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pdfUNEMPLOYMENT INSURANCE
DATA VALIDATION HANDBOOK
Benefits
OFFICE OF UNEMPLOYMENT INSURANCE
DEPARTMENT OF LABOR
SEPTEMBER 2019
OMB No: 1205-0431
OMB Expiration Date: September 30, 2022
Estimated Average Response Time: 730 hours.
OMB Approval. The reporting requirements for ETA Handbook 361 are approved by OMB according
to the Paperwork Reduction Act of 1995 under OMB No. 1205-0431 to expire September 30, 2022. The
respondents' obligation to comply with the reporting requirements is required to obtain or retain
benefits (Section 303(a)(6), SSA). Persons are not required to respond to this collection of information
unless it displays a currently valid OMB control number.
Burden Disclosure. SWA response time for this collection of information is estimated to average 730
hours per response (this is the average of a full validation every third year with an estimated burden
of 1150 hours, and partial validations in the two intervening years), including the time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Send comments regarding this burden
estimate or any other aspect of this collection of information, including suggestions for reducing this
burden to the U. S. Department of Labor, Employment and Training Administration, Office of
Workforce Security (Attn: Rachel Beistel), 200 Constitution Avenue, NW, Room S-4522, Washington,
D.C. 20210 (Paperwork Reduction Project 1205-0431).
TABLE OF CONTENTS
INTRODUCTION
A. Purpose .................................................................................................................................................. 1
B. Data Errors Identified Through Validation ............................................................................................. 3
C. Data Sources for Federal Reporting and Validation ............................................................................... 3
D. Basic Validation Approach .................................................................................................................... 6
E. Reconstructing Federal Report Items ..................................................................................................... 6
F. Validation Techniques and Sources ........................................................................................................ 9
G. Handbook Overview ............................................................................................................................ 10
H. Overview of the Data Validation Methodology ................................................................................... 11
MODULE 1 – REPORT VALIDATION
A. Purpose ................................................................................................................................................ 1.1
B. Methodology ....................................................................................................................................... 1.2
C. Overview of Module 1......................................................................................................................... 1.4
MODULE 2 – DATA ELEMENT VALIDATION
A. Purpose ................................................................................................................................................ 2.1
B. Methodology ....................................................................................................................................... 2.1
C. Overview of Module 2......................................................................................................................... 2.4
MODULE 3 DATA ELEMENT VALIDATION STATE SPECIFIC INSTRUCTIONS
A. Purpose ................................................................................................................................................ 3.1
B. Methodology ....................................................................................................................................... 3.1
MODULE 4 – QUALITY SAMPLE VALIDATION
A. Purpose ................................................................................................................................................ 4.1
B. SAMPLE SIZE ........................................................................................................................................ 4.1
C. Sample Selection ................................................................................................................................. 4.2
D. SAMPLE UNIVERSE ............................................................................................................................... 4.2
E. Sample Validation ............................................................................................................................... 4.3
F. Results.................................................................................................................................................. 4.6
Appendix A – Subpopulation Specifications
Appendix B – Sample Specifications
Appendix C – Interstate Filed from Agent Records
Appendix D – Combined Wage Claims and Payments
INTRODUCTION
A. Purpose
States report Unemployment Insurance (UI) data to the U.S. Department of Labor (DOL) on
a monthly and quarterly basis under the Unemployment Insurance Required Reports (UIRR)
system. The UIRR data are used for gathering economic statistics, allocating UI
administrative funding, measuring state performance, and accounting for fund utilization.
Therefore, it is important that states report UIRR data accurately and uniformly. The purpose
of the Data Validation (DV) program is to verify the accuracy of the UIRR data. This
handbook covers the part of the program that validates benefits data.
In the DV program, the states validate their data and report the results of the validation to the
Employment Training Administration (ETA). This handbook provides general instructions
on how to validate the data as well as individual instructions for each state (referred to as
Module 3). States use the DV software provided by DOL to conduct the validation and submit
results.
Table A shows the general types of UIRR data to be validated, the Federal ETA reports on
which the data appear, and the areas where the data are used.
States are required to validate reported data every third year, except for data elements used
to calculate Government Performance and Results Act (GPRA) measures, which must be
validated annually. Items that do not pass validation must be revalidated the following year.
The “validation year” coincides with the State Quality Service Plan (SQSP) performance
year. It covers data of any reporting period during the twelve months beginning April 1 and
ending March 31. Results must be submitted to the National Office by June 10, which
allows sufficient time for data validation results to be included in the SQSP process. States
that fail DV or do not submit their DV results by the established deadline must address these
deficiencies through the SQSP. If states modernize their UI benefits data management
system, partially, completely, or in any way that impacts reporting and therefore data
validation, states must validate every benefits population the following year once the new
system is deployed or goes live. This requirement includes populations with passing scores
that were previously valid for three years and not yet due for validation. Similarly, if a state
does not submit the underlying benchmark populations (Benefits Populations 5 and 8; Tax
Populations 3 and 5) to complete Module 4 within the three year validation cycle, the scores
will also not be considered valid until these are transmitted. If a state revises an ETA UI
Required Report for the same time period it used for data validation, the data validation
score will not be considered valid until the state resubmits the results using the revised
report counts.
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Table A
General Types of Data to be Validated
Data Type
ETA
Report(s)
Economic
Statistics
Funding
Allocation/
Workload
X
Performance
Claimant
Eligibility
Monitor
Trust
Fund
Activity
X
X
Weeks Claimed
5159
X
Final Payments
5159
218
X
Claims and
Claims Statusa
5159
218
586
X
Payments
5159
586
9050
9051
Nonmonetary
Determinations/
Redeterminations
207
9052
X
X
X
Appeals
5130
9054
9055
X
X
X
Overpayments
X
X
227
X
X
X
a
The ETA 539, Weekly Claims Activity Report, is not validated. However, states are strongly encouraged to
compare the total claims reported on the 539 to the 5159 report for the same period to determine whether the
counts reported are the same or within +2%. If the counts differ by more than +2%, then the state should
investigate and advise its Federal regional office of its findings and what it is doing to reconcile the
differences.
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B. Data Errors Identified Through Validation
Systematic and random errors are the two major types of data errors that can occur in Federal
UIRR reports. Systematic errors involve faulty design or execution of reporting programs.
Random errors involve judgment and input errors. Reporting system errors are always
systematic, while errors stemming from human judgment can be either systematic or random.
The DV program attempts to identify both types of errors.
Systematic errors are addressed through validation of the reporting programs that states use
to create Federal reports. These errors tend to be constant and fall into one of three categories:
1) too many transactions (overcounts), 2) too few transactions (undercounts), or 3)
transactions which are misclassified. Systematic human errors occur when staff is using
incorrect definitions or procedures. For example, a reporting unit may establish its own
definition for a data element that deliberately or inadvertently conflicts with the Federal
definition. Systematic errors are the most serious because they occur repeatedly, but they are
the easiest to detect and correct. In most cases systematic errors do not need to be assessed
very frequently.
Random errors are addressed through validation of a random sample of transactions by
evaluating the accuracy of data elements stored in the database. Random errors tend to be
sporadic, and are caused by human judgment. They fall into one of three categories: 1) input
errors, 2) judgment errors (as in nonmonetary determinations, status determinations, and
appeals), or 3) inconsistent application of state definitions or procedures.
Consistent and accurate reporting requires both good systems and good data, hence the
validation objective has not been achieved unless systems and data have both been validated.
C. Data Sources for Federal Reporting and Validation
Some states produce the Federal reports directly from the state database. Computer programs
scan the entire database to select, classify, and count transactions. Other states produce a
database extract or flat file as transactions are processed, essentially keeping a running count
of items to be tabulated for the Federal reports. Still other states use a combination of these
methods. Although states use different methods to prepare Federal reports, the validation
approach is the same in all cases: states support their reported figures by reconstructing the
reported transactions.
The validation methodology is flexible in accommodating the different systems that states
use. However, validation is most effective when validation data are extracted directly from
the state benefits database. For cost reasons and to minimize changes in data over time, some
states prefer to use daily, weekly, or monthly flat files instead. When flat files are used, system
errors may occur: reportable transactions may be improperly excluded from the master file,
or the flat file may contain corrupt data. The only way to identify these problems is to
independently reconstruct or query the master database. States that prepare validation files
from the same files used to produce the UIRR, rather than directly from the database, must
ensure that these files contain all the appropriate transactions by recreating the logic used to
produce the Federal reports.
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Table B outlines variations in the validation methodology, based on typical state approaches
to reporting and data validation. To determine the specific validation methodology to be
implemented, the validator should identify the state’s reporting and validation sources for each
population.
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Table B
Variations in Validation Methodologies
Based on State Approaches to Reporting and Reconstruction
Benefits UIRR Reports
Transactions
Overwritten
Scenario on Database
Program
Type
Source
Timing
Data Validation
Program
Type
Source
Timing
Source
Documentation
Review
Required
Comments
1
No
Count
Database
Snapshota
Extract
Fileb
Database Snapshot
No
2
No
Count
Flat filec
Daily
Extract
File
Database Snapshot
No
3
No
Extract
File
Database
Snapshot
Extract
File
Database Snapshot
No
4
No
Extract
File
Flat file
Daily
Extract
File
Flat file
Daily
Yes
5
Yes
Extract
File
Flat file
Daily
Extract
File
Flat file
Daily
NA
6
Yes
Count
Flat file
Daily
Must
create a
daily
extract
NA
NA
NA
Best scenario because
comparing snapshots
eliminates timing
discrepancies
Database is only
reconstruction source. There
could be changes in
transaction characteristics
(but will find all
transactions).
Reporting and validation are
the same program.
Since transactions are not
overwritten, states should be
able to do Scenario 2
instead.
No alternative validation
source. Cannot reconstruct
from the database. Not
thorough validation.
Cannot reconstruct from
database. Must change
reporting process to
Scenario 5.
a
All records in the database on last day of reporting period
File constructed directly from database
c
File with accumulated records used for ETA reports
b
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D. Basic Validation Approach
The data validation methodology outlined in this handbook minimizes validation time and
burden. The methodology is highly automated and complements existing quality components
(such as the nonmonetary determinations quality review). The methodology involves
reconstructing the count of transactions reported during a specific period for each Federal
report item to be validated. The validation specifications for reconstructing reported
transactions provide a blueprint of the criteria that states should use in their Federal reporting.
This handbook therefore has two uses:
1.
To provide technical assistance with Federal reporting requirements;
2.
To guide states through the data validation process.
The reconstruction files provide an audit trail to support the counts and classifications of
reported transactions. Validation of reported counts (referred to as report validation or RV)
is accomplished when all the transactions reported for a Federal report item have been
reconstructed. For example, if a state reports 5,000 first payments during a month, then the
state must produce a file containing the 5,000 first payments, including relevant characteristics
of the transaction such as the Social Security Number (SSN), the program type code, and the
mail date. The DV software then sorts the payments into groups that are used to reconstruct
the counts for the appropriate items of the ETA 5159 and 9050 reports. Report validation is
discussed in detail in Module 1.
The DV software also draws samples of transactions from the reconstruction file and displays
them on worksheets to facilitate their validation. Validators then subject the sampled
transactions to a series of logic tests (state-specific “rules” described in Module 3), using the
most definitive source documentation (such as database screens) to test the accuracy of the
data. This validation of the characteristics of reported transactions is known as Data Element
Validation (DEV) and is described in detail in Module 2.
Data that passes RV and DEV are considered accurate.
E. Reconstructing Federal Report Items
Given that there are 11 UIRR benefits reports to validate, with over 1,000 report items,
validation could be a laborious process to both design and implement. A single UI benefits
transaction--for example, a payment, a nonmonetary determination, or an appeal--can be
reported in numerous Federal report items. As an example, a first payment for a week of total
unemployment, for an interstate claim with both UI and Unemployment Compensation for
Federal Employees (UCFE) wages, is reported in eight items of the ETA 5159 report as well
as in one item of the ETA 9050 report.
A general principle of the validation design is to streamline the validation process as much as
possible. Transactions are analyzed only once, even if they appear in multiple items. The
streamlining is accomplished by classifying the transactions into mutually exclusive groups
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INTRODUCTION
(referred to as populations), which match to one or more items on the Federal reports.
Specifically, there are 16 benefits populations, which are composed of 410 mutually exclusive
groups (referred to as subpopulations). Each subpopulation represents a unique set of data
elements or characteristics.
The first column of Table C lists each population. The second column identifies the ETA
reports on which the transactions in each population are reported.
The Reconstruction Period (third column) describes the time parameter that the programmer
uses to select the transactions to be extracted. When the reports are monthly, the
reconstruction can be for a single month, to match the reported counts. When the reports are
quarterly, or both monthly and quarterly reports are produced for the same type of transaction
(for example, claims are reported on both the ETA 5159, a monthly report, and the ETA 218,
a quarterly report), the reconstruction is for a quarter.
The Number of Report Items (fourth column) indicates the total number of items on each ETA
report that is validated by each transaction population. The Number of Subpopulations (fifth
column) refers to the number of subpopulations into which the population is divided for
validation purposes.
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INTRODUCTION
Table C
Population Coverage
Population
1
2
Weeks Claimed
Final Payments
3/3a
Claims and Claims Status, and
Monetary Determinations
4
Payments
5
6
7
8
Nonmonetary Determinations and
Redeterminations
Appeals Filed, Lower Authority
Appeals Filed, Higher Authority
Appeals Decisions, Lower Authority
9
Appeals Decisions, Higher Authority
10
11
12
13
14
15
Appeals Case Aging, Lower Authority
Appeals Case Aging, Higher Authority
Overpayments Established by Cause
Overpayment Reconciliation Activities
Age of Overpayments
Overpayments Established by Method
Notes:
ETA
Reconstruction
Report
Period
5159
Month
5159
Quarter
218
5159
218
586
5159
9050
9051
586
207
9052
5130
5130
5130
9054
5130
9054
9055
9055
227
227
227
227
Quarter
Month
Quarter
Quarter
Month
Month
Month
Month
Month
Month
Quarter
Quarter
Quarter
Quarter
TOTAL
Number of
Number of
Report Items Subpopulations
9
9
3
4
12
19
16
4
14
12
12
10
36
14
2
2
18
2
10
2
3
3
63
57
24
36
383
52
51
70
2
2
55
23
7
6
27
57
24
21
410
When populations relate to both monthly and quarterly reports (populations 2, 3, 4), it is preferable to
reconstruct all the counts for a quarter. It is easier and more accurate to add three monthly counts to
create a quarterly total for monthly reports, than to rerun the quarterly reports to obtain a month of data.
The software is not designed to validate nor is it a Federal requirement to validate extended benefits and
disaster unemployment.
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INTRODUCTION
F. Validation Techniques and Sources
Validating the counts of specific types of transactions, rather than validating report items,
eliminates duplication of effort when the identical transaction is reported in more than one
report item. In addition, the DV software processes validation files and generates all
validation worksheets and reports.
Table D summarizes the DEV techniques used for each population of transactions. The
Review History Screens column indicates when the validator will refer to computer-generated
history screens to make an assessment of error. The Review Source Documentation column
indicates when the validator will refer to source documentation, such as adjudication notes,
adjudication notices, appeals decisions, or overpayment records. This documentation may
come from paper files, microfilm, computer records, or images. Source documentation is
important for identifying human errors involving interpretational and input errors.
Table D
Validation Techniques by Population
1 Weeks Claimed
Review
History
Screens
X
2 Final Payments
X
3/3a
X
Population
Claims, Claims Status, and Monetary Determinations
Review Source
Documentation
4 Payments
X
5 Nonmonetary Determinations and Redeterminations
X
6 Appeals Filed, Lower Authority
X
7 Appeals Filed, Higher Authority
X
8 Appeals Decisions, Lower Authority
X
X
9 Appeals Decisions, Higher Authority
X
X
10
Appeals Case Aging, Lower Authority
X
11
Appeals Case Aging, Higher Authority
X
12
Overpayments Established by Cause
X
X
13
Overpayment Reconciliation Transactions
X
X
14
Age of Overpayments
X
15
Overpayments Established by Method
X
a Examination
Xa
X
of nonmonetary determination folders is accomplished through the quality review process.
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G. Handbook Overview
To achieve the data validation goal of determining the extent to which reported data are
accurate and meet Federal reporting definitions, four separate validation processes or modules
have been developed. These modules include various tools to validate the quantity and quality
of Federally reported data. The modules and accompanying appendices are outlined below.
Module 1—Report Validation (RV)
Module 1 describes the procedures for validating that the state reporting programs that
create the Federal reports are functioning correctly, i.e., that transactions are being
counted accurately. The DV software processes the validation files and generates the
reconstructed counts for Federal report items from the subpopulations. It then compares
the reconstructed counts with the corresponding counts reported by the state. If
transactions in the validation file were rejected by the software as invalid, the validator
needs to determine whether it is necessary to regenerate or reload the validation files. If
the reconstructed and reported counts don’t differ by more than the tolerance rates
established, then it is assumed that the state’s reporting system is accurate.
