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Completing 2013 UI benefit accuracy data
Summary ETA set dates and procedures for states to complete and verify 2013 Benefit Accuracy Measurement paid and denied claims cases before federal publication of improper payment data. It also amended a case completion requirement in the BAM handbook; three attachments include sample reports and replacement instructions. ETA now lists the letter as Canceled.
Document
Federal guidance
Agency
U.S. Department of Labor, Employment and Training Administration (ETA)
Document number
UIPL No. 25-13
Date issued
August 9, 2013
Status
Withdrawn
ETA's advisory listing marks this letter Canceled as of 2026-10-24; its PDF prints an expiration date of December 31, 2013.
Status last verified October 24, 2026
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CLASSIFICATION
EMPLOYMENT AND TRAINING ADMINISTRATION UI
ADVISORY SYSTEM CORRESPONDENCE SYMBOL
U.S. DEPARTMENT OF LABOR OUI/DPM
Washington, D.C. 20210 DATE
August 9, 2013
ADVISORY: UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 25-13
TO: STATE WORKFORCE AGENCIES
FROM: ERIC M. SELEZNOW /s/
Acting Assistant Secretary
SUBJECT: Procedures for the Completion and Publication of Unemployment
Insurance (UI) Benefit Accuracy Measurement (BAM) Data for
Improper Payment Information Act (IPIA) Reporting Year 2013
1. Purpose. To provide State Workforce Agencies (SWAs) guidelines and key dates for the
completion of IPIA 2013 UI BAM paid and denied claims sample cases and the publication
of IPIA 2013 BAM data, and to amend the BAM case completion requirements in the BAM
State Operations Handbook (ET Handbook No. 395, 5th Edition).
2. References.
• 31 U.S.C. 3515 - Financial statements of agencies;
• Improper Payments Information Act of 2002 (31 U.S.C. 3321 note);
• 20 CFR Part 602;
• ET Handbook No. 395, 5th Edition, Revisions to the State Operations Handbook for the
Unemployment Insurance (UI) Benefit Accuracy Measurement (BAM) Program (BAM
State Operations Handbook); and
• Unemployment Insurance Program Letter (UIPL) No. 19-96, Procedures for Release of
Unemployment Insurance (UI) Benefit Accuracy Measurement (BAM) (formerly Benefits
Quality Control Data for Calendar Year (CY) 1995 (BQC)).
3. Background. Under 20 CFR 602.21(g), the U.S. Department of Labor’s (Department)
Employment Training Administration (ETA) releases the BAM program calendar year results
each year. The Department will continue the release of annual results on its Web site:
www.dol.gov/dol/maps/map-ipia.htm and the associated data page
www.dol.gov/dol/maps/data.htm.
Historically, the BAM calendar year release has included an analytical report or a detailed
analysis of the calendar year results. As part of this process, ETA announced the publication
cycle with the issuance of a UIPL, which provided dates for case completion, verification of
RESCISSIONS EXPIRATION DATE
None December 31, 2013
data contained in the national database, and an explanation of data footnotes. This UIPL
continues that practice. However, with this issuance, ETA establishes a new analytical report
year to align it with the annual financial reporting requirement.
4. IPIA Reporting Requirement. The IPIA requires the head of each covered executive
federal agency, not later than March 1 of each year, to prepare and submit to the Congress
and the Director of the Office of Management and Budget, an audited financial statement for
the preceding fiscal year, covering all accounts and associated activities of each office,
bureau, and activity of the agency (31 U.S.C. 3515). The IPIA requires the materials
accompanying the annual financial statement to include improper payment estimates for the
unemployment compensation program (31 U.S.C. 3321 note).
To accomplish this mandate and provide a detailed explanation of improper payments, ETA
establishes the IPIA reporting year for the BAM program, which includes payment accuracy
estimates for the period July through June of the following year (batch range YYYY27
through (YYYY+1) 26).
To accomplish this analytical reporting period change, each BAM unit must adapt its weekly,
quarterly, and annual sampling process to ensure that the state program meets the minimum
annual completion requirement for the IPIA 2013 reporting year (batch range 201227 through
201326) and each subsequent IPIA reporting year thereafter.
Sample Annual Normal Minimum Normal Minimum
Allocation Weekly Weekly Quarterly Quarterly
Paid Claims 360* 7 5 90 81
Paid Claims 480 9 6 120 108
Denials 150/450** 3 2 37-38 32
* Allocation for ten smallest states in terms of UI workload.
** 150 cases each of monetary, separation, and non-separation denials will be selected each
year, for a total of 450 Denied Claim Accuracy (DCA) cases.
