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pdfAPPENDIX 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
g 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.
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
-
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.
be left blank. The software will reject any records where these fields have a value
The column headers on the specifications tables, indicate the field and the related step and
rule in Module 3. When constructing the extract file, Federal definitions for some fields can
be found in Module 3 using these references, as well as valid state codes. For most steps, Rule
1 asks the state extract file programmer to build this element by accessing an indicator in the
UI DV HANDBOOK, BENEFITS
A.1
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
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
SEPTEMBER 2019
5159A-201-10
5159A-202-10
5159A-203-10
5159A-201-12
5159A-202-12
5159A-203-12
5159A-201-11
5159A-202-11
5159A-203-11
1.1
1.2
1.3
1.4
1.5
1.6
1.7
1.8
1.9
Required
Required
Required
Required
Required
Required
Required
Required
Required
Claim
WeekEnding Date
4
(Step 2A)
(Rule 1)
5
(Step 4)
6
(Step 5)
7
(Step 11)
(Rule 1)
Type of
Program
Date Week
SSN
UI Program
Type
Intrastate/ Interstate
Claimed
INTRASTATE WEEKS CLAIMED (1.1 through 1.3)
1) Random sample: 60 or 200
Required
Regular UI
UI
Intrastate
Required
Required
Regular UI
UCFE
Intrastate
Required
Required
Regular UI
UCX
Intrastate
Required
INTERSTATE WEEKS CLAIMED RECEIVED AS LIABLE STATE (1.4 through 1.6)
1) Random sample: 30 or 100
Interstate Received
Required
Regular UI
UI
Required
as Liable State*
Interstate Received
Required
Regular UI
UCFE
Required
as Liable State*
Interstate Received
Required
Regular UI
UCX
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
Required
Regular UI
UI
Required
Agent State*
Interstate Filed from
Required
Regular UI
UCFE
Required
Agent State*
Interstate Filed from
Required
Regular UI
UCX
Required
Agent State*
3
(Step 1A)
(Rule 1)
Weeks Claimed - Week was claimed during reporting/validation period
Table A.1.1
Population 1 Subpopulations
Monetarily
Eligible
or Pending
8
(Step 11)
(Rule 2)
Required
Required
Required
Required
Required
Required
Earnings
9
(Step 11)
(Rule 3)
Optional
Optional
Optional
Required
Required
Required
Required
Required
Required
WBA
10
(Step 11)
(Rule 3)
APPENDIX A
UI DV HANDBOOK, BENEFITS
A.3
SEPTEMBER 2019
*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.
Report, Line,
and Column
Sub
pop
#
2
(Step 1A)
(Rule 2)
SUBPOPULATION SPECIFICATIONS
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Table A.1.2
Relationship between ETA 5159A Report Cells and Weeks Claimed Subpopulations in
Population 1
Continued Weeks Claimed
Intrastate
(10)
Interstate Filed
from Agent State
(11)
Interstate Received
as Liable State
(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
SEPTEMBER 2019
5159B-303-26
218B-104 (14,
19)
5159B-303-26
218B-102 (8-13)
5159B-303-27
5159B-303-28
Report, Line,
and Column
UI DV HANDBOOK, BENEFITS
regulations.
a
2.3
2.4
2.2
2.1
Subpop
#
Required
Required
Required
Required
SSN
2
(Step 1C)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
4
(Step 2)
5
(Step 4)
6
(Step 9A)
(Step 9B)
(Rule 1)
7
(Step 7)
(Rules 1 &
2)
Required
Required
Required
Required
Regular UI
Regular UI
Regular UI
Regular UI
UCFE
UCX
UI
UI
A.5
>0
>0
>0
>0
>0
>0
>0
>0
Check
Number
Type of
Program
Unique ID UI Program Type
MBA
WBA
FINAL PAYMENTS (2.1 through 2.4)
1) Random sample: 30 or 100
3
(Step 1C)
(Rule 2)
Table A.2.1
Population 2 Subpopulations
Final Payments
Requireda
> 25
Actual
Weeks
of
Duration
8
(Step 9A)
N
Y
Maximum
Weeks of
Duration
9
(Step 9B)
(Step 9C)
Must be 0
Must be 0
Must be 0
Must be 0
Balance
11
(Step 10C)
(Rule 2)
SEPTEMBER 2019
tion due to state unemployment
Required
Required
Required
Required
Mail Date
of Final
Payment
10
(Step 10C)
(Rule 3)
APPENDIX A
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
LINE
NO.
ITEM
102
Actual
Less than 26 Weeks
(8-13)
2
MAXIMUM WEEKS OF
DURATION
104
26-27 Weeks
(14)
Number at Maximum
Duration
(19)
Average Weeks Duration
(20)
1
1
Average Calculation from
Total Column for
Subpopulations 1 and 2
Actual
Table A.2.3
Relationship between ETA 5159B Report and Final Payments Subpopulations in Population 2
Final Payments for All Unemployment
State UI Program
Number
UI DV HANDBOOK, BENEFITS
303
UCFE & UCX Programs
Total
(26)
UCFE, No UI
(27)
UCX Only
(28)
1 and 2
3
4
A.6
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
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.
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
SEPTEMBER 2019
Required
Required
Required
Required
Required
Required
Required
5159A-101-2
218A-100 (3-6)
218B-103 (14, 19)
5159A-101-2
218A-100 (3-5)
218B-101 (8-13)
5159A-101-2
218A-100 (3-4)
218B-103 (14, 19)
5159A-101-2
218A-100 (3-4)
218B-101 (8-13)
5159A-101-2
218A-100-3
5159A-101-2
5159A-101-7
218A-100-2
3.2
3.3
3.4
3.5
3.6
3.7
3.8
UI DV HANDBOOK, BENEFITS
Required
SSN
5159A-101-2
218A-100-2
Report, Line,
and Column
3.1
Sub
pop
#
2
(Step
1B)
Regular UI
Regular UI
Within
Quarter
Within
Quarter
Regular UI
Regular UI
Regular UI
Regular UI
Regular UI
Regular UI
Type of UI
Program
4
(Step 2A
(Rule 1))
Program
Type
6
(Step 4)
Intrastate/
Interstate
7
(Step 5)
Sufficient/
Insufficient/
Combined
Wages
Date of
Original
Monetarya
9
(Step 6C)
(Step 6D)
8
(Step 6A)
(Step 6B)
New
New
New
New
New
New
New
New
UI
UI
UI
UI
UI
UI
UI
UI
Within
Quarter
Interstate
Received as
Liable State*
A.8
Must be
blank
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Intrastate
Intrastate
Intrastate
Intrastate
Intrastate
Intrastate
Intrastate
Insufficient
Must be blank
Sufficient
No BYc
Sufficient
New BY
Sufficient
New BY
Sufficient
New BY
Sufficient
New BY
Insufficient
NEW UI CLAIMS (3.1 through 3.14)
1) Random sample: 60 or 200; 2) Supplemental sample--missing strata
Type of
Claim
5
(Step 3)
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
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Date Claim
Filed/IB-4
Sent
3
(Step 3A)
(Rules 1 &
6)
(Step 3C)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
Must be
blank
Must be
blank
Must be
blank
Less than
Maximum
Less than
Maximum
Maximum
Maximum
Must be
blank
WBA
10
(Step 7)
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
>0
>0
>0
>0
Must be
blank or 0
MBA
11
(Step 8A)
(Step 8B)
Must be blank
Must be blank
Must be blank
N
Y
N
Y
Must be blank
Potential
Weeks
Maximum
Duration
13
(Step 8B)
SEPTEMBER 2019
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
>0
>0
>0
>0
Must be blank
or 0
Potential
Weeks of
Duration b
12
(Step 8A)
APPENDIX A
Required
Required
Required
5159A-101-7
218A-100 (3-4)
218B-103 (14, 19)
5159A-101-7
218A-100 (3-4)
218B-101 (8-13)
5159A-101-7
218A-100-3
5159A-101-7
5159A-102-2
5159A-103-2
5159A-102-7
5159A-103-7
3.11
3.12
3.13
3.14
3.15
3.16
3.17
3.18
UI DV HANDBOOK, BENEFITS
Required
5159A-101-7
218A-100 (3-5)
218B-101 (8-13)
3.10
Required
Required
Required
Required
Required
Required
SSN
5159A-101-7
218A-100 (3-6)
218B-103 (14, 19)
Report, Line,
and Column
3.9
Sub
pop
#
2
(Step
1B)
Regular UI
Regular UI
Regular UI
Regular UI
Regular UI
Regular UI
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Regular UI
Regular UI
Regular UI
Regular UI
Type of UI
Program
4
(Step 2A
(Rule 1))
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Date Claim
Filed/IB-4
Sent
3
(Step 3A)
(Rules 1 &
6)
(Step 3C)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
UI
UI
UI
UI
UI
UI
Program
Type
6
(Step 4)
Within
Quarter
Within
Quarter
Must be
blank
Interstate
Received as
Liable State*
Interstate
Received as
Liable State*
Within
Quarter
Within
Quarter
Within
Quarter
Must be blank
New
New
New
New
UCX
UCFE
UCX
UCFE
A.9
Interstate
Received as
Liable State*
Interstate
Received as
Liable State*
Intrastate
Intrastate
Sufficient
No BYc
Sufficient
New BY
Sufficient
New BY
Sufficient
New BY
Sufficient
New BY
Sufficient/
Insufficient/
Combined
Wages
Date of
Original
Monetarya
9
(Step 6C)
(Step 6D)
8
(Step 6A)
(Step 6B)
Interstate
Received as
Liable State*
Interstate
Received as
Liable State*
Interstate
Received as
Liable State*
Interstate
Received as
Liable State*
Intrastate/
Interstate
7
(Step 5)
NEW UCFE/UCX CLAIMS (3.15 through 3.18)
1) Minimum sample: First two cases from each subpopulation
New
New
New
New
New
New
Type of
Claim
5
(Step 3)
Must be
blank
Must be
blank
Less than
Maximum
Less than
Maximum
Maximum
Maximum
WBA
10
(Step 7)
Must be
blank or 0
Must be
blank or 0
>0
>0
>0
>0
MBA
11
(Step 8A)
(Step 8B)
Must be blank
Must be blank
N
Y
N
Y
Potential
Weeks
Maximum
Duration
13
(Step 8B)
SEPTEMBER 2019
Must be blank
or 0
Must be blank
or 0
>0
>0
>0
>0
Potential
Weeks of
Duration b
12
(Step 8A)
APPENDIX A
Required
Required
5159A-102-4
5159A-103-4
5159A-101 (4, 5)
5159A-102 (4, 5)
5159A-103 (4, 5)
5159A-101-6
218A-100-2
3.20
3.21
3.22
3.23
3.24
3.25
UI DV HANDBOOK, BENEFITS
Required
5159A-101-4
3.19
Required
Required
Required
Required
SSN
Report, Line,
and Column
Sub
pop
#
2
(Step
1B)
Regular UI
Regular UI
Regular UI
Regular UI
Regular UI
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Regular UI
Within
Quarter
Program
Type
6
(Step 4)
Intrastate/
Interstate
7
(Step 5)
Sufficient/
Insufficient/
Combined
Wages
Date of
Original
Monetarya
9
(Step 6C)
(Step 6D)
8
(Step 6A)
(Step 6B)
UCFE
UCX
New
Transitional
Additional
Reopened
New
Transitional
Additional
Reopened
Interstate
Filed from
Agent State*
Interstate
Filed from
Agent State*
Interstate
Filed from
Agent State*
UI
UCFE
UCX
New
Transitional
Additional
Reopened
New
Transitional
Additional
Reopened
New
Transitional
Additional
Reopened
Interstate
Taken as
Agent State*
Interstate
Taken as
Agent State*
Interstate
Taken as
Agent State*
INTERSTATE CLAIMS TAKEN AS AGENT STATE (3.22 through 3.24)
1) Minimum sample: First two cases from each subpopulation
UI
New
Transitional
Additional
Reopened
INTERSTATE FILED FROM AGENT STATE CLAIMS (3.19 through 3.21)
1) Minimum sample: First two cases from each subpopulation
Type of
Claim
5
(Step 3)
Regular UI
Transitional
UI
A.10
Within
Quarter
Insufficient
INTRASTATE AND INTERSTATE TRANSITIONAL CLAIMS (3.25 through 3.33)
1) Random sample: 30 or 100
Type of UI
Program
4
(Step 2A
(Rule 1))
Date Claim
Filed/IB-4
Sent
3
(Step 3A)
(Rules 1 &
6)
(Step 3C)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
Must be
blank
WBA
10
(Step 7)
Must be
blank or 0
MBA
11
(Step 8A)
(Step 8B)
Must be blank
Potential
Weeks
Maximum
Duration
13
(Step 8B)
SEPTEMBER 2019
Must be blank
or 0
Potential
Weeks of
Duration b
12
(Step 8A)
APPENDIX A
Required
Required
Required
5159A-101-6
218A-100 (3-4)
218B-103 (14, 19)
5159A-101-6
218A-100 (3-4)
218B-101 (8-13)
5159A-101-6
218A-100-3
5159A-101-6
5159A-102-6
5159A-103-6
586A-101-1
586A-101 (1-2)
586A-102-1
3.28
3.29
3.30
3.31
3.32
3.33
3.34
3.35
3.36
UI DV HANDBOOK, BENEFITS
Required
5159A-101-6
218A-100 (3-5)
218B-101 (8-13)
3.27
Required
Required
Required
Required
Required
Required
Required
SSN
5159A-101-6
218A-100 (3-6)
218B-103 (14, 19)
Report, Line,
and Column
3.26
Sub
pop
#
2
(Step
1B)
Regular UI
Regular UI
Regular UI
Regular UI
Regular UI
Regular UI
Regular UI
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Regular UI
Regular UI
Regular UI
Regular UI
Type of UI
Program
4
(Step 2A
(Rule 1))
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Date Claim
Filed/IB-4
Sent
3
(Step 3A)
(Rules 1 &
6)
(Step 3C)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
UCX
UCFE
UI
UI
UI
UI
UI
UI
Program
Type
6
(Step 4)
Intrastate/
Interstate
7
(Step 5)
Must be
blank
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Must be blank
Sufficient
No BYc
Sufficient
New BY
Sufficient
New BY
Sufficient
New BY
Sufficient
New BY
Sufficient/
Insufficient/
Combined
Wages
Date of
Original
Monetarya
9
(Step 6C)
(Step 6D)
8
(Step 6A)
(Step 6B)
CWC New
CWC New
CWC New
A.11
CWC Interstate
CWC Intrastate
CWC Intrastate
Must be
blank
Within
Quarter
Must be
blank
Insufficient
(Wages Not
Combined)*
Sufficient
New CWC BY
Insufficient
(Wages Not
Combined)*
CWC CLAIMS (3.34 through 3.39)
1) Random sample: 30 or 100; 2) Supplemental sample--missing strata
Transitional
Transitional
Transitional
Transitional
Transitional
Transitional
Transitional
Transitional
Type of
Claim
5
(Step 3)
Must be
blank or 0
Must be
blank
Must be
blank
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
Must be
blank
Must be
blank
>0
>0
>0
>0
MBA
11
(Step 8A)
(Step 8B)
Less than
Maximum
Less than
Maximum
Maximum
Maximum
WBA
10
(Step 7)
Must be blank
Must be blank
Must be blank
Must be blank
N
Y
N
Y
Potential
Weeks
Maximum
Duration
13
(Step 8B)
SEPTEMBER 2019
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
>0
>0
>0
>0
Potential
Weeks of
Duration b
12
(Step 8A)
APPENDIX A
Required
Required
Required
Required
Required
586A-101-2
586A-102-2
218A-100-2
218A-100 (3-6)
218B-103 (14, 19)
218A-100 (3-5)
218B-101 (8-13)
218A-100 (3-4)
218B-103 (14, 19)
218A-100 (3-4)
218B-101 (8-13)
218A-100-3
3.38
3.39
3.40
3.41
3.42
3.43
3.44
3.45
UI DV HANDBOOK, BENEFITS
Required
586A-102 (1-2)
3.37
Required
Required
Required
SSN
Report, Line,
and Column
Sub
pop
#
2
(Step
1B)
Regular UI
Regular UI
Regular UI
A Prior
Quarter
A Prior
Quarter
A Prior
Quarter
Regular UI
Regular UI
A Prior
Quarter
Regular UI
Regular UI
A Prior
Quarter
A Prior
Quarter
A Prior
Quarter
Regular UI
Regular UI
Within
Quarter
A Prior
Quarter
Type of UI
Program
4
(Step 2A
(Rule 1))
Date Claim
Filed/IB-4
Sent
3
(Step 3A)
(Rules 1 &
6)
(Step 3C)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
CWC Interstate
New CWC
BY for CWC
Claim Filed in
Prior Quarter*
Within
Quarter
Within
Quarter
Within
Quarter
Sufficient
New CWC BY
Sufficient
New CWC BY
Sufficient
New CWC BY
Sufficient/
Insufficient/
Combined
Wages
Date of
Original
Monetarya
9
(Step 6C)
(Step 6D)
8
(Step 6A)
(Step 6B)
UI
UI
UI
UI
UI
New Claim
Filed in
Prior Quarter*
New Claim
Filed in
Prior Quarter*
New Claim
Filed in
Prior Quarter*
New Claim
Filed in
Prior Quarter*
New Claim
Filed in
Prior Quarter*
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
Within
Quarter
A.12
ENTERING SELF-EMPLOYMENT PROGRAM (3.46)
1) Minimum sample: First two cases
UI
New Claim
Filed in
Prior Quarter*
Sufficient
No BYc
Sufficient
New BY
Sufficient
New BY
Sufficient
New BY
Sufficient
New BY
Insufficient
NEW CLAIMS FILED IN THE PRIOR QUARTER (3.40 through 3.45)d
1) Random sample: 30 or 100; 2) Supplemental sample--missing strata
CWC Intrastate
New CWC
BY for CWC
Claim Filed in
Prior Quarter*
Intrastate/
Interstate
7
(Step 5)
CWC Interstate
Program
Type
6
(Step 4)
CWC New
Type of
Claim
5
(Step 3)
Must be
blank
Less than
Maximum
Less than
Maximum
Maximum
Maximum
Must be
blank
WBA
10
(Step 7)
Must be
blank or 0
>0
>0
>0
>0
Must be
blank or 0
MBA
11
(Step 8A)
(Step 8B)
Must be blank
N
Y
N
Y
Must be blank
Potential
Weeks
Maximum
Duration
13
(Step 8B)
SEPTEMBER 2019
Must be blank
or 0
>0
>0
>0
>0
Must be blank
or 0
Potential
Weeks of
Duration b
12
(Step 8A)
APPENDIX A
Required
5159A-201-13
3.46
Type of UI
Program
Regular UI
Within
Quarter
4
(Step 2A
(Rule 1))
Date Claim
Filed/IB-4
Sent
3
(Step 3A)
(Rules 1 &
6)
(Step 3C)
(Rule 1)
Entering
SelfEmployment
Type of
Claim
5
(Step 3)
Program
Type
6
(Step 4)
Intrastate/
Interstate
7
(Step 5)
Sufficient/
Insufficient/
Combined
Wages
Date of
Original
Monetarya
9
(Step 6C)
(Step 6D)
8
(Step 6A)
(Step 6B)
WBA
10
(Step 7)
MBA
11
(Step 8A)
(Step 8B)
Potential
Weeks of
Duration b
12
(Step 8A)
Potential
Weeks
Maximum
Duration
13
(Step 8B)
APPENDIX A
UI DV HANDBOOK, BENEFITS
A.13
SEPTEMBER 2019
*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
ges 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
file.
