 0 150 0 0 0 150 0 2/22/2006 3/3/2006 4.46
UI-1 CWC-1 Payment
Regular Continued
7 UI Only-U Intrastate Total 0 150 150 0 0 0 0 2/22/2006 3/3/2006 4.17
UI-1 Payment
UI DV HANDBOOK, BENEFITS D.4 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
The tables below illustrate the total counts and dollar amounts that the state would report in
each applicable cell of the ETA 586 for the first quarter of 2006, if the preceding scenario
occurred.
Table D.4
Scenario 1
How Claims and Benefit Years Would be Reported in ETA 586
ETA 586A Persons
Establishing
New Claims Benefit Years
State UI Line No. (1) (2)
Intrastate 101 1 1
Interstate
Received 102 0 0
as Paying State
Table D.5
Scenario 1
How Payments Would be Reported in ETA 586
Weeks Benefits Prior Weeks Prior
Compensated Paid Compensated Benefits
Paid
State UI Line (4) (6)
No. (5) (7)
Intrastate 101 4 $600 0 $0
Interstate
Received
as 102 0 0 0 0
Paying
State
UI DV HANDBOOK, BENEFITS D.5 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Scenario 2 An IB-4 request is sent after two UI payments are made. Wages were combined
after the new UI claim was filed but within the same quarter; and the first
payment for the new CWC is the payment for the first compensable week after
wages were combined. In this scenario, the CWC first payment occurs before
an adjustment check is issued for the week compensated before combining the
wages.
Table D.6
Scenario 2
Reporting of
Reporting of
Transaction as
Step Date Action Subpopulation Transaction as
Regular
CWC Transaction
Transaction
1 01/02/2006 New UI intrastate 3.4 New Intrastate N/A 5159A-101-2
claim, and a claim; max duration,
sufficient monetary less than max WBA
determination for
less than the
maximum WBA is
made
2 01/13/2006 Payment of $100 4.1 (UI 1st payment); 586-101-4, 5159B-301 (14,15)
4.46 CWC cont’d 586-101-5 ($) 5159B-302 (14,15)
payment 9050-All-C2
3 01/20/2006 Payment of $100 4.17 (UI cont’d 586-101-4, 5159B-301 (14,15)
payment) 586-101-5 ($) 5159B-302 (14,15)
4.46 9051-All-C2
CWC continued
payment
4 01/24/2006 Request to combine 3.34 or 3.35 586-101-1 N/A
wages; IB-4 is sent depending on the
outcome of the
monetary
New CWC claim
5 01/25/2006 Monetary 3.35 586-101-2 218A-100 (1, 2);
redetermination is New CWC BY 218B-103 (14, 19)
made to increase after redetermination
WBA to $150 after and effect of
wages are combined combining wages)
6 02/03/2006 First CWC payment 4.17, UI cont’d 586-101-4, 5159B-301 (14,15)
of $150 payment 586-101-5 ($) 5159B-302 (14,15)
4.44, CWC first 586B (8) – 1st 9051-All-C2
payment payment
7 02/09/2006 Adjustment payment 4.33, Adjustment 586-101-5 ($ only) 5159B-302 (14,15)
of $100 (2 x $50) is 4.48, CWC
made for weeks adjustment
compensated before
wages combined
8 02/10/2006 Payment of $150 4.17, UI cont’d 586-101-4, 5159B-301 (14,15)
payment 586-101-5 ($) 5159B-302 (14,15)
4.46, CWC cont’d 9051-All-C2
payment
9 02/17/2006 Payment of $150 4.17, UI cont’d 586-101-4, 5159B-301 (14,15)
payment 586-101-5 ($) 5159B-302 (14,15)
4.46, CWC cont’d 9051-All-C2
payment
UI DV HANDBOOK, BENEFITS D.6 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Reporting of
Reporting of
Transaction as
Step Date Action Subpopulation Transaction as
Regular
CWC Transaction
Transaction
10 02/24/2006 Payment of $150 4.17, UI cont’d 586-101-4, 5159B-301 (14,15)
payment 586-101-5 ($) 5159B-302 (14,15)
4.46, CWC cont’d 9051-All-C2
payment
1. A new UI intrastate claim is filed and determined sufficient on 01/02/2006. The
monetary results in a Benefit Year for maximum duration but less than maximum WBA.
2. A payment of $100 is made on 01/13/2006. This payment is a regular first payment on
the 9050 report and included in the 5159, but it will be reported as a CWC continued
payment on the ETA 586 in cell 101-4, with the dollar amount reported in cell 101-5.
3. A second payment of $100 is made on 01/20/2006. This payment will be reported as a
CWC continued payment on the ETA 586 in cell 101-4. The dollar amount is reported in
cell 101-5.
4. An IB-4 request to combine wages is sent. This results in a new CWC claim that is
reported on the ETA 586 in cell 101-1.
5. A monetary redetermination is issued that combines wages and increases the WBA to
$150. This establishes the CWC benefit year that is reported on the ETA 586 in cell
101-2. This redetermination is assumed to result in a Benefit Year for maximum
duration and a higher, but still less than maximum, WBA.
6. A payment of $150 is made. This is considered a CWC first payment and is reported on
the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5.
7. A CWC adjustment payment of $100 is made. This is not reported as a week
compensated since the weeks have already been counted in steps 2 and 3. However, the
dollar amount is reported on the ETA 586 in cell 101-5.
8. A payment of $150 is made. This is considered a CWC continued payment that is
reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5.
9. A payment of $150 is made. This is considered a CWC continued payment that is
reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5.
10. A payment of $150 is made. This is considered a CWC continued payment that is
reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5.
The following tables illustrate the records that would be built for Populations 3 and 4. CWC
records are shaded.