5. Completion of IPIA 2013 BAM Cases. Chapter VI of ET Handbook No. 395 requires that
“a minimum of 98 percent of cases for the year must be completed within 120 days of the
ending date of the calendar year.” Effective with the date of issuance of this advisory, this
requirement is amended to, “a minimum of 98 percent of cases selected for batches YYYY27
through (YYYY+1)26 must be completed by October 28 of YYYY+1 (120 days after June 30
of YYYY+1). This change is reflected in pages 11-13 of Chapter VI of ET Handbook No.
395 and is the only change in the Handbook issued through this guidance.
For IPIA 2013 reporting purposes, the end of the year is June 30, 2013. Therefore, all
published BAM data will be based on IPIA 2013 BAM paid and denied claims cases that
have been signed off by the BAM supervisor by the date of record, which is the close of
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business (COB) October 28, 2013. IPIA 2013 will include batch range 201227 through
201326, which covers the period July 1, 2012, through June 29, 2013.
Changes to the state’s database after the date of record can result in inconsistencies with the
Department’s database that must be reconciled before BAM data can be published. SWAs
must not reopen any IPIA 2013 BAM cases after October 28, 2013, until they have reviewed
the BAM data transmitted to them by the Department and have confirmed that these data
agree with the BAM paid and DCA data produced by the state’s database.
6. Transmittal of Data and Comment Period. The ETA National Office will produce and
transmit to each state by November 8, 2013, paid and denied claims accuracy data for that
state, based on the IPIA 2013 BAM cases as of October 28, 2013. SWAs are encouraged to
run the BAM Paid Claims Annual Report, Denied Claims Error Rates Report, and Improper
Denials Rates Report software and to compare the results with the rates and report footnotes
the Department transmits to them for comment before publication. IPIA 2013 will include
batch range 201227 through 201326.
Before October 28, 2013, the Department will transmit a footnote lookup table for the IPIA
2013 BAM Paid Claims Annual Report, Denied Claims Error Rates Report, and Improper
Denials Rates Report. Samples of these reports, report definitions, and report footnotes are
available in Attachments 1 and 2.
By November 15, 2013, SWAs should report any discrepancies or submit questions
concerning the BAM paid and denied claims data and footnotes to ETA’s National Office,
with a copy to the appropriate ETA Regional Administrator. Comments should be sent to
Ross Miller by e-mail: [email protected], fax: (202) 693-3975, or mail:
Mr. Ross Miller
U. S. Department of Labor
ETA / Office of Unemployment Insurance
200 Constitution Avenue, NW, Room S-4519
Washington, D.C. 20210
National Office and Regional Office staff will address and reconcile issues raised by the
states by November 29, 2013.
In December 2013, the Department will present an informational webinar on the IPIA 2013
BAM Annual Report. The webinar will examine the BAM procedures, process, various
estimates derived from the data, and performance measures. The webinar invitation will be
distributed by e-mail.
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7. Federal Publication of BAM Data. The Department will publish the IPIA 2013 BAM
analytical report on the ETA Web site: http://oui.doleta.gov/unemploy/index.asp.
If a SWA fails to follow the BAM methodology for sample selection, data collection, or case
completion timeliness, as prescribed in ET Handbook No. 395, to such an extent that the data
are not reliable, the Department will publish an explanation of the major deficiencies, in lieu
of BAM data, for that state. SWAs will be required to address these deficiencies through the
State Quality Service Plan process.
Although UIPL No. 19-96 announced the elimination of the requirement in 20 CFR
602.21(g) that states release BAM data publicly, states may choose to release their BAM data
to the public independent of the Federal release.
8. Key Dates. The following key dates are the latest dates for completing the task or action:
06/30/13 - This date represents the end of the IPIA reporting year and includes batches
201227 through 201326. By this date states must have selected the minimum
number of valid cases to meet annual sample allocation requirements (i.e. 480 or
360 paid claim cases and 150 of each of the three types of denied claims). States
must complete at least 98 percent of the valid sample cases sampled in IPIA 2013
within 120 days of this date (i.e. October 28, 2013).
10/14/13 - SWAs submit requests for waivers of BAM paid and denied claims timeliness
requirements, along with supporting documentation, to the appropriate ETA
Regional Administrator.
10/21/13 - Regional offices respond to states on the disposition of state requests for waivers
of BAM timeliness requirements.
10/22/13 - The National Office electronically transmits the footnote lookup table for the
BAM paid and denied claims software to each state's Unemployment Insurance
Database System (Sun Server).
10/28/13 - Each SWA checks its UI database to ensure that: 1) the BAM supervisor has
signed off all BAM paid and denied claims cases which investigators have
completed; and 2) reopened cases have been updated and data errors corrected by
this date. Cases closed by supervisors after October 28, 2013, will not be
included in the Paid Claims Accuracy Annual Report or the Denied Claim
Accuracy Error Rates and Improper Denials Rates Reports. SWAs must not
reopen any IPIA 2013 cases after October 28, 2013, until they have reviewed the
4
BAM data transmitted by the National Office and verified the data against their
state database or reconciled any differences with the Department.
