Unemployment data validation activities from 2008 onward

UIPL22-05_Ch2_508.pdf (https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2008/UIPL22-05_Ch2_508.pdf)

                                                 CLASSIFICATION
                                                 Data Validation
      EMPLOYMENT AND TRAINING ADMINISTRATION
                                                 CORRESPONDENCE SYMBOL
                 ADVISORY SYSTEM
                                                 OWS/DPM
              U. S. Department of Labor
               Washington, D.C. 20210            DATE
                                                 March 14, 2008



ADVISORY: UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 22-05,
          Change 2

TO:           STATE WORKFORCE AGENCIES

FROM:         BRENT R. ORRELL /s/
              Acting Assistant Secretary

SUBJECT:      Unemployment Insurance Data Validation (UI DV) Program
              Activities during Validation Years (VY) 2008 and Beyond

1. Purpose. To provide updated guidance on UI DV activities for VY 2008 and
   beyond.

2. References. Unemployment Insurance Program Letter (UIPL) No. 22-05,
   “Unemployment Insurance Data Validation (UI DV) Program Software and
   Policy Guidance;” UIPL 22-05, Change 1, “Unemployment Insurance Data
   Validation (UI DV) Program Activities during Validation Years (VY) 2007 and
   2008 and Policy Clarification.”

3. Background. After extensive testing at the National Office and by several
   states, Version 1.1 of the state DV software was released to all states in late
   November, 2007. This release of the software puts the full DV program back
   on track after its suspension between June 2006 and November 2007.
   Software tutorials for Version 1.1 have been posted to the DV Web site at:
   http://ows.doleta.gov/dv/. The generic DV handbooks are being updated
   to reflect this release and will be posted to the DV Web site.

4. Validation Schedule and Activities for VY 2008 and Beyond. Validations
   for the following populations are due for VY 2008:
       • populations never submitted;
       • populations whose latest validation failed;
       • Government Performance and Results Act (GPRA) populations
          (Benefits 4 and 12, Tax 3), which must be validated annually;
       • populations that last passed validation in VY 2005;
       • Wage Item validations (Module 5, submitted using the DV software) if
          no passing results have been submitted since VY 2005; and
  RECISSIONS                                           EXPIRATION DATE
  None                                                 March 14, 2009



      •   Benefits Timeliness and Quality and Tax Performance System sample
          validations (Module 4 submitted by e-mail to [email protected]
          using the template on the DV Web site) if no passing results have been
          submitted since VY 2005.

   See “Validation Activities Required During Validation Year 2008, by State” on
   the DV Web site at http://ows.doleta.gov/dv/.

   The State Quality Service Plan (SQSP) for Fiscal Year 2009 must address all
   due items for which passing validation results are not submitted by the May
   10, 2008, reporting deadline, as indicated in the forthcoming FY 2009 SQSP
   Call Memo.

5. Change in How Benefits DV Results Are Submitted. For a Benefits
   population to pass, all of its random samples and Report Validation (RV)
   must pass. Originally, to minimize validation efforts, UIPL 22-05 allowed
   Benefits random samples and RV results to be submitted separately, and the
   DV software was configured accordingly. This procedure has allowed a state
   to validate a population using different extract files for samples and RV. This
   approach was found to make it impossible to formulate a consistent set of
   rules for determining Pass and Fail in populations with multiple random
   samples.

   Beginning with Validation Year 2009, a Benefits DV population will only be
   considered to pass validation if all of its random samples and RV pass
   validation and are based on the same extract file. The next version of the
   software will reflect this new policy by only allowing users to submit Benefits
   samples and RV results for a population as a set, as it now requires them to
   do for Tax.

6. Workload Validation (WV) No Longer Allowed in Lieu of Conducting Data
   Validation. UIPL No. 22-05 instructed states to conduct WV if it were not
   possible for them to conduct DV immediately, and in cases where states
   needed to concentrate their resources on implementing DV, it permitted a
   waiver of WV.

