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Revised UI benefits data validation handbook
Summary ETA transmitted a revised benefits portion of Employment and Training Handbook 361, which state unemployment agencies use to validate data they report to the federal government. The letter summarizes changes and directs states to distribute the attached handbook to its holders.
Document
Federal guidance
Agency
U.S. Department of Labor, Employment and Training Administration (ETA)
Document number
UIPL No. 17-10, Change 2
Date issued
June 6, 2013
Status
Active
ETA's advisory listing marks this change Active, and its PDF prints an expiration date of Continuing.
Status last verified October 24, 2026
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About this page: The full text below is the official document from U.S. Department of Labor, Employment and Training Administration (ETA). Ezel adds the plain-English summary and tracks the document's status. The official source linked on this page is authoritative for any reliance.
CLASSIFICATION
EMPLOYMENT AND TRAINING ADMINISTRATION Unemployment Insurance
ADVISORY SYSTEM CORRESPONDENCE SYMBOL
OUI/DPM
U.S. DEPARTMENT OF LABOR
DATE
Washington, D.C. 20210 June 6, 2013
ADVISORY: UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 17-10
Change 2
TO: STATE WORKFORCE AGENCIES
FROM: GERRI FIALA /s/
Acting 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 Employment and
Training (ET) Handbook No. 361.
2. References.
• ET Handbook No. 361, UI Data Validation Handbook, Benefits;
• Unemployment Insurance Program Letter (UIPL) No. 17-10, Revisions to the State
Unemployment Insurance (UI) Data Validation (DV) Handbook, Benefits and UIPL No.
17-10, Change 1;
• UIPL No. 1-11, Issuance of State Unemployment Insurance Data Validation Operations
Guide (ET Operations Guide 411); and
• UIPL No. 08-12, Consolidation of the Employment and Training Administration (ETA)
9000 and ETA 227 Reports.
3. Background. UI DV is necessary to ensure that data reported by states and used for
measuring performance, administrative funding allocations, economic analysis, and other
purposes are accurate and comparable across states. A revised version of the UI DV Benefits
Handbook was issued in July 2011. Portions of the 2008 edition of the Benefits Handbook
were moved to the DV Operations Guide issued in October 2010. With the revision of the
ETA 227 Overpayment Detection and Recovery Activities report and the consolidation of the
ETA 9000 Internal Fraud Activities and 227 reports, the DV program was modified to
validate new report cells. This new revision of the Benefits Handbook reflects these recent
modifications to the program.
The Office of Management and Budget (OMB) has approved ET Handbook No. 361, UI
Data Validation Handbook, Benefits (OMB control No. 1205-0431), for use through
May 31, 2016.
RESCISSIONS EXPIRATION DATE
None Continuing
4. Handbook Modification Summary. The Benefits portion of the Handbook has been
revised to reflect changes in the DV program due to the revision of the ETA 227 report.
Because of the numerous changes, the Handbook has been reissued in its entirety. The
changes are summarized below:
• Updated the OMB Notice to reflect the new expiration date of May 31, 2016.
• Changed the number of populations from 15 to 16, and the number of random samples
from 17 to 18, to reflect the addition of Population 15.
• Changed Population 12 title to “Overpayments Established by Cause” to distinguish it
from the new Population 15 titled “Overpayments Established by Method.”
• Added values for Population 15 to Tables C, D, 1.1, 3.2, B.1, and Table of Contents of
Appendix A.
• Modified Tables 3.1 and 3.2 to reflect changes to and additions of Module 3 steps.
• Changed subpopulation specifications in Appendix A for Populations 12, 13 and 14; and
added specifications for the new Population 15.
• Changed Weekly Benefits Allowance (WBA) field from “Required” to “Optional” for
subpopulations 1.7-1.9 in Appendix A.
• Eliminated Appendix E, “Independent Count Validation,” which is no longer in use.
The technical corrections to the Handbook are effective immediately. States must implement
changes in the construction of extract files for Populations 12, 13, and 14, and build a new
extract file for Population 15, for Validation Year 2013 and subsequent validations.
5. Action Requested. Distribute attached handbook to all holders of ET Handbook No. 361, UI
Data Validation Handbook, Benefits, dated September 2011. Users should replace the
handbook with the attached. States should review these changes and adjust their procedures,
as necessary.
6. Inquiries. All questions should be directed to the appropriate Regional Office.
7. Attachment. ET Handbook No. 361, UI Data Validation Handbook, Benefits.
2
Attachment 1 (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2013/UIPL_17_10_Chg2_Att.pdf)
UNEMPLOYMENT INSURANCE
DATA VALIDATION HANDBOOK
Benefits
OFFICE OF UNEMPLOYMENT INSURANCE
DEPARTMENT OF LABOR
MAY 2013
OMB No: 1205-0431
OMB Expiration Date: May 31, 2016
Estimated Average Response Time: 573 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 May 31, 2016.
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 573
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
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 MAY 2013
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
a
Claims Status 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
a
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 MAY 2013
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
UI DV HANDBOOK, BENEFITS 3 MAY 2013
INTRODUCTION
database, must ensure that these files contain all the appropriate transactions by recreating
the logic used to produce the Federal reports.
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 MAY 2013
INTRODUCTION
Table B
Variations in Validation Methodologies
Based on State Approaches to Reporting and Reconstruction
Benefits UIRR Reports Data Validation
Source
Transactions Documentation
Overwritten Program Program Review
Scenario on Database Type Source Timing Type Source Timing Required Comments
Best scenario because
a
1 No Count Database Snapshot Extract Database Snapshot No comparing snapshots
b
File eliminates timing
discrepancies
Database is only
c
2 No Count Flat file Daily Extract Database Snapshot No reconstruction source. There
File could be changes in
transaction characteristics
(but will find all
transactions).
Reporting and validation are
3 No Extract Database Snapshot Extract Database Snapshot No the same program.
File File
Since transactions are not
4 No Extract Flat file Daily Extract Flat file Daily Yes overwritten, states should be
File File able to do Scenario 2
instead.
No alternative validation
5 Yes Extract Flat file Daily Extract Flat file Daily NA source. Cannot reconstruct
File File from the database. Not
thorough validation.
Cannot reconstruct from
6 Yes Count Flat file Daily Must NA NA NA database. Must change
create a reporting process to
daily Scenario 5.
extract
a
All records in the database on last day of reporting period
b
File constructed directly from database
c
File with accumulated records used for ETA reports
UI DV HANDBOOK, BENEFITS 5 MAY 2013
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 1,000 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
streamlining is accomplished by classifying the transactions into mutually exclusive groups
UI DV HANDBOOK, BENEFITS 6 MAY 2013
INTRODUCTION
(referred to as populations), which match to one or more items on the Federal reports.
Specifically, there are 16 benefits populations, which are composed of 410 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 MAY 2013
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 by Cause 227 Quarter 63 27
13 Overpayment Reconciliation Activities 227 Quarter 57 57
14 Age of Overpayments 227 Quarter 24 24
15 Overpayments Established by Method 227 Quarter 36 21
TOTAL 383 410
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 MAY 2013
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 by Cause X X
13 Overpayment Reconciliation Transactions X X
14 Age of Overpayments X
15 Overpayments Established by Method X X
a
Examination of nonmonetary determination folders is accomplished through the quality review process.
UI DV HANDBOOK, BENEFITS 9 MAY 2013
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 correctly defined universe. It is important to review and check the quality sampling
UI DV HANDBOOK, BENEFITS 10 MAY 2013
INTRODUCTION
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.
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
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 ETA Operations Guide 411)
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
UI DV HANDBOOK, BENEFITS 11 MAY 2013
INTRODUCTION
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 6 through 8 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.
Step 10 Save validation documents
After results are submitted to the National Office, states should save all documents
supporting their validation results and retain them for three years. This includes all
sample validation worksheets, any notes documenting errors, extract files, a reference to
the version of Module 3 that was used, screen shots of the submitted RV results and any
other supporting documentation (such as benefit system screen shots and/or paper files).