11/08/13 - The National Office transmits the IPIA 2013 BAM data to the State
Administrators.
11/15/13 - SWAs review BAM paid and denied claims accuracy data and footnotes, and
report any discrepancies or submit questions about the BAM data or footnotes to
the National Office (to the attention of Mr. Ross Miller, as discussed in Section 6
of this guidance), with copies to the appropriate ETA Regional Administrator.
11/29/13 - National and Regional Office staff address issues raised by the states and
reconcile any differences between state and Department’s BAM data.
11/29/13 - SWAs provide the name, address, telephone number, and e-mail address of the
contact person(s) for public inquiries about BAM paid and denied claims data.
This information should be sent to the attention of Mr. Ross Miller at the address,
e-mail address, or fax provided in Section 6 of this guidance, with copies to the
appropriate ETA Regional Administrator.
12/2013 - During the month of December, the Department will present an informational
webinar. The webinar will examine the BAM procedures, processes, various
estimates derived from the data, and performance measures. The webinar
invitation will be distributed by e-mail. The webinar will be repeated several
times to accommodate participants’ schedules.
3/31/14 - The Department publishes the IPIA 2013 BAM data on the ETA Web site:
http://oui.doleta.gov/unemploy/index.asp.
9. Action Requested. State Administrators are requested to:
A. Provide copies of these guidelines to the appropriate staff;
B. Replace ET Handbook 395, 5th Edition, pages VI - 11 through VI - 13, revised November
2009, with ET Handbook 395, 5th Edition, pages VI - 11 through VI - 13 revised January
2013;
C. Send any request for a waiver of BAM timeliness requirements to the appropriate ETA
Regional Administrator by COB October 15, 2013; and
D. Ensure that the National Office (to the attention of Mr. Ross Miller, as discussed in
Section 6 of this guidance) and the appropriate ETA Regional Administrator are:
1. Notified by November 15, 2013, of any issues that require the reconciliation of
differences between the state’s and the Department’s BAM data; and
5
2. Provided by November 29, 2013, with the name, address, telephone number, and
e-mail address of the person(s) whom interested parties may contact with
questions or inquiries about the state's BAM data.
10. Inquiries. Questions should be directed to the appropriate Regional Office.
11. Attachments.
Attachment 1 - Benefit Accuracy Measurement (BAM) Paid Claims Annual Report, Report
Definitions, and Report Footnotes
Attachment 2 - Denied Claims Accuracy (DCA) Error Rates Report and Improper Denials
Rates Report, Report Definitions, and Report Footnotes
Attachment 3 - ET Handbook No. 395, 5th Edition, pages VI - 11 through VI -13, revised
January 2013
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Attachment 1 (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2013/uipl25-13acc1.pdf)
ATTACHMENT 1
Benefit Accuracy Measurement (BAM) Paid Claims Annual Report, Report Definitions, and
Report Footnotes
BENEFIT ACCURACY MEASUREMENT
PAID CLAIMS ACCURACY
ANNUAL REPORT
STATE: ZZ
Batch Range: 201227 - 201326
Total Dollars Paid in Population $221,830,728
Sample Size 383
Percentage 95% Confidence
Of Dollars Interval (+ / -)
Proper Payments 88.4% 3.5%
Overpayments 11.6% 3.5%
Total 100.0%
Underpayments 0.3% 0.2%
Percentages apply to less than a complete year of UI payments; the State did not pull a sample for 3
week(s).
The State completed 83.7% of the cases within 90 days.
The QC program standard is 95% completed within 90 days.
15.9% of the sample cases were not completed when this report was prepared. This exceeded the QC
program requirement that no more than 2% of the cases for the year remain incomplete.
1-1
BENEFIT ACCURACY MEASUREMENT
PAID CLAIMS ACCURACY
ANNUAL REPORT (Supplemental Data)
STATE: ZZ
Batch Range: 201227 - 201326
Responsibility for Overpayments (Percent of Dollars Overpaid)
Claimant Only 51.6
Agency Only 15.6
Claimant + Agency 10.6
Claimant + Employer 10.5
Employer Only 8.6
Claimant + Employer + Agency 2.1
Claimant + Other 1.7
Employer + Agency 1.0
Other Only 0.0
Employer + Other 0.0
Agency + Other 0.0
Claimant + Employer + Other 0.0
Claimant + Agency + Other 0.0
Employer + Agency + Other 0.0
Claimant + Employer + Agency + Other 0.0
Responsibility Not Specified 0.0
1-2
Cause for Overpayments (Percent of Dollars Overpaid)
Benefit Year Earnings Issues 39.1
Eligibility Issues Excluding Work Search 25.7
Separation Issues 20.5
Base Period Wage Issues 7.4
Other Issues 5.9
Work Search Issues 2.9
N
O The percentages for the responsibilities or cause do not sum to 100 percent. You should check
T field (h5) to verify that all cases have been coded correctly within your specified batch range.