UI DV HANDBOOK, BENEFITS D.7 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Table D.7
Scenario 2
How the Steps Would be Reflected in Population 3 Validation Records
Potential
Date Date Potential
Type UI Claim Program Intrastate/ Sufficient/ Weeks
Step Claim Original WBA MBA Weeks Subpop
Program Type Type Interstate Insufficient Max
Filed Monetary Duration
Duration
Sufficient New Less than
1, 5
1/2/2006 Regular UI-1 New UI Intrastate-01 2/2/2009 BY Maximum 2600 26 Y 3.4
4 CWC Sufficient New Maximum 3900 26 Y
2/3/2006 Regular UI New UI CWC Intrastate 2/6/2006 CWC BY (Optional) (Optional) (Optional) (Optional) 3.35
Table D.8
Scenario 2
How the Steps Would be Reflected in Population 4 Validation Records
Intra/
Type UI Program Type of Part/ UI UCFE UCX CWC SE Week End
Step Inter Earnings WBA Mail Date Subpop
Program Type Comp. Total Amount Amount Amount Amount Amount Date
Claim
Regular Intrastate First
2 UI Only-U Total 0 100 100 0 0 0 0 1/7/2006 1/13/2006 4.1
UI-1 CWC-1 Payment
Regular Continued
2 UI Only-U Intrastate Total 0 100 0 0 0 100 0 1/7/2006 1/13/2006 4.46
UI-1 Payment
Regular Intrastate Continued
3 UI Only-U Total 0 100 100 0 0 0 0 1/14/2006 1/20/2006 4.17
UI-1 CWC-1 Payment
Regular Continued
3 UI Only-U Intrastate Total 0 100 0 0 0 100 0 1/14/2006 1/20/2006 4.46
UI-1 Payment
Regular Intrastate Continued
6 UI Only-U Total 0 150 150 0 0 0 0 1/21/2006 2/3/2006 4.17
UI-1 CWC-1 Payment
Regular First
6 UI Only-U Intrastate Total 0 150 0 0 0 150 0 1/21/2006 2/3/2006 4.44
UI-1 Payment
Regular Intrastate
7 UI Only-U Adjustment Total 0 150 100 0 0 0 0 2/9/2006 4.33
UI-1 CWC-1
Regular
7 UI Only-U Intrastate Adjustment Total 0 150 0 0 0 100 0 2/9/2006 4.48
UI-1
UI DV HANDBOOK, BENEFITS D.8 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Intra/
Type UI Program Type of Part/ UI UCFE UCX CWC SE Week End
Step Inter Earnings WBA Mail Date Subpop
Program Type Comp. Total Amount Amount Amount Amount Amount Date
Claim
Regular Intrastate Continued
8 UI Only-U Total 0 150 150 0 0 0 0 1/28/2006 2/10/2006 4.17
UI-1 CWC-1 Payment
Regular Continued
8 UI Only-U Intrastate Total 0 150 0 0 0 150 0 1/28/2006 2/10/2006 4.46
UI-1 Payment
Regular Intrastate Continued
9 UI Only-U Total 0 150 150 0 0 0 0 2/4/2006 2/17/2006 4.17
UI-1 CWC-1 Payment
Regular Continued
9 UI Only-U Intrastate Total 0 150 0 0 0 150 0 2/4/2006 2/17/2006 4.46
UI-1 Payment
UI DV HANDBOOK, BENEFITS D.9 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
The tables below illustrate the total counts and dollar amounts that the state would report in
each applicable cell of the ETA 586 for the first quarter of 2006, if the preceding scenario
occurred.
Table D.9
Scenario 2
How Claims and Benefit Years Would be Reported in ETA 586
ETA 586A Persons
Establishing
New Claims Benefit Years
State UI Line No. (1) (2)
Intrastate 101 1 1
Interstate
Received 102 0 0
as Paying State
Table D.10
Scenario 2
How Payments Would be Reported in ETA 586
Weeks Benefits Prior Weeks Prior
Compensated Paid Compensated Benefits
Paid
State UI Line (4) (6)
No. (5) (7)
Intrastate 101 6 $900 0 $0
Interstate
Received as 102 0 0 0 0
Paying State
UI DV HANDBOOK, BENEFITS D.10 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Scenario 3 An IB-4 request is sent after two UI payments are made. Wages were combined
after the new UI claim was filed but within the same quarter. The first check
issued to the claimant after wages are combined is an adjustment payment for
the two weeks compensated prior to the combining of wages. The next check is
for the first week compensated after wages are combined. For purposes of
determining CWC first payment time lapse, Handbook 401 considers the
adjustment check as the first payment; however, data validation, which does not
validate CWC time lapse but only the count of first payments, considers the
payment for the first CWC week paid to be the CWC First Payment. This
difference in definitions should result in only an insignificant difference in the
count of first payments.
Table D.11
Scenario 3
Reporting of
Reporting of
Transaction as
Step Date Action Subpopulation Transaction as
Regular
CWC Transaction
Transaction
1 01/02/2006 New UI intrastate 3.4 New Intrastate N/A 5159A-101-2
claim, and a claim; max duration,
sufficient monetary less than max WBA
determination for
less than the
maximum WBA is
made
2 01/13/2006 Payment of $100 4.1 (UI 1st payment); 586-101-4, 5159B-301 (14,15)
4.46 CWC cont’d 586-101-5 ($) 5159B-302 (14,15)
payment 9050-All-C2
3 01/20/2006 Payment of $100 4.17 (UI cont’t 586-101-4, 5159B-301 (14,15)
payment) 586-101-5 ($) 5159B-302 (14,15)
4.46 CWC continued 9051-All-C2
payment
4 01/24/2006 Request to combine 3.34 or 3.35 586-101-1 N/A
wages; IB-4 is sent depending on the
outcome of the
monetary
New CWC claim
5 01/25/2006 Monetary 3.35 586-101-2 218A-100 (1, 2);
redetermination is New CWC BY 218B-103 (14, 19)
made to increase after redetermination
WBA to $150 after and effect of
wages are combined combining wages
6 02/02/2006 Adjustment payment 4.33, Adjustment 586A-101-5 ($) 5159B-302 (14, 15)
of $100 (2 x $50) is 4.48 CWC 586B (8)—1st
made for weeks Adjustment payment
compensated before
wages were
combined
7 02/03/2006 Payment of $150 4.17, UI Cont’d 586-101-4, 5159B-301 (14,15)
payment 586-101-5 ($) 5159B-302 (14,15)
4.44 CWC first 9051-All-C2
payment
UI DV HANDBOOK, BENEFITS D.11 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Reporting of
Reporting of
Transaction as
Step Date Action Subpopulation Transaction as
Regular
CWC Transaction
Transaction
8 02/10/2006 Payment of $150 4.17, UI cont’d 586-101-4, 5159B-301 (14,15)
payment 586-101-5 ($) 5159B-302 (14,15)
4.46, CWC cont’d 9051-All-C2
payment
9 02/17/2006 Payment of $150 4.17, UI cont’d 586-101-4, 5159B-301 (14,15)
payment 586-101-5 ($) 5159B-302 (14,15)
4.46, CWC cont’d 9051-All-C2
payment
1. A new UI intrastate claim is filed on 01/02/2006.
2. A payment of $100 is made on 01/13/2006. After a CWC BY is established, this payment
will be reported as a CWC continued payment on the ETA586 in cell 101-4. The dollar
amount is reported in cell 101-5.
3. A second payment of $100 is made on 01/20/02. After a CWC BY is established, this
payment will be reported as a CWC continued payment on the ETA 586 in cell 101-4. The
dollar amount is reported in cell 101-5.