UI DV HANDBOOK, BENEFITS 12 MAY 2013
INTRODUCTION
Figure A
GU
Overview
O
of Data
O
Validation Methodology
O O O OG
Sample Portion of UIRR ETA 9050
Intrastate 1
UI UCFE
Benefits
First Payments, ETA 9050 6 2 Database
Code Validation
(Benefits Database Screen)
2
Sample Screen (from State Database)
Claims Inquiry
SSN Program Agent WBA
State
123 UI Same $120
3 Payments History
Data Validation Payment Wk. End Amount STS Earnings
Data Date
Software Validation 2/3 $0 W $0
Extract File 2/12 2/10 $120 A $0
2/19 2/17 $120 A $0
Minnesota
4
7
5
Report Validation Screen Sample Validation Screen Step Validation (Module 3)
6
UI DV HANDBOOK, BENEFITS 13 MAY 2013
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. Sixteen validation extract files are constructed according to specifications
in the DV ETA Operations Guide 411 and Appendix A. These files are used to reconstruct
counts for 16 types of UI benefits transaction populations. The 16 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 by Cause
13 Overpayment Reconciliation Transactions
14 Aged Overpayments
15 Overpayments Established by Method
UI DV HANDBOOK, BENEFITS 1.1 MAY 2013
REPORT VALIDATION MODULE 1
B. Methodology
Step 1 Produce Report Validation Extract Files
State staff produces 16 report validation extract files based on the record layout
specifications in the ETA Operations Guide 411. There is one extract file for each of
the 16 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
ETA Operations Guide 411. 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 ETA Operations Guide 411 specify the valid data formats for each
field, and the population tables in Appendix A specify the valid values. The software
UI DV HANDBOOK, BENEFITS 1.2 MAY 2013
REPORT VALIDATION MODULE 1
uses the duplicate detection criteria in the ETA Operations Guide 411 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 MAY 2013
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 (ETA Operations Guide 411): 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 (ETA Operations Guide 411): 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
ETA Operations Guide 411.
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 MAY 2013
REPORT VALIDATION MODULE 1
Figure 1.1
Overview of Module 1
1A 3
UI Required
Report cell totals
from sun-based
Record Layouts Analyze program system to RV
(DV Operations Guide) specifications and Summary
develop extract files
1B
Data Element Validation
State Specific Instructions
(Module 3 )
Run
extract programs
1C 4
2
Duplicate Detection Criteria
(DV Operations Guide)
RV Summary
Detailed Record Counts and
Extract File Dollars
1D
Subpopulation Specifications
(Appendix A)
Import extract file into DV
software 3
3
3 Validation counts
automatically
transferred to
RV Summary
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 MAY 2013
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 Number - 00000000 INTEGER NOT NULL
sequential unique (Required)
identifier for each 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 (Optional) (100)
additional data element.
Not mandatory.
UI DV HANDBOOK, BENEFITS 1.6 MAY 2013
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 MAY 2013
REPORT VALIDATION MODULE 1
Figure 1.4
Population 10 Validation File After Processed by DV Software
UI DV HANDBOOK, BENEFITS 1.8 MAY 2013
REPORT VALIDATION MODULE 1
Figure 1.5
Population 10 RV Screen
UI DV HANDBOOK, BENEFITS 1.9 MAY 2013
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 MAY 2013
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 ETA Operations Guide 411 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 MAY 2013
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 ETA Operations Guide 411 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 MAY 2013
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
2 state regulations or 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
3 files. When all 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
5
on the worksheet for that element.
If the data element passes all of the rules, then the validator clicks the ‘PASS’ check box on the
6
worksheet for that step.
The validator proceeds through each of the steps for each sampled transaction in the same manner.
7 After 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 MAY 2013
DATA ELEMENT VALIDATION MODULE 2
Figure 2.1
Overview of Module 2
Section of Sample Screen Example of Module 3 step
State Module 3
__________________________________
Step 4: Program Type
Sub Step A: UI
___________________________________
Instructions: -
__________________________________
Rule 1:
Document 1:
Validation:
Document 2:
Validation:
Validator locates 2
_____________________________
validation Instructions in Rule 2:
1
Module 3 Document 1:
- Looks up first step Validation:
number on worksheet _________________________________
(Step 4A) Federal Definition:
State Definitional Problems:
State Comments:
__________________________________
UI Ben Validation Handbook 12 August 12, 2009
Determine if data element
passes all validation rules
using: 3 Obtain
necessary screens/
1) Worksheet documents
2) Step in Module 3
3) Screens/Documents
4
Yes No
Does
data element
5 6
pass
all rules?
PASS FAIL
Click the box to Click the box to
select PASS select FAIL
7
Software
calculates
sample’s error
rate and score
UI DV HANDBOOK, BENEFITS 2.5 MAY 2013
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 between April 10 and June 10
states need to certify that they have reviewed their Module 3 and that it’s 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 MAY 2013
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 Extended
4 Program Type UI UCX Employment
UCFE/UCX UI/Federal Benefits
Program
Interstate
Intrastate or Interstate Taken Interstate Filed
5 Intrastate Received as Intrastate CWC Interstate CWC
Interstate 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
UI DV HANDBOOK, BENEFITS 3.2 MAY 2013
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
15*
Payments Time Lapse NOT APPLICABLE. THIS STEP IS NOT MANUALLY VALIDATED.
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
22* Nonmonetary First Week
Detection Date
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
29* Appeal Case
Appeal Time
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
UI DV HANDBOOK, BENEFITS 3.3 MAY 2013
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
Agency
Cause of Multi-Claimant State Agency Employee
34 Reversal (JAVA) Employer Error Claimant Error Other Cause Penalty Single Claimant
Overpayments Schemes Error Benefits Fraud
Other Non-
Controllable controllable National
Overpayment Wage/Benefit State Directory Multi-Claimant
35 IB Crossmatch Special Project Overpayment Overpayment Directory of
Detection Activities Crossmatch of New Hires Scheme Systems
Detection Detection New Hires
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 Extended
Reconciliation
Benefits
Activity
Outstanding
41 NOT APPLICABLE. THIS STEP IS NO LONGER VALIDATED.
Overpayment
Balance of Extended
42 UI Federal
Overpayment Benefits
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
Accumulated
Extended
45 Overpayment UI Federal
Benefits
Amount
Overpayment
46 Established by
Investigation
** Step numbers 15, 22, 29, 41, and 43 are no longer used but have been retained in Module 3 as placeholders. All steps but step 41 correspond to time lapse
calculations that are now automatically validated by the software. Step 41 is no longer validated.
UI DV HANDBOOK, BENEFITS 3.4 MAY 2013
DEV STATE SPECIFIC INSTRUCTIONS MODULE 3
Table 3.2
Relevant Data Element Validation Steps
By Population
Population Relevant Module 3 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 by Cause 1, 4, 33, 34, 36, 37, 45
13 - Overpayment Reconciliation 1, 4, 33, 38, 39, 40
14 - Overpayment Case Aging 1, 4, 33, 36, 42, 44
15 - Overpayments Established by Method 1, 33, 35, 36, 37, 46
†† The appropriate substeps for each population are specified on the population tables in Appendix A.
UI DV HANDBOOK, BENEFITS 3.5 MAY 2013
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 MAY 2013
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
UI DV HANDBOOK, BENEFITS 4.2 MAY 2013
QUALITY SAMPLE VALIDATION MODULE 4
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.
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.
UI DV HANDBOOK, BENEFITS 4.3 MAY 2013
QUALITY SAMPLE VALIDATION MODULE 4
• 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.
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
UI DV HANDBOOK, BENEFITS 4.4 MAY 2013
QUALITY SAMPLE VALIDATION MODULE 4
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 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 MAY 2013
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 Web site 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: 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 MAY 2013
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 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 MAY 2013
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.32
Populations 6 and 7 ............................................................................................................................... A.44
Population 8 .......................................................................................................................................... A.47
Population 9 .......................................................................................................................................... A.57
Populations 10 and 11 ........................................................................................................................... A.63
Population 12 ........................................................................................................................................ A.67
Population 13 ........................................................................................................................................ A.74
Population 14 ........................................................................................................................................ A.82
Population 15 ....................................................................................................................................... A.87
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
ETA Operations Guide 411) 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 16 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,
UI DV HANDBOOK, BENEFITS A.1 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
Rule 1 asks the 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 MAY 2013
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 Optional
Agent State*
Interstate Filed from
1.8 5159A-202-11 Required Required Regular UI UCFE Required Optional
Agent State*
Interstate Filed from
1.9 5159A-203-11 Required Required Regular UI UCX Required Optional
Agent State*
*These values are abbreviated in the record layout data format specifications (see Appendix A of ETA Operations Guide 411) but are shown here in their
entirety for informational purposes.
UI DV HANDBOOK, BENEFITS A.3 MAY 2013
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 MAY 2013
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 MAY 2013
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 MAY 2013
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 MAY 2013
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 MAY 2013
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 MAY 2013
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
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
UI DV HANDBOOK, BENEFITS A.10 MAY 2013
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-101-6
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)*
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)*
UI DV HANDBOOK, BENEFITS A.11 MAY 2013
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
3.37 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*
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
UI DV HANDBOOK, BENEFITS A.12 MAY 2013
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
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 A of ETA Operations Guide 411) 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 MAY 2013
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 A of ETA Operations Guide 411) but are shown here in their entirety for informational
purposes.