E:
If cause and responsibility percentages do not add up to 100 percent, states should check for cases in which the key
week amount overpaid coded in data element h5 in the b_master table of the UI database does not equal the sum of
dollars overpaid coded in data element ei1 for key week actions 10, 11, 12, 13, and 15 in the b_errisu table. The
amount overpaid cannot exceed the amount paid coded in data element f13 in the b_master table.
1-3
BAM Annual Report Definitions
Total Dollars Paid in Population
Total UI benefits paid to the population of UI claimants who constitute the sampling frames for
all weeks in IPIA 2013 for which the state pulled a BAM sample, adjusted to exclude UI
payments that do not meet the definition of the BAM population (for example, supplemental
payments or payments made for Extended Unemployment Compensation (EUC) claims). These
excluded cases are coded “8” (EUC) or “9” (all other excluded records) in the program code data
element (c1) in the b_master table of the UI database.
Sample Size
Total number of UI payments selected during IPIA 2013 (BAM batches 201227 through 201326)
and completed (supervisor sign-off) by COB October 28, 2013, excluding cases that do not meet
the BAM population definition. This is the number of BAM sample cases from which the
payment accuracy rates and confidence intervals are estimated.
Proper Payments
The weighted ratio estimate of total dollars properly paid to total dollars paid expressed as a
percentage.
Overpayments
The weighted ratio estimate of total dollars overpaid to total dollars paid expressed as a
percentage.
Underpayments
The weighted ratio estimate of total dollars underpaid to total dollars paid expressed as a
percentage.
Weighting Procedures
UI benefits properly paid, overpaid, and underpaid for each batch with at least two completed
paid claims cases are weighted by the batch population, adjusted to exclude cases that do not
meet the BAM definition (program code “8” or “9”). The accuracy rates are the ratios of these
weighted benefits, summed for all batches. Batches with only one completed case are merged to
ensure that each batch has a minimum of two completed cases.
1-4
95 Percent Confidence Interval
A confidence interval, expressed as +/- x percentage points, is constructed for each of the three
estimated rates. The actual rate is expected to lie within 95 percent of the intervals constructed
from repeated samples of the same size and selected in the same manner as the BAM sample.
1-5
BAM Paid Claims Accuracy Footnotes
Footnote 1
Claimants failing to conduct required work search were given formal warnings and no
overpayment was established. The proper payment rate would be lower and the overpayment
rate would be higher if these cases were counted as erroneous payments.
Condition: Any IPIA 2013 BAM case with key week action code '14' in field ei2 of the b_errisu
table of the UI database.
Footnote 2
Percentages apply to less than a complete year of UI payments due to the state not pulling a
sample for x weeks.
Condition: There is no record in the b_comparison table of the UI database for one or more
BAM batches 201227 through 201326.
Note: If a state requested and received permission from the Department to suspend BAM
sampling temporarily due to workload contingencies the footnote will reflect that the Department
concurred with the suspension.
Footnote 3
The state selected samples that were below the minimum prescribed levels for x weeks.
Condition: State selected one or more BAM weekly samples below the minimum level
prescribed in Benefit Accuracy Measurement State Operations Handbook, ET Handbook No.
395, chapter VI, p. 11. Sampled cases that fail to meet the BAM population definition are
counted toward meeting the minimum weekly sample.
The minimum weekly and quarterly samples, based on current annual sample allocations are:
Sample Annual Normal Minimum Normal Minimum
Allocation Weekly Weekly Quarterly Quarterly
Paid Claims 360* 7 5 90 81
Paid Claims 480 9 6 120 108
Denials 150/450** 3 2 37-38 32
* Allocation for ten smallest states in terms of UI workload.
** 150 cases each of monetary, separation, and non-separation denials will be selected each year,
for a total of 450 DCA cases.
1-6
Note: If a state requested and received permission from the Department to reduce BAM sample
sizes temporarily due to workload contingencies, the footnote will reflect that the Department
concurred with the reduction.
Footnote 4
Percentages based on data collection procedures that were not completely in accordance with the
program methodology prescribed in ET Handbook No. 395.
Condition: Based on program monitoring conducted by the Regional and National Offices.
Footnote 5
The state completed x percent of the cases within 90 days. The program standard is 95 percent
completed within 90 days.
Condition: State failed to meet case completion objectives established in Benefit Accuracy
Measurement State Operations Handbook, ET Handbook No. 395, chapter VI, p. 11. Cases not
meeting the BAM population definition are not counted in calculating state time lapse rates.
Footnote 6
x percent of the sample cases were not completed when this report was prepared. This exceeded
the program requirement that no more than 2 percent of the cases for the year remain incomplete.