Module 2—Data Element Validation (DEV)
Module 2 validates that the data elements (transactions) used in report validation, were
classified correctly according the Federal definitions. While RV verifies that all
transactions were counted, DEV verifies that the right transactions were counted. The
validator examines samples of transactions to determine their accuracy. The software
produces an automated worksheet containing the relevant data elements for each selected
transaction. The validator reviews the sampled transactions using the state-specific data
values and instructions in Module 3, which point the validator to the appropriate
supporting documentation (benefits history screens and/or paper files). The validator
uses this documentation to validate that the data elements are accurate and that the
transactions are assigned to the appropriate subpopulations.
Module 3—State-Specific Data Element Validation Instructions
Only an introduction of Module 3 is included in this handbook. Each state maintains its
module and is responsible for updating and revising it. Module 3 provides the actual statespecific set of instructions that the validator uses in data element validation. It lists the
state system screens or documents that contain the data to be validated as well as the rules
to validate them. State definitions or procedures which impact validation are also
documented to help state and Federal staffs interpret the validation results and improve
procedures.
Module 4—Quality Sample Validation
Module 4 has instructions for verifying that the samples selected for nonmonetary
determinations and lower authority appeals quality have been randomly selected from the
correctly defined universe. It is important to review and check the quality sampling
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INTRODUCTION
methodology used by the state. The quality reviews are a key indicator of the state’s
performance, and the results must be statistically valid.
Appendix A—RV Subpopulation Specification
Appendix A includes specifications for each subpopulation by population. This appendix
should be used when constructing the DV extract files. It indicates the data values that
are valid for each type of transaction or subpopulation. It also maps each subpopulation
to the corresponding Federal report line item(s) and vice versa.
Appendix B—DEV Sampling Specifications
Appendix B includes the specifications used by the software to select samples of
transactions for data element validation.
Appendix C—LADT
Appendix C contains instructions on how to validate Interstate Filed from Agent records
received through the Liable Agent Data Transfer (LADT) System for Populations 1 and
3.
Appendix D - CWC Technical Guidance
Appendix D provides instructions on how to validate combined wage claims (CWC) in
Populations 3 and 4.
H. Overview of the Data Validation Methodology
This section gives an example, using Population 4, of the steps to follow in the data validation
process. Each step references the handbook module in which that aspect of the data validation
process is described. Readers should review the referenced modules for further information.
Step 1 Generate and submit ETA report
The state generates and submits ETA 9050. The report item shown in the upper-left-hand
corner represents the count of UI intrastate first payments that the state reported on the
ETA 9050.
Step 2 Generate extract file
The state extracts detailed records of transactions from their benefits database into a text
formatted file, following the specifications on the record layout for Population 4 and the
definitions in Module 3. (See Module 1, Module 3, and ETA Operations Guide 411)
Step 3 Load extract file into software
The extract file generated in Step 2 is loaded into the DV software. The software rejects
invalid transactions. The validator reviews the rejected records, and if necessary, fixes the
errors in extract file and reloads it into the software. This process is repeated until the
extract file has no errors. (See Module 1)
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Step 4 Validate counts (Report Validation)
The DV software compares the reconstructed counts from the validation extract file with
the reported counts. (See Module 1)
Step 5 Generate samples
The DV software selects a sample of transactions (following the sample specifications in
Appendix B) and displays them on a sample validation screen. (See Module 2)
Step 6 Refer to Module 3
The validator looks at the first field of the first record displayed on the first row of the
sample validation screen. The column header for that field refers to the step in Module 3
that the validator needs to validate the field, in this case, Step 10A.
Step 7 Lookup screen in state database
The validator calls up or prints out the Claims Inquiry screen from the state’s benefits
database. (See Modules 2 and 3.)
Step 8 Validate samples (Data Element Validation)
The validator follows the instructions in the rules for Step 10A (First Payments). The
rules for Step 10A require the validator to: 1) check for a payment indicator (payment
code is 07 or 08); 2) check that the week reported as the first compensable week was not
a waiting week (payment code is not 02, 03, or 04); and 3) check that the week was the
first week in the benefit year after the waiting week without excessive earnings (earnings
for the week ending 2/10 are less than or equal to 120 percent of the WBA and thus not
excessive, and there are no earlier weeks other than the waiting week present on the
payments history file). The validator then places a check on the worksheet to show that
the transaction was a valid first payment. (See Modules 2 and 3)
Steps 6 through 8 are repeated for each field in the first record, and the rest of the sampled
records are validated in the same manner. All samples for the population should be
validated following the same steps.
Step 9 Submit results to the National Office
After all samples are completed, the validator accesses the Population Scores screen and
submits the validation results to the National Office.
Step 10 Save validation documents
After results are submitted to the National Office, states should save all documents
supporting their validation results and retain them for three years. This includes all
sample validation worksheets, any notes documenting errors, extract files, a reference to
the version of Module 3 that was used, screen shots of the submitted RV results and any
other supporting documentation (such as benefit system screen shots and/or paper files).
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Figure A
Overview of Data Validation Methodology
FIGURE A: OVERVIEW OF DATA VALIDATION METHODOLOGY
SamplePortionof UIRRETA9050
Intrastate
FirstPayments,ETA9050
1
UI
UCFE
6
2
Benefits
Database
Code Validation
(Benefits Database Screen)
2
Sample Screen (from State Database)
Claims Inquiry
SSN
123
3
Data Validation
Software
Program
Agent
State
WBA
UI
Same
$120
Payments History
Payment
Date
Data
Validation
Extract File
Wk. End
Amount
STS
Earnings
2/3
$0
W
$0
2/12
2/10
$120
A
$0
2/19
2/17
$120
A
$0
Minnesota
4
7
5
Report Validation Screen
Sample Validation Screen
Step Validation (Module 3)
6
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MODULE 1
Benefits
REPORT VALIDATION
REPORT VALIDATION
MODULE 1
A. Purpose
The report validation process is used to determine the accuracy of counts reported on UIRR
benefits reports. Sixteen validation extract files are constructed according to specifications in
the DV ETA Operations Guide 411 and Appendix A. These files are used to reconstruct counts
for 16 types of UI benefits transaction populations. The 16 report validation population files
are listed in Table 1.1.
Table 1.1
Populations
Population
Population Description
1
Weeks Claimed
2
Final Payments
3
Claims and Claim
Determinations)
3a
Additional Claims
4
Payments/Weeks Compensated
5
Nonmonetary Determinations and Redeterminations
6
Appeals Filed, Lower Authority
7
Appeals Filed, Higher Authority
8
Appeals Decisions, Lower Authority
9
Appeals Decisions, Higher Authority
10
Pending Appeals, Lower Authority
11
Pending Appeals, Higher Authority
12
Overpayments Established by Cause
13
Overpayment Reconciliation Transactions
14
Aged Overpayments
15
Overpayments Established by Method
UI DV HANDBOOK, BENEFITS
Status
1.1
(and
Original
Monetary
SEPTEMBER 2019
REPORT VALIDATION
MODULE 1
B. Methodology
Step 1
Produce Report Validation Extract Files
State staff produces 16 report validation extract files based on the record layout
specifications in the ETA Operations Guide 411. There is one extract file for each of the
16 populations of UI benefit transactions and statuses (such as payments, claims, age of
overpayments, etc.). Claims are divided into two separate populations: Populations 3 and
3a. See Figure 1.1 for an example of a record layout.
The extract file type is ASCII, comma delimited. Data must be in the order listed in the
record layouts. The Data Type/Format column on the layouts indicates the generic values
for text fields.
The generic values must be followed by a dash and the state-specific value. See Figure
1.2 for an example of a sample extract file.
It is best to generate the validation files at the same time as the Federal reporting programs
to eliminate differences in data caused by changes in the database over time. Because the
UIRR reports provide a snapshot of transactions during a specific time period, the
validation is intended to verify the transaction data at the time the report was run, even if
data later changed. It is less efficient to compare a set of transactions captured at one
point in time with a set of transactions captured at another point in time, because many
discrepancies will represent legitimate changes in a dynamic database, rather than
systems errors or faulty data. For example, claims can legitimately change from interstate
to intrastate, and program type can change from Federal to combined UI-Federal if UI
wages are added to a claim.
Step 2
Import Extract Files
The extract files are imported into the DV software following the instructions in the ETA
Operations Guide 411. The software processes each extract file and builds the
subpopulations as specified in Appendix A. For example, Population 4, payments and
weeks compensated, includes all payments made during the month. The software assigns
each transaction record to a subpopulation based on unique combinations of payments
and weeks compensated, including characteristics such as first payments, continued
payments, partial payments, and program type. See Figure 1.3 for a sample of a validation
file imported into the software.
Step 3
Examine Error Reports and Reload Extracts if Necessary
When an extract file is loaded, the DV software reads each record to ensure that values
in all fields are valid. Any records with invalid data, missing mandatory data, or records
which appear to be duplicates are rejected and an error report is produced. The record
layouts in the ETA Operations Guide 411 specify the valid data formats for each field,
and the population tables in Appendix A specify the valid values. The software uses the
UI DV HANDBOOK, BENEFITS
1.2
SEPTEMBER 2019
REPORT VALIDATION
MODULE 1
duplicate detection criteria in the ETA Operations Guide 411 to reject invalid duplicate
records.
After reviewing any error reports that are generated, state staff should determine if the
extracts are correct or whether they need to be regenerated or reformatted and reloaded
into the DV software. This process should be repeated until the extract files have no
errors.
See Figure 1.4 for an example of an error report.
Step 4
Report Validation
The DV software automatically retrieves and loads the reported counts from the national
UI reports database. The software then calculates the difference between the validation
and reported counts and calculates an error rate. The software counts all transactions
within a subpopulation and combines subpopulations into corresponding report cells. The
validation counts are compared with the reported counts, and the reported counts are
considered valid if they fall within the established tolerance (+1% for groups that include
data used in Government Performance and Results Act (GPRA) measures and +2% for
all other groups).
Data used for the GPRA measure for timely first payments are validated in Populations 4
and data used for Detection of Overpayments are validated in Population 12. The groups
including these data are held to a +1% tolerance and the populations must be validated
annually. Benefits DV validates also data used in UI Performs Core Measures for first
payment timeliness, nonmonetary determinations timeliness, average age of pending
appeals, and detection of overpayments, as well as measures of payment and appeals
timeliness used to implement UI Secretary’s Standards These data are held to the +2%
tolerance for report validation, except for the data used for the Secretary’s Standard
measure for 14/21-day timeliness of intrastate payments because it is also used as the
GPRA measure.
The software then produces a summary that provides error rates for groups of report cells
and a pass or fail score for the population.
UI DV HANDBOOK, BENEFITS
1.3
SEPTEMBER 2019
REPORT VALIDATION
MODULE 1
C. Overview of Module 1
Table 1.2 and Figure 1.1 show an overview of Module 2 methodology.
Table 1.2
Overview of Module 1
Step
Description of Step
1A – 1D
Analyze the validation program specifications including:
1A. Record Layouts (ETA Operations Guide 411): contains specifications to build the
validation extract files
1B. Data Element Validation State Specific Instructions (Module 3): Includes instructions and
state’s specific screen names, element names and value codes for validating each data
element.
1C. Duplicate Detection Criteria (ETA Operations Guide 411): contains the criteria that the
software uses to detect duplicates.
1D. Subpopulation Specifications (Appendix A):
contains reporting and sampling
specifications for each population.
2
Extract transaction records from the state database(s), including all of the data elements specified
in the record layouts. The extract process should include a routine to ensure that invalid duplicates
are excluded from the file, as specified in the duplicate detection criteria in the ETA Operations
Guide 411.
3
Import the validation files into the DV software, which processes the files and assigns transactions
to the subpopulations specified in Appendix A.
4
The RV screen compares the validation counts to the reported counts and displays the error rates
and a pass/fail population score.
UI DV HANDBOOK, BENEFITS
1.4
SEPTEMBER 2019
REPORT VALIDATION
MODULE 1
Figure 1.1
Overview of Module 1
1A
3
UI Required
Report cell totals
from sun-based
system to RV
Summary
Analyze program
specifications and
develop extract files
Record Layouts
(DV Operations Guide)
1B
Data Element Validation
State Specific Instructions
(Module 3 )
Run
extract programs
4
1C
2
Duplicate Detection Criteria
(DV Operations Guide)
RV Summary
Counts and
Dollars
Detailed Record
Extract File
1D
Subpopulation Specifications
(Appendix A)
Import extract file into DV
software
3
3
3
Validation counts
automatically
transferred to
RV Summary
The following figures are examples of:
1.
2.
3.
4.
Population 10 Record Layout (Figure 1.2)
Population 10 Sample Extract File (Figure 1.3)
Population 10 Validation File after Processed through DV Software (Figure 1.4)
Population 10 RV Summary (Figure 1.5)
UI DV HANDBOOK, BENEFITS
1.5
SEPTEMBER 2019
REPORT VALIDATION
MODULE 1
Figure 1.2
Population 10 Record Layout
This record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The Data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for Lower Authority Appeal is 100, then the data format would be LOWER-100.
No.
1
Field Name
OBS
Module 3 Reference
2
SSN
Step 1E - Rule1
3
Docket
Number
Unique ID
Appeal Level
Step 1E - Rule 2
Step 30B - Rule 1
6
Appeal
Pending
Filed Date
7
User
4
5
UI DV HANDBOOK, BENEFITS
Step 24A - Rule 1
Step 32 - Rule 1
Field Description
State assigned
sequential unique
identifier for each record
in the extract file.
Social Security Number
The Docket Number or
other unique number
assigned to the appeal.
The appeal was a lower
authority appeal.
No decision has been
made on an appeal.
The date on which the
appeal was filed.
User defined field. Can
be used for any
additional data element.
Not mandatory.
1.6
Data Format
Number - 00000000
(Required)
Data Type
INTEGER
Constraint
NOT NULL
Number - 000000000
(Required)
Number - 0000000000
(Required)
CHAR (9)
NOT NULL
CHAR (30)
NOT NULL
Text - Lower
(Required)
Text - No Decision
(Optional)
Date - MM/DD/YYYY
(Required)
Text
(Optional)
CHAR (20)
NOT NULL
CHAR (30)
DATE
NOT NULL
CHAR
(100)
SEPTEMBER 2019
REPORT VALIDATION
MODULE 1
Figure 1.3
Population 10 Extract File
1,123456789,1,LOWER-AP,NO DECISION-NO MAIL DATE,03/22/2006,10.1
2,123456791,2,LOWER-AP,NO DECISION-NO MAIL DATE,03/01/2006,10.2
3,123456792,3,LOWER-AP,NO DECISION-NO MAIL DATE,01/03/2006,10.3
4,123456793,4,LOWER-AP,NO DECISION-NO MAIL DATE,12/29/2005,10.4
5,123456794,5,LOWER-AP,NO DECISION-NO MAIL DATE,10/11/2005,10.5
6,123456795,6,LOWER-AP,NO DECISION-NO MAIL DATE,05/16/2005,10.6
7,123456796,7,LOWER-AP,NO DECISION-NO MAIL DATE,02/08/2005,10.7
8,123400008,18,LOWER-AP,No Decision,03/31/2006,10.1
9,123400009,19,lower,NO DECISION,03/18/2006,10.1
10,123400010,20,lower-1,no decision-1,03/06/2006,10.1
11,123400011,21,Lower,,03/05/2006,10.2
12,123400012,22,LoWeR,No Decision,02/26/2006,10.2
13,123400013,23,LOWER-AP,NO DECISION,02/19/2006,10.2
14,123400014,24,lower,no decision-2,02/18/2006,10.3
15,123400015,25,lower-2,,01/25/2006,10.3
16,123400016,26,Lower,No Decision,12/31/2005,10.3
17,123400017,27,LoWeR,NO DECISION,12/30/2005,10.4
18,123400018,28,LOWER-AP,no decision-3,12/16/2005,10.4
19,123400019,29,lower,,12/01/2005,10.4
20,123400020,30,lower-3,No Decision,11/30/2005,10.5
21,123400021,31,Lower,NO DECISION,11/01/2005,10.5
22,123400022,32,LoWeR,no decision-4,10/02/2005,10.5
23,123400023,33,LOWER-AP,,10/01/2005,10.6
24,123400024,34,lower,No Decision,08/03/2005,10.6
25,123400025,35,lower-4,NO DECISION,06/04/2005,10.6
26,123400026,36,Lower,no decision-5,04/05/2005,10.6
27,123400027,37,LoWeR,,04/04/2005,10.7
28,123400028,38,LOWER-AP,No Decision,11/16/2004,10.7
29,123400029,39,Lower,NO DECISION,07/05/2003,10.7
UI DV HANDBOOK, BENEFITS
1.7
SEPTEMBER 2019
REPORT VALIDATION
MODULE 1
Figure 1.4
Population 10 Validation File After Processed by DV Software
UI DV HANDBOOK, BENEFITS
1.8
SEPTEMBER 2019
REPORT VALIDATION
MODULE 1
Figure 1.5
Population 10 RV Screen
UI DV HANDBOOK, BENEFITS
1.9
SEPTEMBER 2019
MODULE 2
Benefits
DATA ELEMENT VALIDATION
DATA ELEMENT VALIDATION
MODULE 2
A. Purpose
One of the goals of the validation process is to determine how accurately individual benefits
transactions have been reported on the UIRR. After the report validation files have been built
and each transaction has been assigned to a specific subpopulation, the key question is whether
the data in each transaction record are correct. For example, if a claim is classified as UCFE,
do the base period wages match the Federal criteria for a UCFE claim? This process is called
data element validation (DEV). In DEV, each data element used in the report validation file
is closely examined in a small sample of transactions.