4. An IB-4 request to combine wages is sent. This results in a new CWC claim and is reported
on the ETA 586 in cell 101-1.
5. A monetary redetermination is issued that combines wages and increases the WBA to $150.
This establishes the CWC benefit year that is reported on the ETA 586 in cell 101-2.
6. A CWC adjustment payment of $100 is made. This is not reported as a week compensated
since the weeks have already been counted in steps 2 and 3. However, the dollar amount is
reported on the ETA 586 in cell 101-5 and on the 5159 in cells 302 14,15. For determining
CWC 1st payment time lapse, however, Handbook 401 considers this the CWC First
Payment.
7. A payment of $150 is made. It is reported as a week compensated reported on the ETA 586
in cell 101-4, and the dollar amount is reported in cell 101-5. Data validation considers this
the CWC First Payment.
8. A payment of $150 is made. This is considered a CWC Continued Payment that is reported
on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5.
9. A payment of $150 is made. This is considered a CWC Continued Payment that is reported
on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5.
The following tables illustrate the records that would be built for Populations 3 and 4. CWC
records are shaded.
UI DV HANDBOOK, BENEFITS D.12 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Table D.12
Scenario 3
How the Steps Would be Reflected in Population 3 Validation Records
Potential
Date Date Potential
Type UI Claim Program Intrastate/ Sufficient/ Weeks
Step Claim Original WBA MBA Weeks Subpop
Program Type Type Interstate Insufficient Max
Filed Monetary Duration
Duration
Sufficient New Less than
1, 5
1/2/2006 Regular UI-1 NEW UI Intrastate-01 1/2/2009 BY Maximum 2600 26 Y 3.04
4 1/24/200 CWC CWC Sufficient New Maximum 3900 26 Y
6 Regular UI NEW UI Intrastate 1/25/2006 CWC BY (Optional) (Optional) (Optional) (Optional) 3.35
Table D.13
Scenario 3
How the Steps Would be Reflected in Population 4 Validation Records
Intra/
Type UI Program Type of Part/ UI UCFE UCX CWC SE Week End
Step Inter Earnings WBA Mail Date Subpop
Program Type Comp. Total Amount Amount Amount Amount Amount Date
Claim
Regular First
2 UI Only-U Intrastate Total 0 100 100 0 0 0 0 1/7/2006 1/13/2006 4.1
UI-1 Payment
Regular Intrastate Continued
2 UI Only-U Total 0 100 0 0 0 100 0 1/7/2006 1/13/2006 4.46
UI-1 CWC-1 Payment
Regular Continued
3 UI Only-U Intrastate Total 0 100 100 0 0 0 0 1/14/2006 1/20/2006 4.17
UI-1 Payment
Regular Intrastate Continued
3 UI Only-U Total 0 100 0 0 0 100 0 1/14/2006 1/20/2006 4.46
UI-1 CWC-1 Payment
Regular
7 UI Only-U Intrastate Adjustment Total 0 150 100 0 0 0 0 2/2/2006 4.33
UI-1
Regular Intrastate
7 UI Only-U Adjustment Total 0 150 0 0 0 100 0 2/2/2006 4.48
UI-1 CWC-1
Regular Continued
6 UI Only-U Intrastate Total 0 150 150 0 0 0 0 1/21/2006 2/3/2006 4.17
UI-1 Payment
UI DV HANDBOOK, BENEFITS D.13 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Intra/
Type UI Program Type of Part/ UI UCFE UCX CWC SE Week End
Step Inter Earnings WBA Mail Date Subpop
Program Type Comp. Total Amount Amount Amount Amount Amount Date
Claim
Regular Intrastate First
6 UI Only-U Total 0 150 0 0 0 150 0 1/21/2006 2/3/2006 4.44
UI-1 CWC-1 Payment
Regular Continued
8 UI Only-U Intrastate Total 0 150 150 0 0 0 0 1/28/2006 2/10/2006 4.17
UI-1 Payment
Regular Intrastate Continued
8 UI Only-U Total 0 150 0 0 0 150 0 1/28/2006 2/10/2006 4.46
UI-1 CWC-1 Payment
Regular Continued
9 UI Only-U Intrastate Total 0 150 150 0 0 0 0 2/4/2006 2/17/2006 4.17
UI-1 Payment
Regular Intrastate Continued
9 UI Only-U Total 0 150 0 0 0 150 0 2/4/2006 2/17/2006 4.46
UI-1 CWC-1 Payment
UI DV HANDBOOK, BENEFITS D.14 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
The tables below illustrate the total counts and dollar amounts that the state would report in each
applicable cell of the ETA 586 for the first quarter of 2006, if the preceding scenario occurred.
Table D.14
Scenario 3
How Claims and Benefit Years Would be Reported in ETA 586
ETA 586A Persons
Establishing
New Claims Benefit Years
State UI Line No. (1) (2)
Intrastate 101 1 1
Interstate
Received 102 0 0
as Paying State
Table D.15
Scenario 3
How Payments Would be Reported in ETA 586
Weeks Benefits Paid Prior Weeks Prior
Compensated Compensated Benefits
Paid
State UI Line (4) (5) (6)
No. (7)
Intrastate 101 5 $750 0 $0
Interstate
Received
as 102 0 0 0 0
Paying
State
UI DV HANDBOOK, BENEFITS D.15 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Scenario 4 Wages were requested and combined in the quarter after the UI claim was filed.
Four payments were made before wages were combined. Two of them
occurred in the quarter before wages were combined and are considered CWC
Prior Weeks Compensated. The next two occurred in the same quarter as the
CWC and are considered CWC continued weeks compensated. As in Scenario
3, the first check issued to the claimant after wages are combined is an
adjustment payment (in this scenario for the four weeks compensated before
wages were combined.) The next check is for the first week compensated after
wages are combined, which data validation considers the CWC first payment.
As pointed out in Scenario 3, for CWC 1st payment timeliness, Handbook 401
considers the adjustment payment as the first payment.
Table D.16
Scenario 4
Reporting of
Reporting of
Transaction as
Step Date Action Subpopulation Transaction as
Regular
CWC Transaction
Transaction
1 12/02/2005 New UI intrastate 3.4 New Intrastate N/A 5159A-101-2
claim, and a claim; max duration, 218A-100 (1, 2);
sufficient monetary less than max WBA 218B-103 (14, 19)
determination is
made for less than
the maximum WBA
2 12/09/2005 Payment of $100 4.1, UI first payment 586-101-6, 5159B-301 (14,15)
4.50, CWC prior 586-101-7 ($) 5159B-302 (14,15)
week compensated 9050-All-C2
3 12/16/2005 Payment of $100 4.17., UI cont’d 586-101-6 5159B-301 (14,15)
payment 586-101-7 ($) 5159B-302 (14,15)
4.50, CWC prior 9051-All-C2
week compensated.