Condition: The percentage is based on the number of BAM cases that were not completed (no
supervisor sign-off) by COB October 28, 2013, divided by the number of valid cases selected for
BAM weekly samples during IPIA 2013 (BAM batches 201227 through 201326). Cases that do
not meet the BAM population definition are not counted in calculating state case completion
rates.
Footnote 7
The annual sample for [state] is x cases below the allocated annual sample for the state. The
precision of the data might be reduced due to the failure to sample at the prescribed level.
Condition: The state's annual sample selection is 60 or more cases (one-half staff year) below its
allocated annual sample (for BAM paid claims, one staff year equals 120 cases). Cases that do
1-7
not meet the BAM population definition are counted toward meeting the annual sample
allocation.
Note: If a state requested and received permission from the Department to reduce BAM sample
sizes temporarily due to workload contingencies, the footnote will reflect that the Department
concurred with the reduction.
Footnote 8
The population from which the BAM sample was selected did not include all of the UI benefits
paid. This limits the degree to which inferences about the population can be made from BAM
data.
Condition: The dollars paid in the BAM population for IPIA 2013 vary from the dollars paid
reported in the state's ETA 5159 Claims and Payment Activities reports by more than the
statistical control limit.
1-8
Attachment 2 (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2013/uipl25-13acc2.pdf)
ATTACHMENT 2
Denied Claims Accuracy (DCA) Error Rates Report and Improper Denials Rates Report, Report
Definitions, and Report Footnotes
BENEFIT ACCURACY MEASUREMENT (BAM)
DENIED CLAIMS ACCURACY (DCA)
ERROR RATES REPORT
State: ZZ
Report Date: 11/06/2013
Batch Range: 201227 ~ 201326
Denial Type Population Cases Completed*
Monetary 97,029 143
Separation 77,374 140
Nonseparation 24,229 134
Adjusted
Denial Type Total Improper Improper Overpayment Proper
Errors Denial Denial** Denial***
Monetary 16.52% 14.85% 8.05% 0.00% 1.67%
Separation 28.59% 16.12% 15.87% 0.00% 12.47%
Nonseparation 40.74% 14.02% 14.02% 0.00% 26.71%
* Excludes cases not meeting DCA definition for inclusion in population, withdrawn claims, and claims for
which monetary eligibility was established upon receipt of CWC, UCFE, and/or UCX wage credits.
Adjusted rate excludes erroneous denials that were corrected by agency or reversed on appeal prior to
**
DCA case completion.
*** Properly denied, but for wrong reason or section of the law.
The state completed 76.35 percent of the Monetary denials sample cases within 90 days. The program standard
is 85 percent completed within 90 days.
The state completed 78.43 percent of the Separation denials sample cases within 90 days. The program
standard is 85 percent completed within 90 days.
The state completed 79.87 percent of the Nonseparation denials sample cases within 90 days. The program
standard is 85 percent completed within 90 days.
Estimated rates apply to less than the total population of Monetary denials due to the state not pulling a sample
for 1 week(s).
Estimated rates apply to less than the total population of Separation denials due to the state not pulling a
sample for 1 week(s).
Estimated rates apply to less than the total population of Nonseparation denials due to the state not pulling a
sample for 1 week(s).
BENEFIT ACCURACY MEASUREMENT
DENIED CLAIMS ACCURACY
IMPROPER DENIALS RATES REPORT
State: ZZ
Report Date: 11/06/2013
Batch Range: 201227 ~ 201326
Denial Type Population Cases Completed*
Monetary 97,029 143
Separation 77,374 140
Nonseparation 24,229 134
Adjusted
Denial Type Improper 95% C.I Improper 95% C.I
Denial (+/-) Denial** (+/-)
Monetary 14.85% 5.77% 8.05% 4.51%
Separation 16.12% 6.45% 15.87% 6.43%
Nonseparation 14.02% 6.13% 14.02% 6.13%
* Excludes cases not meeting DCA definition for inclusion in population, withdrawn claims, and claims
for which monetary eligibility was established upon receipt of CWC, UCFE, and/or UCX wage credits.
Adjusted rate excludes erroneous denials that were corrected by agency or reversed on appeal prior to
**
DCA case completion.
Note: 95% C.I. is the 95 percent confidence interval for the estimated rate. The interval is the range between
the rate minus the value in the 95% C.I. column and the rate plus the value in the 95% C.I. column. For
example, the interval for 10.0% +/- 2.5 is 7.5% to 12.5%. The true rate is expected to lie within 95 percent
of the intervals constructed from repeated samples of the same size and selected in the same manner as the
BAM DCA sample.
The state completed 76.35 percent of the Monetary denials sample cases within 90 days. The program
standard is 85 percent completed within 90 days.
The state completed 78.43 percent of the Separation denials sample cases within 90 days. The program
standard is 85 percent completed within 90 days.
The state completed 79.87 percent of the Nonseparation denials sample cases within 90 days. The program
standard is 85 percent completed within 90 days.