Data element validation uses random and supplemental samples to address different types of
Federal report errors and different requirements for accuracy. Samples were designed
considering the importance of the type of transaction and the type of error prone to be found
in certain data. The samples enable the validator to find systems logic and data quality errors.
There are four types of samples used in the DV program:
1.
Random samples
Supplemental Samples:
2.
Missing subpopulations samples
3.
Outliers Samples
4.
Minimum samples
Each of these sample types is described in detail in Appendix B.
In particular, random samples are used for the most important performance and reporting data
elements. Depending on the type of random sample, the DV software selects either 100 or
200 cases at random to be validated. Validators may need to review only the first 30 or 60
cases in a random sample if the findings show that the error rate is conclusively below five
percent (zero errors) or above five percent.
B. Methodology
Step 1
Software generates samples
After extract files are loaded into the DV software, the software automatically selects
samples and displays the sampled data on a screen.
Step 2
Print sample worksheets
From the sample validation screen, the validator can print worksheets for each record
which contain all data to be validated. These worksheets facilitate the validation process
and provide an audit trail.
UI DV HANDBOOK, BENEFITS
2.1
SEPTEMBER 2019
DATA ELEMENT VALIDATION
Step 3
MODULE 2
Data Element Validation
To validate the sample, the validator goes to the Sample Validation screen and validates
each field in each record using the instructions on Module 3 for that particular field. A
record passes validation if all its fields pass. A random sample passes validation if the
sample results indicate that no more than five percent of the records from which the
sample was drawn contain errors.
On the Sample Validation screen, records are displayed in rows. Columns headers display
the step in Module 3 that the validator has to follow to validate each field. Fields have a
drop-down menu next to them with the values “PASS” and “FAIL”, so that the validator
can indicate whether the value in that field passes validation. In some instances, there will
not be a value for a particular data element. This can happen whenever a data element is
either optional or not applicable. The validator should select “PASS” when there is no
value in a field because a data element is either not applicable or optional. At the bottom
of the sample screen a row displays the total number of errors and the sample’s score.
Refer to the ETA Operations Guide 411 for other functionality available from the Sample
Validation screen.
To validate a field, the state validator compares it to the source documentation to verify
that it agrees with state practices and Federal definitions. Module 3 provides statespecific instructions on how to validate each data element using information from the
state’s database or paper files. This validation verifies that the state’s reporting programs
are functioning correctly, and benefits data are being classified correctly.
Although the validation instructions in Module 3 are state-specific, all states use the same
Federal reporting guidelines to validate data. This ensures uniform and consistent
validation and reporting practices across all states. The instructions include sections for
recording comments and definitional problems that enable states to track Federal report
and data validation issues. This is important for documenting issues that may affect
validation in the future, and for explaining inconsistencies.
Each random sample is scored separately and their results need to be submitted to the
National Office as part of determining whether a population passes or fails. Supplemental
samples, however, are only used as diagnostic tools and the results are not submitted.
Nevertheless, if errors are found in the supplemental samples, validators need to
investigate these and correct their systems accordingly.
Step 4
DEV Reports
The software generates DEV reports that summarize the type and number of errors found
for each sample. It also displays the error rate and the scores for random samples. This
report is not submitted to the National Office. States are advised to print this report for
their records.
UI DV HANDBOOK, BENEFITS
2.2
SEPTEMBER 2019
DATA ELEMENT VALIDATION
Step 5
MODULE 2
Send validation results to National Office
After all random sample validations in a population are completed, the validator can
submit results along with RV results to the National Office through the Population Scores
screen in the software (refer to the ETA Operations Guide 411 for details). If a population
fails RV or DEV, the population must be revalidated within a year. When a population
passes validation, results are considered valid for three years, except for Populations 4
and 12, which contain GPRA elements and need to be validated every year. States that
make changes to their reporting system need to conduct data validation of the affected
populations as soon as possible after changes are implemented.
Step 6
Correcting Validation Errors
If validation identifies reporting errors, the state should correct the errors as soon as
possible. To document the steps required to correct errors and the timetable for
completion, the state must address the problem to its ETA Regional Office in accordance
with the annual State Quality Service Plan (SQSP). This will be in either the SQSP
narrative or as part of a DV Corrective Action Plan (CAP). The narrative or CAP should
contain the following information on every validated report element that failed validation:
Report item(s) in error.
Magnitude of error found.
Status/Plan/Schedule for correcting. Note: If reporting errors were corrected in
the course of the first validation, the report should simply note “corrected during
validation.” (Validation of the affected transactions should occur immediately
after these corrections have been made.)
Timing of CAP or Narrative. The plan for correcting the errors should be submitted
within the established deadlines of the SQSP.
Revalidation. Populations that failed any validation item must be revalidated the
following year. A revalidation should confirm the success of the corrective action or if
the state has not completed corrective action, identify the current extent of the error.
Errors Discovered Outside the Validation Process. During the validation process, errors
in reporting may be identified that are outside the scope of the validation program. Such
errors should be included in the comments section of the state’s Data Validation
Summary/Analytical Report and included in the CAP or narrative if warranted. A CAP is
also required for any state that fails to conduct data validation.
UI DV HANDBOOK, BENEFITS
2.3
SEPTEMBER 2019
DATA ELEMENT VALIDATION
MODULE 2
C. Overview of Module 2
Table 2.1 and Figure 2.1 show an overview of Module 2 methodology.
Table 2.1
Overview of Module 2
Step
Step Description
1
The validator uses the column headers on the sample screen to locate steps in Module 3. Fields for data
that are not relevant to a particular transaction will be blank, and the validator should click ‘PASS’.
In Figure 2.1, for the first sampled transaction the value of the fifth data element is UI-0. The column
header directs the validator to go to Step 4 in Module 3.
2
The validator turns to the corresponding step in Module 3. Steps can have different sub steps and each
sub step can have one or more rules listed. In addition, each step includes the “Federal Definition” from
the ETA 401; a “Definitional Issues” section that is used to document instances where state regulations
or practices conflict with the Federal definitions; and a “State Comments” section where validator can
write comments that may be helpful for future validations.
In Figure 2.1, the validator looks up Step 4 and then selects the sub step that corresponds to the field
value. In this case, the value is “UI”, so the corresponding sub step is A.
3
The validator locates each source “Document” listed under each rule. The document is the source used
to compare the data on the sample screen with the data residing in the state database or state files.
When all of the data elements have been included on the sample screen it will not be necessary to pull
any additional documents. In other instances, it will be necessary for the validator to refer to screens
and/or case files.
4
The validator determines if the data element being validated passes the “Validation” using the required
“Documents”.
5
If the validated element fails any of the rules for the step, then the validator clicks the ‘FAIL’ check box
on the worksheet for that element.
6
If the data element passes all of the rules, then the validator clicks the ‘PASS’ check box on the
worksheet for that step.
7
The validator proceeds through each of the steps for each sampled transaction in the same manner.
After each of the steps has been validated for every sampled transaction required, the software
calculates the error rate and score for the sample.
UI DV HANDBOOK, BENEFITS
2.4
SEPTEMBER 2019
DATA ELEMENT VALIDATION
MODULE 2
Figure 2.1
Overview of Module 2
Example of Module 3 step
Section of Sample Screen
State
Module 3
__________________________________
Step 4: Program Type
Sub Step A: UI
___________________________________
Instructions: __________________________________
Rule 1:
Document 1:
Validation:
1
Document 2:
Validation:
_____________________________
Rule 2:
Document 1:
Validation:
_________________________________
Federal Definition:
2
Validator locates
validation Instructions in
Module 3
- Looks up first step
number on worksheet
(Step 4A)
State Definitional Problems:
State Comments:
__________________________________
UI Ben Validation Handbook
Determine if data element
passes all validation rules
using:
3
1) Worksheet
2) Step in Module 3
3) Screens/Documents
12
August 12, 2009
Obtain
necessary screens/
documents
4
Yes
5
No
Does
data element
pass
all rules?
6
PASS
FAIL
Click the box to
select PASS
Click the box to
select FAIL
7
Software
calculates
sample’s error
rate and score
UI DV HANDBOOK, BENEFITS
2.5
SEPTEMBER 2019
MODULE 3
Benefits
DATA ELEMENT VALIDATION
STATE SPECIFIC INSTRUCTIONS
DEV STATE SPECIFIC INSTRUCTIONS
MODULE 3
A. Purpose
Module 3 provides the actual state-specific set of instructions that the validator uses in data
element validation. It lists the state system screens or documents that contain the data to be
validated as well as the rules to validate them. State definitions or procedures which impact
validation are also documented to help state and Federal staffs interpret the validation results
and improve procedures.
Module 3 is not included in this handbook. It is maintained in a database that contains data
for every state. Since these instructions are state-specific, each state is responsible for
reviewing and updating its Module 3 regularly. Every year between April 10 and June 10
states need to certify that they have reviewed their Module 3 and that it’s up to date.
B. Methodology
Table 3.1 outlines each step and substep in the Module 3 that validators need to follow for
validating samples. Table 3.2 indicates the combination of validation steps required to
validate each population. The column headers on the sample screens in the DV software
display the steps that are used to validate each data element, i.e., the values for the relevant
field of each sampled record.
The validator begins the validation by looking at the first record (first row) on the Sample
Validation screen for the given population and then locates the first step number (e.g., Step 1)
listed in the first column header of the screen. The validator then turns to this step number in
Module 3. If there are substeps, and the substep is not specified in the column heading, the
first page for the step number in Module 3 will direct the validator to the appropriate substep
(e.g., 4A – UI program type, 4B – UCFE program type, 4C – UCX Program type). After
following all of the rules listed for this step, the validator should proceed to the second column
on the worksheet and locate the next step to be validated in Module 3. The validator continues
validating each step listed on the worksheet for each element in the record and then continues
to the next sampled record. This process is repeated until all necessary records are validated.
The inclusion of state-specific information in this module is not to be deemed a
finding that such information is in compliance with Federal reporting data
definitions.
UI DV HANDBOOK, BENEFITS
3.1
SEPTEMBER 2019
DEV STATE SPECIFIC INSTRUCTIONS
MODULE 3
Table 3.1
Data Element Validation Steps and Substeps
Step
Substep A
Substep B
Substep C
Substep D
Substep E
Substep F
Substep G
Substep H
Appeals - Lower
Appeals Higher
Overpayments
Overpayment
Reconciliation
Activities
Joint
UI/Federal
SelfEmployment
Program
Extended
Benefits
Interstate Taken
as Agent State
Interstate Filed
from Agent State
Intrastate CWC
Interstate CWC
Sufficient
Wages to
Qualify for
Benefits
Insufficient Wages
to Qualify for
Benefits
Partial/Part-Total
Payment
Total Payment
Adjusted
Payments
CWC Amount
Compensated
SelfEmployment
Amount
Compensated
1
Matching Sampled
Transaction to
Benefits History
Screen(s)
Week Claimed
Claims
Payments
2
Type of UI Program
Regular
Unemployment
Insurance
Workshare
Extended
Benefits
New Claim
Additional
Claims/
Reopened
Claims
Transitional
Claims
Entering SelfEmployment
Program
UI
UCFE or
UCFE/UCX
UCX
Intrastate
Interstate
Received as
Liable State
Monetary
Determination
Within Quarter
No Monetary
Determination
Potential Weeks
of Duration
Maximum
Potential Weeks
of Duration
3/
Type of Claim
3a
4
Program Type
5
Intrastate or
Interstate Claim
6
Claim Status
7
Maximum Weekly
Benefit
8
Potential Weeks of
Duration
9
Actual Weeks of
Duration
10
Types of
Compensation
Less than
Actual Weeks of Maximum Actual
Maximum Actual
Duration
Weeks
Weeks
Continued
First Payment
(Weeks)
Final Payment
Payment
Nonmonetary
Determinations
and
Redeterminations
Disaster
Unemployment
Assistance (DUA)
Substep I
Substep J
Prior Weeks
Compensated
11 Weeks Claimed
Amount
12 Compensated
UI Amount
Compensated
UCFE Amount
Compensated
UCX Amount
Compensated
Week Ending Date of
Week Paid
Payment Mail or
14
Deposit Date
13
UI DV HANDBOOK, BENEFITS
3.2
SEPTEMBER 2019
DEV STATE SPECIFIC INSTRUCTIONS
Step
Substep A
MODULE 3
Substep B
Substep C
Substep D
Substep E
Substep F
Substep G
Substep H
Substep I
Substep J
15*
Payments Time Lapse NOT APPLICABLE. THIS STEP IS NOT MANUALLY VALIDATED.
*
Nonmonetary
Nonmonetary Nonmonetary
16 Determination/
Determination Redetermination
Redetermination
Type of
17
Single Claimant
Multiclaimant
Determination
Labor Dispute
18 Determination Issues
First Week Affected
by a Determination
20 Issue Detection Date
21 Notice Date
Nonmonetary
22*
Determination Time
*
Lapse
Voluntary
Quit
Misconduct
Other
Separation
Issues
Able and Available
To Work
Deductible
Income
Suitable Work
Refusal
Reporting
Requirements
Profiling
Other
Nonseparation
Issues
(Substep K)
Other
Multiclaimant
Issues
19
23
Outcome of
Determination
24 Appeal Level
25 Type of Appeal
26 Appellant
27 Outcome of Decision
First Week
Affected to
NOT APPLICABLE. THIS STEP IS NOT MANUALLY VALIDATED.
Detection Date
Determination
Determination to
or
Allow or
Redetermination
Affirmed
to Deny
Lower Authority Higher Authority
Appeal
Appeal
Single Claimant
Multiclaimant
Other than
Claimant
Employer
Claimant or
Employer
In Favor of
Not in Favor of
Appellant
Appellant
Detection Date
to Notice Date
28 Appeal Decision Date
29*
Appeal Time Lapse
*
30 Appeal Disposition
31 Appeal Issues
Appeal Time
Lapse
Disposed of
by Decision
Voluntary
Quit
32 Appeal Filed Date
Type of
33
Overpayments
Fraud
Overpayment
Cause of
34
Overpayments
Multi-Claimant
Schemes
UI DV HANDBOOK, BENEFITS
Appeal Case
Age
Calculation
NOT APPLICABLE. THIS STEP IS NOT MANUALLY VALIDATED.
Not Disposed of
Misconduct
Suitable Work
Refusals
Nonfraud
Penalty
Reversal (JAVA)
State Agency
Error
Able and Available
To Work
Employer Error
Other Issues
Claimant Error
3.3
Labor Dispute
Other Cause
Penalty
Single Claimant
Agency
Employee
Benefits Fraud
SEPTEMBER 2019
DEV STATE SPECIFIC INSTRUCTIONS
Step
35
Overpayment
Detection Activities
Substep A
MODULE 3
Substep B
Wage/Benefit
Crossmatch
IB Crossmatch
UI
Federal
Recovered
Cash
Recovered
Offset
UI
Federal
Substep C
Substep D
Substep E
Substep F
Substep G
Substep H
Noncontrollable
Overpayment
Detection
Activities
National
Directory of
New Hires
Written-Off
Additions
State Directory
of New Hires
Multi-Claimant
Scheme Systems
Special Project
Other
Controllable
Overpayment
Detection
Activities
State
Income Tax
Offset
By Other States
Other
Waived
Substep I
Substep J
36 Established Date
37
38
39
40
41
42
43
Amount of
Overpayment
Overpayment
Reconciliation
Activities
Overpayment
Reconciliation
Activity Date
Amount of
Overpayments
Reconciliation
Activity
Outstanding
Overpayment
Balance of
Overpayment
Overpayment Aging
Calculation and
**
Intervals
44 Active Collection
Subtractions
Extended
Benefits
NOT APPLICABLE. THIS STEP IS NO LONGER VALIDATED.
UI
Federal
Extended
Benefits
NOT APPLICABLE. THIS STEP IS NOT MANUALLY VALIDATED
Yes or Blank
No Not in Active
Collection
Dropped
UI
Federal
Extended
Benefits
Accumulated
45 Overpayment
Amount
Overpayment
46 Established by
Investigation
** Step numbers 15, 22, 29, 41, and 43 are no longer used but have been retained in Module 3 as placeholders. All steps but step 41 correspond to time lapse
calculations that are now automatically validated by the software. Step 41 is no longer validated.