   Beginning with VY 2009, WV is no longer available as an alternative to DV.
   Although the DV requirement cannot be waived, a state may delay
   conducting DV if it is replacing its Tax or Benefits system within a year, and
   can document that resources are not available for DV.

   States that can begin DV but lack resources to validate all populations should
   prioritize DV as follows.



      •   For the Tax Populations, begin with Population 3 (Status
          Determinations--this validates the GPRA New Status Determination
          timeliness measure), followed by Population 1 (Active Employers--the
          tax workload item).
      •   For the Benefits Populations, begin with Populations 4 (Payments—this
          validates the GPRA Timely First Payment indicator) and 12
          (Overpayments Established—this validates the numerator of the
          GPRA Detection of Overpayments indicator.) Next, validate the
          populations containing workload items (Population 1, Weeks Claimed;
          Populations 3 and 3a, Initial Claims; Population 5, Nonmonetary
          Determinations; and Population 8, Appeals Decisions.)
      •   Finally, validate in any order as many as possible of the remaining
          populations.

7. Report and Specification Changes. As full DV activity resumes, validators
   need to be particularly aware that the elimination of the ETA 9053 report and
   some DV specification changes have implications for DV.

   ETA 9053 Report. This report was eliminated from the new version of
   Handbook 401 in the summer of 2007, but resources were not available to
   reflect that change in Version 1.1 of the DV software. If states validate
   Benefits Population 5 (Nonmonetary Determinations) using a reporting
   period that falls after the ETA 9053 report was dropped, the software will
   display zero counts for ETA 9053 reported cells, and validation groups based
   on those cells will fail the report validation (RV) test. Because every pass-fail
   group or item must pass for a population to pass validation, the DV software
   will indicate that Population 5 fails validation. In response, the National
   Office will ignore the 9053 groups in Benefits Population 5 (i.e., Groups 5.11
   and 5.12) in preparing the state status reports; therefore, if all other groups in
   Population 5 pass, the population will pass. In addition, state validators
   have been instructed to automatically pass the key element--Date of First
   Week Affected--on which that report is based when they review Population 5
   random samples. The next version of the software will correct these items.

   Specifications and Software Changes. A few specification and software changes
   may require changes to state DV extract files. Validators should review the
   Benefits Notes and Tax Notes on the DV Web site at
   http://ows.doleta.gov/dv/, which explain the effects of these specification
   changes.

8. Training and Technical Assistance. Training for data validation software
   will resume at the Minnesota Training Center in the spring of 2008. The
   Center also offers web-based training in specific DV activities, such as for



   Module 4 validations. The Center’s scheduled offerings can be seen at
   http://www.tc.state.mn.us/calendar.html. On-site training will be provided
   by request as resources permit. On-going technical assistance with the
   software and the validation process is available through the National Office
   (NO) DV Team and Mathematica Policy Research, Inc. All requests for
   assistance should go through the Regional DV coordinators and the NO DV
   Team.

9. Actions. State Workforce Administrators are requested to:
       • Distribute this advisory to appropriate staff;
       • Review the list of validations due for VY 2008 to see that it is consistent
         with your own list of submitted DV reports and inform the National
         Office DV team of any discrepancies;
       • Ensure that all validations due for VY 2008 to the National Office are
         submitted by May 10, 2008. These include:
             o Submitting results for all populations and Wage Item validation
                 that are due using the DV software;
             o Submitting Module 4 validations that are due by using the
                 template on the DV Web site and sending results to
                 [email protected].
       • Remind validators that they may contact the National Office DV team
         by e-mail at [email protected] for technical assistance with use of
         the software and the validation process. If any operational problems
         are encountered with the software, they should contact the Office of
         Workforce Security (OWS) Technical Support Staff (Hotline) at 1-800-
         473-0188, or send an email to [email protected].

10. Inquiries. Direct questions to the appropriate Regional Office.