Estimated rates apply to less than the total population of Monetary denials due to the state not pulling a
sample for 1 week(s).
Estimated rates apply to less than the total population of Separation denials due to the state not pulling a
sample for 1 week(s).
Estimated rates apply to less than the total population of Nonseparation denials due to the state not pulling a
sample for 1 week(s).
2-2
BAM Denied Claims Accuracy Rates Report Definitions
Population
The number of denial determinations that constitute the sampling frames for all weeks in IPIA
2013 for which the state pulled a BAM DCA sample, adjusted to exclude agency actions that do
not meet the definition of the BAM DCA population (for example, monetary redeterminations,
nonmonetary determinations that are not reportable on the ETA 207 and 9052 reports, and denied
EUC claims). These excluded cases are coded “8” (EUC) or “9” (all other excluded records) in
the Program code data element in the b_dca_master table of the UI database. The software also
adjusts the DCA populations to exclude two types of cases for which there is no denial issue to
investigate: 1) cases in which monetary eligibility was established upon receipt of Combined
Wage Claims, Alternative Base Period Claims, Unemployment Compensation for Federal
Employees, and/or Unemployment Compensation for Ex-service Members wage credits within
the two-week sampling lag (Action Code Flag “0”); and 2) claims withdrawn by the claimant
(Action Code Flag “8”).
Sample Size
Total DCA cases selected during IPIA 2013 (BAM batches 201227 through 201326) and
completed (supervisor sign-off) by COB October 28, 2013, excluding cases that do not meet the
BAM DCA population definition. This is the number of BAM DCA sample cases from which
the accuracy rates are estimated.
Improper Denial Rate
The weighted proportion of denied claims for which the DCA investigation concluded that the
claimant should have been eligible for UI benefits or was underpaid UI benefits (Error Issue
Action Code = “20”, “21”, “22”, or “23”), expressed as a percentage.
Adjusted Improper Denial Rate
Improper Denial Rate excluding cases in which erroneous denials were corrected by the agency
(Prior Agency Action = “20” to “29” or eligibility was established through appeal (Results of
Appeal of Initial Determination = “1” or “3”) prior to DCA case completion.
Overpayment Rate
The weighted proportion of denied claims for which the DCA investigation concluded that the
claimant should have been ineligible for UI, or should have received a lower benefit amount, for
weeks that had been paid (Error Issue Action Code = “10”, “11”, “12”, “13”, “14”, “15”, or
“16”), expressed as a percentage.
2-3
Proper Denial Rate
The weighted proportion of denied claims for which the DCA investigation concluded that the
claimant was properly denied but for the wrong or different section of the law (Error Issue Action
Code = “30”), expressed as a percentage.
Weighting Procedures
Accuracy rates are computed separately for each batch with at least two completed DCA cases
and weighted by the batch population, adjusted to exclude cases that do not meet the BAM DCA
definition (Program code “8” or “9”) or cases with Action Codes “0” (monetary eligibility
established upon receipt of CWC, UCFE, and/or UCX wage credits) or “8” (withdrawn claims).
The accuracy rate equals the sum of the products of the batch rates and weights. Batches with
only one completed case are merged to ensure that each batch has a minimum of two completed
cases.
95 Percent Confidence Interval
A confidence interval, expressed as +/- x percentage points, is constructed for each of the
estimated accuracy rates. The actual rate is expected to lie within 95 percent of the intervals
constructed from repeated samples of the same size and selected in the same manner as the BAM
sample.
2-4
BAM Denied Claims Accuracy Footnotes
Footnote 1
Estimated rates apply to less than the total population of [sample type] denials due to the state
not pulling a sample for x weeks.
Condition: There is no record in the b_dca_comparison table of the UI database for one or more
batches specified in the batch range for sample type y, where b_dca_comparison.samptype = 2
(monetary), 3 (separation), or 4 (nonseparation).
Footnote 2
Estimated rates for [sample type] denials are based on data collection procedures that were not
completely in accordance with the program methodology prescribed in ET Handbook No. 395.
Condition: Based on program monitoring conducted by the Department of Labor Regional and
National Offices. This footnote will be generated from a footnote look-up table for each sample
type: 2 (monetary), 3 (separation), or 4 (nonseparation).
Footnote 3
The state completed x percent of the [sample type] denials sample cases within 90 days. The
program standard is 85 percent completed within 90 days.
Condition: The percentage for sample type y, where b_dca_master.samptype = 2 (monetary), 3
(separation), or 4 (nonseparation), will be calculated using the same method used in the BAM
DCA Case Completion and Time Lapse report. Cases not meeting the BAM DCA population
definition (b_dca_master.program = 8 or 9) or withdrawn claims (b_dca_master.actflag = 8)
are not counted in calculating state time lapse rates.