UI DV HANDBOOK, BENEFITS
3.4
SEPTEMBER 2019
DEV STATE SPECIFIC INSTRUCTIONS
MODULE 3
Table 3.2
Relevant Data Element Validation Steps
By Population
Population
1
2
3/3a
4
5
6
7
8
9
10
11
12
13
14
15
-
Weeks Claimed
Final Payments
Claims
Payments
Nonmonetary Determinations/ Redeterminations
Appeals Filed, Lower Authority
Appeals Filed, Higher Authority
Appeals Decisions, Lower Authority
Appeals Decisions, Higher Authority
Appeals Pending, Lower Authority
Appeals Pending, Higher Authority
Overpayments Established by Cause
Overpayment Reconciliation
Overpayment Case Aging
Overpayments Established by Method
Relevant Module 3 Data Element
Validation Steps††
1, 2, 4, 5, 11
1, 2, 4, 7, 9, 10
1, 2, 3, 4, 5, 6, 7, 8
1, 2, 4, 5, 10, 12, 13, 14
1, 2, 4, 5, 16, 17, 18, 19, 20, 21, 23
1, 24, 25, 32
1, 24, 25, 32
1, 2, 4, 5, 24, 25, 26, 27, 28, 30, 31, 32
1, 2, 4, 5, 24, 25, 26, 27, 28, 30, 32
1, 24, 30, 32
1, 24, 30, 32
1, 4, 33, 34, 36, 37, 45
1, 4, 33, 38, 39, 40
1, 4, 33, 36, 42, 44
1, 33, 35, 36, 37, 46
†† The appropriate substeps for each population are specified on the population tables in Appendix A.
UI DV HANDBOOK, BENEFITS
3.5
SEPTEMBER 2019
MODULE 4
Benefits
QUALITY SAMPLE VALIDATION
QUALITY SAMPLE VALIDATION
MODULE 4
A. Purpose
This module provides instructions for validating Benefits Timeliness and Quality (BTQ)
nonmonetary determinations samples--which comprise separate samples for separations and
non-separations--and lower authority appeals samples. These samples can be validated for any
quarter that falls within the validation year. They must be validated every three years, unless
the size of the universe from which the sample is drawn is not within 2% of the ETA 9052
or the ETA 9054L benchmark counts. In such case, the validation must be repeated the
following year.
A properly selected sample is: (a) of the correct size, (b) randomly selected, and (c) drawn
from the correct universe. The validator must check the size and randomness of the sample
as soon as the sample is drawn because the quality review can only proceed for a randomly
drawn sample of the correct size. If the sample is not of the correct size or is not random, a
new sample must be selected, as many times as needed, until the draw is random and of the
right size. The universe should be checked as soon as the report counts are available.
State staff needs to validate separations and non-separations samples separately for
nonmonetary determinations, and the lower authority sample. Nonmonetary determinations
counts are validated in Population 5 and lower authority appeals counts in Population 8, so it
is desirable to validate these two populations before using the ETA 9052 and ETA 9054L
counts as benchmark when validating the universes of the samples.
B. Sample Size
Sample sizes are set based on the volume of nonmonetary determinations and lower authority
appeals decisions reported in the preceding calendar year.
Sample sizes for nonmonetary determinations are based on total counts reported on the ETA
9052 report, and are of size 100 (50 separations and 50 non-separations) for states that reported
100,000 or more nonmonetary determinations and 60 (30 separations and 30 non-separations)
for states that reported less than 100,000. However, the sample size for nonmonetary
determinations may be increased in any given quarter to make up for cases discarded in the
previous quarter. For example, if the assigned sample size is 100, and in the previous quarter
2 non-separation cases could not be reviewed because the case material was not found, the
sample size for the quarter must be equal to 102: 50 separations and 52 non-separations.
Sample sizes for lower authority appeals decisions are based on total counts reported on the
ETA 9054L report, and are of size 40 for states that reported 40,000 or more appeals and 20
for states that reported less than 40,000.
If a sample is determined to have an incorrect sample size, it must be drawn again with the
correct size before the quality review can proceed.
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SEPTEMBER 2019
QUALITY SAMPLE VALIDATION
MODULE 4
C. Sample Selection
Different methods can be used to select the quality samples. For example, states can use
balanced systematic selection (as described in Handbook 301, Appendix A, pp. A-4 to A-6),
systematic random sampling, or use a utility that randomizes the file.
In systematic random sampling, a starting point is selected at random from the sampling
universe, and thereafter observations are selected at regular intervals. The size of the
population is divided by the desired size of the sample and rounded to the nearest integer to
get the sample interval i, which is then used to select every ith observation from a file
containing all records in the universe. For example, if a sample of 30 cases is wanted from a
universe of 300 records, then the sample interval is 300 ÷ 30 = 10, and every 10th observation
is selected. To determine the starting point--i.e., the first case to be selected--the validator
multiplies a random number between 0 and 1 (supplied by the National Office or generated
by a random number generator utility) by the sample interval, and rounds it to the closest
integer. In the previous example, if the random number is 0.2354, then 0.2354 x 10 = 2.354
≈ 2, so the observations selected are 2, 12, 22, etc.
To validate that the sample selection was random when systematic random sampling is used,
the validator needs to check that the sample interval and the starting point were calculated
correctly, and that the observations were selected accordingly.
When a sampling utility is used, usually the sample frame is randomized and the first x
observations are selected, where x is the desired size of the sample (in the previous example,
the first 30 observations). This method is somewhat more difficult to validate because it could
involve reviewing the sample against the source file, or reviewing the utility specifications.
If the sample selection procedure is random, the sample can proceed to the quality review.
Otherwise, the sampling procedure must be fixed and the sample redrawn until it is randomly
selected.
D. Sample Universe
The number of observations in the sample universe for nonmonetary determinations must be
equal to the sum of all total counts in the ETA 9052 for the reporting quarter being validated.
Before these numbers are compared, Populations 5 should pass report validation to make sure
that the reported counts are accurate. If the number of observations in the universe is within
2% of the reported counts, then the sample universe passes validation, and results are valid
for three years. Otherwise, the state needs to revalidate the sample the following year.
The number of observations in the sample universe for lower authority appeals must be equal
to the sum of all total counts in the ETA 9054L for the reporting quarter being validated.
Before these numbers are compared, Populations 8 should pass report validation to make sure
that the reported counts are accurate. If the number of observations in the universe is within
2% of the reported counts, then universe passes validation, and results are valid for three
years. Otherwise, the state needs to revalidate the sample the following year.
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4.2
SEPTEMBER 2019
QUALITY SAMPLE VALIDATION
MODULE 4
If ETA 9052 or ETA 9054L reported counts are not available when the quality samples are
drawn, comparing the sampling universe with the reported counts can be performed later to
ensure that the validation process does not delay the quality review process.
E. Sample Validation
To validate the quality samples, the validator must complete the following steps:
Step 1
Select reporting period
Step 2
Validate the sample size
Step 3
Obtain a copy of the quality sample for the reporting period you want to validate
and for the previous quarter. Verify that all transactions in the universe are for the
indicated reporting period and that the reporting period to be validated falls within
April 1st of the previous year and March 31st of the current year.
Check that the sample size is in accordance with the number of transactions
reported in the previous year. For nonmonetary determinations the sample size
should be 100 (50 separations and 50 non-separations, plus the make-up cases, if
any) for states that reported 100,000 or more nonmonetary determinations and 60
(30 separations and 30 non-separations, plus make-up cases) for states that
reported less than 100,000 nonmonetary determinations. For lower authority
appeals, the sample size should be 40 for states that reported 40,000 or more
appeals and 20 for less than 40,000.
If the sample size is not correct, the sample fails validation. Do not proceed any
further. The sample needs to be redrawn and validated again until it is of the correct
size.
Validate that the sample selection was random
Determine which method was used to select the sample.
If balanced systematic selection was used, verify that all steps were followed as described
in Handbook 301, Appendix A, pp. A-4 to A-6. (this instruction applies to both
nonmonetary determinations and lower authority appeals). Handbook 301 also references
the PICKNUMB sampling routine and refers the reader to Appendix A of Handbook 401.
The current (2007) version of Handbook 401 no longer contains Appendix A. Readers
needing guidance with the PICKNUMB program should contact the National Office or
obtain versions of Handbook 401 dated 2000 or earlier.
If systematic random sampling was used, then:
Obtain a copy of the sample universe.
Check that the sample interval used to select the sample is equal to the number of
cases in the universe divided by the sample size.
UI DV HANDBOOK, BENEFITS
4.3
SEPTEMBER 2019
QUALITY SAMPLE VALIDATION
MODULE 4
universe size
interval Round
sample size
Remember that for nonmonetary determinations, the sample size must include
additional cases for any cases that were discarded in the previous quarter.
Check that the starting point (first case selected) is equal to the random start
number supplied by the National Office multiplied by the sample interval, rounded
to the nearest integer.
starting point Rou nd random number sample interval
Check that the proper subsequent cases were selected. For example, if the random
start was 10 and the interval was every 40th case, check that 50, 90, 130, and so on
were selected.
If a sampling utility was used, then:
If the sample was drawn from a randomized file, determine how the file was
randomized and print out the file to check that it was not ordered by date, local
office number, or other nonrandom means. Compare this order with the way the
file was ordered prior to randomization to ensure that the file was randomly
reordered.
Check that the first n cases were selected where n equals the sample size.
If it is determined that the sample was not randomly selected, the sample fails the
validation. Do not proceed any further. The sample needs to be redrawn and validated
again until it is randomly selected.
Step 4
Validate the sample universe
This step should be performed when the ETA 9052 or the ETA 9054L counts are
available.
For nonmonetary determinations, check that the total number of determinations in
the sample universe is equal to or within ± 2% of the sum of all the total counts
reported on the ETA 9052 for the quarter being validated. This should be validated
after Population 5 passes report validation.
For lower authority appeals, check that the total number of appeals in the sample
universe is equal to or within ± 2% of the sum of all the total counts reported on
the ETA 9054L for the quarter being validated. This should be validated after
Population 8 passes report validation.
Whereas the 9054 counts include both monetary and nonmonetary appeals, the
9057 sample universe may include only nonmonetary appeals. Further, this
universe should not include appeals decided but for which no hearing materials
were available to review--decisions representing withdrawals, dismissals, and noshows. If the universe was built by excluding monetary and non-reviewable
appeals, then it should be smaller than the count reported on the ETA 9054L
reports. To compare this universe with the 9054L count, add in the number of
excluded appeals as in the example below. If the sum of the two groups is within
2% of the count reported on the ETA 9054L report for the quarter, then the
universe passes validation. Alternatively, the sample cases may be drawn from a
UI DV HANDBOOK, BENEFITS
4.4
SEPTEMBER 2019
QUALITY SAMPLE VALIDATION
MODULE 4
universe that includes all appeals, in which a flag distinguishes the reviewable
nonmonetary appeals from others.. In such a case compare the size of the universe
file directly with the 9054L count.
Example 4.1 shows an example of adjustments made to enable a proper
comparison of the two universes.
Example 4.1
Lower Authority Appeals Quality Sample
Benefits Population 8
Step
1
2
Validation Item
Reporting period (Year:Quarter)
Sample size
Universe:
(a) Number of records in universe
(b) ETA 9054L Counts
(c) Difference: |(a) - (b)|
(d) % Difference: [(c) ÷ (b)] x 100
Random sampling method
Appeals
2009:1
20
Pass/Fail
PASS
PASS
2,298*
2,268
30
3
1.32%
PASS
4
Interval
PASS
Score:
PASS
Problems/Comments: The sample was drawn from the Appeals database. The
totals are consistent with the reports that are run from the data warehouse.
*Universe File
Withdrawn Cases
Dismissed Cases
Monetary Cases
Program type U8
Universe Total
1,663
124
477
2
32
2,298
If the universe fails the validation, the sample has to be validated again by the next validation
year. Otherwise, it must be validated again in three years.
UI DV HANDBOOK, BENEFITS
4.5
SEPTEMBER 2019
QUALITY SAMPLE VALIDATION
MODULE 4
F. Results
The software does not include a screen for forwarding the results of the quality reviews to the
National Office. These should be documented in a Microsoft Word® file using the format
below and sent via email to the National Office to [email protected]. The template can
be downloaded from the DV Web site at http://www.ows.doleta.gov/dv/. You can document
any validation problems in the Problems/Comments field.
Template 4.1
Nonmonetary Determinations Quality Sample
Benefits Population 5
STATE:
VY:
Nonmonetary Determinations Quality Sample (Benefits Population 5)
Step
1
2
3
4
Validation Item
Reporting period (Year: Quarter)
Sample size
Universe:
(a) Number of records in universe
(b) ETA 9052 Counts
(c) Difference: |(a) - (b)|
(d) % Difference: [(c) ÷ (b)] x 100
Random sampling method
Pass/
Fail
Separations
NonSeparations
Score:
Pass/
Fail
Score:
Problems/Comments:
Template 4.1
Nonmonetary Determinations Quality Sample
Benefits Population 5
STATE:
VY:
Lower Authority Appeals Quality Sample (Benefits Population 8)
Step
1
2
3
4
Validation Item
Reporting period (Year:Quarter)
Sample size
Universe:
(a) Number of records in universe
(b) ETA 9054L Counts
(c) Difference: |(a) - (b)|
(d) % Difference: [(c) ÷ (b)] x 100
Random sampling method
Appeals
Pass/
Fail
Score:
Problems/Comments:
UI DV HANDBOOK, BENEFITS
4.6
SEPTEMBER 2019
QUALITY SAMPLE VALIDATION
MODULE 4
Example 4.2
Nonmonetary Determinations Quality Sample
Benefits Population 5
STATE:
Validation Year:
ST
2009
Nonmonetary Determinations Quality Sample (Benefits Population 5)
Step
1
2
3
4
Validation Item
Reporting period (Year:Quarter)
Sample size
Universe:
(a) Number of records in universe
(b) ETA 9052 Counts
(c) Difference: |(a) - (b)|
(d) % Difference: [(c) ÷ (b)] x 100
Random sampling method
Separations
2009:2
50
5,629
5,520
109
1.97%
Utility
Score:
Pass/
Fail
PASS
PASS
NonSeparations
2009:2
50
Pass/
Fail
PASS
PASS
PASS
PASS
PASS
1,236
1,235
1
0.08%
Utility
Score:
PASS
PASS
PASS
Problems/Comments:
Where:
Step
1
2
3
4
Score
Passing Criteria
Is the reporting period within the validation year? Are all transactions included in the universe
within the indicated reporting period?
Is the sample size proportional to the volume of transactions of the previous year? In the case of
non-monetaries, does it include make-up cases to compensate for cases that couldn't be
reviewed in the previous quarter?
Is the difference 2% or less?
Was the sample randomly selected?
If all steps passed, then the score is "PASS"; otherwise, "FAIL".
UI DV HANDBOOK, BENEFITS
4.7
SEPTEMBER 2019
APPENDIX A
Benefits
SUBPOPULATION SPECIFICATIONS
TABLE OF CONTENTS
A. Purpose ................................................................................................................................................... A.1
B. SUBPOPULATION SPECIFICATIONS BY POPULATION ......................................................... A.1
Population 1 ............................................................................................................................................ A.3
Population 2 ............................................................................................................................................ A.5
Populations 3 and3a ................................................................................................................................ A.8
Population 4 .......................................................................................................................................... A.22
Population 5
............................................................................................................ A.32
Populations 6 and 7 ............................................................................................................................... A.44
Population 8 .......................................................................................................................................... A.47
Population 9 .......................................................................................................................................... A.57
Populations 10 and 11 ........................................................................................................................... A.63
Population 12 ........................................................................................................................................ A.67
Population 13 ........................................................................................................................................ A.74
Population 14 ........................................................................................................................................ A.82
Population 15 ....................................................................................................................................... A.87
SUBPOPULATION SPECIFICATIONS
APPENDIX A
A. Purpose
This appendix includes specifications for each subpopulation by population. The software
uses these specifications to parse records in the extract files into subpopulations that are then
used to reconstruct counts for specific report cells. This appendix also maps each
subpopulation to the corresponding Federal report line item(s) and vice versa.
The specifications in this appendix should be used in conjunction with the record layouts (in
ETA Operations Guide 411) and the state’s Module 3 when constructing the DV extract files.
They indicate the data values that are valid for each type of transaction or subpopulation. Any
transaction included in a population extract file must fit the description of one subpopulation
in the population; otherwise, it will be rejected by the software as an invalid transaction.
B. Subpopulation Specifications by Population
The following pages contain the subpopulation specifications tables, mapping tables of
report cells to subpopulations, and notes for each of the 16 benefits populations.
In the specification tables, for each subpopulation, the corresponding report cells are
indicated, and the possible values for all fields in a transaction. The fields can have a
specific text value or a format requirement. The following describes the different kinds of
field formats.
1.