4 01/06/2006 Payment of $100 4.17 (UI continued 586-101-4, 5159B-301 (14,15)
payment) 586-101-5 ($) 5159B-302 (14,15)
4.46 CWC continued 9051-All-C2
payment
5 01/13/2006 Payment of $100 4.17 (UI continued 586-101-4, 5159B-301 (14,15)
payment) 586-101-5 ($) 5159B-302 (14,15)
4.46 CWC continued 9051-All-C2
payment
6 01/24/2006 Request to combine 3.34 or 3.35 586-101-1 N/A
wages; IB-4 is sent depending on the
outcome of the
monetary
New CWC claim
7 01/25/2006 Monetary 3.35 586-101-2 Not reported
redetermination is New CWC BY (redeteminations)
made to increase
WBA to $150 after
wages are combined
8 02/02/2006 Adjustment payment 4.33, Adjustment 586A-101-5 ($) 5159B-302 (14, 15)
of $200 (4 x $50) 4.48 CWC 586B (8)—1st
Adjustment payment
UI DV HANDBOOK, BENEFITS D.16 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Reporting of
Reporting of
Transaction as
Step Date Action Subpopulation Transaction as
Regular
CWC Transaction
Transaction
9 02/03/2006 Payment of $150 4.17, UI Cont’d 586-101-4, 5159B-301 (14,15)
payment 586-101-5 ($) 5159B-302 (14,15)
4.44 CWC first 9051-All-C2
payment
10 02/10/2006 Payment of $150 4.17, UI cont’d 586-101-4, 5159B-301 (14,15)
payment 586-101-5 ($) 5159B-302 (14,15)
4.46, CWC cont’d 9051-All-C2
payment
11 02/17/2006 Payment of $150 4.17, UI cont’d 586-101-4, 5159B-301 (14,15)
payment 586-101-5 ($) 5159B-302 (14,15)
4.46, CWC cont’d 9051-All-C2
payment
1. A new UI intrastate claim is filed and determined sufficient on 12/02/2005. The claim and
monetary establishing a $2,600 MBA and WWBA of $100 are reported in the 200504
quarter.
2. A payment of $100 is made on 12/09/2005. This is the regular payment for the first
compensable week and reported on the 9050 report, as well as a week compensated/$
compensated on the 5159 report for December 2005. After a CWC BY is established, this
payment will be reported as a CWC prior week compensated on the ETA 586 in cell 101-6,
and the dollar amount will be reported in cell 101-7.
3. A second payment of $100 is made on 12/16/2005. This is a regular continued week paid
(9051, 5159 reports for December 2005). After a CWC BY is established, this payment will
be reported as a CWC prior week compensated on the ETA 586 in cell 101-6. The dollar
amount is reported in cell 101-7.
4. A third payment of $100 is made on 01/06/2006. This is a regular continued week paid
(9051, 5159 reports). After a CWC BY is established, this payment will be reported as a
CWC continued payment on the ETA 586 in cell 101-4. The dollar amount is reported in
cell 101-5.
5. A fourth payment of $100 is made on 01/13/2006. This is a regular continued week paid
(9051, 5159 reports). After a CWC BY is established, this payment will be reported as a
CWC continued payment on the ETA 586 in cell 101-4. The dollar amount is reported in
cell 101-5.
6. An IB-4 request to combine wages is sent. This results in a new CWC claim and is reported
on the 586 in cell 101-1.
7. A monetary redetermination is issued that combines wages and increases the WBA to $150.
This establishes the CWC benefit year that is reported on the ETA 586 in cell 101-2. Being a
redetermination, it is not reported on the 218 report for the 200601 quarter.
UI DV HANDBOOK, BENEFITS D.17 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
8. A CWC adjustment payment of $200 is made. This is not reported as a week compensated
since the weeks have already been counted in steps 2, 3, 4 and 5. However, the dollar
amount is reported on the ETA 586 in cell 101-5 because it is a CWC payment made in the
200601 quarter.
9. A payment of $150 is made. This is considered a CWC first payment for data validation
purposes that is reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell
101-5.
10. A payment of $150 is made. This is considered a CWC continued payment that is reported
on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5.
11. A payment of $150 is made. This is considered a CWC continued payment that is reported
on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5.
The following tables illustrate the records that would be built for Populations 3 and 4. CWC
records are shaded.
UI DV HANDBOOK, BENEFITS D.18 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Table D.17
Scenario 4
How the Steps Would be Reflected in Population 3 Validation Records
Includes only Records for 200601 Report Quarter
Potential
Date Date Potential
Type UI Claim Program Intrastate/ Sufficient/ Weeks
Step Claim Original WBA MBA Weeks Subpop
Program Type Type Interstate Insufficient Max
Filed Monetary Duration
Duration
CWC CWC Sufficient New Maximum 3900 26 Y
4
1/24/2006 Regular UI NEW UI Intrastate 1/25/2006 CWC BY (Optional) (Optional) (Optional) (Optional) 3.35
Table D.18
Scenario 4
How the Steps Would be Reflected in Population 4 Validation Records
Includes only Records for 200601 Report Quarter
Intra/
Type UI Program Type of Part/ UI UCFE UCX CWC SE Week End
Step Inter Earn. WBA Mail Date Subp.
Program Type Comp. Total Amount Amount Amount Amount Amount Date
Claim
Regular Intrastate Prior Weeks
2 UI Only-U Total 0 100 0 0 0 100 0 12/30/2005 12/9/2006 4.50
UI-1 CWC-1 Compensated
Regular Intrastate Prior Weeks
2 UI Only-U Total 0 100 0 0 0 100 0 12/30/2005 12/16/2006 4.50
UI-1 CWC-1 Compensated
Regular Continued
3 UI Only-U Intrastate Total 0 100 100 0 0 0 0 1/6/2006 4.17
UI-1 Payment
Regular Intrastate Continued
3 UI Only-U Total 0 100 0 0 0 100 0 1/6/2006 4.46
UI-1 CWC-1 Payment
Regular Continued
3 UI Only-U Intrastate Total 0 100 100 0 0 0 0 1/6/2006 1/13/2006 4.17
UI-1 Payment
Regular Intrastate Continued
3 UI Only-U Total 0 100 0 0 0 100 0 1/6/2006 1/13/2006 4.46
UI-1 CWC-1 Payment
Regular
7 UI Only-U Intrastate Adjustment Total 0 150 200 0 0 0 0 2/2/2006 4.33
UI-1
Regular Intrastate
7 UI Only-U Adjustment Total 0 150 0 0 0 200 0 2/2/2006 4.48
UI-1 CWC-1
UI DV HANDBOOK, BENEFITS D.19 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Intra/
Type UI Program Type of Part/ UI UCFE UCX CWC SE Week End
Step Inter Earn. WBA Mail Date Subp.