UI DV HANDBOOK, BENEFITS A.14 MAY 2013
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 MAY 2013
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
a
26-27 Weeks Number at Maximum Duration Average Weeks Duration
(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 MAY 2013
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 UCX 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:
UI DV HANDBOOK, BENEFITS A.17 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
A) When no original monetary determination was sent during the quarter being
validated
UI DV HANDBOOK, BENEFITS A.18 MAY 2013
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 3.40 through 3.45, 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.19 MAY 2013
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.
UI DV HANDBOOK, BENEFITS A.20 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
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, 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
UI DV HANDBOOK, BENEFITS A.21 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
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 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.22 MAY 2013
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.23 MAY 2013
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
0 a 0 a 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.24 MAY 2013
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.25 MAY 2013
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.26 MAY 2013
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.27 MAY 2013
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.28 MAY 2013
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 A of ETA Operations Guide 411) 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.29 MAY 2013
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.30 MAY 2013
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
a
State UI Program 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
c
Column 10 Column 10 Column 10 Columns 11 & Columns 11 & Column 12
b
1-4 1-4 2, 4, 10, 12 12 12 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 b
If joint claim, then only includes the UI share of the payment. Includes all payments from UCFE and the UCX portion of UCFE/UCX funds.
c
Includes all payments from UCX funds.
UI DV HANDBOOK, BENEFITS A.31 MAY 2013
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.32 MAY 2013
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.33 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.5.1
Population 5 Subpopulations
Nonmometary Determinations and Redeterminations
Notice Date Falls within Reporting /Validation Period
10
2 3 4 5 6 7 8 9 (Step 11 12 13
(Step 1D) (Step 1D) (Step 2) (Step 4) (Step 5) (Step 16) (Step 17) (Step 18) 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.34 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
10
2 3 4 5 6 7 8 9 (Step 11 12 13
(Step 1D) (Step 1D) (Step 2) (Step 4) (Step 5) (Step 16) (Step 17) (Step 18) 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.35 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
10
2 3 4 5 6 7 8 9 (Step 11 12 13
(Step 1D) (Step 1D) (Step 2) (Step 4) (Step 5) (Step 16) (Step 17) (Step 18) 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.36 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
10
2 3 4 5 6 7 8 9 (Step 11 12 13
(Step 1D) (Step 1D) (Step 2) (Step 4) (Step 5) (Step 16) (Step 17) (Step 18) 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.37 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
10
2 3 4 5 6 7 8 9 (Step 11 12 13
(Step 1D) (Step 1D) (Step 2) (Step 4) (Step 5) (Step 16) (Step 17) (Step 18) 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.38 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
10
2 3 4 5 6 7 8 9 (Step 11 12 13
(Step 1D) (Step 1D) (Step 2) (Step 4) (Step 5) (Step 16) (Step 17) (Step 18) 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.39 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
10
2 3 4 5 6 7 8 9 (Step 11 12 13
(Step 1D) (Step 1D) (Step 2) (Step 4) (Step 5) (Step 16) (Step 17) (Step 18) 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.40 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
10
2 3 4 5 6 7 8 9 (Step 11 12 13
(Step 1D) (Step 1D) (Step 2) (Step 4) (Step 5) (Step 16) (Step 17) (Step 18) 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.41 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
10
2 3 4 5 6 7 8 9 (Step 11 12 13
(Step 1D) (Step 1D) (Step 2) (Step 4) (Step 5) (Step 16) (Step 17) (Step 18) 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.42 MAY 2013
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 64
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.43 MAY 2013
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.44 MAY 2013
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 are counted in two ways on the ETA 207
report. Section A 101(6) counts the number of multiclaimant determinations (affirmed
plus denied). Section A 102(6) counts the number of claimants affected by denial
determinations. Currently the software cannot distinguish between the number of
claimants affected and the number of denial determinations because the Population 5
record lacks a key field. If a single record for each denial determination is created, the
count of determinations will be correct; however, the count of claimants involved in
denials will be understated. Alternatively, if a record for each denied claimant is
created, the count of claimants involved in denials will be correct; however, but the
count of determinations will be overstated.
The extract file and software will be revised in the future so that both the number of
multiclaimant determinations and the number of claimants denied will be captured in
the same way that is currently done for all multiclaimant appeal decisions reported on
the ETA 5130 (Populations 8 and 9).
In the meantime, when building the Population 5 extract file create a record for each
multiclaimant determination to deny benefits as well as to affirm benefits. This can be
done by creating a record for one claimant out of each multiclaimant denial
determination as representative of that determination. The validation count for the
number of multiclaimant determinations thus will be correct, and the reported counts of
the UI multiclaimant determinations on the ETA 207 (Group 5.04) and on the ETA
9052 reports (Group 5.10) will be properly validated. These are Pass/Fail groups
because they are part of important workload items. However, the number of claimants
denied on line 102 of the ETA 207 will be incorrect. (These are not Pass/Fail items.)
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.45 MAY 2013
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
a
6.2 200-10 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.46 MAY 2013
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.47 MAY 2013
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.48 MAY 2013
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.49 MAY 2013
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.50 MAY 2013
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.51 MAY 2013
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.52 MAY 2013
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.53 MAY 2013
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.54 MAY 2013
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.55 MAY 2013
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.56 MAY 2013
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.57 MAY 2013
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
a a
45-52 41-42 43-44
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 b 45-53
by Decision 54-55
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.58 MAY 2013
DATA ELEMENT VALIDATION APPENDIX A
Table A.8.3
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.59 MAY 2013
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.60 MAY 2013
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.61 MAY 2013
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.62 MAY 2013
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.63 MAY 2013
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
a a
100 13-20 9-10 11-12
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 b c
22 23
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.9.3
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.64 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
Populations 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.
4. Remanded cases by the higher authority are to be handled as follows. A case remanded
to lower authority for the taking of additional evidence is not a decision. It thus does not
belong in the Population 9 extract file until it is actually returned by the lower authority
and then disposed of by the higher authority. A case that is remanded for a rehearing
does involve a decision by the higher authority but it is neither in favor of the appellant
nor not in favor of the appellant. Within the existing DV framework, the Population 9
record should be built as Not in Favor of the Appellant. If a large number of remanded
cases causes the Population 9 validation to fail, note the number if the Comments field.