Text. These fields must contain text values, such as “UI”, “Intrastate”, “VL”, etc.
The allowable text values for each field are listed in the record layout. The text
values must be followed by a dash and the corresponding state-specific value, for
example, “UI-503”, where 503 is a state code used for UI claims.
2.
Required. These fields cannot be blank. For example, they may be mandatory
dates or dollar values.
3.
Optional (these fields are shaded in gray). The software does not check these
fields. Any values can be entered in these fields or they can be left blank.
4.
Must be blank. These are text or date fields that must be left blank. The software
will reject any records with values in any field that must be left blank (such as
monetary date for a claim with no monetary determination or a UCFE amount for
a UI only payment).
5.
Must be blank or 0. These are numeric fields that should have the value “0” or
be left blank. The software will reject any records where these fields have a value
other than “0” or blank.
The column headers on the specifications tables, indicate the field and the related step and
rule in Module 3. When constructing the extract file, Federal definitions for some fields can
be found in Module 3 using these references, as well as valid state codes. For most steps, 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
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Table A.1.1
Population 1 Subpopulations
Weeks Claimed - Week was claimed during reporting/validation period
2
(Step 1A)
(Rule 2)
Sub
pop
#
Report, Line,
and Column
Claim
WeekEnding Date
1.1
1.2
1.3
5159A-201-10
5159A-202-10
5159A-203-10
Required
Required
Required
1.4
5159A-201-12
Required
1.5
5159A-202-12
Required
1.6
5159A-203-12
Required
1.7
5159A-201-11
Required
1.8
5159A-202-11
Required
1.9
5159A-203-11
Required
3
(Step 1A)
(Rule 1)
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*
8
(Step 11)
(Rule 2)
9
(Step 11)
(Rule 3)
10
(Step 11)
(Rule 3)
Monetarily
Eligible
or Pending
Earnings
WBA
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Required
Optional
Optional
Optional
*These values are abbreviated in the record layout data format specifications (see Appendix A of ETA Operations Guide 411) but are shown here in their
entirety for informational purposes.
UI DV HANDBOOK, BENEFITS
A.3
SEPTEMBER 2019
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
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Table A.2.1
Population 2 Subpopulations
Final Payments
2
(Step 1C)
(Rule 1)
Subpop
#
2.1
2.2
2.3
2.4
Report, Line,
and Column
5159B-303-26
218B-104 (14,
19)
5159B-303-26
218B-102 (8-13)
5159B-303-27
5159B-303-28
SSN
3
(Step 1C)
(Rule 2)
4
(Step 2)
5
(Step 4)
6
(Step 9A)
(Step 9B)
(Rule 1)
7
(Step 7)
(Rules 1 &
2)
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
8
(Step 9A)
Actual
Weeks
of
Duration
9
(Step 9B)
(Step 9C)
10
(Step 10C)
(Rule 3)
11
(Step 10C)
(Rule 2)
Maximum
Weeks of
Duration
Mail Date
of Final
Payment
Balance
Required
Required
Regular UI
UI
>0
>0
> 25
Y
Required
Must be 0
Required
Required
Regular UI
UI
>0
>0
Requireda
N
Required
Must be 0
Required
Required
Required
Required
Regular UI
Regular UI
UCFE
UCX
>0
>0
>0
>0
Required
Required
Must be 0
Must be 0
aThere
are states where the actual weeks of duration may be more than 25 weeks and less than the state’s maximum weeks of duration due to state unemployment
regulations.
UI DV HANDBOOK, BENEFITS
A.5
SEPTEMBER 2019
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
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Table A.3.1
Population 3 Subpopulations
Claims – Claimant Eligibility
Claim Filed Date or Original Monetary Determination Date
For Claim Falls within Reporting/Validation Period
2
(Step
1B)
Sub
pop
#
Report, Line,
and Column
SSN
3
(Step 3A)
(Rules 1 &
6)
(Step 3C)
(Rule 1)
Date Claim
Filed/IB-4
Sent
4
(Step 2A
(Rule 1))
Type of UI
Program
5
(Step 3)
Type of
Claim
6
(Step 4)
Program
Type
7
(Step 5)
Intrastate/
Interstate
8
(Step 6A)
(Step 6B)
9
(Step 6C)
(Step 6D)
Date of
Original
Sufficient/
Insufficient/
Combined
Wages
Monetarya
10
(Step 7)
11
(Step 8A)
(Step 8B)
12
(Step 8A)
13
(Step 8B)
Potential
Weeks
Maximum
Duration
WBA
MBA
Potential
Weeks of
Duration b
NEW UI CLAIMS (3.1 through 3.14)
1) Random sample: 60 or 200; 2) Supplemental sample--missing strata
3.1
5159A-101-2
218A-100-2
Required
Within
Quarter
Regular UI
New
UI
Intrastate
Within
Quarter
Insufficient
Must be
blank
Must be
blank or 0
Must be blank
or 0
Must be blank
3.2
5159A-101-2
218A-100 (3-6)
218B-103 (14, 19)
Required
Within
Quarter
Regular UI
New
UI
Intrastate
Within
Quarter
Sufficient
New BY
Maximum
>0
>0
Y
3.3
5159A-101-2
218A-100 (3-5)
218B-101 (8-13)
Required
Within
Quarter
Regular UI
New
UI
Intrastate
Within
Quarter
Sufficient
New BY
Maximum
>0
>0
N
3.4
5159A-101-2
218A-100 (3-4)
218B-103 (14, 19)
Required
Within
Quarter
Regular UI
New
UI
Intrastate
Within
Quarter
Sufficient
New BY
Less than
Maximum
>0
>0
Y
3.5
5159A-101-2
218A-100 (3-4)
218B-101 (8-13)
Required
Within
Quarter
Regular UI
New
UI
Intrastate
Within
Quarter
Sufficient
New BY
Less than
Maximum
>0
>0
N
3.6
5159A-101-2
218A-100-3
Required
Within
Quarter
Regular UI
New
UI
Intrastate
Within
Quarter
Sufficient
No BYc
Must be blank
or 0
Must be blank
3.7
5159A-101-2
Required
Within
Quarter
Regular UI
New
UI
Intrastate
Must be
blank
Must be blank
Must be
blank
Must be
blank or 0
Must be blank
or 0
Must be blank
3.8
5159A-101-7
218A-100-2
Required
Within
Quarter
Regular UI
New
UI
Interstate
Received as
Liable State*
Within
Quarter
Insufficient
Must be
blank
Must be
blank or 0
Must be blank
or 0
Must be blank
UI DV HANDBOOK, BENEFITS
A.8
Must be
blank
Must be
blank or 0
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
2
(Step
1B)
Sub
pop
#
Report, Line,
and Column
SSN
3
(Step 3A)
(Rules 1 &
6)
(Step 3C)
(Rule 1)
APPENDIX A
4
(Step 2A
(Rule 1))
5
(Step 3)
6
(Step 4)
7
(Step 5)
8
(Step 6A)
(Step 6B)
9
(Step 6C)
(Step 6D)
Date of
Original
Date Claim
Filed/IB-4
Sent
Type of UI
Program
Type of
Claim
Program
Type
Intrastate/
Interstate
Monetarya
Sufficient/
Insufficient/
Combined
Wages
10
(Step 7)
11
(Step 8A)
(Step 8B)
12
(Step 8A)
13
(Step 8B)
Potential
Weeks
Maximum
Duration
WBA
MBA
Potential
Weeks of
Duration b
3.9
5159A-101-7
218A-100 (3-6)
218B-103 (14, 19)
Required
Within
Quarter
Regular UI
New
UI
Interstate
Received as
Liable State*
Within
Quarter
Sufficient
New BY
Maximum
>0
>0
Y
3.10
5159A-101-7
218A-100 (3-5)
218B-101 (8-13)
Required
Within
Quarter
Regular UI
New
UI
Interstate
Received as
Liable State*
Within
Quarter
Sufficient
New BY
Maximum
>0
>0
N
3.11
5159A-101-7
218A-100 (3-4)
218B-103 (14, 19)
Required
Within
Quarter
Regular UI
New
UI
Interstate
Received as
Liable State*
Within
Quarter
Sufficient
New BY
Less than
Maximum
>0
>0
Y
3.12
5159A-101-7
218A-100 (3-4)
218B-101 (8-13)
Required
Within
Quarter
Regular UI
New
UI
Interstate
Received as
Liable State*
Within
Quarter
Sufficient
New BY
Less than
Maximum
>0
>0
N
3.13
5159A-101-7
218A-100-3
Required
Within
Quarter
Regular UI
New
UI
Interstate
Received as
Liable State*
Within
Quarter
Sufficient
No BYc
Must be blank
or 0
Must be blank
3.14
5159A-101-7
Required
Within
Quarter
Regular UI
New
UI
Interstate
Received as
Liable State*
Must be
blank
Must be blank
Must be blank
or 0
Must be blank
Must be
blank
Must be
blank
Must be
blank or 0
Must be
blank or 0
NEW UCFE/UCX CLAIMS (3.15 through 3.18)
1) Minimum sample: First two cases from each subpopulation
3.15
5159A-102-2
Required
Within
Quarter
Regular UI
New
UCFE
Intrastate
3.16
5159A-103-2
Required
Within
Quarter
Regular UI
New
UCX
Intrastate
3.17
5159A-102-7
Required
Within
Quarter
Regular UI
New
UCFE
Interstate
Received as
Liable State*
3.18
5159A-103-7
Required
Within
Quarter
Regular UI
New
UCX
Interstate
Received as
Liable State*
UI DV HANDBOOK, BENEFITS
A.9
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
2
(Step
1B)
Sub
pop
#
Report, Line,
and Column
SSN
3
(Step 3A)
(Rules 1 &
6)
(Step 3C)
(Rule 1)
Date Claim
Filed/IB-4
Sent
APPENDIX A
4
(Step 2A
(Rule 1))
5
(Step 3)
Type of UI
Program
Type of
Claim
6
(Step 4)
Program
Type
7
(Step 5)
Intrastate/
Interstate
8
(Step 6A)
(Step 6B)
9
(Step 6C)
(Step 6D)
Date of
Original
Sufficient/
Insufficient/
Combined
Wages
Monetarya
10
(Step 7)
11
(Step 8A)
(Step 8B)
12
(Step 8A)
13
(Step 8B)
Potential
Weeks
Maximum
Duration
Must be blank
WBA
MBA
Potential
Weeks of
Duration b
Must be
blank
Must be
blank or 0
Must be blank
or 0
INTERSTATE FILED FROM AGENT STATE CLAIMS (3.19 through 3.21)
1) Minimum sample: First two cases from each subpopulation
3.19
5159A-101-4
Required
Within
Quarter
Regular UI
New
Transitional
Additional
Reopened
UI
Interstate
Filed from
Agent State*
3.20
5159A-102-4
Required
Within
Quarter
Regular UI
New
Transitional
Additional
Reopened
UCFE
Interstate
Filed from
Agent State*
Required
Within
Quarter
Regular UI
New
Transitional
Additional
Reopened
UCX
Interstate
Filed from
Agent State*
3.21
5159A-103-4
INTERSTATE CLAIMS TAKEN AS AGENT STATE (3.22 through 3.24)
1) Minimum sample: First two cases from each subpopulation
Regular UI
New
Transitional
Additional
Reopened
UI
Interstate
Taken as
Agent State*
3.22
5159A-101 (4, 5)
Required
Within
Quarter
3.23
5159A-102 (4, 5)
Required
Within
Quarter
Regular UI
New
Transitional
Additional
Reopened
UCFE
Interstate
Taken as
Agent State*
3.24
5159A-103 (4, 5)
Required
Within
Quarter
Regular UI
New
Transitional
Additional
Reopened
UCX
Interstate
Taken as
Agent State*
INTRASTATE AND INTERSTATE TRANSITIONAL CLAIMS (3.25 through 3.33)
1) Random sample: 30 or 100
3.25
5159A-101-6
218A-100-2
UI DV HANDBOOK, BENEFITS
Required
Within
Quarter
Regular UI
Transitional
Within
Quarter
UI
A.10
Insufficient
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
2
(Step
1B)
Sub
pop
#
Report, Line,
and Column
SSN
3
(Step 3A)
(Rules 1 &
6)
(Step 3C)
(Rule 1)
APPENDIX A
4
(Step 2A
(Rule 1))
5
(Step 3)
6
(Step 4)
Date Claim
Filed/IB-4
Sent
Type of UI
Program
Type of
Claim
Program
Type
7
(Step 5)
Intrastate/
Interstate
8
(Step 6A)
(Step 6B)
9
(Step 6C)
(Step 6D)
Date of
Original
Monetarya
Sufficient/
Insufficient/
Combined
Wages
10
(Step 7)
11
(Step 8A)
(Step 8B)
12
(Step 8A)
13
(Step 8B)
Potential
Weeks
Maximum
Duration
WBA
MBA
Potential
Weeks of
Duration b
3.26
5159A-101-6
218A-100 (3-6)
218B-103 (14, 19)
Required
Within
Quarter
Regular UI
Transitional
UI
Within
Quarter
Sufficient
New BY
Maximum
>0
>0
Y
3.27
5159A-101-6
218A-100 (3-5)
218B-101 (8-13)
Required
Within
Quarter
Regular UI
Transitional
UI
Within
Quarter
Sufficient
New BY
Maximum
>0
>0
N
3.28
5159A-101-6
218A-100 (3-4)
218B-103 (14, 19)
Required
Within
Quarter
Regular UI
Transitional
UI
Within
Quarter
Sufficient
New BY
Less than
Maximum
>0
>0
Y
3.29
5159A-101-6
218A-100 (3-4)
218B-101 (8-13)
Required
Within
Quarter
Regular UI
Transitional
UI
Within
Quarter
Sufficient
New BY
Less than
Maximum
>0
>0
N
3.30
5159A-101-6
218A-100-3
Required
Within
Quarter
Regular UI
Transitional
UI
Within
Quarter
Sufficient
No BYc
Must be
blank
Must be
blank or 0
Must be blank
or 0
Must be blank
3.31
5159A-101-6
Required
Within
Quarter
Regular UI
Transitional
UI
Must be
blank
Must be blank
Must be
blank
Must be
blank or 0
Must be blank
or 0
Must be blank
3.32
5159A-102-6
Required
Within
Quarter
Regular UI
Transitional
UCFE
3.33
5159A-103-6
Required
Within
Quarter
Regular UI
Transitional
UCX
Must be
blank
Must be
blank or 0
Must be blank
or 0
Must be blank
Must be
blank
Must be
blank or 0
Must be blank
or 0
Must be blank
CWC CLAIMS (3.34 through 3.39)
1) Random sample: 30 or 100; 2) Supplemental sample--missing strata
3.34
586A-101-1
Required
Within
Quarter
Regular UI
CWC New
CWC Intrastate
Must be
blank
Insufficient
(Wages Not
Combined)*
3.35
586A-101 (1-2)
Required
Within
Quarter
Regular UI
CWC New
CWC Intrastate
Within
Quarter
Sufficient
New CWC BY
3.36
586A-102-1
Required
Within
Quarter
Regular UI
CWC New
CWC Interstate
Must be
blank
Insufficient
(Wages Not
Combined)*
UI DV HANDBOOK, BENEFITS
A.11
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
2
(Step
1B)
Sub
pop
#
Report, Line,
and Column
3.37
586A-102 (1-2)
3.38
3.39
3
(Step 3A)
(Rules 1 &
6)
(Step 3C)
(Rule 1)
APPENDIX A
4
(Step 2A
(Rule 1))
5
(Step 3)
7
(Step 5)
8
(Step 6A)
(Step 6B)
9
(Step 6C)
(Step 6D)
Date of
Original
Intrastate/
Interstate
Monetarya
Sufficient/
Insufficient/
Combined
Wages
CWC New
CWC Interstate
Within
Quarter
Sufficient
New CWC BY
Regular UI
New CWC
BY for CWC
Claim Filed in
Prior Quarter*
CWC Intrastate
Within
Quarter
Sufficient
New CWC BY
Regular UI
New CWC
BY for CWC
Claim Filed in
Prior Quarter*
CWC Interstate
Within
Quarter
Sufficient
New CWC BY
Date Claim
Filed/IB-4
Sent
Type of UI
Program
Type of
Claim
Required
Within
Quarter
Regular UI
586A-101-2
Required
A Prior
Quarter
586A-102-2
Required
A Prior
Quarter
SSN
6
(Step 4)
Program
Type
10
(Step 7)
11
(Step 8A)
(Step 8B)
12
(Step 8A)
13
(Step 8B)
Potential
Weeks
Maximum
Duration
WBA
MBA
Potential
Weeks of
Duration b
Must be
blank
Must be
blank or 0
Must be blank
or 0
Must be blank
NEW CLAIMS FILED IN THE PRIOR QUARTER (3.40 through 3.45)d
1) Random sample: 30 or 100; 2) Supplemental sample--missing strata
3.40
218A-100-2
Required
A Prior
Quarter
Regular UI
New Claim
Filed in
Prior Quarter*
UI
Within
Quarter
Insufficient
3.41
218A-100 (3-6)
218B-103 (14, 19)
Required
A Prior
Quarter
Regular UI
New Claim
Filed in
Prior Quarter*
UI
Within
Quarter
Sufficient
New BY
Maximum
>0
>0
Y
3.42
218A-100 (3-5)
218B-101 (8-13)
Required
A Prior
Quarter
Regular UI
New Claim
Filed in
Prior Quarter*
UI
Within
Quarter
Sufficient
New BY
Maximum
>0
>0
N
3.43
218A-100 (3-4)
218B-103 (14, 19)
Required
A Prior
Quarter
Regular UI
New Claim
Filed in
Prior Quarter*
UI
Within
Quarter
Sufficient
New BY
Less than
Maximum
>0
>0
Y
3.44
218A-100 (3-4)
218B-101 (8-13)
Required
A Prior
Quarter
Regular UI
New Claim
Filed in
Prior Quarter*
UI
Within
Quarter
Sufficient
New BY
Less than
Maximum
>0
>0
N
3.45
218A-100-3
Required
A Prior
Quarter
Regular UI
New Claim
Filed in
Prior Quarter*
UI
Within
Quarter
Sufficient
No BYc
Must be
blank
Must be
blank or 0
Must be blank
or 0
Must be blank
ENTERING SELF-EMPLOYMENT PROGRAM (3.46)
1) Minimum sample: First two cases
UI DV HANDBOOK, BENEFITS
A.12
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
2
(Step
1B)
Sub
pop
#
Report, Line,
and Column
3.46
5159A-201-13
SSN
Required
3
(Step 3A)
(Rules 1 &
6)
(Step 3C)
(Rule 1)
APPENDIX A
4
(Step 2A
(Rule 1))
5
(Step 3)
Date Claim
Filed/IB-4
Sent
Type of UI
Program
Type of
Claim
Within
Quarter
Regular UI
Entering
SelfEmployment
6
(Step 4)
Program
Type
7
(Step 5)
Intrastate/
Interstate
8
(Step 6A)
(Step 6B)
9
(Step 6C)
(Step 6D)
Date of
Original
Sufficient/
Insufficient/
Combined
Wages
Monetarya
10
(Step 7)
WBA
11
(Step 8A)
(Step 8B)
MBA
12
(Step 8A)
13
(Step 8B)
Potential
Weeks of
Duration b
Potential
Weeks
Maximum
Duration
*These values are abbreviated in the record layout data format specifications (see Appendix A of ETA Operations Guide 411) but are shown here in their entirety for informational
purposes.