SSN
Report, Line,
and Column
Sub
pop
#
2
(Step
1B)
SUBPOPULATION SPECIFICATIONS
5159A-101-3
5159A-102-3
5159A-103-3
5159A-101-7
5159A-102-7
5159A-103-7
3a.1
3a.2
3a.3
3a.4
3a.5
3a.6
Required
Required
Required
Required
Required
Required
SSN
Required
Required
Required
Required
Required
Required
Date
Claim Filed
3
(Step 3B)
(Rule 1)
Regular UI
Regular UI
Regular UI
Regular UI
Regular UI
Regular UI
Additional
Additional
Additional
Additional
Additional
Additional
Type of
Claim
5
(Step 3B)
(Rule 2)
6
(Step 4)
7
(Step 5)
UCX
UCFE
UI
UCX
UCFE
UI
Interstate
Received as
Liable State*
Interstate
Received as
Liable State*
Interstate
Received as
Liable State*
Intrastate
Intrastate
Intrastate
Program
Intrastate/
Type
Interstate
ADDITIONAL CLAIMS (3a.1 through 3a.6)
1) Random sample: 60 or 200
Type of UI
Program
4
(Step 2A)
Unclaimed
Week
8
(Step 3B)
(Rule 3)
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
Required
Required
Required
Required
Required
Required
Separation
Date
9
(Step 3B)
(Rule 4)
Required
Required
Required
Required
Required
Required
Last
Employer
10
(Step 3B)
(Rule 5)
Required
Required
Required
Required
Required
Required
Separation
Reason
11
(Step 3B)
(Rule 6)
APPENDIX A
UI DV HANDBOOK, BENEFITS
A.14
SEPTEMBER 2019
*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.
Report, Line,
and Column
Subpop
#
2
(Step 1B)
SUBPOPULATION SPECIFICATIONS
UI DV HANDBOOK, BENEFITS
102
Interstate
Recvd.
as Paying State
201
State UI
101
103
UCX Only
Intrastate
102
UCFE, No UI
Line
No.
101
State UI
State UI
Line
No.
Program
16
15
1-7
36 and 37
34 and 35
New Claims
(1)
New Intrastate
Excluding
Transitional
(2)
3a.3
3a.2
3a.1
Additional
Intrastate
(3)
37 and 39
35 and 38
Persons
Establishing
Benefit Years
(2)
A.15
21 and 24
20 and 23
19 and 22
Interstate
Filed from
Agent State
(4)
24
23
22
Interstate
Taken as
Agent State
(5)
Initial Claims
33
32
25-31
Transitional
(6)
18 and 3a.6
17 and 3a.5
8-14 and 3a.4
Interstate
Received as
Liable State
(7)
Table A.3.3
Relationship between ETA 5159A and 586A Reports and Claims Subpopulations in Population 3
SUBPOPULATION SPECIFICATIONS
SEPTEMBER 2019
46
Entering
Self-employment,
All Programs
(13)
APPENDIX A
Potential
Potential
101
103
UI DV HANDBOOK, BENEFITS
ITEM
LINE
NO.
1, 8, 25, 40
100
(4)
2-5
9-12
26-29
41-44
2-6
9-13
26-30
41-45
Total
Sufficient
Wage Credits
(3)
2-3
9-10
26-27
41-42
Maximum Weekly
Benefit
(5)
2, 4, 9, 11, 26, 28, 41, 43
26-27 Weeks
(14)
MAXIMUM WEEKS OF DURATION
3, 5, 10, 12, 27, 29, 42, 44
Less than 26 Weeks
(8-13)
A.16
2, 4, 9, 11, 26, 28, 41, 43
Number at Maximum Duration
(19)
LESS THAN MAXIMUM WEEKS OF DURATION
APPENDIX A
SEPTEMBER 2019
Average Calculation from Total
Column
for Subpopulations 2-5, 9-12, 26-29,
and 41-44
Average Weeks Durationa
(20)
2, 9, 26, 41
Maximum Benefit
& Duration
(6)
NUMBER OF CLAIMANTS ESTABLISHING
BENEFIT YEARS
SECTION B. POTENTIAL DURATION FOR DETERMINATIONS ESTABLISHING BENEFIT YEARS
Insufficient
Wage Credits
(2)
LINE NO.
DETERMINATIONS
SECTION A. MONETARY DETERMINATIONS
Table A.3.4
Relationship between ETA 218 Reports and New UI Claims Subpopulations in Population 3
SUBPOPULATION SPECIFICATIONS
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
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
A) When no original monetary determination was sent during the quarter being
validated 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
Type of
Claim
New
New
Intrastate
Excluding
Transitional
Additional
Intrastate
(2)
(3)
X
Transitional
Additional
Reopen
UI DV HANDBOOK, BENEFITS
X
Interstate
Interstate
Interstate
Filed from
Taken as
Received as
Agent State Agent State Transitional Liable State
(4)
(5)
X
X
X
X
X
X
X
X
A.18
(6)
(7)
X
X
X
SEPTEMBER 2019
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.
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
(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
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:
claims).
These records represent insufficient monetary determinations (ineligible
These records represent sufficient monetary determinations (eligible claims)
with a new benefit year established. These records include 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.
These records represent interstate received as liable claims and are assigned to
UI DV HANDBOOK, BENEFITS
A.19
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
These records represent new UCFE/UCX claims. The monetary information
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.
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.
These records represent interstate taken as agent state claims. These are claims
against other states that are filed in your state agency.
These records represent transitional claims (UI/UCFE/UCX). Transitional UI
claims are reported on the ETA 5159 and the ETA 218.
These records represent new CWC claims. Procedures for validating CWC
claims and payments are found in Appendix C.
A new CWC claim occurs when the first IB4 request to transfer wages is sent
to another state for a claim.
If the first IB4 for a claim is sent during a quarter and a monetary determination
or redetermination is issued using wages from more than one state during that
quarter, it constitutes a new CWC claim and a new CWC benefit year.
These records are assigned to subpopulations 3.35 (for intrastate) and 3.37 (for
interstate).
If the first IB4 for a claim is sent during a quarter but no monetary
determination or redetermination using wages from more than one state is
issued during that quarter, then this constitutes an insufficient CWC claim (no
new benefit year is established), and these transactions are assigned to
subpopulations 3.34 (for intrastate) and 3.36 (for interstate).
There are several reasons why a monetary determination using wages from
more than one state may not be issued in the quarter in which the initial IB-4
was sent for a claim:
1) Wages were not found in the other state
2) Wages were found in the other state but not used
3) Wages were found but used in a subsequent quarter
UI DV HANDBOOK, BENEFITS
A.20
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
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.
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.
These transactions represent intrastate and interstate additional claims
(UI/UCFE/UCX).
5.
Commuter Claim
e
liable) state and that person filed directly with your (the liable) state, the claim is reported as
an intrastate claim.
UI DV HANDBOOK, BENEFITS
A.21
SEPTEMBER 2019
UI Only
UI Only
Required Required Regular UI
Required Required Regular UI
5159B-301 (17-18)
5159B-302 (17-18)
9050-All-C3
5159B-301 (17-18)
5159B-302 (17-18)
9050-All-C7
4.5
4.6
UI DV HANDBOOK, BENEFITS
Required Required Regular UI
5159B-301 (14-17)
5159B-302 (14-17)
9050-All-C6
4.4
Interstate
Intrastate
Interstate
UCFE
Only or
UCFE/
UCX
UCFE
Only or
UCFE/
UCX
Intrastate
Interstate
Intrastate
Joint
UI/Federal
5159B-301 (14, 15, 17)
Joint
5159B-302 (14, 15, 17) Required Required Regular UI
UI/Federal
9050-All-C2
Required Required Regular UI
5159B-301 (14-16)
5159B-302 (14-16)
9050-All-C6
4.2
4.3
Type of
Compensation
7
(Step 10A)
(Step 10B)
(Step 10F)
(Step 10G)
WBA
9
10
(Step
(Step
10D)
10D)
(Rule 2) (Rule 3)
(Step
(Step
10E)
10E)
(Rule 2) (Rule 3)
Partial/
Total
Weeks of
Unemployment
Earnings
8
(Step 10D)
(Step 10E)
12
(Step
12B)
A.22
First Payment
First Payment
First Payment
First Payment
First Payment
First Payment
Total
Total
Total
Total
Total
Total
0
0
0
0
0
0
>0
>0
>0
>0
>0
>0
13
(Step
12C)
14
(Step
12D)
15
(Step
12E)
Must be
blank or
0
Must be
blank or
0
>0
>0
>0
>0
>0
>0
Must be Must be
blank or blank or Required Required
0
0
SEPTEMBER 2019
0 for
UCFE
Must be Must be
only, > 0
blank or blank or Required Required
for
0
0
UCFE/
UCX
0 for
UCFE
only, >
0 for
UCFE/
UCX
> 0 if
> 0 if
Must be Must be
Col. 13 = Col. 12 = blank or blank or Required Required
0a
0a
0
0
> 0 if
> 0 if
Must be Must be
Col. 13 = Col. 12 = blank or blank or Required Required
0a
0a
0
0
Must be Must be Must be Must be
blank or blank or blank or blank or Required Required
0
0
0
0
Must be Must be Must be Must be
blank or blank or blank or blank or Required Required
0
0
0
0
Mail
Date
16
17
(Step 13) (Step 14)
APPENDIX A
SelfEmploy- Week
UI
UCFE
UCX
CWC
ment
Ending
Amount Amount Amount Amount Amount Date
11
(Step
12A)
FIRST PAYMENTS (4.1 through 4.16)
1) Random sample: 60 or 200; 2) Supplemental sample--missing strata; 3) Supplemental sample--outliers
Intrastate/
Interstate
Required Required Regular UI
SSN
Check
Number Type of
Unique
UI
Program
ID
Program
Type
5159B-301 (14-15)
5159B-302 (14-15)
9050-All-C2
Report, Line,
and Column
6
(Step 5)
5
(Step 4)
3
4
(Step (Step 2A)
1C)
(Rule 2)
Table A.4.1
Population 4 Subpopulations
Payments/Weeks Compensated
Payment Mail Date Falls within Reporting/Validation Period
4.1
Sub
pop
#
2
(Step 1C)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
Required Required Regular UI
Required Required Regular UI
5159B-301 (14, 16)
5159B-302 (14, 16)
9050-Part-C6
5159B-301 (14, 17)
5159B-302 (14, 17)
9050-All-C2
9050-Part-C2
4.10
4.11
Required Required Regular UI
5159B-301 (17-18)
5159B-302 (17-18)
9050-Part-C7
4.14
UI DV HANDBOOK, BENEFITS
Required Required Regular UI
4.13
Intrastate
Interstate
UCFE
Only or
UCFE/
UCX
UCFE
Only or
UCFE/
UCX
Interstate
5159B-301 (14, 16, 17)
Joint
5159B-302 (14, 16, 17) Required Required Regular UI
UI/Federal
9050-Part-C6
Interstate
Intrastate
UI Only
Intrastate
Interstate
Joint
UI/Federal
5159B-301 (17-18)
5159B-302 (17-18)
9050-Part-C3
4.12
Required Required Regular UI
5159B-301-14
5159B-302-14
9050-All-C2
9050-Part-C2
4.9
UI Only
Required Required Regular UI UCX Only
5159B-301 (17, 19)
5159B-302 (17, 19)
9050-All-C8
4.8
Intrastate
Intrastate/
Interstate
Required Required Regular UI UCX Only
SSN
Check
Number Type of
Unique
UI
Program
ID
Program
Type
5159B-301 (17, 19)
5159B-302 (17, 19)
9050-All-C4
Report, Line,
and Column
6
(Step 5)
5
(Step 4)
3
4
(Step (Step 2A)
1C)
(Rule 2)
4.7
Sub
pop
#
2
(Step 1C)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
Partial
Partial
Partial
Partial
Partial
Partial
Total
Total
0
0
0
0
0
0
0
0
>0
>0
>0
>0
>0
>0
>0
>0
WBA
9
10
(Step
(Step
10D)
10D)
(Rule 2) (Rule 3)
(Step
(Step
10E)
10E)
(Rule 2) (Rule 3)
Partial/
Total
Weeks of
Unemployment
Earnings
8
(Step 10D)
(Step 10E)
A.23
First Payment
First Payment
First Payment
First Payment
First Payment
First Payment
First Payment
First Payment
Type of
Compensation
7
(Step 10A)
(Step 10B)
(Step 10F)
(Step 10G)
12
(Step
12B)
13
(Step
12C)
14
(Step
12D)
15
(Step
12E)
Must be
blank or
0
Must be
blank or
0
>0
>0
>0
>0
>0
>0
Must be Must be
blank or blank or Required Required
0
0
Must be Must be
blank or blank or Required Required
0
0
Must be
blank or
Required Required
0
>0
>0
SEPTEMBER 2019
0 for
UCFE
Must be Must be
only, > 0
blank or blank or Required Required
for
0
0
UCFE/
UCX
0 for
UCFE
Must be Must be
only, > 0
blank or blank or Required Required
for
0
0
UCFE/
UCX
> 0 if
> 0 if
Must be Must be
Col. 13 = Col. 12 = blank or blank or Required Required
0a
0a
0
0
> 0 if
> 0 if
Must be
Col. 13 = Col. 12 = blank or
0a
0a
0
Must be Must be Must be Must be
blank or blank or blank or blank or Required Required
0
0
0
0
Must be Must be Must be Must be
blank or blank or blank or blank or Required Required
0
0
0
0
Must be Must be
blank or blank or
0
0
Must be Must be
blank or blank or
0
0
Mail
Date
16
17
(Step 13) (Step 14)
SelfEmploy- Week
UI
UCFE
UCX
CWC
ment
Ending
Amount Amount Amount Amount Amount Date
11
(Step
12A)
APPENDIX A
Required Required Regular UI
5159B-301 (14-16)
5159B-302 (14-16)
9051-All-C6
4.18
UI Only
Required Required Regular UI
Required Required Regular UI
5159B-301 (17-18)
5159B-302 (17-18)
9051-All-C3
5159B-301 (17-18)
5159B-302 (17-18)
9051-All-C7
4.21
4.22
UI DV HANDBOOK, BENEFITS
Required Required Regular UI
5159B-301 (14-17)
5159B-302 (14-17)
9051-All-C6
First Payment
First Payment
Type of
Compensation
7
(Step 10A)
(Step 10B)
(Step 10F)
(Step 10G)
Partial
Partial
0
0
Interstate
Intrastate
Interstate
UCFE
Only or
UCFE/
UCX
UCFE
Only or
UCFE/
UCX
Intrastate
Interstate
Intrastate
Continued
Payment
Continued
Payment
Continued
Payment
Continued
Payment
Continued
Payment
Continued
Payment
A.24
Total
Total
Total
Total
Total
Total
0
0
0
0
0
0
>0
>0
>0
>0
>0
>0
>0
>0
WBA
9
10
(Step
(Step
10D)
10D)
(Rule 2) (Rule 3)
(Step
(Step
10E)
10E)
(Rule 2) (Rule 3)
Partial/
Total
Weeks of
Unemployment
Earnings
8
(Step 10D)
(Step 10E)
CONTINUED TOTAL PAYMENTS (4.17 through 4.24)
1) Supplemental sample--outliers
Interstate
Joint
UI/Federal
5159B-301 (14, 15, 17)
Joint
5159B-302 (14, 15, 17) Required Required Regular UI
UI/Federal
9051-All-C2
4.20
4.19
Required Required Regular UI
5159B-301 (14-15)
5159B-302 (14-15)
9051-All-C2
4.17
UI Only
Required Required Regular UI UCX Only
5159B-301 (17, 19)
5159B-302 (17, 19)
9050-Part-C8
4.16
Intrastate
Intrastate/
Interstate
Required Required Regular UI UCX Only
SSN
Check
Number Type of
Unique
UI
Program
ID
Program
Type
5159B-301 (17, 19)
5159B-302 (17, 19)
9050-Part-C4
Report, Line,
and Column
6
(Step 5)
5
(Step 4)
3
4
(Step (Step 2A)
1C)
(Rule 2)
4.15
Sub
pop
#
2
(Step 1C)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
12
(Step
12B)
13
(Step
12C)
14
(Step
12D)
15
(Step
12E)
Must
be
blank
or 0
Must be
blank or
0
Must be
blank or
0
>0
>0
>0
>0
>0
>0
Must be Must be
blank or blank or Required Required
0
0
Must be Must be
blank or blank or Required Required
0
0
>0
>0
SEPTEMBER 2019
0 for
UCFE Must be Must be
only, > 0 blank or blank or Required Required
for UCFE
0
0
/UCX
0 for
UCFE
Must be Must be
only, > 0
blank or blank or Required Required
for
0
0
UCFE/
UCX
> 0 if
> 0 if
Must be Must be
Col. 13 = Col. 12 = blank or blank or Required Required
0a
0a
0
0
> 0 if
> 0 if
Must be Must be