UI DV HANDBOOK, BENEFITS A.65 MAY 2013
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.66 MAY 2013
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.67 MAY 2013
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.68 MAY 2013
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
Populations 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.69 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.12.1
Population 12 Subpopulations
Overpayments Established by Cause
2 3 4 5 6 7 8 9 10 11 12 13 14
(Step 1G) (Step 1G) (Step (Step 33) (Step 34) (Step (Step (Step 37B) (Step (Step (Step (Step 6A)
(Step 45B)
(Rule 1) (Rule 2) 4) 36) 37A) 37C) 45A) 45C) (Step 6B)
Subpop ETA 227A SSN Unique ID Progr Type of Cause of Date UI Federal EB Accumul Accumulat Accumul Date of
# Line and am Overpaym Overpaym Establis Amounta Amounta Amounta ated UI ed Federal ated EB Original
Column Type ent ent hed Amount Amount Amount Monetary
OVERPAYMENTS (12.1 through 12.27)
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
State Within claim;
101 (2, 4, 5) maintains a Single the otherwise Blank or
112 (2, 4, 5) Required unique ID UI Fraud Claimant Quarter >0 blank or 0 Blank or 0 0 Required
Required if > 0 if joint
101 (2, 4, 5) State Multi Within claim;
102 (2, 4, 5) maintains a Claimant the otherwise Blank or
12.2b 112 (2, 4, 5) Required unique ID UI Fraud Schemesc Quarter >0 blank or 0 Blank or 0 0 Required
Required if > 0 if joint
State Within claim;
104 (2, 4, 5) maintains a the otherwise Blank or
12.3b 113 (2, 4, 5) Required unique ID UI Nonfraud Reversals Quarter >0 blank or 0 Blank or 0 0 Required
Required if > 0 if joint
State State Within claim;
105 (2, 4, 5) maintains a Agency the otherwise Blank or
12.4b 113 (2, 4, 5) Required unique ID UI Nonfraud Errorsc Quarter >0 blank or 0 Blank or 0 0 Required
Required if > 0 if joint
State Within claim;
106 (2, 4, 5) maintains a Employer the otherwise Blank or
12.5b 113 (2, 4, 5) Required unique ID UI Nonfraud Errorsc Quarter >0 blank or 0 Blank or 0 0 Required
Required if > 0 if joint
State Within claim;
107 (2, 4, 5) maintains a Claimant the otherwise Blank or
12.6b 113 (2, 4, 5) Required unique ID UI Nonfraud Errorsc Quarter >0 blank or 0 Blank or 0 0 Required
UI DV HANDBOOK, BENEFITS A.70 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13 14
(Step 1G) (Step 1G) (Step (Step 33) (Step 34) (Step (Step (Step 37B) (Step (Step (Step (Step 6A)
(Step 45B)
(Rule 1) (Rule 2) 4) 36) 37A) 37C) 45A) 45C) (Step 6B)
Subpop ETA 227A SSN Unique ID Progr Type of Cause of Date UI Federal EB Accumul Accumulat Accumul Date of
# Line and am Overpaym Overpaym Establis Amounta Amounta Amounta ated UI ed Federal ated EB Original
Column Type ent ent hed Amount Amount Amount Monetary
Required if > 0 if joint
State Within claim;
108 (2, 4, 5) maintains a the otherwise Blank or
12.7b 113 (2, 4, 5) Required unique ID UI Nonfraud Other Quarter >0 blank or 0 Blank or 0 0 Required
Required if > 0 if joint
State Within claim;
maintains a the otherwise
12.8b 109 (4, 5) Required unique ID UI Penalty Quarter >0 blank or 0 Blank or 0 Required
Required if
State UCFE Within
101 (3, 5) maintains a or Single the Blank or Blank or
12.9 112 (3, 5) Required unique ID UCX Fraud Claimant Quarter Blank or 0 >0 Blank or 0 0 0 Required
Required if
101 (3, 5) State UCFE Multi Within
102 (3, 5) maintains a or Claimant the Blank or Blank or
12.10 112 (3, 5) Required unique ID UCX Fraud Schemesc Quarter Blank or 0 >0 Blank or 0 0 0 Required
Required if
State UCFE Within
104 (3, 5) maintains a or the Blank or Blank or
12.11 113 (3, 5) Required unique ID UCX Nonfraud Reversals Quarter Blank or 0 >0 Blank or 0 0 0 Required
Required if
State UCFE State Within
105 (3, 5) maintains a or Agency the Blank or Blank or
12.12 113 (3, 5) Required unique ID UCX Nonfraud Errorsc Quarter Blank or 0 >0 Blank or 0 0 0 Required
Required if
State UCFE Within
106 (3, 5) maintains a or Employer the Blank or Blank or
12.13 113 (3, 5) Required unique ID UCX Nonfraud Errorsc Quarter Blank or 0 >0 Blank or 0 0 0 Required
Required if
State UCFE Within
107 (3, 5) maintains a or Claimant the Blank or Blank or
12.14 113 (3, 5) Required unique ID UCX Nonfraud Errorsc Quarter Blank or 0 >0 Blank or 0 0 0 Required
UI DV HANDBOOK, BENEFITS A.71 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13 14
(Step 1G) (Step 1G) (Step (Step 33) (Step 34) (Step (Step (Step 37B) (Step (Step (Step (Step 6A)
(Step 45B)
(Rule 1) (Rule 2) 4) 36) 37A) 37C) 45A) 45C) (Step 6B)
Subpop ETA 227A SSN Unique ID Progr Type of Cause of Date UI Federal EB Accumul Accumulat Accumul Date of
# Line and am Overpaym Overpaym Establis Amounta Amounta Amounta ated UI ed Federal ated EB Original
Column Type ent ent hed Amount Amount Amount Monetary
Required if
State UCFE Within
108 (3, 5) maintains a or the Blank or Blank or
12.15 113 (3, 5) Required unique ID UCX Nonfraud Other Quarter Blank or 0 >0 Blank or 0 0 0 Required
Required if
State UCFE Within
maintains a or the
12.16 109 (5) Required unique ID UCX Penalty Quarter Blank or 0 >0 Blank or 0
Required if > 0 if joint
101 (2, 4, 5) State Agency Within claim;
111 (2, 4, 5) maintains a Employee the otherwise Blank or
12.17b 112 (2, 4, 5) Required unique ID UI Fraud Benefit Quarter >0 blank or 0 Blank or 0 0 Required
Required if
101 (3, 5) State UCFE Agency Within
111 (3, 5) maintains a or Employee the Blank or Blank or
12.18 112 (3, 5) Required unique ID UCX Fraud Benefit Quarter Blank or 0 >0 Blank or 0 0 0 Required
Required if
State Within
101 (20, 21) maintains a Single the Blank or
12.19 112 (20, 21) Required unique ID EB Fraud Claimant Quarter Blank or 0 Blank or 0 >0 0 Blank or 0 Required
Required if
101 (20, 21) State Multi Within
102 (20, 21) maintains a Claimant the Blank or
12.20 112 (20, 21) Required unique ID EB Fraud Schemesc Quarter Blank or 0 Blank or 0 >0 0 Blank or 0 Required
Required if
101 (20, 21) State Agency Within
111 (20, 21) maintains a Employee the Blank or
12.21 112 (20, 21) Required unique ID EB Fraud Benefit Quarter Blank or 0 Blank or 0 >0 0 Blank or 0 Required
Required if
State Within
104 (20, 21) maintains a the Blank or
12.22 113 (20, 21) Required unique ID EB Nonfraud Reversals Quarter Blank or 0 Blank or 0 >0 0 Blank or 0 Required
UI DV HANDBOOK, BENEFITS A.72 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10 11 12 13 14
(Step 1G) (Step 1G) (Step (Step 33) (Step 34) (Step (Step (Step 37B) (Step (Step (Step (Step 6A)
(Step 45B)
(Rule 1) (Rule 2) 4) 36) 37A) 37C) 45A) 45C) (Step 6B)
Subpop ETA 227A SSN Unique ID Progr Type of Cause of Date UI Federal EB Accumul Accumulat Accumul Date of
# Line and am Overpaym Overpaym Establis Amounta Amounta Amounta ated UI ed Federal ated EB Original
Column Type ent ent hed Amount Amount Amount Monetary
Required if
State State Within
105 (20, 21) maintains a Agency the Blank or
12.23 113 (20, 21) Required unique ID EB Nonfraud Errorsc Quarter Blank or 0 Blank or 0 >0 0 Blank or 0 Required
Required if
State Within
106 (20, 21) maintains a Employer the Blank or
12.24 113 (20, 21) Required unique ID EB Nonfraud Errorsc Quarter Blank or 0 Blank or 0 >0 0 Blank or 0 Required
Required if
State Within
107 (20, 21) maintains a Claimant the Blank or
12.25 113 (20, 21) Required unique ID EB Nonfraud Errorsc Quarter Blank or 0 Blank or 0 >0 0 Blank or 0 Required
Required if
State Within
108 (20, 21) maintains a the Blank or
12.26 113 (20, 21) Required unique ID EB Nonfraud Other Quarter Blank or 0 Blank or 0 >0 0 Blank or 0 Required
Required if
State Within
maintains a the
12.27 109 (21) Required unique ID EB Penalty Quarter Blank or 0 Blank or 0 >0
_____________________________
a
To accommodate the special case when there is a claim that has no amount for a type of overpayment in the validation quarter but has an accumulated amount from previous
quarters that needs to be used to calculate a high dollar overpayment, the software will accept a zero or blank value in the UI Amount, Federal Amount and EB Amount fields, but
the corresponding accumulated amount must be greater than zero.
b
For Subpopulations 12.1 through 12.8, and 12.17 the Federal amount is the Federal share of a joint UI-Federal claim.
c
These values are abbreviated in the record layout data format specifications (see Appendix A of ETA Operations Guide 411) but are shown here in their entirety for informational
purposes.
UI DV HANDBOOK, BENEFITS A.73 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.12.2
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 Schemes UI UCFE/UCX EB UI UCFE/UCX EB
Cause No. (1) (2) (3) (20) (4) (5) (21)
1, 2 19, 20 1, 2
9, 10 and 9, 10 and 19, 20
and and and
18 18 and 21
Fraud − Total 101 17 21 17
Multi Claimant
Schemes 102 2 10 20 2 2 and 10 20
Cases of Agency
Employee Benefit 17 18 21 17 17 and 18 21
Fraud 111
1, 2 19, 20 1, 2
9, 10 and 1, 2, 9, 10, 19, 20
and and and
18 17, and 18 and 21
High Dollar Fraud 112 17 21 17
Nonfraud − Total 103
Reversals 104 3 11 22 3 3 and 11 22
State
Agency
Errors 105 4 12 23 4 4 and 12 23
Employer
Errors 106 5 13 24 5 5 and 13 24
Claimant
Errors 107 6 14 25 6 6 and 14 25
Other 108 7 15 26 7 7 and 15 26
High Dollar 3-7 and 11-
NonFraud 113 3-7 11-15 22-26 3-7 15 22-26
Penalty 109 8 8 and 16 27
Population 12 Notes
1. Subpopulations 12.1 – 12.8 and 12.17: Enter the Federal amount in Column 9 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 “Single
Claimant.” The software will reject records for fraud overpayments where the cause is
UI DV HANDBOOK, BENEFITS A.74 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
not “multiclaimant schemes” or “Single Claimant.” States that use multiple codes for
types of fraud committed by single claimants should use “Single Claimant.”