aFor subpopulations 3.34 through 3.39, “original monetary” refers to the first monetary determination/redetermination using wages from more than one state.
bObservations reported in all populations which require the number of weeks of potential duration will be sorted by the number of weeks and subtotaled by the range of weeks.
cThis situation will only occur when the State does not automatically establish a new benefit year for claimants who are monetarily eligible for benefits.
dThese are new or transitional claims filed in a prior quarter. States should use the same Federal generic value of “Prior Qtr New Claim” for either type in the Population 3 extract
file.
UI DV HANDBOOK, BENEFITS
A.13
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Table A.3.2
Population 3A Subpopulations
Claims – Claimant Eligibility
Claim Filed Date or Original Monetary Determination Date
For Claim Falls within Reporting/Validation Period
2
(Step 1B)
3
(Step 3B)
(Rule 1)
4
(Step 2A)
5
(Step 3B)
(Rule 2)
6
(Step 4)
7
(Step 5)
8
(Step 3B)
(Rule 3)
9
(Step 3B)
(Rule 4)
Unclaimed
Week
Separation
Date
10
(Step 3B)
(Rule 5)
11
(Step 3B)
(Rule 6)
Subpop
#
Report, Line,
and Column
SSN
Date
Claim Filed
Type of UI
Program
Type of
Claim
3a.1
5159A-101-3
Required
Required
Regular UI
Additional
UI
Intrastate
Required
Required
Required
3a.2
5159A-102-3
Required
Required
Regular UI
Additional
UCFE
Intrastate
Required
Required
Required
3a.3
5159A-103-3
Required
Required
Regular UI
Additional
UCX
Intrastate
Required
Required
Required
3a.4
5159A-101-7
Required
Required
Regular UI
Additional
UI
Interstate
Received as
Liable State*
Required
Required
Required
3a.5
5159A-102-7
Required
Required
Regular UI
Additional
UCFE
Interstate
Received as
Liable State*
Required
Required
Required
3a.6
5159A-103-7
Required
Required
Regular UI
Additional
UCX
Interstate
Received as
Liable State*
Required
Required
Required
Program
Intrastate/
Type
Interstate
ADDITIONAL CLAIMS (3a.1 through 3a.6)
1) Random sample: 60 or 200
Last
Employer
Separation
Reason
*These values are abbreviated in the record layout data format specifications (see Appendix A of ETA Operations Guide 411) but are shown here in their entirety for informational
purposes.
UI DV HANDBOOK, BENEFITS
A.14
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Table A.3.3
Relationship between ETA 5159A and 586A Reports and Claims Subpopulations in Population 3
Initial Claims
ETA 5159A
Program
Line
No.
New Intrastate
Excluding
Transitional
(2)
Additional
Intrastate
(3)
Interstate
Filed from
Agent State
(4)
Interstate
Taken as
Agent State
(5)
Transitional
(6)
Interstate
Received as
Liable State
(7)
State UI
101
1-7
3a.1
19 and 22
22
25-31
8-14 and 3a.4
UCFE, No UI
102
15
3a.2
20 and 23
23
32
17 and 3a.5
UCX Only
103
16
3a.3
21 and 24
24
33
18 and 3a.6
State UI
201
46
State UI
Line
No.
New Claims
(1)
Persons
Establishing
Benefit Years
(2)
Intrastate
101
34 and 35
35 and 38
Interstate
Recvd.
as Paying State
102
36 and 37
37 and 39
ETA 586A
UI DV HANDBOOK, BENEFITS
Entering
Self-employment,
All Programs
(13)
A.15
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Table A.3.4
Relationship between ETA 218 Reports and New UI Claims Subpopulations in Population 3
SECTION A. MONETARY DETERMINATIONS
NUMBER OF CLAIMANTS ESTABLISHING
BENEFIT YEARS
DETERMINATIONS
LINE NO.
100
Insufficient
Wage Credits
(2)
Sufficient
Wage Credits
(3)
Total
(4)
Maximum Weekly
Benefit
(5)
Maximum Benefit
& Duration
(6)
1, 8, 25, 40
2-6
9-13
26-30
41-45
2-5
9-12
26-29
41-44
2-3
9-10
26-27
41-42
2, 9, 26, 41
SECTION B. POTENTIAL DURATION FOR DETERMINATIONS ESTABLISHING BENEFIT YEARS
LESS THAN MAXIMUM WEEKS OF DURATION
LINE
NO.
ITEM
Less than 26 Weeks
(8-13)
101
Potential
3, 5, 10, 12, 27, 29, 42, 44
MAXIMUM WEEKS OF DURATION
26-27 Weeks
(14)
103
Potential
UI DV HANDBOOK, BENEFITS
2, 4, 9, 11, 26, 28, 41, 43
Number at Maximum Duration
(19)
Average Weeks Durationa
(20)
2, 4, 9, 11, 26, 28, 41, 43
Average Calculation from Total
Column
for Subpopulations 2-5, 9-12, 26-29,
and 41-44
A.16
SEPTEMBER 2019
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.
Column (7) Lines 101 ― 103 (Interstate Additional Claims):
When both Populations 3 and 3a are loaded, the software transfers the count of any
interstate additional claims from Population 3a to Population 3. Thus the validation
counts for Lines 101 ― 103 (7) in Population 3, may be higher after Population 3a is
loaded.
The count of UI interstate additional claims on the RV Summary will be the sum of 3.8
― 3.14 plus 3a.4.
The count of UCFE interstate additional claims on the RV Summary will be the sum of
3.17 and 3a.5.
The count of UCX interstate additional claims on the RV Summary will be the sum of
3.18 and 3a.6.
4.
Summary of Subpopulations
3.1:
claims).
These records represent insufficient monetary determinations (ineligible
3.2 ― 3.5:
These records represent sufficient monetary determinations (eligible claims)
with a new benefit year established. These records include monetary
information in columns 8― 13 (Date of the Original Monetary,
Sufficient/Insufficient, WBA, MBA, Potential Weeks of Duration and
Potential Weeks of Maximum Duration).
3.6:
These records represent sufficient monetary determinations with no new
benefit year established. This applies to states where a new benefit year is not
established at the same time that the claim is filed.
3.7:
These records represent new claims filed where no monetary determination
was issued.
3.8 ― 3.14:
These records represent interstate received as liable claims and are assigned to
subpopulations using the same logic as subpopulations 3.1 ― 3.7.
UI DV HANDBOOK, BENEFITS
A.19
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
3.15 ― 3.18: These records represent new UCFE/UCX claims. The monetary information
columns 8 ― 13 (Date of the Original Monetary, Sufficient/Insufficient, WBA,
MBA, Potential Weeks of Duration, and Potential Weeks of Maximum
Duration) are not required because these claims are not reported on the ETA
218. You may leave data in these fields in the extract file. The software will
ignore them.
3.19 ― 3.21: These records represent interstate filed from agent state claims. This
information comes from the LADT claimant records. Instructions for building
the records to be added to the extract file from the LADT detail records can be
found in Appendix C, Technical Guidance.
3.22 ― 3.24: These records represent interstate taken as agent state claims. These are claims
against other states that are filed in your state agency.
3.25 ― 3.33: These records represent transitional claims (UI/UCFE/UCX). Transitional UI
claims are reported on the ETA 5159 and the ETA 218.
3.34 ― 3.37: These records represent new CWC claims. Procedures for validating CWC
claims and payments are found in Appendix C.
A new CWC claim occurs when the first IB4 request to transfer wages is sent
to another state for a claim.
If the first IB4 for a claim is sent during a quarter and a monetary determination
or redetermination is issued using wages from more than one state during that
quarter, it constitutes a new CWC claim and a new CWC benefit year.
These records are assigned to subpopulations 3.35 (for intrastate) and 3.37 (for
interstate).
If the first IB4 for a claim is sent during a quarter but no monetary
determination or redetermination using wages from more than one state is
issued during that quarter, then this constitutes an insufficient CWC claim (no
new benefit year is established), and these transactions are assigned to
subpopulations 3.34 (for intrastate) and 3.36 (for interstate).
There are several reasons why a monetary determination using wages from
more than one state may not be issued in the quarter in which the initial IB-4
was sent for a claim:
1) Wages were not found in the other state
2) Wages were found in the other state but not used
3) Wages were found but used in a subsequent quarter
UI DV HANDBOOK, BENEFITS
A.20
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
3.38 ― 3.39: These transactions represent new CWC benefit years where the new CWC
claim was filed in a prior quarter. This occurs when the first monetary
determination or redetermination using wages from more than one state was
issued during the quarter but the initial IB4 was sent during a previous quarter.
3.40 ― 3.45: These transactions represent new UI claims filed in a quarter prior to the
quarter being validated when the initial monetary determination or
redetermination was issued during the quarter being validated.
3.46:
These transactions represent claims filed under the entering self-employment
program.
3a.1 ― 3a.6: These transactions represent intrastate and interstate additional claims
(UI/UCFE/UCX).
5.
Commuter Claim
If a claimant commuted from the claimant’s residence in another state to a job in your (the
liable) state and that person filed directly with your (the liable) state, the claim is reported as
an intrastate claim.
UI DV HANDBOOK, BENEFITS
A.21
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Table A.4.1
Population 4 Subpopulations
Payments/Weeks Compensated
Payment Mail Date Falls within Reporting/Validation Period
2
(Step 1C)
(Rule 1)
Sub
pop
#
Report, Line,
and Column
SSN
3
4
(Step (Step 2A)
1C)
(Rule 2)
5
(Step 4)
Check
Number Type of
Unique
UI
Program
ID
Program
Type
6
(Step 5)
Intrastate/
Interstate
7
(Step 10A)
(Step 10B)
(Step 10F)
(Step 10G)
Type of
Compensation
8
(Step 10D)
(Step 10E)
9
10
(Step
(Step
10D)
10D)
(Rule 2) (Rule 3)
(Step
(Step
10E)
10E)
(Rule 2) (Rule 3)
Partial/
Total
Weeks of
Unemployment
Earnings
WBA
11
(Step
12A)
12
(Step
12B)
13
(Step
12C)
14
(Step
12D)
15
(Step
12E)
16
17
(Step 13) (Step 14)
SelfEmploy- Week
UI
UCFE
UCX
CWC
ment
Ending
Amount Amount Amount Amount Amount Date
Mail
Date
FIRST PAYMENTS (4.1 through 4.16)
1) Random sample: 60 or 200; 2) Supplemental sample--missing strata; 3) Supplemental sample--outliers
4.1
5159B-301 (14-15)
5159B-302 (14-15)
9050-All-C2
Required Required Regular UI
UI Only
Intrastate
First Payment
Total
≥0
>0
>0
Must be Must be Must be
blank or blank or blank or
0
0
0
Must be
blank or Required Required
0
4.2
5159B-301 (14-16)
5159B-302 (14-16)
9050-All-C6
Required Required Regular UI
UI Only
Interstate
First Payment
Total
≥0
>0
>0
Must be Must be Must be
blank or blank or blank or
0
0
0
Must be
blank or Required Required
0
Intrastate
First Payment
Total
≥0
>0
>0
> 0 if
> 0 if
Must be
Col. 13 = Col. 12 = blank or
0a
0a
0
Must be
blank or Required Required
0
Interstate
First Payment
Total
≥0
>0
>0
> 0 if
> 0 if
Must be
Col. 13 = Col. 12 = blank or
0a
0a
0
Must be
blank or Required Required
0
>0
Must be
blank or
0
>0
0 for
UCFE
only, >
0 for
UCFE/
UCX
Must be
blank or
0
Must be
blank or Required Required
0
>0
Must be
blank or
0
>0
0 for
UCFE
Must be
only, > 0
blank or
for
0
UCFE/
UCX
Must be
blank or Required Required
0
4.3
4.4
5159B-301 (14, 15, 17)
Joint
5159B-302 (14, 15, 17) Required Required Regular UI
UI/Federal
9050-All-C2
5159B-301 (14-17)
5159B-302 (14-17)
9050-All-C6
4.5
5159B-301 (17-18)
5159B-302 (17-18)
9050-All-C3
4.6
5159B-301 (17-18)
5159B-302 (17-18)
9050-All-C7
UI DV HANDBOOK, BENEFITS
Required Required Regular UI
Joint
UI/Federal
Required Required Regular UI
UCFE
Only or
UCFE/
UCX
Required Required Regular UI
UCFE
Only or
UCFE/
UCX
Intrastate
Interstate
First Payment
First Payment
A.22
Total
Total
≥0
≥0
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
2
(Step 1C)
(Rule 1)
Sub
pop
#
Report, Line,
and Column
SSN
3
4
(Step (Step 2A)
1C)
(Rule 2)
APPENDIX A
5
(Step 4)
6
(Step 5)
7
(Step 10A)
(Step 10B)
(Step 10F)
(Step 10G)
Check
Number Type of
Unique
UI
Program
ID
Program
Type
Intrastate/
Interstate
Type of
Compensation
8
(Step 10D)
(Step 10E)
9
10
(Step
(Step
10D)
10D)
(Rule 2) (Rule 3)
(Step
(Step
10E)
10E)
(Rule 2) (Rule 3)
Partial/
Total
Weeks of
Unemployment
Earnings
WBA
11
(Step
12A)
12
(Step
12B)
13
(Step
12C)
14
(Step
12D)
15
(Step
12E)
16
17
(Step 13) (Step 14)
SelfEmploy- Week
UI
UCFE
UCX
CWC
ment
Ending
Amount Amount Amount Amount Amount Date
Mail
Date
4.7
5159B-301 (17, 19)
5159B-302 (17, 19)
9050-All-C4
Required Required Regular UI UCX Only
Intrastate
First Payment
Total
≥0
>0
Must be Must be
blank or blank or
0
0
>0
Must be
blank or
0
Must be
blank or Required Required
0
4.8
5159B-301 (17, 19)
5159B-302 (17, 19)
9050-All-C8
Required Required Regular UI UCX Only
Interstate
First Payment
Total
≥0
>0
Must be Must be
blank or blank or
0
0
>0
Must be
blank or
0
Must be
blank or Required Required
0
4.9
5159B-301-14
5159B-302-14
9050-All-C2
9050-Part-C2
Required Required Regular UI
UI Only
Intrastate
First Payment
Partial
≥0
>0
>0
Must be Must be Must be
blank or blank or blank or
0
0
0
Must be
blank or Required Required
0
4.10
5159B-301 (14, 16)
5159B-302 (14, 16)
9050-Part-C6
Required Required Regular UI
UI Only
Interstate
First Payment
Partial
≥0
>0
>0
Must be Must be Must be
blank or blank or blank or
0
0
0
Must be
blank or Required Required
0
4.11
5159B-301 (14, 17)
5159B-302 (14, 17)
9050-All-C2
9050-Part-C2
Required Required Regular UI
Joint
UI/Federal
Intrastate
First Payment
Partial
≥0
>0
>0
> 0 if
> 0 if
Must be
Col. 13 = Col. 12 = blank or
0a
0a
0