Footnote 4
x percent of the [sample type] denials sample cases were not completed when this report was
prepared. This exceeds the program requirement that no more than 2 percent of the cases for the
year are incomplete 120 days after the end of the IPIA reporting year.
Condition: The percentage is based on the number of BAM DCA cases that were not completed
(b_dca_master.supcomp is NULL) by COB October 28, YYYY+1, divided by the number of
valid cases selected for BAM DCA weekly samples during IPIA YYYY (BAM batches
2-5
YYYY27 through (YYYY+1)26). Cases that do not meet the BAM DCA population definition
(b_dca_master.program = 8 or 9) or withdrawn claims (b_dca_master.actflag = 8) are not
counted in calculating state case completion rates. A percentage will be calculated for each
sample type y, where b_dca_master.samptype = 2 (monetary), 3 (separation), or 4
(nonseparation).
This footnote will be generated only if the user specifies an annual report when the user specifies
the batch range YYYY27 through (YYYY+1)26).
Footnote 5
The annual sample of [sample type] denials is x cases below the allocated annual sample of 150
BAM DCA cases per year. The precision of the data might be reduced due to the failure to
sample at the prescribed level.
Condition: The state's annual sample selection is 38 or more cases below its allocated annual
sample of 150 cases). Cases that do not meet the BAM population definition
(b_dca_master.program = 8 or 9) are not counted toward meeting the annual sample allocation.
This footnote will be generated from a footnote look-up table for each sample type: 2
(monetary), 3 (separation), or 4 (nonseparation).
This footnote will be generated only if the user specifies an annual report when the user specifies
the batch range YYYY27 through (YYYY+1)26).
Footnote 6
The sampling frames from which the [sample type] denials samples were selected may not
include all of the determinations that meet the definition for inclusion in the DCA population or
may include records that do not meet the DCA population definition. This limits the degree to
which inferences about the population can be made from BAM DCA data.
Condition: The size of the DCA population for IPIA 2013 varies by more than the statistical
control limit from the benchmark population. The benchmark populations are:
Monetary: Percent of determinations denied in ETA 218 report times number of new initial
claims (intrastate and interstate liable) plus transitional claims in ETA 5159 report.
Separation: Percent of determinations denied in ETA 207 report times number of separations in
ETA 9052 report.
Nonseparation: Percent of determinations denied in ETA 207 report times number of
nonseparations in ETA 9052 report.
2-6
This footnote will be generated from a footnote look-up table for each sample type: 2 (monetary),
3 (separation), or 4 (nonseparation).
This footnote will be generated only if the user specifies an annual report when the user specifies
the batch range YYYY27 through (YYYY+1)26).
2-7
Attachment 3 (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2013/uipl25-13acc3.pdf)
ET HANDBOOK NO. 395, 5th EDITION
information that led to the determination. The investigator will provide testimony concerning any
questions on the BAM process and the facts upon which the determination was based. When an
appeals hearing is not attended by a BAM staff member, an explanation must be provided in the
BAM case file.
12. Sample Selection. The annual sample sizes for UI paid claims and the three types of denials are
fixed by DOL for the IPIA reporting year. (This includes sample selection period July through June
of the following year (batch range YYYY27 through (YYYY+1)26)). BAM supervisors may change
the weekly sample sizes in the input control record to accommodate investigator vacation schedules
or other staffing contingencies. However, states are expected to pull at least the minimum number
of cases each week. States may not over sample during a portion of the year in order to meet the
annual sample allocation and then suspend sampling for the remainder of the IPIA year. The
minimum weekly and quarterly samples, based on current annual sample allocations are:
Sample Annual Normal Minimum Normal Minimum
Allocation Weekly Weekly Quarterly Quarterly
Paid Claims 360* 7 5 90 81
Paid Claims 480 9 6 120 108
Denials 150/450** 3 2 37-38 32
* Allocation for ten smallest states in terms of UI workload.
** 150 cases each of monetary, separation, and non-separation denials will be selected each year,
for a total of 450 DCA cases.
13. Completion of Cases and Timely Data Entry. Prompt completion of investigations is important
to ensure the integrity of the information being collected by questioning claimant and employers
before the passage of time adversely affects recollections. Prompt entry of associated data is
necessary for both the SWA and the Department of Labor to maintain current databases.
Therefore, the following time limits are established for completion of all cases for the IPIA
reporting year. (This includes sample selections for batch range YYYY27 through (YYYY+1)26):
- a minimum of 70 percent of cases must be completed within 60 days of the week ending
date of the batch, and 95 percent of cases must be completed within 90 days of the week
ending date of the batch; and
- a minimum of 98 percent of cases selected for batches YYYY27 to (YYYY+1)26 must
be completed by October 28 of YYYY+1 (120 days after June 30 of YYYY+1).
A case is complete when the investigation has been concluded as required, all official actions for the
Key Week (except appeals) have been completed, the supervisor has signed off, and the results have
been entered into the computer.