4. The accumulated amounts (i.e. fields Accumulated UI Amount, Accumulated Federal
Amount, and Accumulated EB Amount) are used to calculate high dollar overpayments.
Enter the total amount that the claim has from previous quarters that has not been
counted already towards a high dollar overpayment in a previous quarter. For records
belonging to the same claim, the accumulated amount should be the same. The software
will add the accumulated amount only once.
5. To accommodate the special case when there is a claim that has no amount for a type of
overpayment in the validation quarter but has an accumulated amount from previous
quarters that needs to be used to calculate a high dollar overpayment, the software will
accept a zero or blank value in the UI Amount, Federal Amount and EB Amount fields,
but the corresponding accumulated amount must be greater than zero. For example, if
the claim has a nonfraud amount but no fraud amount in the validation quarter, the
validator needs to create a record with the accumulated fraud amount from previous
quarters. The record should have the amount equal to zero, the accumulated amount
greater than zero and any date within the validation quarter as the date established. The
software will accept records with the amount equal to zero only if the accumulated
amount is greater than zero. For example, if the Program Type is UI, and the UI
Amount = 0, then Accumulated UI Amount > 0 and/or Accumulated Federal Amount >
0 if it’s a joint claim. If Program Type is UCX or UCFE and Federal Amount = 0, then
Accumulated Federal Amount > 0. If Program Type is EB, and EB Amount = 0, then
Accumulated EB Amount > 0. This does not apply to Penalty records, for which the
accumulated amounts are always optional because they are not used to calculate high
dollar overpayments.
UI DV HANDBOOK, BENEFITS A.75 MAY 2013
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 10
(Step 1H) (Step 1H) (Step 4) (Step 33) (Step 38) (Step 39) (Step 40A) (Step 40B) (Step 40C)
(Rule 1) (Rule 2)
Sub ETA 227C
pop Line and SSN Unique ID Program Type of Type of Date of UI Federal EB
# Column Type Overpayment Reconciliation Reconciliation Reconciliation Reconciliation Reconciliation
Activity Activity Amount Amounta Amount
OVERPAYMENT RECONCILIATION TRANSACTIONS (13.1 through 13.57)
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;
maintains a otherwise blank Must be blank
13.1 303 (11, 12) Required unique ID UI Fraud Cash Required >0 or 0 or 0
Required if State > 0 if joint claim;
maintains a otherwise blank Must be blank
13.2 304 (11, 12) Required unique ID UI Fraud Benefit Offset Required >0 or 0 or 0
Required if State > 0 if joint claim;
maintains a State Income otherwise blank Must be blank
13.3 305 (11, 12) Required unique ID UI Fraud Tax Offset* Required >0 or 0 or 0
Required if State > 0 if joint claim;
maintains a otherwise blank Must be blank
13.4 306 (11, 12) Required unique ID UI Fraud By Other State Required >0 or 0 or 0
Required if State > 0 if joint claim;
maintains a otherwise blank Must be blank
13.5 307 (11, 12) Required unique ID UI Fraud Other Required >0 or 0 or 0
Required if State > 0 if joint claim;
maintains a otherwise blank Must be blank
13.6 309 (11, 12) Required unique ID UI Fraud Write-Off Required >0 or 0 or 0
Required if State > 0 if joint claim;
maintains a otherwise blank Must be blank
13.7 310 (11, 12) Required unique ID UI Fraud Addition Required >0 or 0 or 0
Required if State > 0 if joint claim;
maintains a otherwise blank Must be blank
13.8 311 (11, 12) Required unique ID UI Fraud Subtraction Required >0 or 0 or 0
UI DV HANDBOOK, BENEFITS A.76 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10
(Step 1H) (Step 1H) (Step 4) (Step 33) (Step 38) (Step 39) (Step 40A) (Step 40B) (Step 40C)
(Rule 1) (Rule 2)
Sub ETA 227C
pop Line and SSN Unique ID Program Type of Type of Date of UI Federal EB
# Column Type Overpayment Reconciliation Reconciliation Reconciliation Reconciliation Reconciliation
Activity Activity Amount Amounta Amount
Required if State
maintains a UCFE or Must be blank Must be blank
13.9 303 (12) Required unique ID UCX Fraud Cash Required or 0 >0 or 0
Required if State
maintains a UCFE or Must be blank Must be blank
13.10 304 (12) Required unique ID UCX Fraud Benefit Offset Required or 0 >0 or 0
Required if State
maintains a UCFE or State Income Must be blank Must be blank
13.11 305 (12) Required unique ID UCX Fraud Tax Offset* Required or 0 >0 or 0
Required if State
maintains a UCFE or Must be blank Must be blank
13.12 306 (12) Required unique ID UCX Fraud By Other State Required or 0 >0 or 0
Required if State
maintains a UCFE or Must be blank Must be blank
13.13 307 (12) Required unique ID UCX Fraud Other Required or 0 >0 or 0
Required if State
maintains a UCFE or Must be blank Must be blank
13.14 309 (12) Required unique ID UCX Fraud Write-Off Required or 0 >0 or 0
Required if State
maintains a UCFE or Must be blank Must be blank
13.15 310 (12) Required unique ID UCX Fraud Addition Required or 0 >0 or 0
Required if State
maintains a UCFE or Must be blank Must be blank
13.16 311 (12) Required unique ID UCX Fraud Subtraction Required or 0 >0 or 0
Required if State > 0 if joint claim;
maintains a otherwise blank Must be blank
13.17 303 (13, 14) Required unique ID UI Nonfraud Cash Required >0 or 0 or 0
Required if State > 0 if joint claim;
maintains a otherwise blank Must be blank
13.18 304 (13, 14) Required unique ID UI Nonfraud Benefit Offset Required >0 or 0 or 0
Required if State > 0 if joint claim;
maintains a State Income otherwise blank Must be blank
13.19 305 (13, 14) Required unique ID UI Nonfraud Tax Offset* Required >0 or 0 or 0
Required if State > 0 if joint claim;
maintains a otherwise blank Must be blank
13.20 306 (13, 14) Required unique ID UI Nonfraud By Other State Required >0 or 0 or 0
UI DV HANDBOOK, BENEFITS A.77 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10
(Step 1H) (Step 1H) (Step 4) (Step 33) (Step 38) (Step 39) (Step 40A) (Step 40B) (Step 40C)
(Rule 1) (Rule 2)
Sub ETA 227C
pop Line and SSN Unique ID Program Type of Type of Date of UI Federal EB
# Column Type Overpayment Reconciliation Reconciliation Reconciliation Reconciliation Reconciliation
Activity Activity Amount Amounta Amount
Required if State > 0 if joint claim;
maintains a otherwise blank Must be blank
13.21 307 (13, 14) Required unique ID UI Nonfraud Other Required >0 or 0 or 0
Required if State > 0 if joint claim;
maintains a otherwise blank Must be blank
13.22 308 (13, 14) Required unique ID UI Nonfraud Waived Required >0 or 0 or 0
Required if State > 0 if joint claim;
maintains a otherwise blank Must be blank
13.23 309 (13, 14) Required unique ID UI Nonfraud Write-Off Required >0 or 0 or 0
Required if State > 0 if joint claim;
maintains a otherwise blank Must be blank
13.24 310 (13, 14) Required unique ID UI Nonfraud Addition Required >0 or 0 or 0
Required if State > 0 if joint claim;
maintains a otherwise blank Must be blank
13.25 311 (13, 14) Required unique ID UI Nonfraud Subtraction Required >0 or 0 or 0