5159B-301 (14, 16, 17)
Joint
5159B-302 (14, 16, 17) Required Required Regular UI
UI/Federal
9050-Part-C6
Interstate
First Payment
Partial
≥0
>0
>0
> 0 if
> 0 if
Must be
Col. 13 = Col. 12 = blank or
0a
0a
0
Must be
blank or Required Required
0
>0
Must be
blank or
0
>0
0 for
UCFE
Must be
only, > 0
blank or
for
0
UCFE/
UCX
Must be
blank or Required Required
0
>0
0 for
UCFE
Must be
only, > 0
blank or
for
0
UCFE/
UCX
Must be
blank or Required Required
0
4.12
4.13
4.14
5159B-301 (17-18)
5159B-302 (17-18)
9050-Part-C3
5159B-301 (17-18)
5159B-302 (17-18)
9050-Part-C7
UI DV HANDBOOK, BENEFITS
Required Required Regular UI
UCFE
Only or
UCFE/
UCX
Required Required Regular UI
UCFE
Only or
UCFE/
UCX
Intrastate
Interstate
First Payment
First Payment
A.23
Partial
Partial
≥0
≥0
>0
Must be
blank or
0
Must be
blank or
Required Required
0
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
2
(Step 1C)
(Rule 1)
Sub
pop
#
Report, Line,
and Column
SSN
3
4
(Step (Step 2A)
1C)
(Rule 2)
APPENDIX A
5
(Step 4)
6
(Step 5)
7
(Step 10A)
(Step 10B)
(Step 10F)
(Step 10G)
Check
Number Type of
Unique
UI
Program
ID
Program
Type
Intrastate/
Interstate
Type of
Compensation
8
(Step 10D)
(Step 10E)
9
10
(Step
(Step
10D)
10D)
(Rule 2) (Rule 3)
(Step
(Step
10E)
10E)
(Rule 2) (Rule 3)
Partial/
Total
Weeks of
Unemployment
Earnings
WBA
11
(Step
12A)
12
(Step
12B)
13
(Step
12C)
14
(Step
12D)
15
(Step
12E)
16
17
(Step 13) (Step 14)
SelfEmploy- Week
UI
UCFE
UCX
CWC
ment
Ending
Amount Amount Amount Amount Amount Date
4.15
5159B-301 (17, 19)
5159B-302 (17, 19)
9050-Part-C4
Required Required Regular UI UCX Only
Intrastate
First Payment
Partial
≥0
>0
Must
be
blank
or 0
Must
be
blank
or 0
4.16
5159B-301 (17, 19)
5159B-302 (17, 19)
9050-Part-C8
Required Required Regular UI UCX Only
Interstate
First Payment
Partial
≥0
>0
Must be Must be
blank or blank or
0
0
Mail
Date
>0
Must be
blank or
0
Must be
blank or Required Required
0
>0
Must be
blank or
0
Must be
blank or Required Required
0
CONTINUED TOTAL PAYMENTS (4.17 through 4.24)
1) Supplemental sample--outliers
4.17
5159B-301 (14-15)
5159B-302 (14-15)
9051-All-C2
Required Required Regular UI
UI Only
Intrastate
Continued
Payment
Total
≥0
>0
>0
Must be Must be Must be
blank or blank or blank or
0
0
0
Must be
blank or Required Required
0
4.18
5159B-301 (14-16)
5159B-302 (14-16)
9051-All-C6
Required Required Regular UI
UI Only
Interstate
Continued
Payment
Total
≥0
>0
>0
Must be Must be Must be
blank or blank or blank or
0
0
0
Must be
blank or Required Required
0
Intrastate
Continued
Payment
Total
≥0
>0
>0
> 0 if
> 0 if
Must be
Col. 13 = Col. 12 = blank or
0a
0a
0
Must be
blank or Required Required
0
Interstate
Continued
Payment
Total
≥0
>0
>0
> 0 if
> 0 if
Must be
Col. 13 = Col. 12 = blank or
0a
0a
0
Must be
blank or Required Required
0
>0
Must be
blank or
0
>0
0 for
UCFE
Must be
only, > 0
blank or
for
0
UCFE/
UCX
Must be
blank or Required Required
0
>0
Must be
blank or
0
>0
0 for
UCFE Must be
only, > 0 blank or
for UCFE
0
/UCX
Must be
blank or Required Required
0
4.19
5159B-301 (14, 15, 17)
Joint
5159B-302 (14, 15, 17) Required Required Regular UI
UI/Federal
9051-All-C2
4.20
5159B-301 (14-17)
5159B-302 (14-17)
9051-All-C6
4.21
5159B-301 (17-18)
5159B-302 (17-18)
9051-All-C3
4.22
5159B-301 (17-18)
5159B-302 (17-18)
9051-All-C7
UI DV HANDBOOK, BENEFITS
Required Required Regular UI
Joint
UI/Federal
Required Required Regular UI
UCFE
Only or
UCFE/
UCX
Required Required Regular UI
UCFE
Only or
UCFE/
UCX
Intrastate
Interstate
Continued
Payment
Total
Continued
Payment
Total
A.24
≥0
≥0
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
2
(Step 1C)
(Rule 1)
Sub
pop
#
Report, Line,
and Column
SSN
3
4
(Step (Step 2A)
1C)
(Rule 2)
APPENDIX A
5
(Step 4)
6
(Step 5)
Check
Number Type of
Unique
UI
Program
ID
Program
Type
Intrastate/
Interstate
7
(Step 10A)
(Step 10B)
(Step 10F)
(Step 10G)
Type of
Compensation
8
(Step 10D)
(Step 10E)
9
10
(Step
(Step
10D)
10D)
(Rule 2) (Rule 3)
(Step
(Step
10E)
10E)
(Rule 2) (Rule 3)
Partial/
Total
Weeks of
Unemployment
Earnings
WBA
11
(Step
12A)
12
(Step
12B)
13
(Step
12C)
14
(Step
12D)
15
(Step
12E)
16
17
(Step 13) (Step 14)
SelfEmploy- Week
UI
UCFE
UCX
CWC
ment
Ending
Amount Amount Amount Amount Amount Date
Mail
Date
4.23
5159B-301 (17, 19)
5159B-302 (17, 19)
9051-All-C4
Required Required Regular UI UCX Only
Intrastate
Continued
Payment
Total
≥0
>0
Must be Must be
blank or blank or
0
0
>0
Must be
blank or
0
Must be
blank or Required Required
0
4.24
5159B-301 (17, 19)
5159B-302 (17, 19)
9051-All-C8
Required Required Regular UI UCX Only
Interstate
Continued
Payment
Total
≥0
>0
Must be Must be
blank or blank or
0
0
>0
Must be
blank or
0
Must be
blank or Required Required
0
CONTINUED PARTIAL PAYMENTS (4.25 through 4.32)
1) Random sample: 30 or 100
4.25
5159B-301-14
5159B-302-14
9051-Part-C2
Required Required Regular UI
UI Only
Intrastate
Continued
Payment
Partial
≥0
>0
>0
Must be Must be Must be
blank or blank or blank or
0
0
0
Must be
blank or Required Required
0
4.26
5159B-301 (14, 16)
5159B-302 (14, 16)
9051-Part-C6
Required Required Regular UI
UI Only
Interstate
Continued
Payment
Partial
≥0
>0
>0
Must be Must be Must be
blank or blank or blank or
0
0
0
Must be
blank or Required Required
0
4.27
5159B-301 (14, 17)
5159B-302 (14, 17)
9051-Part-C2
Required Required Regular UI
Joint
UI/Federal
Intrastate
Continued
Payment
Partial
≥0
>0
>0
> 0 if
> 0 if
Must be
Col. 13 = Col. 12 = blank or
0a
0a
0
Must be
blank or Required Required
0
5159B-301 (14, 16, 17)
Joint
5159B-302 (14, 16, 17) Required Required Regular UI
UI/Federal
9051-Part-C6
Interstate
Continued
Payment
Partial
≥0
>0
>0
> 0 if
> 0 if
Must be
Col. 13 = Col. 12 = blank or
0a
0a
0
Must be
blank or Required Required
0
>0
Must be
blank or
0
>0
0 for
UCFE
only, >
0 for
UCFE/
UCX
Must be
blank or
0
Must be
blank or Required Required
0
>0
Must be
blank or
0
>0
0 for
UCFE
Must be
only, > 0
blank or
for
0
UCFE/
UCX
Must be
blank or Required Required
0
4.28
4.29
5159B-301 (17-18)
5159B-302 (17-18)
9051-Part-C3
4.30
5159B-301 (17-18)
5159B-302 (17-18)
9051-Part-C7
UI DV HANDBOOK, BENEFITS
Required Required Regular UI
UCFE
Only or
UCFE/
UCX
Required Required Regular UI
UCFE
Only or
UCFE/
UCX
Intrastate
Interstate
Continued
Payment
Partial
Continued
Payment
Partial
A.25
≥0
≥0
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
2
(Step 1C)
(Rule 1)
Sub
pop
#
Report, Line,
and Column
SSN
3
4
(Step (Step 2A)
1C)
(Rule 2)
APPENDIX A
5
(Step 4)
6
(Step 5)
Check
Number Type of
Unique
UI
Program
ID
Program
Type
Intrastate/
Interstate
7
(Step 10A)
(Step 10B)
(Step 10F)
(Step 10G)
Type of
Compensation
8
(Step 10D)
(Step 10E)
9
10
(Step
(Step
10D)
10D)
(Rule 2) (Rule 3)
(Step
(Step
10E)
10E)
(Rule 2) (Rule 3)
Partial/
Total
Weeks of
Unemployment
Earnings
WBA
11
(Step
12A)
12
(Step
12B)
13
(Step
12C)
14
(Step
12D)
15
(Step
12E)
16
17
(Step 13) (Step 14)
SelfEmploy- Week
UI
UCFE
UCX
CWC
ment
Ending
Amount Amount Amount Amount Amount Date
Mail
Date
4.31
5159B-301 (17, 19)
5159B-302 (17, 19)
9051-Part-C4
Required Required Regular UI UCX Only
Intrastate
Continued
Payment
Partial
≥0
>0
Must be Must be
blank or blank or
0
0
>0
Must be
blank or
0
Must be
blank or Required Required
0
4.32
5159B-301 (17, 19)
5159B-302 (17, 19)
9051-Part-C8
Required Required Regular UI UCX Only
Interstate
Continued
Payment
Partial
≥0
>0
Must be Must be
blank or blank or
0
0
>0
Must be
blank or
0
Must be
blank or Required Required
0
ADJUSTED PAYMENTS (4.33 through 4.42)
1) Supplemental sample--outliers by dollars
4.33
5159B-302 (14-15)
Required Required Regular UI
UI Only
Intrastate
Adjustment
Total
≥0
>0
>0
Must be Must be Must be
blank or blank or blank or
0
0
0
Must be
blank or
0
Required
4.34
5159B-302 (14-16)
Required Required Regular UI
UI Only
Interstate
Adjustment
Total
≥0
>0
>0
Must be Must be Must be
blank or blank or blank or
0
0
0
Must be
blank or
0
Required
Joint
UI/Federal
Intrastate
Adjustment
Total
≥0
>0
>0
> 0 if
> 0 if
Must be
Col. 13 = Col. 12 = blank or
0a
0a
0
Must be
blank or
0
Required
Required Required Regular UI
Joint
UI/Federal
Interstate
Adjustment
Total
≥0
>0
>0
> 0 if
> 0 if
Must be
Col. 13 = Col. 12 = blank or
0a
0a
0
Must be
blank or
0
Required
UCFE
Only or
UCFE/
UCX
0 for
UCFE
Must be
only, > 0
blank or
for
0
UCFE/
UCX
Must be
blank or
0
Required
Must be
blank or
0
Must be
blank or
0
Required
4.35
4.36
5159B-302 (14, 15, 17) Required Required Regular UI
5159B-302 (14-17)
4.37
5159B-302 (17-18)
Required Required Regular UI
4.38
5159B-302 (17, 19)
Required Required Regular UI UCX Only
UI DV HANDBOOK, BENEFITS
Adjustment
Must be
blank or
0
Adjustment
Must be Must be
blank or blank or
0
0
A.26
>0
>0
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
2
(Step 1C)
(Rule 1)
3
4
(Step (Step 2A)
1C)
(Rule 2)
5
(Step 4)
Check
Number Type of
Unique
UI
Program
ID
Program
Type
Sub
pop
#
Report, Line,
and Column
4.39
5159B-302-14
Required Required Regular UI
4.40
5159B-302 (14, 16)
4.41
5159B-302 (14, 17)
4.42
APPENDIX A
6
(Step 5)
7
(Step 10A)
(Step 10B)
(Step 10F)
(Step 10G)
8
(Step 10D)
(Step 10E)
9
10
(Step
(Step
10D)
10D)
(Rule 2) (Rule 3)
(Step
(Step
10E)
10E)
(Rule 2) (Rule 3)
Partial/
Total
Weeks of
Unemployment
Earnings
11
(Step
12A)
12
(Step
12B)
13
(Step
12C)
14
(Step
12D)
15
(Step
12E)
16
17
(Step 13) (Step 14)
SelfEmploy- Week
UI
UCFE
UCX
CWC
ment
Ending
Amount Amount Amount Amount Amount Date
Intrastate/
Interstate
Type of
Compensation
UI Only
Intrastate
Adjustment
Partial
≥0
>0
>0
Must be Must be Must be
blank or blank or blank or
0
0
0
Must be
blank or
0
Required
Required Required Regular UI
UI Only
Interstate
Adjustment
Partial
≥0
>0
>0
Must be Must be Must be
blank or blank or blank or
0
0
0
Must be
blank or
0
Required
Required Required Regular UI
Joint
UI/Federal
Intrastate
Adjustment
Partial
≥0
>0
>0
> 0 if
> 0 if
Must be
Col. 13 = Col. 12 = blank or
0a
0a
0
Must be
blank or
0
Required
5159B-302 (14, 16, 17) Required Required Regular UI
Joint
UI/Federal
Interstate
Adjustment
Partial
≥0
>0
>0
> 0 if
> 0 if
Must be
Col. 13 = Col. 12 = blank or
0a
0a
0
Must be
blank or
0
Required
>0
Required
SSN
WBA
Mail
Date
SELF-EMPLOYMENT PAYMENTS (4.43)
1) Minimum sample: First two cases
4.43
5159B-301-20
5159B-302-20
Required Required Regular UI
Selfemploy
Intrastate or
Interstate
SelfEmployment
Must be Must be Must be Must be
blank or blank or blank or blank or
0
0
0
0
CWC FIRST PAYMENTS (4.44 through 4.45)
1) Random sample: 30 or 100
4.44
586A-101 (4-5)
Required Required Regular UI
586B Column 8 (Total)
Intrastate
CWC
First Payment
Must be Must be Must be
blank or blank or blank or
0
0
0
>0
Must be
blank or Required Required
0
4.45
586A-102 (4-5)
Required Required Regular UI
586B Column 9 (Total)
Interstate
CWC
First Payment
Must be Must be Must be
blank or blank or blank or
0
0
0
>0
Must be
blank or Required Required
0
UI DV HANDBOOK, BENEFITS
A.27
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
2
(Step 1C)
(Rule 1)
Sub
pop
#
Report, Line,
and Column
SSN
3
4
(Step (Step 2A)
1C)
(Rule 2)
APPENDIX A
5
(Step 4)
Check
Number Type of
Unique
UI
Program
ID
Program
Type
6
(Step 5)
Intrastate/
Interstate
7
(Step 10A)
(Step 10B)
(Step 10F)
(Step 10G)
Type of
Compensation
8
(Step 10D)
(Step 10E)
9
10
(Step
(Step
10D)
10D)
(Rule 2) (Rule 3)
(Step
(Step
10E)
10E)
(Rule 2) (Rule 3)
Partial/
Total
Weeks of
Unemployment
Earnings
WBA
11
(Step
12A)
12
(Step
12B)
13
(Step
12C)
14
(Step
12D)
15
(Step
12E)
16
17
(Step 13) (Step 14)
SelfEmploy- Week
UI
UCFE
UCX
CWC
ment
Ending
Amount Amount Amount Amount Amount Date
Mail
Date
CWC WEEKS COMPENSATED/NOT FIRST PAYMENTS (4.46 through 4.47)
1) Minimum sample: First two cases from each subpopulation
4.46
586A-101 (4–5)
Required Required Regular UI
Intrastate
CWC
Weeks
Compensated
Not First
Payments*
Must be Must be Must be
blank or blank or blank or
0
0
0
>0
Must be
blank or
0
Required
4.47
586A-102 (4-5)
Required Required Regular UI
Interstate
CWC
Weeks
Compensated
Not First
Payments*
Must be Must be Must be
blank or blank or blank or
0
0
0
>0
Must be
blank or
0
Required
CWC ADJUSTED PAYMENTS (4.48 through 4.49)
1) Minimum sample: First two cases from each subpopulation
4.48
586A-101-5
Required Required Regular UI
Intrastate
CWC
Adjustment
Must be Must be Must be
blank or blank or blank or
0
0
0
>0
Must be
blank or
0
Required
4.49
586A-102-5
Required Required Regular UI
Interstate
CWC
Adjustment
Must be Must be Must be
blank or blank or blank or
0
0
0
>0
Must be
blank or
0
Required
CWC PRIOR QUARTER (4.50 through 4.51)
1) Minimum sample: First two cases from each subpopulation
4.50
586A-101 (6-7)
Required Required Regular UI
Intrastate
CWC
Prior Weeks
Compensated
Must be Must be Must be
blank or blank or blank or
0
0
0
>0
Must be
blank or
0
Required
4.51
586A-102 (6-7)
Required Required Regular UI
Interstate
CWC
Prior Weeks
Compensated
Must be Must be Must be
blank or blank or blank or
0
0
0
>0
Must be
blank or
0
Required
*These values are abbreviated in the record layout data format specifications (see Appendix A of ETA Operations Guide 411) but are shown here
in their entirety for informational purposes. They are referred to as “Continued Payment” in the record layout.
a
Either the UCFE or UCX amount (or both) must be entered.