Col. 13 = Col. 12 = blank or blank or Required Required
0a
0a
0
0
Must be Must be Must be Must be
blank or blank or blank or blank or Required Required
0
0
0
0
Must be Must be Must be Must be
blank or blank or blank or blank or Required Required
0
0
0
0
Must be Must be
blank or blank or
0
0
Must
be
blank
or 0
Mail
Date
16
17
(Step 13) (Step 14)
SelfEmploy- Week
UI
UCFE
UCX
CWC
ment
Ending
Amount Amount Amount Amount Amount Date
11
(Step
12A)
APPENDIX A
Required Required Regular UI
5159B-301 (17-18)
5159B-302 (17-18)
9051-Part-C7
4.30
UI DV HANDBOOK, BENEFITS
Required Required Regular UI
4.29
Intrastate
Interstate
UCFE
Only or
UCFE/
UCX
UCFE
Only or
UCFE/
UCX
Interstate
Interstate
5159B-301 (14, 16, 17)
Joint
5159B-302 (14, 16, 17) Required Required Regular UI
UI/Federal
9051-Part-C6
5159B-301 (17-18)
5159B-302 (17-18)
9051-Part-C3
4.28
Required Required Regular UI
5159B-301 (14, 17)
5159B-302 (14, 17)
9051-Part-C2
4.27
UI Only
Intrastate
Intrastate
Required Required Regular UI
5159B-301 (14, 16)
5159B-302 (14, 16)
9051-Part-C6
4.26
UI Only
Interstate
Joint
UI/Federal
Required Required Regular UI
5159B-301-14
5159B-302-14
9051-Part-C2
4.25
CONTINUED PARTIAL PAYMENTS (4.25 through 4.32)
Required Required Regular UI UCX Only
5159B-301 (17, 19)
5159B-302 (17, 19)
9051-All-C8
4.24
Intrastate
Intrastate/
Interstate
Required Required Regular UI UCX Only
SSN
Check
Number Type of
Unique
UI
Program
ID
Program
Type
5159B-301 (17, 19)
5159B-302 (17, 19)
9051-All-C4
Report, Line,
and Column
6
(Step 5)
5
(Step 4)
3
4
(Step (Step 2A)
1C)
(Rule 2)
4.23
Sub
pop
#
2
(Step 1C)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
Total
Total
Continued
Payment
Continued
Payment
Continued
Payment
Continued
Payment
Continued
Payment
Continued
Payment
A.25
Partial
Partial
Partial
Partial
Partial
Partial
0
0
0
0
0
0
0
0
>0
>0
>0
>0
>0
>0
>0
>0
WBA
9
10
(Step
(Step
10D)
10D)
(Rule 2) (Rule 3)
(Step
(Step
10E)
10E)
(Rule 2) (Rule 3)
Partial/
Total
Weeks of
Unemployment
Earnings
8
(Step 10D)
(Step 10E)
1) Random sample: 30 or 100
Continued
Payment
Continued
Payment
Type of
Compensation
7
(Step 10A)
(Step 10B)
(Step 10F)
(Step 10G)
12
(Step
12B)
13
(Step
12C)
14
(Step
12D)
15
(Step
12E)
Must be
blank or
0
Must be
blank or
0
>0
>0
>0
>0
>0
>0
Must be Must be
blank or blank or Required Required
0
0
Must be Must be
blank or blank or Required Required
0
0
>0
>0
Must be Must be
blank or blank or Required Required
0
0
SEPTEMBER 2019
0 for
UCFE
Must be Must be
only, > 0
blank or blank or Required Required
for
0
0
UCFE/
UCX
0 for
UCFE
only, >
0 for
UCFE/
UCX
> 0 if
> 0 if
Must be Must be
Col. 13 = Col. 12 = blank or blank or Required Required
0a
0a
0
0
> 0 if
> 0 if
Must be Must be
Col. 13 = Col. 12 = blank or blank or Required Required
0a
0a
0
0
Must be Must be Must be Must be
blank or blank or blank or blank or Required Required
0
0
0
0
Must be Must be Must be Must be
blank or blank or blank or blank or Required Required
0
0
0
0
Must be Must be
blank or blank or
0
0
Must be Must be
blank or blank or
0
0
Mail
Date
16
17
(Step 13) (Step 14)
SelfEmploy- Week
UI
UCFE
UCX
CWC
ment
Ending
Amount Amount Amount Amount Amount Date
11
(Step
12A)
APPENDIX A
Required Required Regular UI
5159B-302 (17-18)
5159B-302 (17, 19)
4.37
4.38
UI DV HANDBOOK, BENEFITS
5159B-302 (14-17)
Intrastate
Interstate
Joint
UI/Federal
Joint
UI/Federal
Intrastate
Interstate
UCFE
Only or
UCFE/
UCX
Continued
Payment
Continued
Payment
Type of
Compensation
7
(Step 10A)
(Step 10B)
(Step 10F)
(Step 10G)
Partial
Partial
0
0
A.26
Adjustment
Adjustment
Adjustment
Adjustment
Adjustment
Adjustment
Total
Total
Total
Total
0
0
0
0
>0
>0
>0
>0
>0
>0
WBA
9
10
(Step
(Step
10D)
10D)
(Rule 2) (Rule 3)
(Step
(Step
10E)
10E)
(Rule 2) (Rule 3)
Partial/
Total
Weeks of
Unemployment
Earnings
8
(Step 10D)
(Step 10E)
ADJUSTED PAYMENTS (4.33 through 4.42)
1) Supplemental sample--outliers by dollars
Interstate
UI Only
Required Required Regular UI UCX Only
Required Required Regular UI
Required Required Regular UI
5159B-302 (14, 15, 17) Required Required Regular UI
4.36
4.35
5159B-302 (14-16)
4.34
UI Only
5159B-302 (14-15)
4.33
Required Required Regular UI
Required Required Regular UI UCX Only
5159B-301 (17, 19)
5159B-302 (17, 19)
9051-Part-C8
4.32
Intrastate
Intrastate/
Interstate
Required Required Regular UI UCX Only
SSN
Check
Number Type of
Unique
UI
Program
ID
Program
Type
5159B-301 (17, 19)
5159B-302 (17, 19)
9051-Part-C4
Report, Line,
and Column
6
(Step 5)
5
(Step 4)
3
4
(Step (Step 2A)
1C)
(Rule 2)
4.31
Sub
pop
#
2
(Step 1C)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
12
(Step
12B)
13
(Step
12C)
14
(Step
12D)
15
(Step
12E)
SEPTEMBER 2019
Required
Required
0 for
UCFE
Must be Must be
only, > 0
blank or blank or
for
0
0
UCFE/
UCX
Must be Must be
blank or blank or
0
0
Required
> 0 if
> 0 if
Must be Must be
Col. 13 = Col. 12 = blank or blank or
0a
0a
0
0
>0
Required
> 0 if
> 0 if
Must be Must be
Col. 13 = Col. 12 = blank or blank or
0a
0a
0
0
>0
Required
Must be Must be Must be Must be
blank or blank or blank or blank or
0
0
0
0
Must be Must be
blank or blank or Required Required
0
0
Must be Must be
blank or blank or Required Required
0
0
Required
>0
>0
Must be Must be Must be Must be
blank or blank or blank or blank or
0
0
0
0
Must be Must be
blank or blank or
0
0
Must be
blank or
0
>0
>0
>0
>0
Must be Must be
blank or blank or
0
0
Must be Must be
blank or blank or
0
0
Mail
Date
16
17
(Step 13) (Step 14)
SelfEmploy- Week
UI
UCFE
UCX
CWC
ment
Ending
Amount Amount Amount Amount Amount Date
11
(Step
12A)
APPENDIX A
5159B-302 (14, 16)
5159B-302 (14, 17)
4.40
4.41
Interstate
CWC
586A-102 (4-5)
Required Required Regular UI
586B Column 9 (Total)
UI DV HANDBOOK, BENEFITS
Adjustment
Adjustment
Partial
Partial
Partial
Partial
0
0
0
0
SelfEmployment
A.27
First Payment
First Payment
>0
>0
>0
>0
WBA
9
10
(Step
(Step
10D)
10D)
(Rule 2) (Rule 3)
(Step
(Step
10E)
10E)
(Rule 2) (Rule 3)
Partial/
Total
Weeks of
Unemployment
Earnings
8
(Step 10D)
(Step 10E)
CWC FIRST PAYMENTS (4.44 through 4.45)
1) Random sample: 30 or 100
Intrastate or
Interstate
4.45
Selfemploy
Intrastate
CWC
Required Required Regular UI
Interstate
Joint
UI/Federal
586A-101 (4-5)
Required Required Regular UI
586B Column 8 (Total)
5159B-301-20
5159B-302-20
Intrastate
Joint
UI/Federal
Adjustment
Adjustment
Type of
Compensation
7
(Step 10A)
(Step 10B)
(Step 10F)
(Step 10G)
SELF-EMPLOYMENT PAYMENTS (4.43)
1) Minimum sample: First two cases
Interstate
UI Only
Intrastate
4.44
4.43
Required Required Regular UI
Required Required Regular UI
UI Only
Intrastate/
Interstate
Check
Number Type of
Unique
UI
Program
ID
Program
Type
Required Required Regular UI
SSN
6
(Step 5)
5
(Step 4)
3
4
(Step (Step 2A)
1C)
(Rule 2)
5159B-302 (14, 16, 17) Required Required Regular UI
5159B-302-14
4.39
4.42
Report, Line,
and Column
Sub
pop
#
2
(Step 1C)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
12
(Step
12B)
13
(Step
12C)
14
(Step
12D)
15
(Step
12E)
Required
Required
> 0 if
> 0 if
Must be Must be
Col. 13 = Col. 12 = blank or blank or
0a
0a
0
0
> 0 if
> 0 if
Must be Must be
Col. 13 = Col. 12 = blank or blank or
0a
0a
0
0
>0
>0
Must be Must be Must be
blank or blank or blank or
0
0
0
Must be Must be Must be
blank or blank or blank or
0
0
0
SEPTEMBER 2019
Must be
blank or Required Required
0
Must be
blank or Required Required
0
Required
Required
Must be Must be Must be Must be
blank or blank or blank or blank or
0
0
0
0
>0
Required
Must be Must be Must be Must be
blank or blank or blank or blank or
0
0
0
0
Must be Must be Must be Must be
blank or blank or blank or blank or
0
0
0
0
>0
>0
>0
>0
Mail
Date
16
17
(Step 13) (Step 14)
SelfEmploy- Week
UI
UCFE
UCX
CWC
ment
Ending
Amount Amount Amount Amount Amount Date
11
(Step
12A)
APPENDIX A
586A-101 (4 5)
586A-102 (4-5)
586A-101-5
586A-102-5
586A-101 (6-7)
586A-102 (6-7)
4.46
4.47
4.48
4.49
4.50
4.51
Required Required Regular UI
Required Required Regular UI
Required Required Regular UI
Required Required Regular UI
Required Required Regular UI
Type of
Compensation
7
(Step 10A)
(Step 10B)
(Step 10F)
(Step 10G)
WBA
9
10
(Step
(Step
10D)
10D)
(Rule 2) (Rule 3)
(Step
(Step
10E)
10E)
(Rule 2) (Rule 3)
Partial/
Total
Weeks of
Unemployment
Earnings
8
(Step 10D)
(Step 10E)
12
(Step
12B)
13
(Step
12C)
Adjustment
Interstate
CWC
Interstate
CWC
Intrastate
CWC
>0
>0
Must be Must be Must be
blank or blank or blank or
0
0
0
Must be Must be Must be
blank or blank or blank or
0
0
0
Prior Weeks
Compensated
>0
Must be Must be Must be
blank or blank or blank or
0
0
0
Prior Weeks
Compensated
CWC PRIOR QUARTER (4.50 through 4.51)
1) Minimum sample: First two cases from each subpopulation
Adjustment
Intrastate
CWC
>0
>0
Must be Must be Must be
blank or blank or blank or
0
0
0
Weeks
Compensated
Not First
Payments*
Interstate
CWC
>0
Must be Must be Must be
blank or blank or blank or
0
0
0
Must be Must be Must be
blank or blank or blank or
0
0
0
Weeks
Compensated
Not First
Payments*
Intrastate
CWC
CWC ADJUSTED PAYMENTS (4.48 through 4.49)
1) Minimum sample: First two cases from each subpopulation
14
(Step
12D)
15
(Step
12E)
Must be
blank or
0
Must be
blank or
0
Must be
blank or
0
Must be
blank or
0
Must be
blank or
0
Must be
blank or
0
Required
Required
Required
Required
Required
Required
Mail
Date
16
17
(Step 13) (Step 14)
SelfEmploy- Week
UI
UCFE
UCX
CWC
ment
Ending
Amount Amount Amount Amount Amount Date
11
(Step
12A)
CWC WEEKS COMPENSATED/NOT FIRST PAYMENTS (4.46 through 4.47)
1) Minimum sample: First two cases from each subpopulation
Intrastate/
Interstate
Check
Number Type of
Unique
UI
Program
ID
Program
Type
Required Required Regular UI
SSN
6
(Step 5)
5
(Step 4)
3
4
(Step (Step 2A)
1C)
(Rule 2)
APPENDIX A
UI DV HANDBOOK, BENEFITS
Either the UCFE or UCX amount (or both) must be entered.
a
A.28
SEPTEMBER 2019
*These values are abbreviated in the record layout data format specifications (see Appendix A of ETA Operations Guide 411) but are shown here
Report, Line,
and Column
Sub
pop
#
2
(Step 1C)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
APPENDIX A
UI DV HANDBOOK, BENEFITS
A.29
SEPTEMBER 2019
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.
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.
SUBPOPULATION SPECIFICATIONS
APPENDIX A
25 and 27
17, 19, 25, and 27
9 and 11
1, 3, 9, and 11
29
21 and 29
13
5 and 13
C3
C2
31
23 and 31
15
7 and 15
C4
UCX
44
(586BTOTAL)
CWC
(8)
26 and 28
18, 20, 26, and 28
10 and 12
2, 4, 10, and 12
C6
UI
30
22 and 30
14
6 and 14
C7
UCFE
Total
Unemployment
(15)
1-4
17 - 20
All Weeks
Compensated
(14)
1- 4
9 - 12
17 - 20
25 - 28
State UI Programa
2, 4, 10, 12
18, 20, 26, 28
Interstate
(16)
5-8
13 - 16
21 - 24
29 - 32
Total
(17)
5-6
13 - 14
21 - 22
29 - 30
UCFE - No UI
(18)
UCFE and UCX Programs
7-8
15 - 16
23 - 24
31 - 32
UCX Only
(19)
UI DV HANDBOOK, BENEFITS
A.30
Column 10
Column 10
Column 10
Columns 12 & 13 Columns 12 & 13b
Column 13c
1-4
3-8
5-6
7-8
Amount
9 - 12
1-4
2, 4, 10, 12
11 - 16
13 - 14
15 - 16
17 - 20
17 - 20
18, 20, 26, 28
19 - 24
21 - 22
23 - 24
302
25 - 28
33 - 36
34, 36, 40, 42
27 - 32
29 - 30
31 - 32
33 - 36
35 - 38
37
38
39 - 42
41 - 42
a
If joint claim, then only includes the UI share of the payment. bIncludes all payments from UCFE and the UCX portion of UCFE/UCX funds.
c
Includes all payments from UCX funds.
301
Number
5159
Section B
9051(Part)
9051(All)
9050 (Part)
9050 (All)
UCFE
UI
Interstate
Table A.4.3
Relationship between ETA 5159B Weeks Compensated and Subpopulations in Population 4
Partial Continued Payments
All Continued Payments
Partial First Payments
All First Payments
Intrastate
45
(586BTOTAL)
CWC
(9)
SEPTEMBER 2019
43
43
Self-employment
All Programs
(20)
32
24 and 32
16
8 and 16
C8
UCX
Table A.4.2
Relationship between ETA 9050, ETA 9051, and ETA 586B Payments Time Lapse and Subpopulations in Population 4
SUBPOPULATION SPECIFICATIONS
101
102
Intrastate
Interstate Received as Paying State
UI DV HANDBOOK, BENEFITS
Line No.
State UI
A.31
45, 47
44, 46
(4)
Weeks
Compensated
45, 47, 49
44, 46, 48
(5)
Benefits Paid
51
50
Prior Weeks
Compensated
(6)
Table A.4.4
Relationship between ETA 586A Payment Activity and Subpopulations in Population 4
SUBPOPULATION SPECIFICATIONS
SEPTEMBER 2019
51
50
(7)
Prior Benefits Paid
APPENDIX A
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 selfemployment 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:
(Subpopulations 4.44 to 4.51) to validate the quarterly CWC ETA 586 report. The other
payments data (subpopulations 4.1 4.43), 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
(subpopulations 4.50 and 4.51) will have payment dates prior to the quarter, but the
software will allow those to import.
UI DV HANDBOOK, BENEFITS
A.32
SEPTEMBER 2019
Required
Required
Required
Required
Required
Required
207: A 101-2;
B 201-9
9052A-C2;
207: A 101-2;
B 201-10
9052A-C2;
207: A 101-2;
C 301-12
9052B-C98;
207: A 101-2;
C 301-13
9052B-C98;
207: A 101-2;
C 301-14
9052B-C98;
207: A 101-2;
C 301-15
9052B-C98;
5.2
5.3
5.4
5.5
5.6
5.7
UI DV HANDBOOK, BENEFITS
Required
SSN
207: A 101-2;
B 201-8
9052A-C2;
Report, Line,
and Column
5.1
Sub
pop
#
2
(Step 1D)
(Rule 1)
3
(Step 1D)
(Rule 2)
Type of
UI Program
4
(Step 2)
Program
Type
5
(Step 4)
Intrastate/
Interstate
6
(Step 5)
8
(Step 17)
Determination/
Type of
Redetermination Determination
7
(Step 16)
Nonmonetary Determinations and Redeterminations
Notice Date Falls within Reporting /Validation Period
Table A.5.1
Population 5 Subpopulations
Issue
Types
9
(Step 18)
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
UI
UI
UI
UI
UI
UI
UI
A.33
Intrastate
Intrastate
Intrastate
Intrastate
Intrastate
Intrastate
Intrastate
Determination
Determination
Determination
Determination
Determination
Determination
Determination
Single
Single
Single
Single
Single
Single
Single
Reporting
Suitable
Work
Ded.