Program Type Comp. Total Amount Amount Amount Amount Amount Date
Claim
Regular Continued
6 UI Only-U Intrastate Total 0 150 150 0 0 0 0 1/21/2006 2/3/2006 4.17
UI-1 Payment
Regular Intrastate
6 UI Only-U First Payment Total 0 150 0 0 0 150 0 1/21/2006 2/3/2006 4.44
UI-1 CWC-1
Regular Continued
8 UI Only-U Intrastate Total 0 150 150 0 0 0 0 1/28/2006 2/10/2006 4.17
UI-1 Payment
Regular Intrastate Continued
8 UI Only-U Total 0 150 0 0 0 150 0 1/28/2006 2/10/2006 4.46
UI-1 CWC-1 Payment
Regular Continued
9 UI Only-U Intrastate Total 0 150 150 0 0 0 0 2/4/2006 2/17/2006 4.17
UI-1 Payment
Regular Intrastate Continued
9 UI Only-U Total 0 150 0 0 0 150 0 2/4/2006 2/17/2006 4.46
UI-1 CWC-1 Payment
UI DV HANDBOOK, BENEFITS D.20 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
The tables below illustrate the total counts and dollar amounts that the state would report in
each applicable cell of the ETA 586 for the first quarter of 2006, if the preceding scenario
occurred.
Table D.19
Scenario 4
How Claims and Benefit Years Would be Reported in ETA 586
ETA 586A Persons
Establishing
New Claims Benefit Years
State UI Line No. (1) (2)
Intrastate 101 1 1
Interstate
Received 102 0 0
as Paying State
Table D.20
Scenario 4
How Payments Would be Reported in ETA 586
Weeks Benefits Prior Weeks Prior
Compensated Paid Compensated Benefits
Paid
Line (4) (6)
State UI No. (5) (7)
Intrastate 101 5 $850 2 $200
Interstate
Received
as 102 0 0 0 0
Paying
State
UI DV HANDBOOK, BENEFITS D.21 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Scenario 5 Wages were combined in the quarter after the CWC claim was filed. The
claimant requested that wages be added from another state, and the state sent the
IB-4 in one quarter. However, the first monetary determination
(redetermination) based on wages from two or more states was not issued until
the following quarter.
The first IB-4 sent for a claim constitutes a "new CWC." The first monetary
determination or redetermination using wages from more than one state is a
"new CWC benefit year." In the first quarter, then, there is a new CWC but
not a CWC benefit year since these two events occurred in different quarters.
Data validation treats this transaction as an "insufficient CWC."
In the subsequent quarter there is a new CWC benefit year established but the
claim has already been reported in the prior quarter. Therefore, data validation
treats this as a new CWC benefit year where the claim was filed in a prior
quarter and does not double count the CWC.
Table D.21
Scenario 5
Reporting of
Reporting of
Transaction as
Step Date Action Subpopulation Transaction as
Regular
CWC Transaction
Transaction
1 12/28/2005 New UI intrastate 3.1 New Intrastate N/A 5159A-101-2
claim, determined claim with 218A-100 (1, 2)
insufficient. Insufficient monetary For Dec/Q4 of 2005
2 12/28/2005 Request to combine 3.34 586A-101-1 (for N/A
wages; IB-4 is sent New CWC Claim, 2005Q4 report)
wages are not
combined reported
in Q4 2005
3 01/16/2006 Monetary 3.38 586-101-2 N/A
redetermination New CWC BY for
increasing WBA to CWC claim filed in
$150 after wages prior quarter
combined
4 01/20/2006 Payment $150 4.1 (UI 1st payment); 586-101-4, 5159B-301 (14-15);
4.44 CWC first 586-101-5 ($) 5159B-302 (14-15);
payment 9050-All-C2
5 01/27/2006 Payment $150 4.17, UI cont’d 586-101-4, 5159B-301 (14,15)
payment 586-101-5 ($) 5159B-302 (14,15)
4.46, CWC cont’d 9051-All-C2
payment
1. A new UI intrastate claim is filed and determined insufficient on 12/28/2005.
UI DV HANDBOOK, BENEFITS D.22 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
2. An IB-4 request to combine wages is sent on 12/28/2005. This results in a new CWC that is
reported on the ETA 586 in cell 101-1 for the fourth quarter of 2005.
3. A monetary redetermination is issued that combines wages and results in a WBA of $150.
This establishes the CWC benefit year that is reported on the ETA 586 in cell 101-2.
Because the monetary redetermination is in a different quarter than the IB-4, the new CWC
benefit year is reported in subpopulation 3.38.
4. A payment of $150 is made. This is considered both a regular first payment (Reported on
9050 and as a week/$ compensated on the 5159) and a CWC first payment that is reported on
the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5.
5. A second payment of $150 is made. This is considered a regular continued payment (9051,
5159) and CWC continued payment that is reported on the ETA 586 in cell 101-4. The
dollar amount is reported in cell 101-5.
The following tables illustrate the records that would be built for Populations 3 and 4. CWC
records are shaded.
UI DV HANDBOOK, BENEFITS D.23 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Table D.22
Scenario 5
How the Steps Would be Reflected in Population 3 for 200504 Quarter
Potential Potential
Date Claim Type UI Claim Program Intrastate/ Date Original Sufficient/
Step WBA MBA Weeks Weeks Max Subpop
Filed Program Type Type Interstate Monetary Insufficient
Duration Duration
1
12/28/2005 Regular UI-1 New UI Intrastate-01 12/28/2005 Insufficient 0 0 3.01
CWC CWC
2
12/28/2005 Regular UI New UI Intrastate Insufficient 3.34
Table D.23
Scenario 5
How the Steps Would be Reflected in Population 3 for 200601 Quarter
Potential
Date Potential
Date Claim Type UI Claim Program Intrastate/ Sufficient/ Weeks
Step Original WBA MBA Weeks Subp.
Filed Program Type Type Interstate Insufficient Max
Monetary Duration
Duration
Regular Prior Qtr CWC SUFFICIENT Maximum 3900 26 Y
3
12/28/2005 UI New CWC UI Intrastate 1/16/2006 NEW CWC BY (Optional) (Optional) (Optional) (Optional) 3.39
Table D.24
Scenario 5
How the Steps Would be Reflected in Population 4 for 200601 Quarter
Intra/
Type UI Program Type of Part/ UI UCFE UCX CWC SE Week End
Step Inter Earn. WBA Mail Date Subp.