If a SWA's rates for completion of cases sampled for investigation for the year are less than the
requirements, and it believes that such failure was attributable to reasons beyond its control, the
SWA may submit a documented analysis to the DOL Regional Office requesting relief from
Departmental actions (i.e., requirement to submit a corrective action plan and a footnote in the
VI-11
January 2013
ET HANDBOOK NO. 395, 5th EDITION
BAM Annual Report). The analysis must demonstrate that all time limits would have been met had
the uncontrollably delayed cases been timely.
14. Reopening Cases. Cases may be reopened for the following reasons:
- to correct errors detected by either the SWA or federal reviewers;
- to update information as a result of appeal decisions;
- to update payment accuracy status or other information after the new hire or wage
record crossmatch is completed; or
- to update payment accuracy status or other information as a result of responses from
claimants, employers, or third parties after a failure to respond timely to BAM requests
for information.
Case completion timeliness will be recalculated when a case is reopened to correct errors detected by
the SWA. Exceptions are provided for cases reopened to update information as a result of
investigation following the match of a claimant’s SSN with either new hire directory records or wage
records or to update information based on responses from the claimant, employer, or third party
following documented failures to respond to requests for information, or to update coding following
an appeal. Therefore, it is important to minimize reopening by ensuring that, to the extent possible,
the data are complete and correctly entered initially.
If information requested as a result of a new hire crossmatch is pending when the case is closed,
then the BAM unit must always reopen the case (Reopen Case code (ro1) = 7), investigate and
document the case file, record the crossmatch outcome (Key Week Action Code (h1) = 4, 5, 7, or
8), and code any error identified. This means that if the case is closed before 37 days after the Key
Week end date, then the case must be reopened. Case completion timeliness will not be
recalculated.
BAM cases that need to be reopened due to information obtained as a result of the investigation
subsequent to a wage record match must be reopened using Reopen Case code (ro1) = 8, and the
appropriate Key Week Action Code (h1) = 4, 5, 7, or 8 will be entered. Case completion
timeliness will not be recalculated.
If BAM requested information from the claimant, employer, or third party and that information was
not provided until after the case has been closed, the case must be reopened using Reopen Case
code (ro1) = 9. The case file must include documentation of the initial and follow-up requests for
information to demonstrate that BAM provided an adequate period for timely response and that
contact procedures had been exhausted.
For example, if the claimant responds following a period of ineligibility for a failure to report to
BAM (that is, the claimant failed to complete the questionnaire by the due date) and the case has
been closed or the employer (or third party) responds after case closure and supplies information
that would change the case coding, then BAM unit must reopen the case using Reopen Case code
(ro1) = 9, and the appropriate Key Week Action Code (h1) = 4, 5, 7, or 8 will be entered. Case
completion timeliness will not be recalculated.
VI-12
January 2013
ET HANDBOOK NO. 395, 5th EDITION
For cases reopened using codes “7”, “8”, or “9”, the appropriate Key Week Action Code (h1) ”4”,
”5”, “7”, or ”8” will be entered:
● Use Key Week Action Code 4 if the payment was proper at time of supervisor sign-off, and no
Key Week error issues were detected as a result of new hire or wage record matching or
additional information obtained through late claimant, employer, or third party response.
● Use Key Week Action Code 5 if the payment was improper at time of supervisor sign-off, but no
additional Key Week error issues were detected as a result of new hire or wage record matching
or additional information obtained through late claimant, employer, or third party response.
Example 1: The initial BAM investigation identified an A & A issue in the Key Week and the
investigation of the NDNH match determines that no wages were paid during the Key Week and
that there are no other issues arising from benefit year employment that affect the claimant’s
eligibility for the Key Week.
Example 2: The initial BAM investigation identified a BYE issue in the Key Week and the
investigation of the NDNH match verifies that the information coded based on the original
investigation (amount of error, B-2 Attachment B type of error, responsibility, etc.) is correct.
● Use Key Week Action Code 7 if the payment was proper at time of supervisor sign-off, but is
improper as a result of new hire or wage record matching or additional information obtained
through late claimant, employer, or third party response.
● Use Key Week Action Code 8 if the payment was improper at time of supervisor sign-off, but
additional Key Week error issues were identified or the coding of an issue identified in the initial
BAM audit is revised as a result of new hire or wage record matching or additional
information obtained through late claimant, employer, or third party response
Example 1: The initial BAM investigation identified a reporting issue in the Key Week, and the
investigation of the NDNH match verifies that the claimant was employed during the Key Week
and identifies an overpayment due to BYE.
Example 2: The original BAM investigation identified a Key Week BYE issue and the investigation
of the NDNH match identifies additional information that requires revision of the information
coded based on the original investigation (amount of error, type of error, responsibility, etc.).
VI-13
January 2013
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