Required if State
maintains a UCFE or Must be blank Must be blank
13.26 303 (14) Required unique ID UCX Nonfraud Cash Required or 0 >0 or 0
Required if State
maintains a UCFE or Must be blank Must be blank
13.27 304 (14) Required unique ID UCX Nonfraud Benefit Offset Required or 0 >0 or 0
Required if State
maintains a UCFE or State Income Must be blank Must be blank
13.28 305 (14) Required unique ID UCX Nonfraud Tax Offset* Required or 0 >0 or 0
Required if State
maintains a UCFE or Must be blank Must be blank
13.29 306 (14) Required unique ID UCX Nonfraud By Other State Required or 0 >0 or 0
Required if State
maintains a UCFE or Must be blank Must be blank
13.30 307 (14) Required unique ID UCX Nonfraud Other Required or 0 >0 or 0
Required if State
maintains a UCFE or Must be blank Must be blank
13.31 308 (14) Required unique ID UCX Nonfraud Waived Required or 0 >0 or 0
Required if State
maintains a UCFE or Must be blank Must be blank
13.32 309 (14) Required unique ID UCX Nonfraud Write-Off Required or 0 >0 or 0
UI DV HANDBOOK, BENEFITS A.78 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10
(Step 1H) (Step 1H) (Step 4) (Step 33) (Step 38) (Step 39) (Step 40A) (Step 40B) (Step 40C)
(Rule 1) (Rule 2)
Sub ETA 227C
pop Line and SSN Unique ID Program Type of Type of Date of UI Federal EB
# Column Type Overpayment Reconciliation Reconciliation Reconciliation Reconciliation Reconciliation
Activity Activity Amount Amounta Amount
Required if State
maintains a UCFE or Must be blank Must be blank
13.33 310 (14) Required unique ID UCX Nonfraud Addition Required or 0 >0 or 0
Required if State
maintains a UCFE or Must be blank Must be blank
13.34 311 (14) Required unique ID UCX Nonfraud Subtraction Required or 0 >0 or 0
Required if State
maintains a Must be blank Must be blank
13.35 303 (22) Required unique ID EB Fraud Cash Required or 0 or 0 >0
Required if State
maintains a Must be blank Must be blank
13.36 304 (22) Required unique ID EB Fraud Benefit Offset Required or 0 or 0 >0
Required if State
maintains a State Income Must be blank Must be blank
13.37 305 (22) Required unique ID EB Fraud Tax Offset* Required or 0 or 0 >0
Required if State
maintains a Must be blank Must be blank
13.38 306 (22) Required unique ID EB Fraud By Other State Required or 0 or 0 >0
Required if State
maintains a Must be blank Must be blank
13.39 307 (22) Required unique ID EB Fraud Other Required or 0 or 0 >0
Required if State
maintains a Must be blank Must be blank
13.40 309 (22) Required unique ID EB Fraud Write-Off Required or 0 or 0 >0
Required if State
maintains a Must be blank Must be blank
13.41 310 (22) Required unique ID EB Fraud Addition Required or 0 or 0 >0
Required if State
maintains a Must be blank Must be blank
13.42 311 (22) Required unique ID EB Fraud Subtraction Required or 0 or 0 >0
Required if State
maintains a Must be blank Must be blank
13.43 303 (23) Required unique ID EB Nonfraud Cash Required or 0 or 0 >0
Required if State
maintains a Must be blank Must be blank
13.44 304 (23) Required unique ID EB Nonfraud Benefit Offset Required or 0 or 0 >0
UI DV HANDBOOK, BENEFITS A.79 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10
(Step 1H) (Step 1H) (Step 4) (Step 33) (Step 38) (Step 39) (Step 40A) (Step 40B) (Step 40C)
(Rule 1) (Rule 2)
Sub ETA 227C
pop Line and SSN Unique ID Program Type of Type of Date of UI Federal EB
# Column Type Overpayment Reconciliation Reconciliation Reconciliation Reconciliation Reconciliation
Activity Activity Amount Amounta Amount
Required if State
maintains a State Income Must be blank Must be blank
13.45 305 (23) Required unique ID EB Nonfraud Tax Offset* Required or 0 or 0 >0
Required if State
maintains a Must be blank Must be blank
13.46 306 (23) Required unique ID EB Nonfraud By Other State Required or 0 or 0 >0
Required if State
maintains a Must be blank Must be blank
13.47 307 (23) Required unique ID EB Nonfraud Other Required or 0 or 0 >0
Required if State
maintains a Must be blank Must be blank
13.48 308 (23) Required unique ID EB Nonfraud Waived Required or 0 or 0 >0
Required if State
maintains a Must be blank Must be blank
13.49 309 (23) Required unique ID EB Nonfraud Write-Off Required or 0 or 0 >0
Required if State
maintains a Must be blank Must be blank
13.50 310 (23) Required unique ID EB Nonfraud Addition Required or 0 or 0 >0
Required if State
maintains a Must be blank Must be blank
13.51 311 (23) Required unique ID EB Nonfraud Subtraction Required or 0 or 0 >0
Required if State Federal > 0 if joint claim;
maintains a Income Tax otherwise blank Must be blank
13.52 314 (11, 12) Required unique ID UI Fraud Offset* Required >0 or 0 or 0
Required if State Federal
maintains a UCFE or Income Tax Must be blank Must be blank
13.53 314 (12) Required unique ID UCX Fraud Offset* Required or 0 >0 or 0
Required if State Federal > 0 if joint claim;
maintains a Income Tax otherwise blank Must be blank
13.54 314 (13, 14) Required unique ID UI Nonfraud Offset* Required >0 or 0 or 0
Required if State Federal
maintains a UCFE or Income Tax Must be blank Must be blank
13.55 314 (14) Required unique ID UCX Nonfraud Offset* Required or 0 >0 or 0
Required if State Federal
maintains a Income Tax Must be blank Must be blank
13.56 314 (22) Required unique ID EB Fraud Offset* Required or 0 or 0 >0
UI DV HANDBOOK, BENEFITS A.80 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10
(Step 1H) (Step 1H) (Step 4) (Step 33) (Step 38) (Step 39) (Step 40A) (Step 40B) (Step 40C)
(Rule 1) (Rule 2)
Sub ETA 227C
pop Line and SSN Unique ID Program Type of Type of Date of UI Federal EB
# Column Type Overpayment Reconciliation Reconciliation Reconciliation Reconciliation Reconciliation
Activity Activity Amount Amounta Amount
Required if State Federal
maintains a Income Tax Must be blank Must be blank
13.57 314 (23) Required unique ID EB Nonfraud Offset* Required or 0 or 0 >0
*These values are abbreviated in the record layout data format specifications (see Appendix A of ETA Operations Guide 411) but are shown here
in their entirety for informational purposes.
a
For Subpopulations 13.1 through 13.8, 13.17 through 13.25, 13.52, and 13.54 the Federal amount is the Federal share of a joint UI-Federal claim.
UI DV HANDBOOK, BENEFITS A.81 MAY 2013
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
Line Dollar Amount
No. Fraud Nonfraud
UI UCFE/UCX EB UI UCFE/UCX EB
(11) (12) (22) (13) (14) (23)
Recovered - 302
Total
Cash 303 1 1 and 9 35 17 17 and 26
43
Benefit 304 2 2 and 10 36 18 18 and 27
Offset 44
State 305 3 3 and 11 37 19 19 and 28
Income
Tax
Offset
45
Federal 314 52 52 and 53 56 54 54 and 55
Income
Tax
Offset
57
By 306 4 4 and 12 38 20 20 and 29
Other
States 46
Other 307 5 5 and 13 39 21 21 and 30
47
Waived 308 22 22 and 31
48
Written-Off 309 6 6 and 14 40 23 23 and 32
49
Additions 310 7 7 and 15 41 24 24 and 33
50
Subtractions 311 8 8 and 16 42 25 25 and 34
51
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, 13.17-13.25, 13.52, and 13.54. Enter the Federal amount in
Column 9 for joint claims (field number 9 on the record layout).