Program Type Comp. Total Amount Amount Amount Amount Amount Date
Claim
Regular
4 UI Only-U Intrastate First Payment Total 0 150 150 0 0 0 0 1/13/2006 1/20/2006 4.1
UI-1
Regular Intrastate
4 UI Only-U First Payment Total 0 150 0 0 0 150 0 1/13/2006 1/20/2006 4.44
UI-1 CWC-1
Regular Continued
5 UI Only-U Intrastate Total 0 150 150 0 0 0 0 1/20/2006 1/27/2006 4.17
UI-1 Payment
UI DV HANDBOOK, BENEFITS D.24 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Intra/
Type UI Program Type of Part/ UI UCFE UCX CWC SE Week End
Step Inter Earn. WBA Mail Date Subp.
Program Type Comp. Total Amount Amount Amount Amount Amount Date
Claim
Regular Intrastate Continued
5 UI Only-U Total 0 150 0 0 0 150 0 1/20/2006 1/27/2006 4.46
UI-1 CWC-1 Payment
UI DV HANDBOOK, BENEFITS D.25 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
The tables below illustrate the total counts and dollar amounts that the state would
report in each applicable cell of the ETA 586 for the first quarter of 2006, if the
preceding scenario occurred.
Table D.25
Scenario 5
How Claims and Benefit Years Would be Reported in ETA 586
For the 200504 Quarter
ETA 586A Persons
Establishing
New Claims Benefit Years
State UI Line No. (1) (2)
Intrastate 101 1 0
Interstate
Received 102 0 0
as Paying State
Table D.26
Scenario 5
How Claims and Benefit Years Would be Reported in ETA 586
For the 200601 Quarter
ETA 586A Persons
Establishing
New Claims Benefit Years
State UI Line No. (1) (2)
Intrastate 101 0 1
Interstate
Received 102 0 0
as Paying State
Table D.27
Scenario 5
How Payments Would be Reported in ETA 586
Weeks Benefits Prior Weeks Prior
Compensated Paid Compensated Benefits
Paid
State UI Line (4) (6)
No. (5) (7)
Intrastate 101 2 $300 0 $0
Interstate
Received as 102 0 0 0 0
Paying State
UI DV HANDBOOK, BENEFITS D.26 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Scenario 6 Determining the CWC Paying State.
On November 14, 2008, UIPL 1-09 redefined the CWC “paying state.” Effective
January 6, 2009, it is “a single state against which a claimant files a CWC if (1)
the claimant has employment and wages in that State’s base period and (2) the
claimant qualifies for UC in that state using the combined employment and
wages.” Previously, the paying state could be any state under whose UC law the
claimant qualified for benefits on the basis of combined employment and wages,
whether the claimant actually had employment and wages in that state or not.
The change in definition limits a claimant’s flexibility in filing a CWC and thus
changes where CWC benefit years are established, and who pays regular and
CWC benefits. This change may affect which state is the paying state, it may
also affect reporting,, including the classification of claims and payments as
Intrastate or Interstate. The following example illustrates.
Jones recently lost her job in Maryland, where she still resides. During the base
period, however, she had enough work and earnings in both Maryland and
Virginia to qualify for a combined-wage benefit in either state; on the basis of
her combined wages, her WBA in Maryland would be higher than in Virginia.
However, she has been informed that the Massachusetts benefit scale is higher
yet, and that she has enough Maryland and Virginia wages to qualify for
benefits in Massachusetts.
Before January 6: Jones could have qualified not only for an Intrastate CWC
benefit in Maryland or an Interstate CWC benefit in Virginia—states where she
had base period wages--but also an Interstate CWC benefit in any other state
where those wages were sufficient for a BY. She selects Massachusetts for the
highest benefit. MA would report her regular Initial Claim on the 5159 report
and 218 and as the paying state, MA’s 586 report would record her claims and
payment activity on line 102 (Interstate) and 1st payment activity in column 9
(Interstate) of Part B of the 586. Regular payment activity will be reported on
MA’s 5159, 9050-All-C6, and 9051 reports.
Since January 6: Jones could only file either an Intrastate CWC against
Maryland or an Interstate CWC against Virginia. She chooses Maryland to get a
higher WBA. Maryland will report her CWC claims and payment activity on
line 101 of its 586 part A (Intrastate) and 1st payment activity in column 8 of
part B. Maryland will also report an initial claim (Intrastate) in its 5159-101-2,
a first payment in 9050-All-C2, and Weeks and Amounts compensated on the
5159.
UI DV HANDBOOK, BENEFITS D.27 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Table D.28
Scenario 6
Before January 6, 2009, Massachusetts
Reporting of
Reporting of
Transaction as
Step Date Action Subpopulation Transaction as
Regular
CWC Transaction
Transaction
1 02/02/2009 Jones files Interstate 3.08, 3.09, 3.10, N/A 5159A-101-7
claim against MA 3.11, 3.12, or 3.13
with request to
combine MD & VA
wages
2 02/02/2009 MA requests wages 3.36 or 3.37 586-102-1 N/A
from Maryland and
Virginia
IB-4 is sent
3 02/06/2009 Monetary 3.10 (Sufficient, 586-102-2 218A-100-1, 354
determination of a WBA, Duration less 218B 101 (8-13)
$400 weekly benefit than Maximum)
amount (WBA) in 3.37 New CWC
MA based on VA Interstate Benefit
and MD wages Year (BY)
4 02/10/2009 First Payment of 4.2 (UI Interstate 1st 586-102-4, 5159B-301-(14-17)
$400 payment); 586-102-5 ($) 5159B-302-(14-17)
4.45 (CWC 586B (column 9) 9050-All-C6
Interstate first Total
payment)
Table D.29
Scenario 6
Since January 6, 2009, Maryland
Reporting of
Reporting of
Transaction as
Step Date Action Subpopulation Transaction as
Regular
CWC Transaction
Transaction
1 02/02/2009 Jones files New UI 3.01, 3.02, 3.03, N/A 5159A-101-2
intrastate IC against 3.04, 3.05, or 3.06
Maryland with
request to combine
wages from Virginia
2 02/02/2009 MD requests wages 3.34 or 3.35 586-101-1 N/A
from Virginia. depending on the
IB-4 is sent outcome of the
monetary
New Intrastate CWC
3 02/06/2009 Monetary 3.04 (Sufficient, 586-101-2 218A-100-(1, 3, 4)
determination of a WBA, Duration less 218B-103 (14, 19)
$290 weekly benefit than Maximum)
amount (WBA) in 3.35 New CWC
Maryland based on Interstate Benefit
VA and MD wages Year (BY)
4 02/10/2009 First Payment of 4.1 (UI Intrastate 1st 586-101-4, 5159B-301 (14-15);
$290 payment); 586-101-5 ($) 5159B-302 (14-15);
4.44 CWC Intrastate 586B (column 8) 9050-All-C2
first payment Total
UI DV HANDBOOK, BENEFITS D.28 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
These are examples of Population 3 records before and after January 6, 2009:
Table D.30
Scenario 6
How the Steps Would be Reflected in Population 3 Validation Records
Before January 6, 2009, Massachusetts
Potential
Date Potential