Income
A&A
Sep/Other
MC
VL
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
Issue Number
(Unique ID)
SUBPOPULATION SPECIFICATIONS
11
(Step 20)
12
(Step 21)
Required
Required
Required
Required
Required
Required
Required
Allow
Allow
Allow
Allow
Allow
Allow
Allow
Allowa
or Deny
13
(Step 23)
SEPTEMBER 2019
Required
Required
Required
Required
Required
Required
Required
First
Week
Detection
Affected
Date
Notice Date
10
(Step
19)
APPENDIX A
Required
Required
Required
Required
Required
Required
Required
Required
Required
207: A 101-2;
B 201-8
9052A-C6;
207: A 101-2;
B 201-9
9052A-C6;
207: A 101-2;
B 201-10
9052A-C6;
207: A 101-2;
C 301-12
9052B-C102;
207: A 101-2;
C 301-13
9052B-C102;
207: A 101-2;
C 301-14
9052B-C102;
207: A 101-2;
C 301-15
9052B-C102;
207: A 101-2;
C 301-16
9052B-C102;
5.10
5.11
5.12
5.13
5.14
5.15
5.16
5.17
UI DV HANDBOOK, BENEFITS
5.9
5.8
207: A 101-2;
C 301-17
9052B-C98;
SSN
Required
Report, Line,
and Column
207: A 101-2;
C 301-16
9052B-C98;
Sub
pop
#
2
(Step 1D)
(Rule 1)
3
(Step 1D)
(Rule 2)
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Issue Number
(Unique ID)
SUBPOPULATION SPECIFICATIONS
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Type of
UI Program
4
(Step 2)
UI
UI
UI
UI
UI
UI
UI
UI
UI
UI
Program
Type
5
(Step 4)
7
(Step 16)
8
(Step 17)
Determination
Determination
Determination
Determination
Determination
Determination
Determination
Determination
Determination
Determination
Single
Single
Single
Single
Single
Single
Single
Single
Single
Single
Determination/
Type of
Redetermination Determination
A.34
Interstate
Interstate
Interstate
Interstate
Interstate
Interstate
Interstate
Interstate
Intrastate
Intrastate
Intrastate/
Interstate
6
(Step 5)
Profiling
Reporting
Suitable
Work
Ded.
Income
A&A
Sep/Other
MC
VL
Other
Nonsep
Profiling
Issue
Types
9
(Step 18)
11
(Step 20)
12
(Step 21)
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Allow
Allow
Allow
Allow
Allow
Allow
Allow
Allow
Allow
Allow
Allowa
or Deny
13
(Step 23)
SEPTEMBER 2019
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
First
Week
Detection
Affected
Date
Notice Date
10
(Step
19)
APPENDIX A
Required
Required
Required
Required
Required
Required
207A: 101-2;
102-2
207B: 201-8;
202-8
9052A-C2;
207A: 101-2;
102-2
207B: 201-9;
202-9
9052A-C2;
207A: 101-2;
102-2
207B: 201-10;
202-10
9052A-C2;
207A: 101-2;
102-2
207C: 301-12;
302-12
9052B-C98;
207A: 101-2;
102-2
207C: 301-13;
302-13
9052B-C98;
207A: 101-2;
102-2
207C: 301-14;
302-14
9052B-C98;
5.19
5.20
5.21
5.22
5.23
5.24
UI DV HANDBOOK, BENEFITS
Required
SSN
207: A 101-2;
C 301-17
9052B-C102;
Report, Line,
and Column
5.18
Sub
pop
#
2
(Step 1D)
(Rule 1)
3
(Step 1D)
(Rule 2)
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Issue Number
(Unique ID)
SUBPOPULATION SPECIFICATIONS
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Type of
UI Program
4
(Step 2)
UI
UI
UI
UI
UI
UI
UI
Program
Type
5
(Step 4)
7
(Step 16)
8
(Step 17)
Determination
Determination
Determination
Determination
Determination
Determination
Determination
Single
Single
Single
Single
Single
Single
Single
Determination/
Type of
Redetermination Determination
A.35
Intrastate
Intrastate
Intrastate
Intrastate
Intrastate
Intrastate
Interstate
Intrastate/
Interstate
6
(Step 5)
Suitable
Work
Ded.
Income
A&A
Sep/Other
MC
VL
Other
Nonsep
Issue
Types
9
(Step 18)
11
(Step 20)
12
(Step 21)
Required
Required
Required
Required
Required
Required
Required
Deny
Deny
Deny
Deny
Deny
Deny
Allow
Allowa
or Deny
13
(Step 23)
SEPTEMBER 2019
Required
Required
Required
Required
Required
Required
Required
First
Week
Detection
Affected
Date
Notice Date
10
(Step
19)
APPENDIX A
Required
Required
Required
Required
Required
207A: 101-2;
102-2
207C: 301-16;
302-16
9052B-C98;
207A: 101-2;
102-2
207C: 301-17;
302-17
9052B-C98;
207A: 101-2;
102-2
207B: 201-8;
202-8
9052A-C6;
207A: 101-2;
102-2
207B: 201-9;
202-9
9052A-C6;
207A: 101-2;
102-2
207B: 201-10;
202-10
9052A-C6;
5.26
5.27
5.28
5.29
5.30
UI DV HANDBOOK, BENEFITS
Required
SSN
5.25
Report, Line,
and Column
207A: 101-2;
102-2
207C: 301-15;
302-15
9052B-C98;
Sub
pop
#
2
(Step 1D)
(Rule 1)
3
(Step 1D)
(Rule 2)
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Issue Number
(Unique ID)
SUBPOPULATION SPECIFICATIONS
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Type of
UI Program
4
(Step 2)
UI
UI
UI
UI
UI
UI
Program
Type
5
(Step 4)
7
(Step 16)
8
(Step 17)
Determination
Determination
Determination
Determination
Determination
Determination
Single
Single
Single
Single
Single
Single
Determination/
Type of
Redetermination Determination
A.36
Interstate
Interstate
Interstate
Intrastate
Intrastate
Intrastate
Intrastate/
Interstate
6
(Step 5)
Sep/Other
MC
VL
Other
Nonsep
Profiling
Reporting
Issue
Types
9
(Step 18)
11
(Step 20)
12
(Step 21)
Required
Required
Required
Required
Required
Required
Deny
Deny
Deny
Deny
Deny
Deny
Allowa
or Deny
13
(Step 23)
SEPTEMBER 2019
Required
Required
Required
Required
Required
Required
First
Week
Detection
Affected
Date
Notice Date
10
(Step
19)
APPENDIX A
Required
Required
207A: 101-2;
102-2
207C: 301-16;
302-16
9052B-C102;
207A: 101-2;
102-2
207C: 301-17;
302-17
9052B-C102;
5.34
5.35
5.36
UI DV HANDBOOK, BENEFITS
Required
Required
207A: 101-2;
102-2
207C: 301-15;
302-15
9052B-C102;
5.33
A 103-1;
B 203-8
9052A-C3;
Required
207A: 101-2;
102-2
207C: 301-14;
302-14
9052B-C102;
5.32
207:
Required
207A: 101-2;
102-2
207C: 301-13;
302-13
9052B-C102;
5.37
Required
SSN
5.31
Report, Line,
and Column
207A: 101-2;
102-2
207C: 301-12;
302-12
9052B-C102;
Sub
pop
#
2
(Step 1D)
(Rule 1)
3
(Step 1D)
(Rule 2)
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Issue Number
(Unique ID)
SUBPOPULATION SPECIFICATIONS
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Type of
UI Program
4
(Step 2)
UCFE
UI
UI
UI
UI
UI
UI
Program
Type
5
(Step 4)
7
(Step 16)
8
(Step 17)
Determination
Determination
Determination
Determination
Determination
Determination
Determination
Single
Single
Single
Single
Single
Single
Single
Determination/
Type of
Redetermination Determination
A.37
Intrastate
Interstate
Interstate
Interstate
Interstate
Interstate
Interstate
Intrastate/
Interstate
6
(Step 5)
VL
Other
Nonsep
Profiling
Reporting
Suitable
Work
Ded.
Income
A&A
Issue
Types
9
(Step 18)
11
(Step 20)
12
(Step 21)
Required
Required
Required
Required
Required
Required
Required
Allow
Deny
Deny
Deny
Deny
Deny
Deny
Allowa
or Deny
13
(Step 23)
SEPTEMBER 2019
Required
Required
Required
Required
Required
Required
Required
First
Week
Detection
Affected
Date
Notice Date
10
(Step
19)
APPENDIX A
Required
Required
207A: 103-1;
104-1
207B: 203-8;
204-8
9052A-C3;
207A: 103-1;
104-1
207B: 203-9;
204-9
9052A-C3;
5.45
5.46
UI DV HANDBOOK, BENEFITS
Required
Required
Required
207A-103-1
9052B-C103;
A 103-1;
B 203-10
9052A-C7;
207:
A 103-1;
B 203-9
9052A-C7;
207:
Required
5.44
5.43
5.42
A 103-1;
B 203-8
9052A-C7;
207:
Required
207A-103-1
9052B-C99;
5.40
5.41
Required
Required
SSN
A 103-1;
B 203-10
9052A-C3;
207:
A 103-1;
B 203-9
9052A-C3;
207:
Report, Line,
and Column
5.39
5.38
Sub
pop
#
2
(Step 1D)
(Rule 1)
3
(Step 1D)
(Rule 2)
Required if State
maintains a
unique ID
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Regular UI
or
Workshare
Regular UI
or
Workshare
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Regular UI
or
Workshare
Regular UI
or
Workshare
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Regular UI
or
Workshare
Regular UI
or
Workshare
Type of
UI Program
4
(Step 2)
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Issue Number
(Unique ID)
SUBPOPULATION SPECIFICATIONS
UCFE
UCFE
UCFE
UCFE
UCFE
UCFE
UCFE
UCFE
UCFE
Program
Type
5
(Step 4)
7
(Step 16)
8
(Step 17)
Determination
Determination
Determination
Determination
Determination
Determination
Determination
Determination
Determination
Single
Single
Single
Single
Single
Single
Single
Single
Single
Determination/
Type of
Redetermination Determination
A.38
Intrastate
Intrastate
Interstate
Interstate
Interstate
Interstate
Intrastate
Intrastate
Intrastate
Intrastate/
Interstate
6
(Step 5)
MC
VL
Nonsep
Sep/Other
MC
VL
Nonsep
Sep/Other
MC
Issue
Types
9
(Step 18)
11
(Step 20)
12
(Step 21)
Required
Required
Required
Required
Required
Required
Required
Required
Required
Deny
Deny
Allow
Allow
Allow
Allow
Allow
Allow
Allow
Allowa
or Deny
13
(Step 23)
SEPTEMBER 2019
Required
Required
Required
Required
Required
Required
Required
Required
Required
First
Week
Detection
Affected
Date
Notice Date
10
(Step
19)
APPENDIX A
Required
Required
Required
207A: 103-1;
104-1
207B: 203-9;
204-9
9052A-C7;
207A: 103-1;
104-1
207B: 203-10;
204-10
9052A-C7;
207A: 103-1;
104-1
9052B-C103;
5.49
5.50
5.51
5.52
207A-105-1
9052B-C100;
UI DV HANDBOOK, BENEFITS
5.54
Required
Required
Required
207A: 103-1;
104-1
207B: 203-8;
204-8
9052A-C7;
207A-105-1
9052A-C4;
Required
207A: 103-1;
104-1
9052B-C99;
5.48
5.53
Required
SSN
5.47
Report, Line,
and Column
207A: 103-1;
104-1
207B: 203-10;
204-10
9052A-C3;
Sub
pop
#
2
(Step 1D)
(Rule 1)
3
(Step 1D)
(Rule 2)
Regular UI
or
Workshare
Regular UI
or
Workshare
Required if State
maintains a
unique ID
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Type of
UI Program
4
(Step 2)
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Issue Number
(Unique ID)
SUBPOPULATION SPECIFICATIONS
UCX
UCX
UCFE
UCFE
UCFE
UCFE
UCFE
UCFE
Program
Type
5
(Step 4)
7
(Step 16)
8
(Step 17)
Determination
Determination
Determination
Determination
Determination
Determination
Determination
Determination
Single
Single
Single
Single
Single
Single
Single
Single
Determination/
Type of
Redetermination Determination
A.39
Intrastate
Intrastate
Interstate
Interstate
Interstate
Interstate
Intrastate
Intrastate
Intrastate/
Interstate
6
(Step 5)
Nonsep
Sep
Nonsep
Sep/Other
MC
VL
Nonsep
Sep/Other
Issue
Types
9
(Step 18)
11
(Step 20)
12
(Step 21)
Required
Required
Required
Required
Required
Required
Required
Required
Allow
Allow
Deny
Deny
Deny
Deny
Deny
Deny
Allowa
or Deny
13
(Step 23)
SEPTEMBER 2019
Required
Required
Required
Required
Required
Required
Required
Required
First
Week
Detection
Affected
Date
Notice Date
10
(Step
19)
APPENDIX A
Required
Required
Required
207A-101-5
9052C-C194;
207A: 101-5;
102-5
9052C-C194;
207A-101-6
9052C-C195;
5.61
5.62
5.63
UI DV HANDBOOK, BENEFITS
Required
Required
Required
207A: 105-1;
106-1
9052B-C104;
207A: 105-1;
106-1
9052A-C8;
207A: 105-1;
106-1
9052B-C100;
Required
5.60
5.59
5.58
5.57
Required
207A-105-1
9052B-C104;
5.56
207A: 105-1;
106-1
9052A-C4;
Required
SSN
207A-105-1
9052A-C8;
Report, Line,
and Column
5.55
Sub
pop
#
2
(Step 1D)
(Rule 1)
UCX
UCX
UCX
UCX
UCX
UCX
Program
Type
5
(Step 4)
Interstate
Interstate
Intrastate
Intrastate
Interstate
Interstate
Intrastate/
Interstate
6
(Step 5)
8
(Step 17)
Determination
Determination
Determination
Determination
Determination
Determination
Single
Single
Single
Single
Single
Single
Determination/
Type of
Redetermination Determination
7
(Step 16)
Regular UI
or
Workshare
Regular UI
or
Workshare
Required if State
maintains a
unique ID
Regular UI
or
Workshare
A.40
Determination
Determination
Determination
Multi
Multi
Multi
MULTI-CLAIMANT NON-MONETARY DETERMINATIONS (5.61 through 5.64)
1) Minimum Sample: First two cases from each subpopulation
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Regular UI
or
Workshare
Regular UI
or
Workshare
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Regular UI
or
Workshare
Required if State
maintains a
unique ID
4
(Step 2)
Type of
UI Program
3
(Step 1D)
(Rule 2)
Issue Number
(Unique ID)
SUBPOPULATION SPECIFICATIONS
Other
Multiclaim
ant
Labor
Dispute
Labor
Dispute
Nonsep
Sep
Nonsep
Sep
Nonsep
Sep
Issue
Types
9
(Step 18)
11
(Step 20)
12
(Step 21)
Required
Required
Required
Required
Required
Required
Required
Required
Required
Allow
Deny
Allow
Deny
Deny
Deny
Deny
Allow
Allow
Allowa
or Deny
13
(Step 23)
SEPTEMBER 2019
Required
Required
Required
Required
Required
Required
Required
Required
Required
First
Week
Detection
Affected
Date
Notice Date
10
(Step
19)
APPENDIX A
Required
Required
Required
Required
207A-103-1
207A: 103-1;
104-1
207A-105-1
207A: 105-1;
106-1
5.67
5.68
5.69
5.70
UI DV HANDBOOK, BENEFITS
or affirmed
Required
207A: 101-3;
102-3
5.66
aAllow
Required
207A-101-3
5.65
Required
SSN
207A: 101-6;
102-6
9052C-C195;
Report, Line,
and Column
5.64
Sub
pop
#
2
(Step 1D)
(Rule 1)
3
(Step 1D)
(Rule 2)
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Type of
UI Program
4
(Step 2)
Required if State
maintains a
unique ID
Issue Number
(Unique ID)
SUBPOPULATION SPECIFICATIONS
Intrastate/
Interstate
6
(Step 5)
UCX
UCX
UCFE
UCFE
UI
UI
Determination
Redetermination
Redetermination
Redetermination
Redetermination
Redetermination
Redetermination
A.41
Intrastate
or
Interstate
Intrastate
or
Interstate
Intrastate
or
Interstate
Intrastate
or
Interstate
Intrastate
or
Interstate
Intrastate
or
Interstate
8
(Step 17)
Single
Single
Single
Single
Single
Single
Multi
Determination/
Type of
Redetermination Determination
7
(Step 16)
REDETERMINATIONS (5.65 through 5.70)
1) Random Sample: 30 or 100
Program
Type
5
(Step 4)
Required
Required
Required
Required
Required
Required
Other
Multiclaim
ant
Issue
Types
9
(Step 18)
11
(Step 20)
12
(Step 21)
Required
Deny
Allow
Deny
Allow
Deny
Allow
Deny
Allowa
or Deny
13
(Step 23)
SEPTEMBER 2019
Required
Required
Required
Required
Required
Required
Required
First
Week
Detection
Affected
Date
Notice Date
10
(Step
19)
APPENDIX A
Dets
Denials
Dets
Denials
UCFE
UCFE
UCX
UCX
Dets
Denials
Total Nonseps
(11)
Dets
301
Denials
302
UCFE
UCFE
207 SECTION C
204
203
A&A
(12)
4, 13, 22, 31
22, 31
VL
(8)
1, 10
19, 28
19, 28
37, 41
45, 49
45, 49
37-52
67-68
45-52
68
53-60
69-70
57-60
70
Total
Determinations and
Redeterminations
(1)
the number of multiclaimants involved.
UI DV HANDBOOK, BENEFITS
aAdd
UI
UI
Denials
UI
202
Dets
201
106
105
104
103
102
101
UI
Total Seps
(7)
Denials
UI
207 SECTION B
Dets
UI
207 SECTION A
Ded. Income
(13)
5, 14, 23, 32
23, 32
MC
(9)
2, 11
20, 29
20, 29
38, 42
46, 50
46, 50
19-36
1-36
Determinations
(2)
A.42
Suit. Work
(14)
6, 15, 24, 33
24, 33
Other Separations
(10)
3, 12
21, 30
21, 30
39, 43
47, 51
47, 51
66
65-66
Redeterminations
(3)
Reporting
(15)
7, 16, 25, 34
25, 34
62
61-62
Multi-labor
(5)
Profiling
(16)
8, 17, 26, 35
26, 35
64
63-64
Multi-other
(6)
Table A.5.2
Relationship between ETA 207Reporting Cells and Subpopulations in Population 5
SUBPOPULATION SPECIFICATIONS
SEPTEMBER 2019
Other
(17)
9, 18, 27, 36
27, 36
APPENDIX A
9052C
9052
1-3
19-21
37-39
45-47
53
57
UCX
C4
10-12
28-30
UI
C6
41-43
49-51
Interstate
UCFE
C7
55
59
UCX
C8
UI DV HANDBOOK, BENEFITS
NOTE: There are 11 time lapse categories in each of these table cells.