UI DV HANDBOOK, BENEFITS A.82 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
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.83 MAY 2013
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 44) (Step 33) (Step 42A) (Step 42B) (Step 42C)
1G)
ETA 227C (Rule 1) (Rule 2)
ETA 227E Type of UI Federal EB
Date Overpaym
Sub Report, Line, SSN Unique ID Program Active Balance at Balance at Balance at
Established ent
pop # and Column Type Collection End of Qtr End of Qtr End of Qtr
> 0 if joint
E501 (18, 19) Required if State claim;
14.1 Required Requireda UI >0 Must be blank or 0
Age ≤ 90 days maintains a unique ID otherwise
blank or 0
> 0 if joint
E502 (18, 19) Required if State claim;
14.2 Required Requireda UI >0 Must be blank or 0
Age 91-180 days maintains a unique ID otherwise
blank or 0
> 0 if joint
E503 (18, 19) Required if State claim;
14.3 Required Requireda UI >0 Must be blank or 0
Age 181-270 days maintains a unique ID otherwise
blank or 0
> 0 if joint
E504 (18, 19) Required if State claim;
14.4 Required Requireda UI >0 Must be blank or 0
Age 271-360 days maintains a unique ID otherwise
blank or 0
> 0 if joint
E505 (18, 19) Required if State claim;
14.5 Required Requireda UI >0 Must be blank or 0
Age 361-450 days maintains a unique ID otherwise
blank or 0
> 0 if joint
E506 (18, 19) Required if State claim;
14.6 Required Requireda UI Y or N* >0 Must be blank or 0
Age > 450 days maintains a unique ID otherwise
blank or 0
E501 (19) Required if State UCFE or Must be
14.7 Required Requireda >0 Must be blank or 0
Age ≤ 90 days maintains a unique ID UCX blank or 0
E502 (19) Required if State UCFE or Must be
14.8 Required Requireda >0 Must be blank or 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 Must be blank or 0
Age 181-270 days maintains a unique ID UCX blank or 0
UI DV HANDBOOK, BENEFITS A.84 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8 9 10
(Step
(Step 1G) (Step 36) (Step 4) (Step 44) (Step 33) (Step 42A) (Step 42B) (Step 42C)
1G)
ETA 227C (Rule 1) (Rule 2)
ETA 227E Type of UI Federal EB
Date Overpaym
Sub Report, Line, SSN Unique ID Program Active Balance at Balance at Balance at
Established ent
pop # and Column Type Collection End of Qtr End of Qtr End of Qtr
E504 (19) Required if State UCFE or Must be
14.10 Required Requireda >0 Must be blank or 0
Age 271-360 days maintains a unique ID UCX blank or 0
E505 (19) Required if State UCFE or Must be
14.11 Required Requireda >0 Must be blank or 0
Age 361-450 days 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 Must be blank or 0
Age > 450 days maintains a unique ID UCX blank or 0
> 0 if joint
Required if State claim;
14.13 C312 (11, 12) Required Requiredb UI N or D* Fraud >0 Must be blank or 0
maintains a unique ID otherwise
blank or 0
> 0 if joint
Required if State claim;
14.14 C312 (13, 14) Required Requiredb UI N or D* Nonfraud >0 Must be blank or 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 Must be blank or 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 Must be blank or 0
maintains a unique ID UCX blank or 0
Required if State Must be Must be
14.17 C312 (22) Required Requiredb EB N or D* Fraud >0
maintains a unique ID blank or 0 blank or 0
Required if State Must be Must be
14.18 C312 (23) Required Requiredb EB N or D* Nonfraud >0
maintains a unique ID blank or 0 blank or 0
E501 (25) Required if State Must be Must be
14.19 Required Requireda EB >0
Age ≤ 90 days maintains a unique ID blank or 0 blank or 0
E502 (25) Required if State Must be Must be
14.20 Required Requireda EB >0
Age 91-180 days maintains a unique ID blank or 0 blank or 0
E503 (25) Required if State Must be Must be
14.21 Required Requireda EB >0
Age 181-270 days maintains a unique ID blank or 0 blank or 0
E504 (25) Required if State Must be Must be
14.22 Required Requireda EB >0
Age 271-360 days maintains a unique ID blank or 0 blank or 0
E505 (25) Required if State Must be Must be
14.23 Required Requireda EB >0
Age 361-450 days maintains a unique ID blank or 0 blank or 0
E506 (25) Required if State Must be Must be
14.24 Required Requireda EB Y or N* >0
Age > 450 days maintains a unique ID blank or 0 blank or 0
Column 4:
UI DV HANDBOOK, BENEFITS A.85 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
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 6:
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 at the end of the 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 at the end of the report quarter after being in active collection throughout (or at least at the
end of) the prior quarter and reported in Section E at least nine previous quarters.
UI DV HANDBOOK, BENEFITS A.86 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.14.2
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
Accounts Receivable Line No. UI UCFE/UCX EB
(18) (19) (25)
90 days or less 501 1 1 and 7 19
91 − 180 days 502 2 2 and 8 20
181 − 270 days 503 3 3 and 9 21
271 − 360 days 504 4 4 and 10 22
361 − 450 days 505 5 5 and 11 23
451 days or more 506 6 6 and 12 24
Total Accounts Receivable 507
Table A.14.3
Relationship between ETA 227 Report Cells and Subpopulations in Population 14
C. PAGE 2 OF FORM
C. RECOVERY/RECONCILIATION
Line Dollar Amount
No. Fraud Nonfraud
UI UCFE/U EB UI UCFE/UC EB
CX X
(11) (12) (22) (13) (14) (23)
Receivables Removed at End of 312 13 13, 15 17 14 14, 16 18
Period
UI DV HANDBOOK, BENEFITS A.87 MAY 2013
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 6 (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.88 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.15.1
Population 15 Subpopulations
Overpayments Established by Method
2 3 4 5 6 7 8
(Step 1G) (Step 1G) (Step 33) (Step 35) (Step 36) (Step 37A) (Step 46)
(Rule 1) (Rule 2) (Step 37B)
Date
Overpayment
ETA 227B Established
Subpop Type of Detection Established
Line and SSN Unique ID Amount
# Overpayment Method by
Column
Investigation
OVERPAYMENTS (15.01 through 15.21)
1) Random Sample: 60 or 200 (includes review of folders); 2) Supplemental sample--missing strata
Required if State Wage Must be blank
15.01 202 (6) Required Must be blank Required N
maintains a unique ID Crossmatch or 0
Required if State Must be blank
15.02 203 (6) Required Must be blank IB Crossmatch Required N
maintains a unique ID or 0
Required if State Must be blank
15.03 210 (6) Required Must be blank NDNH Required N
maintains a unique ID or 0
Required if State Must be blank
15.04 204 (6) Required Must be blank SDNH Required N
maintains a unique ID or 0
Required if State Must be blank
15.05 205 (6) Required Must be blank Multiclaimant Required N
maintains a unique ID or 0
Required if State Must be blank
15.06 206 (6) Required Must be blank Special Project Required N
maintains a unique ID or 0
Required if State Wage
15.07 202 (6, 7, 8) Required Fraud Required >0 Y
maintains a unique ID Crossmatch
Required if State
15.08 203 (6, 7, 8) Required Fraud IB Crossmatch Required >0 Y
maintains a unique ID
Required if State
15.09 210 (6, 7, 8) Required Fraud NDNH Required >0 Y
maintains a unique ID
Required if State
15.10 204 (6, 7, 8) Required Fraud SDNH Required >0 Y
maintains a unique ID
Required if State
15.11 205 (6, 7, 8) Required Fraud Multiclaimant Required >0 Y
maintains a unique ID
Required if State
15.12 206 (6, 7, 8) Required Fraud Special Project Required >0 Y
maintains a unique ID
UI DV HANDBOOK, BENEFITS A.89 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
2 3 4 5 6 7 8
(Step 1G) (Step 1G) (Step 33) (Step 35) (Step 36) (Step 37A) (Step 46)
(Rule 1) (Rule 2) (Step 37B)
Date
Overpayment
ETA 227B Established
Subpop Type of Detection Established
Line and SSN Unique ID Amount
# Overpayment Method by
Column
Investigation
Required if State Other
15.13 207 (7, 8) Required Fraud Required >0
maintains a unique ID Controllable
Required if State
15.14 208 (7, 8) Required Fraud Noncontrollable Required >0
maintains a unique ID
Required if State Wage
15.15 202 (6, 9, 10) Required Nonfraud Required >0 Y
maintains a unique ID Crossmatch
Required if State
15.16 203 (6, 9, 10) Required Nonfraud IB Crossmatch Required >0 Y
maintains a unique ID
Required if State
15.17 210 (6, 9, 10) Required Nonfraud NDNH Required >0 Y
maintains a unique ID
Required if State
15.18 204 (6, 9, 10) Required Nonfraud SDNH Required >0 Y
maintains a unique ID
Required if State
15.19 206 (6, 9, 10) Required Nonfraud Special Project Required >0 Y
maintains a unique ID
Required if State Other
15.20 207 (9, 10) Required Nonfraud Required >0
maintains a unique ID Controllable
Required if State
15.21 208 (9, 10) Required Nonfraud Noncontrollable Required >0
maintains a unique ID
UI DV HANDBOOK, BENEFITS A.90 MAY 2013
SUBPOPULATION SPECIFICATIONS APPENDIX A
Table A.15.2
Relationship between ETA 227 Report Cells and Subpopulations in Population 15
SECTION B. OVERPAYMENTS ESTABLISHED - METHODS OF DETECTION
Method Line
No. Fraud NonFraud
Number of
Cases Number Number
Investigated of Cases Dollars of Cases Dollars
(6) (7) (8) (9) (10)
Controllable - Total 201
Wage/Benefit Crossmatch 202 1, 7, 15 7 7 15 15
IB Crossmatch 203 2, 8, 16 8 8 16 16
National Directory of New Hires 210 3, 9, 17 9 9 17 17
State Directory of New Hires 204 4, 10, 18 10 10 18 18
Multi-Claimant Scheme Systems 205 5, 11 11 11
Special Project 206 6, 12, 19 12 12 19 19
Other 207 13 13 20 20
Noncontrollable - Total 208 14 14 21 21
Total - Controllable and Noncontrollable 209
Population 15 Notes
1. 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 15.