Date Claim Type UI Claim Program Intrastate/ Sufficient/ Weeks
Step Original WBA MBA Weeks Subpop
Filed Program Type Type Interstate Insufficient Max
Monetary Duration
Duration
RegularUI- SUFFICIENT Less than
1, 3
12/23/2008 1 NEW UI Interstate-03 12/30/2008 NEW BY Maximum 10400 26 N 3.10
CWC CWC SUFFICIENT Less than
2
12/28/2009 Regular UI NEW UI Intrastate NEW CWC BY Maximum 10400 26 N 3.37
Table D.31
Scenario 6
How the Steps Would be Reflected in Population 3 Validation Records
Since January 6, 2009, Maryland
Potential
Date Date Potential
Type UI Claim Program Intrastate/ Sufficient/ Weeks
Step Claim Original WBA MBA Weeks Subpop
Program Type Type Interstate Insufficient Max
Filed Monetary Duration
Duration
Regular UI- SUFFICIENT Less than
1, 3
2/2/2009 1 NEW UI Intrastate 2/6/2009 NEW BY Maximum 7540 26 Y 3.04
CWC CWC SUFFICIENT Less than
2
2/2/2009 Regular UI NEW UI Intrastate 2/6/2009 NEW CWC BY Maximum 7540 26 Y 3.35
UI DV HANDBOOK, BENEFITS D.29 NOVEMBER 2009
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
These are examples of 1st payment records before and after January 6, 2009:
Table D.32
Scenario 6
How the Steps Would be Reflected in Population 4 Validation Records
Before January 6, 2009, Massachusetts
Intra/
Type UI Program Type of Part/ UI UCFE UCX CWC SE Week End
Step Inter Earn. WBA Mail Date Subp.
Program Type Comp. Total Amount Amount Amount Amount Amount Date
Claim
Regular
4 UI Only-U Intrastate First Payment Total 0 400 400 0 0 0 0 1/6/2009 1/10/2009 4.2
UI-1
Regular Intrastate
4 UI Only-U First Payment Total 0 400 0 0 0 400 0 1/6/2009 1/10/2009 4.46
UI-1 CWC-1
Table D.33
Scenario 6
How the Steps Would be Reflected in Population 4 Validation Records
Since January 6, 2009, Maryland
Intra/
Type UI Program Type of Part/ UI UCFE UCX CWC SE Week End
Step Inter Earn. WBA Mail Date Subp.
Program Type Comp. Total Amount Amount Amount Amount Amount Date
Claim
Regular
4 UI Only-U Intrastate First Payment Total 0 290 290 0 0 0 0 2/6/2009 2/10/2009 4.1
UI-1
Regular Intrastate
4 UI Only-U First Payment Total 0 290 0 0 0 290 0 2/6/2009 2/10/2006 4.44
UI-1 CWC-1
UI DV HANDBOOK, BENEFITS D.30 NOVEMBER 2009
APPENDIX E
Benefits
INDEPENDENT COUNT VALIDATION
INDEPENDENT COUNT VALIDATION APPENDIX E
A. Purpose
This appendix is applicable only to states that generate federal reports from a flat file, and use
the same file to construct their DV extract file, instead of constructing the extract file directly
from their UI database. A flat file is a file that contains all state benefits transactions
accumulated daily, weekly, monthly or taken as a snapshot. The flat files may contain
systematic errors that could result in under or over counting transactions. If the same flat file is
being used for both reporting and validation it is necessary for states to conduct an independent
count validation to check for any undercounts or overcounts.
Independent count validation consists of deriving counts of transactions directly from the state
UI database and comparing them to reported and validation counts derived from the flat files.
The counts pass the independent count validation when the difference between the independent
count and the reported count is no more than ±2%, or ±1% for GPRA measures (Populations 4
and 12). If the difference is below the error tolerance (±2 or ±1%), the state can assume that the
flat file is reliable and that it can be used to construct the DV extract file. The state should then
continue to follow the data validation process as described in this handbook. If the difference
between the independent count and the reported count exceeds the error tolerance, then the DV
results constructed from the flat file would be considered invalid and the state must inspect and
correct their reporting process before conducting data validation.
The independent count process complements the data validation methodology; however, it is
not conducted using the DV software. Therefore, the states should keep a record of their
independent count findings since the software doesn’t provide a means for submitting the
results. If states choose to submit DV results to the National Office using the DV software, they
should include a note on the Report Validation comments screen indicating that they have
completed an independent count and the results. If states fail independent count validation, they
should include the information in the SQSP review.
B. Methodology
The general procedure for performing independent count validation involves comparing three
counts of transactions for the population that is being validated. Counts taken directly from the
state UI database (independent counts) are compared to counts generated from the flat files
(reported counts) and to counts generated from the extract files that were constructed from the
flat files (validation counts). If the difference between the independent count and either the
reported or the validation count is greater than ±2%, or ±1% for GPRA measures, then the state
fails the validation.
Step 1 Produce Independent Counts
Independent counts of transactions can be derived by querying the state benefits database
according to the instructions specified in Table E.1 for each population.
UI DV HANDBOOK, BENEFITS E.1 NOVEMBER 2009
INDEPENDENT COUNT VALIDATION APPENDIX E
In general, the independent count is done in the opposite way of a validation extract file. The
validation extract file is constructed by selecting only the issue codes and criteria indicated on
the extract file specifications. However, the independent count file should be constructed by
including all issue codes relevant to a population and then eliminating observations that do not
conform to the independent count file specification in Table E.1.
UI DV HANDBOOK, BENEFITS E.2 NOVEMBER 2009
INDEPENDENT COUNT VALIDATION APPENDIX E
Table E.1
Independent Count Criteria by Population‡
Population Description Independent Counts Criteria Validation and Reported Counts Criteria
(Derived by querying the state UI database) (Derived from the RV Screen in DV Software)
1 - Weeks Claimed Count all dates when weeks were claimed within the month. Add ETA 5159, lines 201-203, columns 10 and
Subtract duplicates, non-reportable claims, and special 12
programs.
2 - Final Payments Recreate the logic used to count final payments. Subtract Add ETA 5159, line 303, columns 26-28
special programs.
3/3a - Claims Filed Count all claims-filed dates within the month. Subtract Add ETA 5159, lines 101-103, columns 2, 3, 4,
duplicates, special programs, and filed dates for interstate 6, and 7
agent claims (if the state maintains these dates).