Single
Claimant
Multiclaimant
UI
C2
Intrastate
UCFE
C3
Separation
9052A
A.43
4-9
22-27
UI
C98
40
48
Intrastate
UCFE
C99
54
58
UCX
C100
13-18
31-36
UI
C102
Non-Separation
9052B
44
52
Interstate
UCFE
C103
56
60
UCX
C104
Table A.5.3
Relationship between ETA 9052 Adjudications Time Lapse and Subpopulations in Population 5
SUBPOPULATION SPECIFICATIONS
SEPTEMBER 2019
63
64
C195
C194
61
62
Other
Labor
Dispute
APPENDIX A
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) Progr
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.44
SEPTEMBER 2019
200-10
6.2a
4
(Step 24A)
Required
Required
Required
Required
Lower
Lower
5
(Step 25A)
(Rule 1)
(Step 25B)
(Rule 1)
M
S
1
Number of
Claimants
6
(Step 25B)
(Rules 3 6)
Required
Required
Filed Date
7
(Step 32)
UI DV HANDBOOK, BENEFITS
Line No.
200
Status of Appeals
Filed During Month
A.45
Single-Claimant Appeals
Lower Authority
(8)
1
SEPTEMBER 2019
Multi-Claimant Appeals
Lower Authority
(10)
2
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
system.
3
(Step 1E)
(Rule 2)
Docket
Type of Appeal
Number
(Single or
SSN
Unique ID
Appeal Level
Multiclaimant)
LOWER AUTHORITY APPEALS FILED (6.1 through 6.2)
1) Minimum sample: First two cases from each subpopulation
2
(Step 1E)
(Rule 1)
Claimants involved in State UI Appeals Filed - Lower
Table A.6.1
Population 6 Subpopulations
APPENDIX A
can list each claimant involved in multiclaimant appeals or just provide the number of claimants based on how the files are stored in the
200-8
6.1
aStates
ETA ar5130B
Line and
Column
Subpop
#
DATA ELEMENT VALIDATION
200-11
7.2a
Appeal Level
4
(Step 24B)
Required
Required
Required
Required
Type of Appeal
(Single or
Multiclaimant)
5
(Step 25A)
(Rule 1)
(Step 25B)
(Rule 1)
Higher
Higher
M
S
1
Number of
Claimants
6
(Step 25B)
(Rules 3 6)
UI DV HANDBOOK, BENEFITS
Line No.
200
Status of Appeals
Filed During Month
A.46
Single-Claimant Appeals
Higher Authority
(9)
1
Required
Required
Filed Date
7
(Step 32)
SEPTEMBER 2019
Multi-Claimant Appeals
Higher Authority
(11)
2
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
system.
Docket
Number
Unique ID
3
(Step 1F)
(Rule 2)
Higher
HIGHER AUTHORITY APPEALS FILED (7.1 through 7.2)
1) Minimum sample: First two cases from each subpopulation
SSN
2
(Step 1F)
(Rule 1)
Claimants involved in State UI Appeals Filed
Table A.7.1
Population 7 Subpopulations
APPENDIX A
can list each claimant involved in multiclaimant appeals or just provide the number of claimants based on how the files are stored in the
200-9
7.1
aStates
ETA ar5130B
Line and
Column
Subpop
#
DATA ELEMENT VALIDATION
DATA ELEMENT VALIDATION
APPENDIX A
Population 6 and 7 Notes
1.
Appeal Filed Date: If a state experiences delays in mailed appeals, it can use the received
date rather than the postmark date to ensure that all appeals are counted. The received
date can be used because there is no time lapse for these populations. This would help in
those situations where appeals are received after the ETA 5130 report has been run for
the previous month. For example, an appeal with a postmark of 3/31/02 that is received
on 4/10/02, in a state where the ETA 5130 was run on 4/7/02, would be reported as having
been filed in April rather than in March.
2.
Subpopulations 6.2 and 7.2, Number of Claimants Involved in Multi-Claimant Appeal:
States will either store an individual record for each claimant involved in the appeal or
one record with the number of claimants. The software will count the number of records
or add the number of claimants in Column 6 to derive the number of claimants involved
in multi-claimant appeals filed.
UI DV HANDBOOK, BENEFITS
A.47
SEPTEMBER 2019
8.5
8.4
8.3
8.2
A-100-1;
B 210-8
ar5130C: 300-14;
310-14
ar5130D-400-21
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130C: 300-16;
310-16
ar5130D-400-21
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130: C 300-14;
D 400-21
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130: C 300-16;
D 400-21
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130C: 300-14;
310-14
ar5130D-400-21
9054A-C3
ar5130:
SSN
4
(Step 2)
Type
of UI
Program
3
(Step 1E)
(Rule 2)
Docket
Number
Unique ID
Program
Type
5
(Step 4)
Intrastate/
Interstate
6
(Step 5)
8
(Step 25A)
(Step 25B)
9
(Step 25B)
10
(Step 26)
11
12
(Step 27A) (Step 32)
(Step 27B)
Number
Type of
of
Appeal
Claimants in
(Single or Multiclaimant
In Favor of
Appeal Multiclaimant)
Appeal
Appellant Appellant Filed Date
Level
7
(Step
24A)
(Rule 1)
Lower Authority Appeals Decisions
Decision Date Falls within Reporting/Validation Period
Sort in Ascending Order by Time Lapsed Days
Table A.8.1
Population 8 Subpopulations
Decision
Date
13
(Step 28)
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
UI
UI
UI
UI
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
UI
Regular UI
or
Workshare
Regular UI
or
Workshare
Interstate
Intrastate
Intrastate
Intrastate
Intrastate
A.48
Lower
Lower
Lower
Lower
Lower
S
S
S
S
S
Claimant
Claimant
Must be blank
or 0
Claimant
Must be blank
Employer
or 0
Must be blank
or 0
Must be blank
Employer
or 0
Must be blank
or 0
Y
N
N
Y
Y
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
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
UI DV HANDBOOK, BENEFITS
`
8.1
Subpop
Report, Line,
and Column
2
(Step 1E)
(Rule 1)
DATA ELEMENT VALIDATION
VL
VL
VL
VL
VL
Issue
Code
SEPTEMBER 2019
Disposed
of by
Decision
14
15
(Step 30A) (Step 31)
(Step 30B)
APPENDIX A
A 100-1;
B 210-8
ar5130C: 300-16;
310-16
ar5130D-400-21
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130: C 300-14;
D 400-21
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130: C 300-16;
D 400-21
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130C: 300-14;
310-14
ar5130D-400-22
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130C: 300-16;
310-16
ar5130D-400-22
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130: C 300-14;
D 400-22
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130: C 300-16;
D 400-22
9054A-C2
ar5130:
UI DV HANDBOOK, BENEFITS
8.12
8.11
8.10
8.9
8.8
8.7
8.6
Subpop
Report, Line,
and Column
Required
Required
Required
Required
Required
Required
Required
SSN
2
(Step 1E)
(Rule 1)
DATA ELEMENT VALIDATION
Required
Required
Required
Required
Required
Required
UI
UI
UI
UI
UI
UI
UI
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Program
Type
5
(Step 4)
Regular UI
or
Workshare
Type
of UI
Program
Docket
Number
Unique ID
Required
4
(Step 2)
3
(Step 1E)
(Rule 2)
Intrastate
Intrastate
Intrastate
Intrastate
Interstate
Interstate
Interstate
Intrastate/
Interstate
6
(Step 5)
8
(Step 25A)
(Step 25B)
9
(Step 25B)
10
(Step 26)
11
12
(Step 27A) (Step 32)
(Step 27B)
A.49
Lower
Lower
Lower
Lower
Lower
Lower
Lower
S
S
S
S
S
S
S
Claimant
Claimant
Claimant
Must be blank
Employer
or 0
Must be blank
or 0
Must be blank
Employer
or 0
Must be blank
or 0
Must be blank
Employer
or 0
Must be blank
or 0
Must be blank
Employer
or 0
N
N
Y
Y
N
N
Y
Required
Required
Required
Required
Required
Required
Required
Number
Type of
of
Appeal
Claimants in
(Single or Multiclaimant
In Favor of
Appeal Multiclaimant)
Appeal
Appellant Appellant Filed Date
Level
7
(Step
24A)
(Rule 1)
Required
Required
Required
Required
Required
Required
Required
Decision
Date
13
(Step 28)
MC
MC
MC
MC
VL
VL
VL
Issue
Code
SEPTEMBER 2019
Disposed
of by
Decision
14
15
(Step 30A) (Step 31)
(Step 30B)
APPENDIX A
A 100-1;
B 210-8
ar5130C: 300-14;
310-14
ar5130D-400-22
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130C: 300-16;
310-16
ar5130D-400-22
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130: C 300-14;
D 400-22
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130: C 300-16;
D 400-22
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130C: 300-14;
310-14
ar5130D-400-23
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130C: 300-16;
310-16
ar5130D-400-23
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130: C 300-14;
D 400-23
9054A-C2
ar5130:
UI DV HANDBOOK, BENEFITS
8.19
8.18
8.17
8.16
8.15
8.14
8.13
Subpop
Report, Line,
and Column
Required
Required
Required
Required
Required
Required
Required
SSN
2
(Step 1E)
(Rule 1)
DATA ELEMENT VALIDATION
Required
Required
Required
Required
Required
Required
UI
UI
UI
UI
UI
UI
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
UI
Program
Type
5
(Step 4)
Regular UI
or
Workshare
Regular UI
or
Workshare
Type
of UI
Program
Docket
Number
Unique ID
Required
4
(Step 2)
3
(Step 1E)
(Rule 2)
Intrastate
Intrastate
Intrastate
Interstate
Interstate
Interstate
Interstate
Intrastate/
Interstate
6
(Step 5)
8
(Step 25A)
(Step 25B)
9
(Step 25B)
10
(Step 26)
11
12
(Step 27A) (Step 32)
(Step 27B)
A.50
Lower
Lower
Lower
Lower
Lower
Lower
Lower
S
S
S
S
S
S
S
Claimant
Claimant
Claimant
Must be blank
or 0
Claimant
Must be blank
Employer
or 0
Must be blank
or 0
Must be blank
Employer
or 0
Must be blank
or 0
Must be blank
Employer
or 0
Must be blank
or 0
N
Y
Y
N
N
Y
Y
Required
Required
Required
Required
Required
Required
Required
Number
Type of
of
Appeal
Claimants in
(Single or Multiclaimant
In Favor of
Appeal Multiclaimant)
Appeal
Appellant Appellant Filed Date
Level
7
(Step
24A)
(Rule 1)
Required
Required
Required
Required
Required
Required
Required
Decision
Date
13
(Step 28)
Suit
Suit
Suit
MC
MC
MC
MC
Issue
Code
SEPTEMBER 2019
Disposed
of by
Decision
14
15
(Step 30A) (Step 31)
(Step 30B)
APPENDIX A
A 100-1;
B 210-8
C 300-16;
D 400-23
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130C: 300-14;
310-14
ar5130D-400-23
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130C: 300-16;
310-16
ar5130D-400-23
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130: C 300-14;
D 400-23
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130: C 300-16;
D 400-23
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130C: 300-14;
310-14
ar5130D-400-24
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130C: 300-16;
310-16
ar5130D-400-24
9054A-C2
ar5130:
ar5130:
UI DV HANDBOOK, BENEFITS
8.26
8.25
8.24
8.23
8.22
8.21
8.20
Subpop
Report, Line,
and Column
Required
Required
Required
Required
Required
Required
Required
SSN
2
(Step 1E)
(Rule 1)
DATA ELEMENT VALIDATION
Required
Required
Required
Required
Required
Required
UI
UI
UI
UI
UI
UI
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
UI
Program
Type
5
(Step 4)
Regular UI
or
Workshare
Regular UI
or
Workshare
Type
of UI
Program
Docket
Number
Unique ID
Required
4
(Step 2)
3
(Step 1E)
(Rule 2)
Intrastate
Intrastate
Interstate
Interstate
Interstate
Interstate
Intrastate
Intrastate/
Interstate
6
(Step 5)
8
(Step 25A)
(Step 25B)
9
(Step 25B)
10
(Step 26)
11
12
(Step 27A) (Step 32)
(Step 27B)
A.51
Lower
Lower
Lower
Lower
Lower
Lower
Lower
S
S
S
S
S
S
S
Claimant
Claimant
Claimant
Must be blank
Employer
or 0
Must be blank
or 0
Must be blank
Employer
or 0
Must be blank
or 0
Must be blank
Employer
or 0
Must be blank
or 0
Must be blank
Employer
or 0
Y
Y
N
N
Y
Y
N
Required
Required
Required
Required
Required
Required
Required
Number
Type of
of
Appeal
Claimants in
(Single or Multiclaimant
In Favor of
Appeal Multiclaimant)
Appeal
Appellant Appellant Filed Date
Level
7
(Step
24A)
(Rule 1)
Required
Required
Required
Required
Required
Required
Required
Decision
Date
13
(Step 28)
A&A
A&A
Suit
Suit
Suit
Suit
Suit
Issue
Code
SEPTEMBER 2019
Disposed
of by
Decision
14
15
(Step 30A) (Step 31)
(Step 30B)
APPENDIX A
A 100-1;
B 210-8
C 300-14;
D 400-24
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130: C 300-16;
D 400-24
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130C: 300-14;
310-14
ar5130D-400-24
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130C: 300-16;
310-16
ar5130D-400-24
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130: C 300-14;
D 400-24
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130: C 300-16;
D 400-24
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130C: 300-14;
310-14
ar5130D-400-26
9054A-C2
ar5130:
ar5130:
UI DV HANDBOOK, BENEFITS
8.33
8.32
8.31
8.30
8.29
8.28
8.27
Subpop
Report, Line,
and Column
Required
Required
Required
Required
Required
Required
Required
SSN
2
(Step 1E)
(Rule 1)
DATA ELEMENT VALIDATION
Required
Required
Required
Required
Required
Required
UI
UI
UI
UI
UI
UI
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
UI
Program
Type
5
(Step 4)
Regular UI
or
Workshare
Regular UI
or
Workshare
Type
of UI
Program
Docket
Number
Unique ID
Required
4
(Step 2)
3
(Step 1E)
(Rule 2)
Intrastate
Interstate
Interstate
Interstate
Interstate
Intrastate
Intrastate
Intrastate/
Interstate
6
(Step 5)
8
(Step 25A)
(Step 25B)
9
(Step 25B)
10
(Step 26)
11
12
(Step 27A) (Step 32)
(Step 27B)
A.52
Lower
Lower
Lower
Lower
Lower
Lower
Lower
S
S
S
S
S
S
S
Claimant
Claimant
Claimant
Must be blank
or 0
Claimant
Must be blank
Employer
or 0
Must be blank
or 0
Must be blank
Employer
or 0
Must be blank
or 0
Must be blank
Employer
or 0
Must be blank
or 0
Y
N
N
Y
Y
N
N
Required
Required
Required
Required
Required
Required
Required
Number
Type of
of
Appeal
Claimants in
(Single or Multiclaimant
In Favor of
Appeal Multiclaimant)
Appeal
Appellant Appellant Filed Date
Level
7
(Step
24A)
(Rule 1)
Required
Required
Required
Required
Required
Required
Required
Decision
Date
13
(Step 28)
Other
A&A
A&A
A&A
A&A
A&A
A&A
Issue
Code
SEPTEMBER 2019
Disposed
of by
Decision
14
15
(Step 30A) (Step 31)
(Step 30B)
APPENDIX A
ar5130A-100-3
9054A-C2
A 100-1;
B 210-8
ar5130C: 300-16;
310-16
ar5130D-400-26
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130: C 300-14;
D 400-26
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130: C 300-16;
D 400-26
9054A-C2
ar5130: A 100-1;
B 210-8
ar5130C: 300-14;
310-14
ar5130D-400-26
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130C: 300-16;
310-16
ar5130D-400-26
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130: C 300-14;
D 400-26
9054A-C3
ar5130: A 100-1;
B 210-8
ar5130: C 300-16;
D 400-26
9054A-C3
ar5130:
UI DV HANDBOOK, BENEFITS
8.41a
8.40
8.39
8.38
8.37
8.36
8.35
8.34
Subpop
Report, Line,
and Column
Required
Required
Required
Required
Required
Required
Required
Required
SSN
2
(Step 1E)
(Rule 1)
DATA ELEMENT VALIDATION
Required
Required
Required
Required
Required
Required
Required
UI
UI
UI
UI
UI
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
UCFE
UI
Regular UI
or
Workshare
Regular UI
or
Workshare
UI
Program
Type
5
(Step 4)
Regular UI
or
Workshare
Type
of UI
Program
Docket
Number
Unique ID
Required
4
(Step 2)
3
(Step 1E)
(Rule 2)
Intrastate