2. Subpopulations 15.13, 15.14, 15.20, 15.21. States are not required to report whether
Other Controllable or Non-controllable overpayments were established by investigation
and so Field 8, Established by Investigation, is optional for these overpayment detection
types. A Non-controllable overpayment rarely involves an agency investigation.
3. Subpopulations 15.01-15.06. These represent potential or likely overpayments which,
after investigation, were not established either because the investigation could not
substantiate the existence of an overpayment or because the amount was too small for
recovery to be cost-effective. An example of the former would be the investigation of
SDNH, NDNH or other cross-match hits.
UI DV HANDBOOK, BENEFITS A.88 MAY 2013
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 18 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
UI DV HANDBOOK, BENEFITS B.1 MAY 2013
SAMPLE SPECIFICATIONS APPENDIX B
conclusively below or above 5%. The 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.5.
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:
16 or fewer errors (out of 200): the error rate is considered to be below 5%,
and hence the sample passes the validation
UI DV HANDBOOK, BENEFITS B.2 MAY 2013
SAMPLE SPECIFICATIONS APPENDIX B
17 or more errors (out of 200): the error rate is considered to be above 5%,
and hence the sample fails the validation
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
UI DV HANDBOOK, BENEFITS B.3 MAY 2013
SAMPLE SPECIFICATIONS APPENDIX B
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 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 MAY 2013
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 MAY 2013
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 ($)
Nonmonetary Single Claimant Nonmon 9052 Single Claimant Non Monetary
5 Determinations 500 Determinations Random 30/100 5.1-5.60 5.09 Determinations
Single Claimant Nonmon Missing Subpops ≤ 207 Total Single Claimant Determinations and
501 Determinations 59 5.1-5.60 5.01 UCFE/UCX Redeterminations
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 MAY 2013
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;
12.9-12.15;
1200 Overpayment $ Established Random 60/200 12.17-12.26 12.04 227 Total Dollars Established ($)
12.1-12.7;
Missing Subpops ≤ 12.9-12.15;
1210 Overpayment $ Established 24 12.17-12.26 12.02 227 Fraud
12.1-12.7;
12.9-12.15;
Overpayments 1220 Overpayment $ Established Outliers--10 12.17-12.26 12.03 227 Non-fraud
Established by
12 Cause 12.05 227 Penalty ($)
UI DV HANDBOOK, BENEFITS B.7 MAY 2013
SAMPLE SPECIFICATIONS APPENDIX B
Benefits
Population Data Element Validation Samples Pass/Fail Groups
(1) (2) (3) (4) (5) (6) (7) (8)
Type of Sample Universe Group
Pop Transaction ID Sample Name Type and Size (Subpops) Number Group Name
Overpayment Reconciliation
1300 Activities Random 30/100 13.1-13.57 13.01 227 Recovered ($)
Overpayment Reconciliation Missing Subpops ≤
1310 Activities 56 13.1-13.57 13.02 227 Waived ($)
Overpayment Reconciliation
1320 Activities Outliers--10 13.1-13.57 13.03 227 Written-Off ($)
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 ($)
Overpayments $ Established by
1500 Method Random 60/200 15.7-15.21 15.03 227 Dollars Established ($)
Overpayments
Overpayments $ Established by Missing Subpops ≤
15 Established by
1510 Method 14 15.7-15.21 15.01 227 Overpayment Cases Investigated
Method
15.02 227Overpayment Cases
UI DV HANDBOOK, BENEFITS B.8 MAY 2013
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 display all records and 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
Error Rate is Less than
Total Number of 5% (Pass) if Number of Error Rate is at Least
Transactions Sampled Errors is No More 5% (Fail)if Number of
(Range) 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 MAY 2013
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 MAY 2013
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
Interstate Received as Liable agent state. agent
State: Step 5B – Rules 1 and 2 (Required)
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 MAY 2013
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 MAY 2013
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 MAY 2013
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 Rule 1 UCFE;
UCX
(Required except optional for CWC and entering
UCFE: Step 4B – Rule 1
self-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,
Interstate combined wage claim.
Step 5C – Rules 1 and 2 new 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 MAY 2013
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
maximum. no benefit year, and “No Monetary” claim, and
optional for UCFE, UCX, interstate filed from agent
state, interstate taken as agent state, CWC, and
entering self-employment program claims)
(States should include the WBA after the dash which
follows the generic Federal value.)
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 MAY 2013
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
UI DV HANDBOOK, BENEFITS D.1 MAY 2013
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
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 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
st
4 02/10/2006 First Payment of 4.1 (UI 1 payment); 586-101-4, 5159B-301 (14-15);
$150 4.44 CWC first 586-101-5 ($) 5159B-302 (14-15);
st
payment 586B (8) – 1 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
UI DV HANDBOOK, BENEFITS D.2 MAY 2013
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
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.
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 MAY 2013
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 MAY 2013
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 MAY 2013
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
st
2 01/13/2006 Payment of $100 4.1 (UI 1 payment); 586-101-4, 5159B-301 (14,15)
4.46 CWC cont’d 586-101-5 ($) 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)
st
4.44, CWC first 586B (8) – 1 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
10 02/24/2006 Payment of $150 4.17, UI cont’d 586-101-4, 5159B-301 (14,15)
UI DV HANDBOOK, BENEFITS D.6 MAY 2013
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Reporting of
Reporting of
Transaction as
Step Date Action Subpopulation Transaction as
Regular
CWC Transaction
Transaction
payment 586-101-5 ($) 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 MAY 2013
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
1, 5 Sufficient New Less than
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
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
UI DV HANDBOOK, BENEFITS D.8 MAY 2013
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 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 MAY 2013
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 (6)
No. (4) (5) (7)
Intrastate 101 6 $900 0 $0
Interstate
Received as 102 0 0 0 0
Paying State
UI DV HANDBOOK, BENEFITS D.10 MAY 2013
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
st
2 01/13/2006 Payment of $100 4.1 (UI 1 payment); 586-101-4, 5159B-301 (14,15)
4.46 CWC cont’d 586-101-5 ($) 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)
st
of $100 (2 x $50) is 4.48 CWC 586B (8)—1
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
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
UI DV HANDBOOK, BENEFITS D.11 MAY 2013
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Reporting of
Reporting of
Transaction as
Step Date Action Subpopulation Transaction as
Regular
CWC Transaction
Transaction
9 02/17/2006 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 MAY 2013
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 CWC CWC Sufficient New Maximum 3900 26 Y
1/24/2006 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
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
UI DV HANDBOOK, BENEFITS D.13 MAY 2013
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 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 MAY 2013
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 MAY 2013
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)
st
of $200 (4 x $50) 4.48 CWC 586B (8)—1
Adjustment payment
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)
UI DV HANDBOOK, BENEFITS D.16 MAY 2013
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
Reporting of
Reporting of
Transaction as
Step Date Action Subpopulation Transaction as
Regular
CWC Transaction
Transaction
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 WBA 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 MAY 2013
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 MAY 2013
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 MAY 2013
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 MAY 2013
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 MAY 2013
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
st
4 01/20/2006 Payment $150 4.1 (UI 1 payment); 586-101-4, 5159B-301 (14-15);
4.44 CWC first 586-101-5 ($) 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.
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.
UI DV HANDBOOK, BENEFITS D.22 MAY 2013
COMBINED WAGE CLAIMS AND PAYMENTS APPENDIX D
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 MAY 2013
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 MAY 2013
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 MAY 2013
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 MAY 2013
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 MAY 2013
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)
st
4 02/10/2009 First Payment of 4.2 (UI Interstate 1 586-102-4, 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)
st
4 02/10/2009 First Payment of 4.1 (UI Intrastate 1 586-101-4, 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 MAY 2013
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 MAY 2013
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 MAY 2013
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