4 - Payments Count all payment-mailed dates within the month. Subtract Add ETA 5159, line 302, columns 14, 17
replacement checks. Subtract duplicate week-ending dates but (amounts compensated)
not duplicate mail dates (if the state pays biweekly).
5 - Nonmonetary Determinations/ Count all notice mailed dates within the quarter. For informal Add ETA 207, lines 101, 103, 105, column 1
Redeterminations determinations without a mailed date, include determination
date. Subtract duplicates, special programs, and issue codes
that do not represent reportable nonmonetary determinations.
6 - Appeals Filed, Lower Authority Count all appeal-filed dates within the month. ETA 5130, line 200, column 8
7 - Appeals Filed, Higher Authority Count all appeal-filed dates within the month. ETA 5130, line 200, column 9
8 - Appeals Decisions, Lower Authority Count all decision-mailed dates within the month being Add ETA 5130, line 100, columns 1,3,5
validated.
9 - Appeals Decisions, Higher Authority Count all decision-mailed dates within the month being Add ETA 5130, line 100, columns 2,4,6
validated.
10 - Pending Appeals, Lower Authority Independent count unnecessary.
11 - Pending Appeals, Higher Authority Independent count unnecessary.
12 - Overpayments Established Count all overpayment-s-established dates within the quarter. Add ETA 227, lines 101-109, columns 2 and 3
13 - Overpayment Reconciliation Count all reconciliation activities within the quarter. Add ETA 227, lines 303-311, columns 11-14
Transactions
14 - Age of Overpayments Independent count unnecessary.
‡
Populations 10, 11, and 14 cannot be reconstructed from a statistical file, so an independent count is not necessary.
UI DV HANDBOOK, BENEFITS E.3 NOVEMBER 2009
INDEPENDENT COUNT VALIDATION APPENDIX E
Step 2 Derive Reported and Validation Counts
Use the extract file specifications included in the User’s Guide to construct the extract file using
the records in the flat file as the source. Load the extract file into the DV software following the
instructions in the User’s Guide (the state may need to test, fix and reload the extract file
multiple times until it is correctly constructed). After the extract file is loaded, go to the Report
Validation screen. Use the counts listed in the Reported Counts column and the criteria in Table
E.1 to derive reported counts. Use the counts in the Validation Counts column and the criteria in
Table E.1 to derive validation counts.
Step 3 Compare Counts
Use Template E.1 to compare all counts. Enter the independent, reported and validation counts
in the template. Calculate the percent differences as follows:
Reported Count - Independent Count
% Difference of Reported Count = × 100
Independent Count
Validation Count - Independent Count
% Difference of Validation Count = ×100
Independent Count
If either of these percentages is greater than ±2%, or ±1 for GPRA measures, the population
fails the independent count validation. If the percentages are less than ±2%, or ±1 for GPRA
measures, the state can resume data validation by following the instructions in this handbook
and the user’s guide.
Template E.1
Independent Count Validation
STATE: VY:
%
Difference
of % Difference
Independent Reported Validation Reported of Validation Pass/
Population Count Count Count Count Count Fail Comments
1
2
3
4
5
6
7
8
9
12
13
UI DV HANDBOOK, BENEFITS E.4 NOVEMBER 2009
INDEPENDENT COUNT VALIDATION APPENDIX E
C. Example
Let’s assume that we are going to conduct an independent count validation for Population 1
using the month of November, 2008.
Step 1
Query the UI database for all weeks claimed from 11/1/2008 to 11/30/2008. Subtract all
duplicate and non-reportable claims, and claims filed for EB and EUC programs. This is the
independent count.
For example, if you have 400 weeks claimed - 4 of which were duplicate claims, 30 that had
excessive earnings and 2 that were special programs - then the independent count would be
calculated by the following: 400 – 4 – 30 – 2 = 364. The independent count is 364.
Step 2
Construct the extract file from the flat file, using the Population 1 extract file specification
described in the User’s Guide, and test it to make sure it is correctly constructed. Load the file
into the DV software and go to the Report Validation Screen.
Add the reported counts for ETA 5159, lines 201-203, columns 10 and 12. In the screen below,
this would be 203 + 50 + 1 + 118 + 2 + 3 = 377. The reported count is 377.
Add the validation counts for ETA 5159, lines 201-203, columns 10 and 12. In the RV screen
below, this would be 200 + 50 + 0 + 115 + 2 + 4 = 371. The validation count is 371.
Example E.1
Report Validation Screen
REPORT VALIDATION
Reported Counts
Benefits Population 1
Period: 11/01/2008 - 11/30/2008
Validation Reported Percent Pass/
Report Cell Description Difference
Count Count Difference Fail
5159A-201-10 UI, Intrastate 200 203 3 1.5%
5159A-202-10 UCFE, Intrastate 50 50 0 0%
5159A-203-10 UCX, Intrastate 0 1 1 100%
Group 1.01 5159 Intrastate Weeks Claimed Total 250 254 4 1.6% PASS
5159A-201-12 UI, Received as liable 115 118 3 2.6%
5159A-202-12 UCFE, Received as liable 2 2 0 0%
5159A-203-12 UCX, Received as liable 4 3 1 25%
Group 1.02 5159 Interstate Liable Weeks Claimed Total 121 123 2 1.7% PASS
5159A-201-11 UI, Filed from Agent 25 25 0 0%
5159A-202-11 UCFE, Filed from Agent 3 3 0 0%
5159A-203-11 UCX, Filed from Agent 2 2 0 0%
Group 1.03 Interstate Weeks Claimed from Agent State 151 153 2 1.3% PASS
Report Validation Status: PASS
UI DV HANDBOOK, BENEFITS E.5 NOVEMBER 2009
INDEPENDENT COUNT VALIDATION APPENDIX E
Step 3
Using the numbers derived from Steps 1 and 2, we can calculate the percent differences as
follows:
Reported Count - Independent Count 377 − 364
% Difference of Reported Count = × 100 = × 100 = 3.6%
Independent Count 364
Validation Count - Independent Count 371 − 364
% Difference of Validation Count = × 100 = × 100 = 1.9%
Independent Count 364
Enter the independent, reported and validation counts in Template E.1.
Example E.2
Independent Count Validation
Population 1
STATE: ST VY: 2009
%
Difference
of % Difference
Independent Reported Validation Reported of Validation Pass/
Population Count Count Count Count Count Fail Comments
1 364 377 371 3.6% 1.9% Fail
In this example, the percent difference between the reported and independent count is greater
than the error tolerance of 2%. Therefore, the independent count validation fails, indicating that
using the flat files for validation is not reliable.
UI DV HANDBOOK, BENEFITS E.6 NOVEMBER 2009
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