Interstate
Interstate
Interstate
Interstate
Intrastate
Intrastate
Intrastate
Intrastate/
Interstate
6
(Step 5)
8
(Step 25A)
(Step 25B)
9
(Step 25B)
10
(Step 26)
11
12
(Step 27A) (Step 32)
(Step 27B)
A.53
Lower
Lower
Lower
Lower
Lower
Lower
Lower
Lower
S
S
S
S
S
S
S
S
Claimant
Claimant
Claimant
Must be blank
or 0
Must be blank
Employer
or 0
Must be blank
or 0
Must be blank
Employer
or 0
Must be blank
or 0
Must be blank
Employer
or 0
Must be blank
or 0
Must be blank
Employer
or 0
N
N
Y
Y
N
N
Y
Required
Required
Required
Required
Required
Required
Required
Required
Number
Type of
of
Appeal
Claimants in
(Single or Multiclaimant
In Favor of
Appeal Multiclaimant)
Appeal
Appellant Appellant Filed Date
Level
7
(Step
24A)
(Rule 1)
Required
Required
Required
Required
Required
Required
Required
Required
Decision
Date
13
(Step 28)
Other
Other
Other
Other
Other
Other
Other
Issue
Code
SEPTEMBER 2019
Disposed
of by
Decision
14
15
(Step 30A) (Step 31)
(Step 30B)
APPENDIX A
UI DV HANDBOOK, BENEFITS
8.48
8.47
8.46
8.45
Required
Required
Required
Required
Required
ar5130A-100-5
9054A-C3
8.44a
A 100-1;
B 210-10
ar5130C: 300-14;
310-14
ar5130D-400-25
9054A-C2
ar5130: A 100-1;
B 210-10
ar5130C: 300-16;
310-16
ar5130D-400-25
9054A-C2
ar5130: A 100-1;
B 210-10
ar5130: C 300-14;
D 400-25
9054A-C2
ar5130: A 100-1;
B 210-10
ar5130: C 300-16;
D 400-25
9054A-C2
Required
ar5130A-100-5
9054A-C2
8.43a
ar5130:
Required
ar5130A-100-3
9054A-C3
SSN
8.42a
Subpop
Report, Line,
and Column
2
(Step 1E)
(Rule 1)
DATA ELEMENT VALIDATION
Required
Required
Required
Required
Required
Required
UCX
UCX
UCFE
Program
Type
5
(Step 4)
Interstate
Intrastate
Interstate
Intrastate/
Interstate
6
(Step 5)
8
(Step 25A)
(Step 25B)
9
(Step 25B)
10
(Step 26)
UI
UI
UI
UI
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Intrastate
Intrastate
Intrastate
Intrastate
11
12
(Step 27A) (Step 32)
(Step 27B)
Lower
Lower
Lower
S
S
S
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
A.54
Lower
Lower
Lower
Lower
M-1 or
M-Lead
M-1 or
M-Lead
M-1 or
M-Lead
M-1 or
M-Lead
1
1
1
1
Employer
Claimant
Employer
Claimant
N
N
Y
Y
Required
Required
Required
Required
Required
Required
Required
Number
Type of
of
Appeal
Claimants in
(Single or Multiclaimant
In Favor of
Appeal Multiclaimant)
Appeal
Appellant Appellant Filed Date
Level
7
(Step
24A)
(Rule 1)
MULTI-CLAIMANT LOWER AUTHORITY APPEALS DECISIONS (8.45 through 8.55)
1) Minimum sample: First two cases from each subpopulation (includes review of folders)
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Type
of UI
Program
Docket
Number
Unique ID
Required
4
(Step 2)
3
(Step 1E)
(Rule 2)
Required
Required
Required
Required
Required
Required
Required
Decision
Date
13
(Step 28)
Labor
Disp
Labor
Disp
Labor
Disp
Labor
Disp
Issue
Code
SEPTEMBER 2019
Disposed
of by
Decision
14
15
(Step 30A) (Step 31)
(Step 30B)
APPENDIX A
ar5130A: 100-1
ar5130B: 210-8;
210-10
ar5130C: 300-18;
310-18
9054A-C2
ar5130B-210-10
A 100-1;
B 210-10
ar5130C: 300-14;
310-14
ar5130D-400-26
9054A-C2
ar5130: A 100-1;
B 210-10
ar5130C: 300-16;
310-16
ar5130D-400-26
9054A-C2
ar5130: A 100-1;
B 210-10
ar5130: C 300-14;
D 400-26
9054A-C2
ar5130: A 100-1;
B 210-10
ar5130: C 300-16;
D 400-26
9054A-C2
ar5130:
UI DV HANDBOOK, BENEFITS
8.54
8.53
8.52
8.51
8.50
8.49
Subpop
Report, Line,
and Column
Required
Required
Required
Required
Required
Required
SSN
2
(Step 1E)
(Rule 1)
DATA ELEMENT VALIDATION
Required
Required
Required
Required
Required
UI
UI
UI
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
UI
UI
Regular UI
or
Workshare
Regular UI
or
Workshare
UI
Program
Type
5
(Step 4)
Regular UI
or
Workshare
Type
of UI
Program
Docket
Number
Unique ID
Required
4
(Step 2)
3
(Step 1E)
(Rule 2)
Intrastate
Intrastate
Intrastate
Intrastate
Intrastate
Intrastate
Intrastate/
Interstate
6
(Step 5)
8
(Step 25A)
(Step 25B)
9
(Step 25B)
10
(Step 26)
11
12
(Step 27A) (Step 32)
(Step 27B)
A.55
Lower
Lower
Lower
Lower
Lower
Lower
S or
M-1 or
M-Lead
M-Nonlead
M-1 or
M-Lead
M-1 or
M-Lead
M-1 or
M-Lead
M-1 or
M-Lead
1 or blank
or 0
1
1
1
1
1
Other
Employer
Claimant
Employer
Claimant
Y
N
N
Y
Y
Required
Required
Required
Required
Required
Required
Number
Type of
of
Appeal
Claimants in
(Single or Multiclaimant
In Favor of
Appeal Multiclaimant)
Appeal
Appellant Appellant Filed Date
Level
7
(Step
24A)
(Rule 1)
Required
Required
Required
Required
Required
Required
Decision
Date
13
(Step 28)
VL or
MC or
Suit or
A & A or
Other or
Labor
Disp
VL or
MC or
Suit or
A & A or
Other or
Labor
Disp
Other
Other
Other
Other
Issue
Code
SEPTEMBER 2019
Disposed
of by
Decision
14
15
(Step 30A) (Step 31)
(Step 30B)
APPENDIX A
Required
SSN
Regular UI
or
Workshare
Type
of UI
Program
Docket
Number
Unique ID
Required
4
(Step 2)
3
(Step 1E)
(Rule 2)
UI
Program
Type
5
(Step 4)
Intrastate
Intrastate/
Interstate
6
(Step 5)
8
(Step 25A)
(Step 25B)
9
(Step 25B)
10
(Step 26)
11
12
(Step 27A) (Step 32)
(Step 27B)
Lower
S or
M-1 or
M-Lead
1 or blank
or 0
Other
N
A.56
Required
Number
Type of
of
Appeal
Claimants in
(Single or Multiclaimant
In Favor of
Appeal Multiclaimant)
Appeal
Appellant Appellant Filed Date
Level
7
(Step
24A)
(Rule 1)
If a UCFE or UCX multiclaimant appeal is decided, report as a separate population and manually validate the 5130 report.
ar5130A: 100-1
ar5130B: 210-8;
210-10
ar5130C: 300-18
9054A-C2
UI DV HANDBOOK, BENEFITS
a
8.55
Subpop
Report, Line,
and Column
2
(Step 1E)
(Rule 1)
DATA ELEMENT VALIDATION
Required
Decision
Date
13
(Step 28)
VL or
MC or
Suit or
A & A or
Other or
Labor
Disp
Issue
Code
SEPTEMBER 2019
Disposed
of by
Decision
14
15
(Step 30A) (Step 31)
(Step 30B)
APPENDIX A
DATA ELEMENT VALIDATION
APPENDIX A
Table A.8.2
Relationship between ETA AR5130 Report Cells and Subpopulations in Population 8
SECTION A.
Line No.
100
SECTION B.
Line No.
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
(1)
(3)
(5)
1-40
45-52
41-42a
43-44a
54-55
Claimants Involved in State UI Appeals Cases by Status of Appeals
Single Claimant Appeals
Multi-Claimant Appeals
Status of Appeals
Disposed of During Month
by Decision
210
SECTION C.
Lower Authority
(8)
1-40
54-55b
Lower Authority
(10)
45-53
State UI Appeals Decisions by Type of Appellant
Claimant
Employer
Other
UI Appeals
Decisions
Lower Authority
(14)
Lower Authority
(16)
Lower Authority
(18)
300
Total
1, 3, 5, 7
9, 11, 13, 15
17, 19, 21, 23
25, 27, 29, 31
33, 35, 37, 39
45, 47, 49, 51
2, 4, 6, 8
10, 12, 14, 16
18, 20, 22, 24
26, 28, 30, 32
34, 36, 38, 40
46, 48, 50, 52
54-55
310
In favor of Appellant
1, 5. 9, 13
17, 21, 25, 29
33, 37, 45, 49
2, 6, 10, 14
18, 22, 26, 30
34, 38, 46, 50
54
Line No.
SECTION D.
Line No.
Number of Lower Authority State UI Appeals Decisions by Issue
Refusal of
Voluntary
Suitable
Not Able or
Labor
Quit
Misconduct
Work
Available
Dispute
(21)
(22)
(23)
(24)
(25)
400
1-8
9-16
17-24
25-32
45-48
Other
(26)
33-40
49-52
aAlso
includes multiclaimant UCFE and UCX decision subpopulations that are not listed.
Single claimant only
cMulticlaimant only
b
UI DV HANDBOOK, BENEFITS
A.57
SEPTEMBER 2019
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
Total
UI DV HANDBOOK, BENEFITS
Intrastate
C2
1-4
9-12
17-20
25-28
33-36
41, 43
45-52
54-55
A.58
Interstate
C3
5-8
13-16
21-24
29-32
37-40
42, 44
SEPTEMBER 2019
A 100-2
B 210-9
300-17
310-17
A 100-2
B 210-9
300-15
310-15
9054B-C3
ar5130C:
ar5130:
A 100-2
B 210-9
300-15
310-15
A 100-2
B 210-9
ar5130C-300-17
9054B-C2
ar5130:
A 100-2
B 210-9
ar5130C-300-15
9054B-C2
ar5130:
9054B-C2
ar5130C:
ar5130:
9054B-C2
ar5130C:
ar5130:
Report, Line,
and Column
UI DV HANDBOOK, BENEFITS
9.5
9.4
9.3
9.2
9.1
Subpop
#
Required
Required
Required
Required
Required
SSN
2
(Step 1F)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
Required
Required
Required
Required
Required
Type
of UI
Program
Docket
Number
Unique
ID
Program
Type
5
(Step 4)
Intrastate/
Interstate
6
(Step 5)
Appeal
Level
7
(Step
24B)
(Rule 1)
9
(Step 25B)
(Rules 3
and 5)
Number of
Claimants in
Multiclaimant
Appeal
8
(Step 25A)
(Step 25B)
Type of
Appeal
(Single or
Multiclaimant)
Appellant
10
(Step 26)
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
UI
UI
UI
UI
UI
Interstate
Intrastate
Intrastate
Intrastate
Intrastate
A.59
Higher
Higher
Higher
Higher
Higher
S
S
S
S
S
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Claimant
Employer
Claimant
Employer
Claimant
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
4
(Step 2)
3
(Step 1F)
(Rule 2)
Table A.9.1
Population 9 Subpopulations
Higher Authority Appeals Decisions,
Decision Date Falls within Reporting/Validation Period
Y
N
N
Y
Y
In Favor
of
Appellant
11
(Step
27A)
(Step
27B)
Required
Required
Required
Required
Required
Filed
Date
12
(Step 32)
Disposed
of by
Decision
14
(Step
30A)
(Step
30B)
SEPTEMBER 2019
Required
Required
Required
Required
Required
Decision
Date
13
(Step 28)
APPENDIX A
A 100-2
B 210-9
300-17
310-17
Required
Required
Required
Required
ar5130A-100-4
9054B-C2
ar5130A-100-4
9054B-C3
ar5130A-100-6
9054B-C2
ar5130A-100-6
9054B-C3
9.9a
9.10a
9.11a
9.12a
UI DV HANDBOOK, BENEFITS
Required
Required
Required
SSN
A 100-2
B 210-9
ar5130C-300-17
9054B-C3
ar5130:
A 100-2
B 210-9
ar5130C-300-15
9054B-C3
ar5130:
9054B-C3
ar5130C:
ar5130:
Report, Line,
and Column
9.8
9.7
9.6
Subpop
#
2
(Step 1F)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
Required
Required
Required
Required
Required
Required
UI
UCFE
UCFE
UCX
UCX
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
UI
UI
Program
Type
5
(Step 4)
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Type
of UI
Program
Docket
Number
Unique
ID
Required
4
(Step 2)
3
(Step 1F)
(Rule 2)
Interstate
Intrastate
Interstate
Intrastate
Interstate
Interstate
Interstate
Intrastate/
Interstate
6
(Step 5)
A.60
Higher
Higher
Higher
Higher
Higher
Higher
Higher
Appeal
Level
7
(Step
24B)
(Rule 1)
S
S
S
S
S
S
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Number of
Claimants in
Multiclaimant
Appeal
Type of
Appeal
(Single or
Multiclaimant)
S
9
(Step 25B)
(Rules 3
and 5)
8
(Step 25A)
(Step 25B)
Employer
Claimant
Employer
Appellant
10
(Step 26)
N
N
Y
In Favor
of
Appellant
11
(Step
27A)
(Step
27B)
Required
Required
Required
Required
Required
Required
Required
Filed
Date
12
(Step 32)
Disposed
of by
Decision
14
(Step
30A)
(Step
30B)
SEPTEMBER 2019
Required
Required
Required
Required
Required
Required
Required
Decision
Date
13
(Step 28)
APPENDIX A
A 100-2
B 210-11
300-17
310-17
A 100-2
B 210-11
300-15
310-15
9054B-C3
ar5130C:
ar5130:
9054B-C3
ar5130C:
ar5130:
A 100-2
B 210-11
300-17
310-17
A 100-2
B 210-11
300-15
310-15
A 100-2
B 210-11
ar5130C-300-17
9054B-C2
ar5130:
A 100-2
B 210-11
ar5130C-300-15
9054B-C2
ar5130:
9054B-C2
ar5130C:
ar5130:
9054B-C2
ar5130C:
ar5130:
Report, Line,
and Column
UI DV HANDBOOK, BENEFITS
9.18
9.17
9.16
9.15
9.14
9.13
Subpop
#
Required
Required
Required
Required
Required
Required
SSN
2
(Step 1F)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
Required
Required
Required
Required
Required
Required
Type
of UI
Program
Docket
Number
Unique
ID
Program
Type
5
(Step 4)
Intrastate/
Interstate
6
(Step 5)
Appeal
Level
7
(Step
24B)
(Rule 1)
9
(Step 25B)
(Rules 3
and 5)
Number of
Claimants in
Multiclaimant
Appeal
8
(Step 25A)
(Step 25B)
Type of
Appeal
(Single or
Multiclaimant)
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
UI
UI
UI
UI
UI
UI
Interstate
Interstate
Intrastate
Intrastate
Intrastate
Intrastate
A.61
Higher
Higher
Higher
Higher
Higher
Higher
M-1 or
M-Lead
M-1 or
M-Lead
M-1 or
M-Lead
M-1 or
M-Lead
M-1 or
M-Lead
M-1 or
M-Lead
1
1
1
1
1
1
10
(Step 26)
Employer
Claimant
Employer
Claimant
Employer
Claimant
Appellant
MULTI-CLAIMANT HIGHER AUTHORITY APPEALS DECISIONS (9.13 through 9.23)
1) Minimum sample: First two cases from each subpopulation (includes review of folders)
4
(Step 2)
3
(Step 1F)
(Rule 2)
Y
Y
N
N
Y
Y
In Favor
of
Appellant
11
(Step
27A)
(Step
27B)
Required
Required
Required
Required
Required
Required
Filed
Date
12
(Step 32)
Disposed
of by
Decision
14
(Step
30A)
(Step
30B)
SEPTEMBER 2019
Required
Required
Required
Required
Required
Required
Decision
Date
13
(Step 28)
APPENDIX A
100-2
210-9
210-11
300-19
Required
Required
Required
Required
Required
SSN
Required
Required
Required
Required
Regular UI
or
Workshare
UI
UI
UI
Regular UI
or
Workshare
Regular UI
or
Workshare
UI
UI
Program
Type
5
(Step 4)
Regular UI
or
Workshare
Regular UI
or
Workshare
Type
of UI
Program
Docket
Number
Unique
ID
Required
4
(Step 2)
3
(Step 1F)
(Rule 2)
Intrastate
Intrastate
Interstate
Interstate
Intrastate/
Interstate
6
(Step 5)
Higher
Higher
Higher
Higher
Higher
Appeal
Level
7
(Step
24B)
(Rule 1)
A.62
If a UCFE or UCX multiclaimant appeal is decided, report as a separate population.
ar5130C:
9054B-C2
ar5130A:
ar5130B:
ar5130C:
9054B-C2
UI DV HANDBOOK, BENEFITS
a
9.23
9.22
100-2
210-9
210-11
300-19
ar5130B-210-11
9.21
ar5130A:
ar5130B:
A 100-2
B 210-11
ar5130C-300-17
9054B-C3
ar5130:
A 100-2
B 210-11
ar5130C-300-15
9054B-C3
ar5130:
Report, Line,
and Column
9.20
9.19
Subpop
#
2
(Step 1F)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
M-1 or
M-Lead
S
M-Nonlead
M-1 or
M-Lead
1
Must be
blank or 0
1
1
1
Number of
Claimants in
Multiclaimant
Appeal
Type of
Appeal
(Single or
Multiclaimant)
M-1 or
M-Lead
9
(Step 25B)
(Rules 3
and 5)
8
(Step 25A)
(Step 25B)
Other
Other
Employer
Claimant
Appellant
10
(Step 26)
Y or N
Y or N
N
N
In Favor
of
Appellant
11
(Step
27A)
(Step
27B)
Required
Required
Required
Required
Required
Filed
Date
12
(Step 32)
Disposed
of by
Decision
14
(Step
30A)
(Step
30B)
SEPTEMBER 2019
Required
Required
Required
Required
Required
Decision
Date
13
(Step 28)
APPENDIX A
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
Line No.
UI Decisions
UCFE-No UI Decisions
UCX Only Decisions
Higher Authority
(2)
Higher Authority
(4)
Higher Authority
(6)
1-8
13-20
22-23
9-10a
11-12a
100
SECTION B. Claimants Involved in State UI Appeals Cases by Status of Appeals
Line No.
Status of Appeals
210
Disposed of During Month
Single Claimant Appeals
Multi-Claimant Appeals
Higher Authority
(9)
Higher Authority
(11)
1-8
22b
13-21
23c
SECTION C. State UI Appeals Decisions by Type of Appellant
Line No.
UI Appeals Decisions
Claimant
Employer
Other
Higher Authority
(15)
Higher Authority
(17)
Higher Authority
(19)
2, 4
6, 8
14, 16
18, 20
22-23
2, 6
14, 18
300
Total
1, 3
5, 7
13, 15
17, 19
310
In favor of Appellant
1, 5
13, 17
a
Also includes multiclaimant UCFE and UCX decisions subpopulations that are not listed.
Single claimant only
c
Multiclaimant only
b
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
Total
UI DV HANDBOOK, BENEFITS
Intrastate
C2
1-4
9, 11
13-16
22-23
Interstate
C3
5-8
10, 12
17-20
A.63
SEPTEMBER 2019
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
-one
record) in the multi-claimant field.
States which maintain multiple records (one for each claimant) for a multi-claimant appeal
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
-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
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.64
SEPTEMBER 2019
3
(Step 1E)
(Rule 2)
4
(Step 24A)
Docket Number
ETA 9055 Column
SSN
Unique ID
Appeal Level
LOWER AUTHORITY APPEALS CASE AGING (10.1 through 10.7)
1) Supplemental sample--outliers
Section 9055L
Required
Required
Lower
Section 9055L
LOWER
Age 26-40 days
Required
Required
Section 9055L
LOWER
Age 41-90 days
Required
Required
Section 9055L
Age 91-120 days
Required
Required
Lower
Section 9055L
Age 121-180 days
Required
Required
Lower
Section 9055L
Age 181-360 days
Required
Required
Lower
Section 9055L
Age > 360 days
Required
Required
Lower
2
(Step 1E)
(Rule 1)
Lower Authority Appeals Case Aging
Appeals Pending at the End of the Month Being Validated
Sort by Days Pending Within Each Category
Table A.10.1
Population 10 Subpopulations
Appeal
Pending
5
(Step 30B)
(Rule 1)
Required*
Required*
Required*
Required*
Required*
Required*
Required*
Filed Date
6
(Step 32)
APPENDIX A
UI DV HANDBOOK, BENEFITS
A.65
SEPTEMBER 2019
* 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
10.7
10.6
10.5
10.4
10.3
10.2
10.1
Subpopulation #
SUBPOPULATION SPECIFICATIONS
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
26-40
41-90
91-120
121-180
181-360
> 360
Total
10.1-10.7
10.1
10.2
10.3
10.4
10.5
10.6
10.7
UI DV HANDBOOK, BENEFITS
A.66
SEPTEMBER 2019
Docket Number
Unique ID
3
(Step 1F)
(Rule 2)
Appeal Level
4
(Step 24B)
Required
Required
Section 9055H
Age 181-360 days
Section 9055H
Age > 360 days
11.5
11.6
Required
Required
Required
Required
Required
Required
Higher
Higher
Higher
Higher
Higher
Higher
Appeal
Pending
5
(Step 30B)
Required*
Required*
Required*
Required*
Required*
Required*
Filed Date
6
(Step 32)
APPENDIX A
UI DV HANDBOOK, BENEFITS
A.67
SEPTEMBER 2019
* 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
Required
Section 9055H
Age 121-180 days
Required
Section 9055H
Age 71-120 days
11.3
11.4
Required
Required
Section 9055H
Age 41-70 days
Section 9055H
HIGHER AUTHORITY APPEALS CASE AGING (11.1 through 11.6)
1) Supplemental sample--outliers
SSN
2
(Step 1F)
(Rule 1)
Higher Authority Appeals Case Aging
Appeals Pending at the End of the Month Being Validated
Sort by Days Pending Within Each Category
Table A.11.1
Population 11 Subpopulations
11.2
11.1
Subpopulation #
ETA 9055 Column
SUBPOPULATION SPECIFICATIONS
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
41-70
71-120
121-180
181-360
> 360
Total
11.1-11.6
11.1
11.2
11.3
11.4
11.5
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.68
SEPTEMBER 2019
Required
Required
Required
Required
Required
101 (2, 4, 5)
102 (2, 4, 5)
112 (2, 4, 5)
104 (2, 4, 5)
113 (2, 4, 5)
105 (2, 4, 5)
113 (2, 4, 5)
106 (2, 4, 5)
113 (2, 4, 5)
107 (2, 4, 5)
113 (2, 4, 5)
12.2b
12.3b
12.4b
12.5b
12.6b
UI DV HANDBOOK, BENEFITS
Required
101 (2, 4, 5)
112 (2, 4, 5)
12.1
Subpop
#
Overpayments Established by Cause
Table A.12.1
Population 12 Subpopulations
APPENDIX A
Required if
State
maintains a
unique ID
Required if
State
maintains a
unique ID
Required if
State
maintains a
unique ID
Required if
State
maintains a
unique ID
Required if
State
maintains a
unique ID
Required if
State
maintains a
unique ID
UI
UI
UI
UI
UI
UI
Nonfraud
Nonfraud
Nonfraud
Nonfraud
Fraud
Fraud
>0
>0
>0
>0
Within
the
Quarter
Within
the
Quarter
Within
the
Quarter
Within
the
Quarter
Reversals
State
Agency
Errorsc
A.69
Claimant
Errorsc
Employer
Errorsc
>0
>0
Within
the
Quarter
Multi
Claimant
Schemesc
Single
Claimant
Within
the
Quarter
> 0 if joint
claim;
otherwise
blank or 0
> 0 if joint
claim;
otherwise
blank or 0
> 0 if joint
claim;
otherwise
blank or 0
> 0 if joint
claim;
otherwise
blank or 0
> 0 if joint
claim;
otherwise
blank or 0
> 0 if joint
claim;
otherwise
blank or 0
Blank or 0
Blank or 0
Blank or 0
Blank or 0
Blank or 0
Blank or 0
Required
Required
Required
Required
Required
Required
SEPTEMBER 2019
Blank or
0
Blank or
0
Blank or
0
Blank or
0
Blank or
0
Blank or
0
4
5
6
7
8
9
10
11
12
13
14
(Step (Step 33) (Step 34)
(Step
(Step
(Step 37B) (Step
(Step
(Step
(Step 6A)
(Step 45B)
4)
36)
37A)
37C)
45A)
45C)
(Step 6B)
ETA 227A
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
2
3
(Step 1G) (Step 1G)
(Rule 1)
(Rule 2)
SSN
Unique ID
SUBPOPULATION SPECIFICATIONS
Required
Required
Required
Required
Required
Required
101 (3, 5)
112 (3, 5)
101 (3, 5)
102 (3, 5)
112 (3, 5)
104 (3, 5)
113 (3, 5)
105 (3, 5)
113 (3, 5)
106 (3, 5)
113 (3, 5)
107 (3, 5)
113 (3, 5)
12.9
12.10
12.11
12.12
12.13
12.14
UI DV HANDBOOK, BENEFITS
Required
109 (4, 5)
12.8b
Required
108 (2, 4, 5)
113 (2, 4, 5)
ETA 227A
Line and
Column
12.7b
Subpop
#
A.70
4
5
6
7
8
9
10
(Step (Step 33) (Step 34)
(Step
(Step
(Step 37B) (Step
4)
36)
37A)
37C)
Progr Type of
Cause of
Date
UI
Federal
EB
am Overpaym Overpaym Establis Amounta Amounta Amounta
Type
ent
ent
hed
Required if
> 0 if joint
State
Within
claim;
maintains a
the
otherwise
unique ID
UI
Nonfraud
Other
Quarter
>0
blank or 0 Blank or 0
Required if
> 0 if joint
State
Within
claim;
maintains a
the
otherwise
unique ID
UI
Penalty
Quarter
>0
blank or 0 Blank or 0
Required if
State
UCFE
Within
maintains a
or
Single
the
unique ID
UCX
Fraud
Claimant Quarter Blank or 0
>0
Blank or 0
Required if
State
UCFE
Multi
Within
maintains a
or
Claimant
the
unique ID
UCX
Fraud
Schemesc Quarter Blank or 0
>0
Blank or 0
Required if
State
UCFE
Within
maintains a
or
the
unique ID
UCX
Nonfraud Reversals Quarter Blank or 0
>0
Blank or 0
Required if
State
UCFE
State
Within
maintains a
or
Agency
the
unique ID
UCX
Nonfraud
Errorsc
Quarter Blank or 0
>0
Blank or 0
Required if
State
UCFE
Within
maintains a
or
Employer
the
unique ID
UCX
Nonfraud
Errorsc
Quarter Blank or 0
>0
Blank or 0
Required if
State
UCFE
Within
maintains a
or
Claimant
the
unique ID
UCX
Nonfraud
Errorsc
Quarter Blank or 0
>0
Blank or 0
2
3
(Step 1G) (Step 1G)
(Rule 1)
(Rule 2)
SSN
Unique ID
SUBPOPULATION SPECIFICATIONS
Blank or
0
Blank or
0
Blank or
0
Blank or
0
Blank or
0
Blank or
0
Required
Required
Required
Required
Required
Required
Required
Required
SEPTEMBER 2019
Blank or
0
Blank or
0
Blank or
0
Blank or
0
Blank or
0
Blank or
0
Blank or
0
11
12
13
14
(Step
(Step
(Step 6A)
(Step 45B)
45A)
45C)
(Step 6B)
Accumul Accumulat Accumul
Date of
ated UI ed Federal ated EB
Original
Amount
Amount
Amount Monetary
APPENDIX A
Required
Required
Required
Required
Required
Required
101 (2, 4, 5)
111 (2, 4, 5)
112 (2, 4, 5)
101 (3, 5)
111 (3, 5)
112 (3, 5)
101 (20, 21)
112 (20, 21)
101 (20, 21)
102 (20, 21)
112 (20, 21)
101 (20, 21)
111 (20, 21)
112 (20, 21)
104 (20, 21)
113 (20, 21)
12.17b
12.18
12.19
12.20
12.21
12.22
UI DV HANDBOOK, BENEFITS
Required
109 (5)
12.16
Required
12.15
ETA 227A
Line and
Column
108 (3, 5)
113 (3, 5)
Subpop
#
APPENDIX A
Nonfraud
Fraud
Fraud
Fraud
Fraud
Fraud
Penalty
Nonfraud
Blank or 0 Blank or 0
Blank or 0 Blank or 0
Within
the
Quarter
Within
the
Quarter
Blank or 0 Blank or 0
Blank or 0 Blank or 0
Within
the
Quarter
>0
Blank or 0
Within
the
Quarter
Blank or 0
>0
>0
>0
>0
Blank or 0
>0
Blank or 0
> 0 if joint
claim;
otherwise
blank or 0 Blank or 0
>0
Within
the
Quarter
>0
Blank or 0
Within
the
Quarter
Within
the
Quarter
Blank or 0
A.71
Reversals
Agency
Employee
Benefit
Multi
Claimant
Schemesc
Single
Claimant
Agency
Employee
Benefit
Agency
Employee
Benefit
Other
Within
the
Quarter
Blank or
0
Blank or
0
Blank or
0
Blank or
0
Blank or
0
Blank or
0
Required
Required
Required
Required
Required
Required
Required
Required
SEPTEMBER 2019
Blank or 0
Blank or 0
Blank or 0
Blank or 0
Blank or
0
Blank or
0
Blank or
0
4
5
6
7
8
9
10
11
12
13
14
(Step (Step 33) (Step 34)
(Step
(Step
(Step 37B) (Step
(Step
(Step
(Step 6A)
(Step 45B)
4)
36)
37A)
37C)
45A)
45C)
(Step 6B)
Progr Type of
Cause of
Date
UI
Federal
EB
Accumul Accumulat Accumul
Date of
am Overpaym Overpaym Establis Amounta Amounta Amounta ated UI ed Federal ated EB
Original
Type
ent
ent
hed
Amount
Amount
Amount Monetary
Required if
State
UCFE
maintains a
or
unique ID
UCX
Required if
State
UCFE
maintains a
or
unique ID
UCX
Required if
State
maintains a
unique ID
UI
Required if
State
UCFE
maintains a
or
unique ID
UCX
Required if
State
maintains a
unique ID
EB
Required if
State
maintains a
unique ID
EB
Required if
State
maintains a
unique ID
EB
Required if
State
maintains a
unique ID
EB
2
3
(Step 1G) (Step 1G)
(Rule 1)
(Rule 2)
SSN
Unique ID
SUBPOPULATION SPECIFICATIONS
Required
Required
Required
106 (20, 21)
113 (20, 21)
107 (20, 21)
113 (20, 21)
108 (20, 21)
113 (20, 21)
109 (21)
12.24
12.25
12.26
12.27
Required if
State
maintains a
unique ID
Required if
State
maintains a
unique ID
Required if
State
maintains a
unique ID
Required if
State
maintains a
unique ID
Required if
State
maintains a
unique ID
EB
EB
EB
EB
EB
Penalty
Nonfraud
Nonfraud
Nonfraud
Nonfraud
Other
Claimant
Errorsc
Employer
Errorsc
State
Agency
Errorsc
Blank or 0 Blank or 0
Blank or 0 Blank or 0
Blank or 0 Blank or 0
Blank or 0 Blank or 0
Blank or 0 Blank or 0
Within
the
Quarter
Within
the
Quarter
Within
the
Quarter
Within
the
Quarter
Within
the
Quarter
>0
>0
>0
>0
>0
Blank or
0
Blank or
0
Blank or
0
Blank or
0
Blank or 0
Blank or 0
Blank or 0
Blank or 0
Required
Required
Required
Required
Required
4
5
6
7
8
9
10
11
12
13
14
(Step (Step 33) (Step 34)
(Step
(Step
(Step 37B) (Step
(Step
(Step
(Step 6A)
(Step 45B)
4)
36)
37A)
37C)
45A)
45C)
(Step 6B)
Progr Type of
Cause of
Date
UI
Federal
EB
Accumul Accumulat Accumul
Date of
am Overpaym Overpaym Establis Amounta Amounta Amounta ated UI ed Federal ated EB
Original
Type
ent
ent
hed
Amount
Amount
Amount Monetary
APPENDIX A
UI DV HANDBOOK, BENEFITS
a
A.72
SEPTEMBER 2019
_____________________________
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.
Required
Required
12.23
ETA 227A
Line and
Column
105 (20, 21)
113 (20, 21)
Subpop
#
2
3
(Step 1G) (Step 1G)
(Rule 1)
(Rule 2)
SSN
Unique ID
SUBPOPULATION SPECIFICATIONS
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
Number of Cases
No.
Cause
Fraud Total
Multi Claimant
Schemes
Cases of Agency
Employee Benefit
Fraud
High Dollar Fraud
Nonfraud Total
Reversals
UI
(2)
UCFE/UCX
(3)
101
1, 2
and
17
9, 10 and
18
102
2
Line
No.
Schemes
(1)
Dollar Amounts
EB
(20)
19, 20
and
21
UI
(4)
1, 2
and
17
UCFE/UCX
(5)
EB
(21)
9, 10 and
18
19, 20
and 21
10
20
2
2 and 10
20
17
18
21
17
17 and 18
21
1, 2
and
17
9, 10 and
18
19, 20
and
21
1, 2
and
17
1, 2, 9, 10,
17, and 18
19, 20
and 21
3
11
22
3
3 and 11
22
111
112
103
104
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
Other
107
108
6
7
14
15
25
26
6
7
6 and 14
7 and 15
25
26
113
109
3-7
11-15
22-26
3-7
8
3-7 and 1115
8 and 16
22-26
27
High Dollar
NonFraud
Penalty
Population 12 Notes
1.
Subpopulations 12.1
claims.
12.8 and 12.17: Enter the Federal amount in Column 9 for joint
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.
M
Single
Claimant
UI DV HANDBOOK, BENEFITS
A.73
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
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 >
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.74
SEPTEMBER 2019
SSN
Unique ID
3
(Step 1H)
(Rule 2)
Program
Type
4
(Step 4)
A.75
Type of
Overpayment
5
(Step 33)
6
(Step 38)
7
(Step 39)
8
(Step 40A)
Table A.13.1
Population 13 Subpopulations
Overpayment Reconciliation Activities
Overpayment Reconciliation Transaction Occurred During
Reporting Quarter Being Validated
ETA 227 Section C
9
(Step 40B)
Type of
Date of
UI
Federal
Reconciliation Reconciliation Reconciliation Reconciliation
Activity
Activity
Amount
Amounta
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
303 (11, 12)
Required
unique ID
UI
Fraud
Cash
Required
>0
or 0
Required if State
> 0 if joint claim;
maintains a
otherwise blank
304 (11, 12)
Required
unique ID
UI
Fraud
Benefit Offset
Required
>0
or 0
Required if State
> 0 if joint claim;
maintains a
State Income
otherwise blank
305 (11, 12)
Required
unique ID
UI
Fraud
Tax Offset*
Required
>0
or 0
Required if State
> 0 if joint claim;
maintains a
otherwise blank
306 (11, 12)
Required
unique ID
UI
Fraud
By Other State
Required
>0
or 0
Required if State
> 0 if joint claim;
maintains a
otherwise blank
307 (11, 12)
Required
unique ID
UI
Fraud
Other
Required
>0
or 0
Required if State
> 0 if joint claim;
maintains a
otherwise blank
309 (11, 12)
Required
unique ID
UI
Fraud
Write-Off
Required
>0
or 0
Required if State
> 0 if joint claim;
maintains a
otherwise blank
310 (11, 12)
Required
unique ID
UI
Fraud
Addition
Required
>0
or 0
Required if State
> 0 if joint claim;
maintains a
otherwise blank
311 (11, 12)
Required
unique ID
UI
Fraud
Subtraction
Required
>0
or 0
ETA 227C
Line and
Column
UI DV HANDBOOK, BENEFITS
13.8
13.7
13.6
13.5
13.4
13.3
13.2
13.1
Sub
pop
#
2
(Step 1H)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
SEPTEMBER 2019
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
EB
Reconciliation
Amount
10
(Step 40C)
APPENDIX A
303 (12)
304 (12)
305 (12)
306 (12)
307 (12)
309 (12)
310 (12)
311 (12)
303 (13, 14)
304 (13, 14)
305 (13, 14)
306 (13, 14)
13.9
13.10
13.11
13.12
13.13
13.14
13.15
13.16
13.17
13.18
13.19
13.20
UI DV HANDBOOK, BENEFITS
ETA 227C
Line and
Column
Sub
pop
#
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
SSN
2
(Step 1H)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Unique ID
3
(Step 1H)
(Rule 2)
Fraud
Fraud
Fraud
Fraud
Fraud
Fraud
UCFE or
UCX
UCFE or
UCX
UCFE or
UCX
UCFE or
UCX
UCFE or
UCX
UCFE or
UCX
UI
UI
UI
Nonfraud
Nonfraud
Nonfraud
Nonfraud
Fraud
UCFE or
UCX
UI
Fraud
6
(Step 38)
Required
Required
State Income
Tax Offset*
By Other State
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Date of
Reconciliation
Activity
7
(Step 39)
Benefit Offset
Cash
Subtraction
Addition
Write-Off
Other
By Other State
State Income
Tax Offset*
Benefit Offset
Cash
Type of
Reconciliation
Activity
A.76
Type of
Overpayment
5
(Step 33)
UCFE or
UCX
Program
Type
4
(Step 4)
>0
>0
>0
>0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
UI
Reconciliation
Amount
8
(Step 40A)
>0
> 0 if joint claim;
otherwise blank
or 0
> 0 if joint claim;
otherwise blank
or 0
> 0 if joint claim;
otherwise blank
or 0
> 0 if joint claim;
otherwise blank
or 0
>0
>0
>0
>0
>0
>0
>0
Federal
Reconciliation
Amounta
9
(Step 40B)
SEPTEMBER 2019
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
EB
Reconciliation
Amount
10
(Step 40C)
APPENDIX A
307 (13, 14)
308 (13, 14)
309 (13, 14)
310 (13, 14)
311 (13, 14)
303 (14)
304 (14)
305 (14)
306 (14)
307 (14)
308 (14)
309 (14)
13.21
13.22
13.23
13.24
13.25
13.26
13.27
13.28
13.29
13.30
13.31
13.32
UI DV HANDBOOK, BENEFITS
ETA 227C
Line and
Column
Sub
pop
#
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
SSN
2
(Step 1H)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Unique ID
3
(Step 1H)
(Rule 2)
Nonfraud
Nonfraud
Nonfraud
Nonfraud
Nonfraud
Nonfraud
Nonfraud
Nonfraud
UCFE or
UCX
UCFE or
UCX
UCFE or
UCX
UCFE or
UCX
UCFE or
UCX
UCFE or
UCX
UCFE or
UCX
Nonfraud
Nonfraud
Nonfraud
Nonfraud
6
(Step 38)
Write-Off
Waived
Other
By Other State
State Income
Tax Offset*
Benefit Offset
Cash
Subtraction
Addition
Write-Off
Waived
Other
Type of
Reconciliation
Activity
A.77
Type of
Overpayment
5
(Step 33)
UI
UI
UI
UI
UI
Program
Type
4
(Step 4)
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Date of
Reconciliation
Activity
7
(Step 39)
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
>0
>0
>0
>0
>0
UI
Reconciliation
Amount
8
(Step 40A)
>0
>0
>0
>0
>0
>0
>0
Federal
Reconciliation
Amounta
> 0 if joint claim;
otherwise blank
or 0
> 0 if joint claim;
otherwise blank
or 0
> 0 if joint claim;
otherwise blank
or 0
> 0 if joint claim;
otherwise blank
or 0
> 0 if joint claim;
otherwise blank
or 0
9
(Step 40B)
SEPTEMBER 2019
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
EB
Reconciliation
Amount
10
(Step 40C)
APPENDIX A
310 (14)
311 (14)
303 (22)
304 (22)
305 (22)
306 (22)
307 (22)
309 (22)
310 (22)
311 (22)
303 (23)
304 (23)
13.33
13.34
13.35
13.36
13.37
13.38
13.39
13.40
13.41
13.42
13.43
13.44
UI DV HANDBOOK, BENEFITS
ETA 227C
Line and
Column
Sub
pop
#
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
SSN
2
(Step 1H)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Unique ID
3
(Step 1H)
(Rule 2)
EB
EB
EB
EB
EB
EB
EB
EB
EB
Nonfraud
Nonfraud
Fraud
Fraud
Fraud
Fraud
Fraud
Fraud
Fraud
Fraud
Nonfraud
UCFE or
UCX
EB
Nonfraud
6
(Step 38)
Benefit Offset
Cash
Subtraction
Addition
Write-Off
Other
Required
Required
Required
Required
Required
Required
Required
Required
State Income
Tax Offset*
By Other State
Required
Required
Required
Required
Date of
Reconciliation
Activity
7
(Step 39)
Benefit Offset
Cash
Subtraction
Addition
Type of
Reconciliation
Activity
A.78
Type of
Overpayment
5
(Step 33)
UCFE or
UCX
Program
Type
4
(Step 4)
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
>0
>0
Federal
Reconciliation
Amounta
9
(Step 40B)
Must be blank
or 0
Must be blank
or 0
UI
Reconciliation
Amount
8
(Step 40A)
SEPTEMBER 2019
>0
>0
>0
>0
>0
>0
>0
>0
>0
>0
Must be blank
or 0
Must be blank
or 0
EB
Reconciliation
Amount
10
(Step 40C)
APPENDIX A
305 (23)
306 (23)
307 (23)
308 (23)
309 (23)
310 (23)
311 (23)
314 (11, 12)
314 (12)
314 (13, 14)
314 (14)
314 (22)
13.45
13.46
13.47
13.48
13.49
13.50
13.51
13.52
13.53
13.54
13.55
13.56
UI DV HANDBOOK, BENEFITS
ETA 227C
Line and
Column
Sub
pop
#
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
SSN
2
(Step 1H)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Required if State
maintains a
unique ID
Unique ID
3
(Step 1H)
(Rule 2)
Fraud
Nonfraud
UCFE or
UCX
EB
Nonfraud
Fraud
UCFE or
UCX
UI
Fraud
Nonfraud
Nonfraud
Nonfraud
Nonfraud
Nonfraud
Nonfraud
Nonfraud
6
(Step 38)
Subtraction
Federal
Income Tax
Offset*
Federal
Income Tax
Offset*
Federal
Income Tax
Offset*
Federal
Income Tax
Offset*
Federal
Income Tax
Offset*
Addition
Write-Off
Waived
Other
By Other State
State Income
Tax Offset*
Type of
Reconciliation
Activity
A.79
Type of
Overpayment
5
(Step 33)
UI
EB
EB
EB
EB
EB
EB
EB
Program
Type
4
(Step 4)
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Date of
Reconciliation
Activity
7
(Step 39)
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
> 0 if joint claim;
otherwise blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
>0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
>0
Must be blank
or 0
>0
> 0 if joint claim;
otherwise blank
or 0
Must be blank
or 0
Must be blank
or 0
>0
Must be blank
or 0
Federal
Reconciliation
Amounta
9
(Step 40B)
Must be blank
or 0
UI
Reconciliation
Amount
8
(Step 40A)
SEPTEMBER 2019
>0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
>0
>0
>0
>0
>0
>0
>0
EB
Reconciliation
Amount
10
(Step 40C)
APPENDIX A
314 (23)
13.57
Required
SSN
Required if State
maintains a
unique ID
Unique ID
3
(Step 1H)
(Rule 2)
EB
Program
Type
4
(Step 4)
Nonfraud
Type of
Overpayment
5
(Step 33)
Type of
Reconciliation
Activity
Federal
Income Tax
Offset*
6
(Step 38)
Required
Date of
Reconciliation
Activity
7
(Step 39)
Must be blank
or 0
UI
Reconciliation
Amount
8
(Step 40A)
Must be blank
or 0
Federal
Reconciliation
Amounta
9
(Step 40B)
>0
EB
Reconciliation
Amount
10
(Step 40C)
APPENDIX A
A.80
SEPTEMBER 2019
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
aFor
*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.
ETA 227C
Line and
Column
Sub
pop
#
2
(Step 1H)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
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
Fraud
No.
UI
UCFE/UCX
Dollar Amount
EB
UI
Nonfraud
UCFE/UCX
EB
(23)
(11)
(12)
(22)
(13)
(14)
303
1
1 and 9
35
17
17 and 26
Benefit
Offset
304
2
2 and 10
36
18
18 and 27
State
Income
Tax
Offset
305
3
3 and 11
37
19
19 and 28
Federal
Income
Tax
Offset
314
52
52 and 53
56
54
54 and 55
By
Other
States
Other
306
4
4 and 12
38
20
20 and 29
307
5
5 and 13
39
21
21 and 30
22
22 and 31
Recovered Total
Cash
302
43
44
45
57
46
47
Waived
308
Written-Off
309
6
6 and 14
40
23
23 and 32
Additions
310
7
7 and 15
41
24
24 and 33
Subtractions
311
8
8 and 16
42
25
25 and 34
48
49
50
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.81
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
3.
4.
APPENDIX A
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.
The validation of Receivables Removed at the End of the Period occurs in Population 14.
UI DV HANDBOOK, BENEFITS
A.82
SEPTEMBER 2019
Required
Required
E505 (18, 19)
Age 361-450 days
E506 (18, 19)
Age > 450 days
14.5
14.6
E502 (19)
Age 91-180 days
E503 (19)
Age 181-270 days
UI DV HANDBOOK, BENEFITS
14.9
14.8
Required
Required
Required
Required
E504 (18, 19)
Age 271-360 days
14.4
E501 (19)
Required
E503 (18, 19)
Age 181-270 days
14.3
14.7
Required
E502 (18, 19)
Age 91-180 days
Required
SSN
14.2
E501 (18, 19)
and Column
pop #
14.1
Report, Line,
Sub
ETA 227C
ETA 227E
2
(Step
1G)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Unique ID
Requireda
Requireda
Requireda
Requireda
Requireda
Requireda
Requireda
Requireda
Requireda
Date
Established
(Step 36)
(Step 1G)
(Rule 2)
4
3
A.83
UCFE or
UCX
UCFE or
UCX
UCFE or
UCX
UI
UI
UI
UI
UI
UI
Type
Program
(Step 4)
5
6
Y or N*
Collection
Active
(Step 44)
Age of Overpayments
Table A.14.1
Population 14 Subpopulations
Type of
Overpaym
ent
(Step 33)
7
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
>0
>0
>0
>0
>0
>0
>0
>0
End of Qtr
> 0 if joint
claim;
otherwise
blank or 0
> 0 if joint
claim;
otherwise
blank or 0
> 0 if joint
claim;
otherwise
blank or 0
> 0 if joint
claim;
otherwise
blank or 0
> 0 if joint
claim;
otherwise
blank or 0
> 0 if joint
claim;
otherwise
blank or 0
End of Qtr
>0
Balance at
Federal
(Step 42B)
9
Balance at
UI
(Step 42A)
8
SEPTEMBER 2019
Must be blank or 0
Must be blank or 0
Must be blank or 0
Must be blank or 0
Must be blank or 0
Must be blank or 0
Must be blank or 0
Must be blank or 0
Must be blank or 0
End of Qtr
Balance at
EB
(Step 42C)
10
APPENDIX A
C312 (11, 12)
C312 (13, 14)
C312 (12)
C312 (14)
C312 (22)
C312 (23)
14.13
14.14
14.15
14.16
14.17
14.18
E502 (25)
Age 91-180 days
E503 (25)
Age 181-270 days
E504 (25)
Age 271-360 days
E505 (25)
Age 361-450 days
E506 (25)
Age > 450 days
UI DV HANDBOOK, BENEFITS
14.24
14.23
14.22
14.21
14.20
14.19
14.12
14.11
E501 (25)
and Column
E504 (19)
Age 271-360 days
E505 (19)
Age 361-450 days
E506 (19)
Age > 450 days
pop #
14.10
Report, Line,
Sub
ETA 227C
ETA 227E
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
SSN
2
(Step
1G)
(Rule 1)
SUBPOPULATION SPECIFICATIONS
Requireda
Requireda
Requireda
Requireda
Requireda
Requireda
Requiredb
Requiredb
Requiredb
Requiredb
Requiredb
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Requiredb
Requireda
Requireda
Requireda
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Unique ID
Date
Established
(Step 36)
(Step 1G)
(Rule 2)
4
3
A.84
EB
EB
EB
EB
EB
EB
EB
EB
UCFE or
UCX
UCFE or
UCX
UI
UI
Type
UCFE or
UCX
UCFE or
UCX
UCFE or
UCX
Program
(Step 4)
5
Y or N*
N or D*
N or D*
N or D*
N or D*
N or D*
N or D*
Y or N*
Collection
Active
(Step 44)
6
Nonfraud
Fraud
Nonfraud
Fraud
Nonfraud
Fraud
Type of
Overpaym
ent
(Step 33)
7
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
>0
>0
End of Qtr
End of Qtr
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
>0
>0
> 0 if joint
claim;
otherwise
blank or 0
> 0 if joint
claim;
otherwise
blank or 0
>0
>0
>0
Balance at
Federal
(Step 42B)
9
Balance at
UI
(Step 42A)
8
SEPTEMBER 2019
>0
>0
>0
>0
>0
>0
>0
>0
Must be blank or 0
Must be blank or 0
Must be blank or 0
Must be blank or 0
Must be blank or 0
Must be blank or 0
Must be blank or 0
End of Qtr
Balance at
EB
(Step 42C)
10
APPENDIX A
overpayments have been reported in line 506 (18,19) in at least 3 prior quarters.
APPENDIX A
UI DV HANDBOOK, BENEFITS
A.85
SEPTEMBER 2019
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.
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.
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.
bThese
aAges
Column 4:
are calculated from this date to the last day of the report period being validated. The software groups the transactions into each
SUBPOPULATION SPECIFICATIONS
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
Accounts Receivable
Line No.
90 days or less
501
502
503
504
505
506
507
451 days or more
Total Accounts Receivable
UI
Dollar Amounts
UCFE/UCX
EB
(18)
1
2
3
4
5
6
(19)
1 and 7
2 and 8
3 and 9
4 and 10
5 and 11
6 and 12
(25)
19
20
21
22
23
24
Table A.14.3
Relationship between ETA 227 Report Cells and Subpopulations in Population 14
C. PAGE 2 OF FORM
C. RECOVERY/RECONCILIATION
Dollar Amount
Line
Fraud
No.
UI
Receivables Removed at End of
Period
UI DV HANDBOOK, BENEFITS
312
Nonfraud
EB
UI
(11)
UCFE/U
CX
(12)
(22)
13
13, 15
17
A.86
(13)
UCFE/UC
X
(14)
EB
(23)
14
14, 16
18
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Population 14 Notes
1.
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.87
SEPTEMBER 2019
202 (6)
203 (6)
210 (6)
204 (6)
205 (6)
206 (6)
202 (6, 7, 8)
203 (6, 7, 8)
210 (6, 7, 8)
204 (6, 7, 8)
205 (6, 7, 8)
206 (6, 7, 8)
Subpop
#
15.01
15.02
15.03
15.04
15.05
15.06
15.07
15.08
15.09
15.10
15.11
15.12
UI DV HANDBOOK, BENEFITS
ETA 227B
Line and
Column
SUBPOPULATION SPECIFICATIONS
Unique ID
3
(Step 1G)
(Rule 2)
Type of
Overpayment
4
(Step 33)
Detection
Method
5
(Step 35)
Date
Established
6
(Step 36)
A.88
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
Required
Must be blank
Required
maintains a unique ID
Crossmatch
Required if State
Required
Must be blank
IB Crossmatch
Required
maintains a unique ID
Required if State
Required
Must be blank
NDNH
Required
maintains a unique ID
Required if State
Required
Must be blank
SDNH
Required
maintains a unique ID
Required if State
Required
Must be blank
Multiclaimant
Required
maintains a unique ID
Required if State
Required
Must be blank
Special Project
Required
maintains a unique ID
Required if State
Wage
Required
Fraud
Required
maintains a unique ID
Crossmatch
Required if State
Required
Fraud
IB Crossmatch
Required
maintains a unique ID
Required if State
Required
Fraud
NDNH
Required
maintains a unique ID
Required if State
Required
Fraud
SDNH
Required
maintains a unique ID
Required if State
Required
Fraud
Multiclaimant
Required
maintains a unique ID
Required if State
Required
Fraud
Special Project
Required
maintains a unique ID
SSN
2
(Step 1G)
(Rule 1)
Overpayments Established by Method
Table A.15.1
Population 15 Subpopulations
>0
>0
>0
>0
>0
>0
Y
Y
Y
Y
Y
Y
N
N
N
N
N
N
Overpayment
Established
by
Investigation
8
(Step 46)
SEPTEMBER 2019
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
Amount
7
(Step 37A)
(Step 37B)
APPENDIX A
207 (7, 8)
208 (7, 8)
202 (6, 9, 10)
203 (6, 9, 10)
210 (6, 9, 10)
204 (6, 9, 10)
206 (6, 9, 10)
207 (9, 10)
208 (9, 10)
Subpop
#
15.13
15.14
15.15
15.16
15.17
15.18
15.19
15.20
15.21
UI DV HANDBOOK, BENEFITS
ETA 227B
Line and
Column
SUBPOPULATION SPECIFICATIONS
Required
Required
Required
Required
Required
Required
Required
Required
Required
SSN
2
(Step 1G)
(Rule 1)
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Unique ID
3
(Step 1G)
(Rule 2)
A.89
Nonfraud
Nonfraud
Nonfraud
Nonfraud
Nonfraud
Nonfraud
Nonfraud
Fraud
Fraud
Type of
Overpayment
4
(Step 33)
Required
Required
Other
Controllable
Noncontrollable
Required
Required
Required
Special Project
SDNH
NDNH
Required
Required
Wage
Crossmatch
IB Crossmatch
Required
Required
Date
Established
6
(Step 36)
Noncontrollable
Other
Controllable
Detection
Method
5
(Step 35)
>0
>0
>0
>0
>0
>0
>0
>0
>0
Amount
Y
Y
Y
Y
Y
Overpayment
Established
by
Investigation
8
(Step 46)
SEPTEMBER 2019
7
(Step 37A)
(Step 37B)
APPENDIX A
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
Controllable - Total
Wage/Benefit Crossmatch
IB Crossmatch
National Directory of New Hires
State Directory of New Hires
Multi-Claimant Scheme Systems
Special Project
Other
Noncontrollable - Total
Total - Controllable and Noncontrollable
Line
No.
201
202
203
210
204
205
206
207
208
209
Fraud
Number of
Cases
Investigated
(6)
1, 7, 15
2, 8, 16
3, 9, 17
4, 10, 18
5, 11
6, 12, 19
NonFraud
Number
of Cases
(7)
Dollars
(8)
7
8
9
10
11
12
13
14
7
8
9
10
11
12
13
14
Number
of Cases
(9)
Dollars
(10)
15
16
17
18
15
16
17
18
19
20
21
19
20
21
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
SEPTEMBER 2019
| File Type | application/pdf |
| File Title | ET Handbook 361 UI DV Benefits 1.30.20.pdf |
| Author | Beistel.Rachel |
| File Modified | 2022-04-18 |
| File Created | 2022-04-18 |