UI DV HANDBOOK, BENEFITS
A.28
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
NOTE: For Joint Claims, Column 11 represents the UI portion of the payment, and Columns 12 and 13 represent the Federal portion of the
payment.
The term supplement includes supplemental payments, partial offset payments, and negative adjustments. Observations reported in all
populations of first and continued payments (Column 3) will be sorted by time lapse days in ascending order and subtotaled by time lapse
categories. Observations reported in all populations of supplemental payments will be sorted by SSN.
UI DV HANDBOOK, BENEFITS
A.29
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Table A.4.2
Relationship between ETA 9050, ETA 9051, and ETA 586B Payments Time Lapse and Subpopulations in Population 4
Intrastate
All First Payments
9050 (All)
Partial First Payments
9050 (Part)
All Continued Payments
9051(All)
Partial Continued Payments
9051(Part)
Interstate
UI
UCFE
UCX
C4
(586BTOTAL)
CWC
(8)
C6
C7
C8
(586BTOTAL)
CWC
(9)
5 and 13
7 and 15
44
2, 4, 10, and 12
6 and 14
8 and 16
45
9 and 11
13
15
10 and 12
14
16
17, 19, 25, and 27
21 and 29
23 and 31
18, 20, 26, and 28
22 and 30
24 and 32
25 and 27
29
31
26 and 28
30
32
UI
UCFE
UCX
C2
C3
1, 3, 9, and 11
Table A.4.3
Relationship between ETA 5159B Weeks Compensated and Subpopulations in Population 4
State UI Programa
5159
Section B
UCFE and UCX Programs
All Weeks
Compensated
(14)
Total
Unemployment
(15)
Interstate
(16)
Total
(17)
UCFE - No UI
(18)
UCX Only
(19)
1- 4
9 - 12
17 - 20
25 - 28
1-4
17 - 20
2, 4, 10, 12
18, 20, 26, 28
5-8
13 - 16
21 - 24
29 - 32
5-6
13 - 14
21 - 22
29 - 30
7-8
15 - 16
23 - 24
31 - 32
Number
301
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
aIf joint claim, then only includes the UI share of the payment. bIncludes all payments from UCFE and the UCX portion of UCFE/UCX funds.
cIncludes all payments from UCX funds.
UI DV HANDBOOK, BENEFITS
A.30
Self-employment
All Programs
(20)
43
43
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Table A.4.4
Relationship between ETA 586A Payment Activity and Subpopulations in Population 4
Weeks
Compensated
Benefits Paid
State UI
Line No.
(4)
(5)
Prior Weeks
Compensated
(6)
Intrastate
101
44, 46
44, 46, 48
50
50
Interstate Received as Paying State
102
45, 47
45, 47, 49
51
51
UI DV HANDBOOK, BENEFITS
A.31
Prior Benefits Paid
(7)
SEPTEMBER 2019
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: The extract file must be built with a quarter’s worth of CWC data
(Subpopulations 4.44 to 4.51) to validate the quarterly CWC ETA 586 report. The other
payments data (subpopulations 4.1 – 4.43), 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
month of the quarter.
Records labeled “CWC Prior Weeks Compensated”
(subpopulations 4.50 and 4.51) will have payment dates prior to the quarter, but the
software will allow those to import.
UI DV HANDBOOK, BENEFITS
A.32
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Table A.5.1
Population 5 Subpopulations
Nonmonetary Determinations and Redeterminations
Notice Date Falls within Reporting /Validation Period
Sub
pop
#
2
(Step 1D)
(Rule 1)
3
(Step 1D)
(Rule 2)
4
(Step 2)
5
(Step 4)
6
(Step 5)
SSN
Issue Number
(Unique ID)
Type of
UI Program
Program
Type
Intrastate/
Interstate
Report, Line,
and Column
7
(Step 16)
8
(Step 17)
Determination/
Type of
Redetermination Determination
9
(Step 18)
Issue
Types
10
(Step
19)
11
(Step 20)
12
(Step 21)
First
Week
Detection
Affected
Date
Notice Date
13
(Step 23)
Allowa
or Deny
SINGLE CLAIMANT NON-MONETARY DETERMINATIONS (5.1 through 5.60)
1) Random sample: 30 or 100; 2) Supplemental sample--missing strata; 3) Supplemental sample--outliers
5.1
207: A 101-2;
B 201-8
9052A-C2;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Intrastate
Determination
Single
VL
Required
Required
Allow
5.2
207: A 101-2;
B 201-9
9052A-C2;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Intrastate
Determination
Single
MC
Required
Required
Allow
5.3
207: A 101-2;
B 201-10
9052A-C2;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Intrastate
Determination
Single
Sep/Other
Required
Required
Allow
5.4
207: A 101-2;
C 301-12
9052B-C98;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Intrastate
Determination
Single
A&A
Required
Required
Allow
5.5
207: A 101-2;
C 301-13
9052B-C98;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Intrastate
Determination
Single
Ded.
Income
Required
Required
Allow
5.6
207: A 101-2;
C 301-14
9052B-C98;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Intrastate
Determination
Single
Suitable
Work
Required
Required
Allow
5.7
207: A 101-2;
C 301-15
9052B-C98;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Intrastate
Determination
Single
Reporting
Required
Required
Allow
UI DV HANDBOOK, BENEFITS
A.33
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
Sub
pop
#
APPENDIX A
2
(Step 1D)
(Rule 1)
3
(Step 1D)
(Rule 2)
4
(Step 2)
5
(Step 4)
6
(Step 5)
SSN
Issue Number
(Unique ID)
Type of
UI Program
Program
Type
Intrastate/
Interstate
Report, Line,
and Column
7
(Step 16)
8
(Step 17)
Determination/
Type of
Redetermination Determination
9
(Step 18)
Issue
Types
10
(Step
19)
11
(Step 20)
12
(Step 21)
First
Week
Detection
Affected
Date
Notice Date
13
(Step 23)
Allowa
or Deny
207: A 101-2;
C 301-16
9052B-C98;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Intrastate
Determination
Single
Profiling
Required
Required
Allow
207: A 101-2;
C 301-17
9052B-C98;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Intrastate
Determination
Single
Other
Nonsep
Required
Required
Allow
5.10
207: A 101-2;
B 201-8
9052A-C6;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Interstate
Determination
Single
VL
Required
Required
Allow
5.11
207: A 101-2;
B 201-9
9052A-C6;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Interstate
Determination
Single
MC
Required
Required
Allow
5.12
207: A 101-2;
B 201-10
9052A-C6;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Interstate
Determination
Single
Sep/Other
Required
Required
Allow
5.13
207: A 101-2;
C 301-12
9052B-C102;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Interstate
Determination
Single
A&A
Required
Required
Allow
5.14
207: A 101-2;
C 301-13
9052B-C102;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Interstate
Determination
Single
Ded.
Income
Required
Required
Allow
5.15
207: A 101-2;
C 301-14
9052B-C102;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Interstate
Determination
Single
Suitable
Work
Required
Required
Allow
5.16
207: A 101-2;
C 301-15
9052B-C102;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Interstate
Determination
Single
Reporting
Required
Required
Allow
5.17
207: A 101-2;
C 301-16
9052B-C102;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Interstate
Determination
Single
Profiling
Required
Required
Allow
5.8
5.9
UI DV HANDBOOK, BENEFITS
A.34
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
Sub
pop
#
APPENDIX A
2
(Step 1D)
(Rule 1)
3
(Step 1D)
(Rule 2)
4
(Step 2)
5
(Step 4)
6
(Step 5)
SSN
Issue Number
(Unique ID)
Type of
UI Program
Program
Type
Intrastate/
Interstate
Report, Line,
and Column
7
(Step 16)
8
(Step 17)
Determination/
Type of
Redetermination Determination
9
(Step 18)
Issue
Types
10
(Step
19)
11
(Step 20)
12
(Step 21)
First
Week
Detection
Affected
Date
Notice Date
13
(Step 23)
Allowa
or Deny
5.18
207: A 101-2;
C 301-17
9052B-C102;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Interstate
Determination
Single
Other
Nonsep
Required
Required
Allow
5.19
207A: 101-2;
102-2
207B: 201-8;
202-8
9052A-C2;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Intrastate
Determination
Single
VL
Required
Required
Deny
5.20
207A: 101-2;
102-2
207B: 201-9;
202-9
9052A-C2;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Intrastate
Determination
Single
MC
Required
Required
Deny
5.21
207A: 101-2;
102-2
207B: 201-10;
202-10
9052A-C2;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Intrastate
Determination
Single
Sep/Other
Required
Required
Deny
5.22
207A: 101-2;
102-2
207C: 301-12;
302-12
9052B-C98;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Intrastate
Determination
Single
A&A
Required
Required
Deny
5.23
207A: 101-2;
102-2
207C: 301-13;
302-13
9052B-C98;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Intrastate
Determination
Single
Ded.
Income
Required
Required
Deny
5.24
207A: 101-2;
102-2
207C: 301-14;
302-14
9052B-C98;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Intrastate
Determination
Single
Suitable
Work
Required
Required
Deny
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APPENDIX A
2
(Step 1D)
(Rule 1)
3
(Step 1D)
(Rule 2)
4
(Step 2)
5
(Step 4)
6
(Step 5)
SSN
Issue Number
(Unique ID)
Type of
UI Program
Program
Type
Intrastate/
Interstate
Report, Line,
and Column
7
(Step 16)
8
(Step 17)
Determination/
Type of
Redetermination Determination
9
(Step 18)
Issue
Types
10
(Step
19)
11
(Step 20)
12
(Step 21)
First
Week
Detection
Affected
Date
Notice Date
13
(Step 23)
Allowa
or Deny
5.25
207A: 101-2;
102-2
207C: 301-15;
302-15
9052B-C98;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Intrastate
Determination
Single
Reporting
Required
Required
Deny
5.26
207A: 101-2;
102-2
207C: 301-16;
302-16
9052B-C98;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Intrastate
Determination
Single
Profiling
Required
Required
Deny
5.27
207A: 101-2;
102-2
207C: 301-17;
302-17
9052B-C98;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Intrastate
Determination
Single
Other
Nonsep
Required
Required
Deny
5.28
207A: 101-2;
102-2
207B: 201-8;
202-8
9052A-C6;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Interstate
Determination
Single
VL
Required
Required
Deny
5.29
207A: 101-2;
102-2
207B: 201-9;
202-9
9052A-C6;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Interstate
Determination
Single
MC
Required
Required
Deny
5.30
207A: 101-2;
102-2
207B: 201-10;
202-10
9052A-C6;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Interstate
Determination
Single
Sep/Other
Required
Required
Deny
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APPENDIX A
2
(Step 1D)
(Rule 1)
3
(Step 1D)
(Rule 2)
4
(Step 2)
5
(Step 4)
6
(Step 5)
SSN
Issue Number
(Unique ID)
Type of
UI Program
Program
Type
Intrastate/
Interstate
Report, Line,
and Column
7
(Step 16)
8
(Step 17)
Determination/
Type of
Redetermination Determination
9
(Step 18)
Issue
Types
10
(Step
19)
11
(Step 20)
12
(Step 21)
First
Week
Detection
Affected
Date
Notice Date
13
(Step 23)
Allowa
or Deny
5.31
207A: 101-2;
102-2
207C: 301-12;
302-12
9052B-C102;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Interstate
Determination
Single
A&A
Required
Required
Deny
5.32
207A: 101-2;
102-2
207C: 301-13;
302-13
9052B-C102;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Interstate
Determination
Single
Ded.
Income
Required
Required
Deny
5.33
207A: 101-2;
102-2
207C: 301-14;
302-14
9052B-C102;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Interstate
Determination
Single
Suitable
Work
Required
Required
Deny
5.34
207A: 101-2;
102-2
207C: 301-15;
302-15
9052B-C102;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Interstate
Determination
Single
Reporting
Required
Required
Deny
5.35
207A: 101-2;
102-2
207C: 301-16;
302-16
9052B-C102;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Interstate
Determination
Single
Profiling
Required
Required
Deny
5.36
207A: 101-2;
102-2
207C: 301-17;
302-17
9052B-C102;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Interstate
Determination
Single
Other
Nonsep
Required
Required
Deny
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCFE
Intrastate
Determination
Single
VL
Required
Required
Allow
5.37
207:
A 103-1;
B 203-8
9052A-C3;
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3
(Step 1D)
(Rule 2)
4
(Step 2)
5
(Step 4)
6
(Step 5)
SSN
Issue Number
(Unique ID)
Type of
UI Program
Program
Type
Intrastate/
Interstate
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCFE
Intrastate
Determination
Single
MC
Required
Required
Allow
A 103-1;
B 203-10
9052A-C3;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCFE
Intrastate
Determination
Single
Sep/Other
Required
Required
Allow
207A-103-1
9052B-C99;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCFE
Intrastate
Determination
Single
Nonsep
Required
Required
Allow
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCFE
Interstate
Determination
Single
VL
Required
Required
Allow
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCFE
Interstate
Determination
Single
MC
Required
Required
Allow
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCFE
Interstate
Determination
Single
Sep/Other
Required
Required
Allow
Report, Line,
and Column
5.39
5.40
5.41
5.42
A 103-1;
B 203-9
9052A-C3;
207:
207:
A 103-1;
B 203-8
9052A-C7;
207:
A 103-1;
B 203-9
9052A-C7;
207:
5.43
A 103-1;
B 203-10
9052A-C7;
7
(Step 16)
8
(Step 17)
Determination/
Type of
Redetermination Determination
9
(Step 18)
10
(Step
19)
2
(Step 1D)
(Rule 1)
207:
5.38
APPENDIX A
Issue
Types
11
(Step 20)
12
(Step 21)
First
Week
Detection
Affected
Date
Notice Date
13
(Step 23)
Allowa
or Deny
5.44
207A-103-1
9052B-C103;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCFE
Interstate
Determination
Single
Nonsep
Required
Required
Allow
5.45
207A: 103-1;
104-1
207B: 203-8;
204-8
9052A-C3;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCFE
Intrastate
Determination
Single
VL
Required
Required
Deny
5.46
207A: 103-1;
104-1
207B: 203-9;
204-9
9052A-C3;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCFE
Intrastate
Determination
Single
MC
Required
Required
Deny
UI DV HANDBOOK, BENEFITS
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SEPTEMBER 2019
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APPENDIX A
2
(Step 1D)
(Rule 1)
3
(Step 1D)
(Rule 2)
4
(Step 2)
5
(Step 4)
6
(Step 5)
SSN
Issue Number
(Unique ID)
Type of
UI Program
Program
Type
Intrastate/
Interstate
Report, Line,
and Column
7
(Step 16)
8
(Step 17)
Determination/
Type of
Redetermination Determination
9
(Step 18)
Issue
Types
10
(Step
19)
11
(Step 20)
12
(Step 21)
First
Week
Detection
Affected
Date
Notice Date
13
(Step 23)
Allowa
or Deny
5.47
207A: 103-1;
104-1
207B: 203-10;
204-10
9052A-C3;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCFE
Intrastate
Determination
Single
Sep/Other
Required
Required
Deny
5.48
207A: 103-1;
104-1
9052B-C99;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCFE
Intrastate
Determination
Single
Nonsep
Required
Required
Deny
5.49
207A: 103-1;
104-1
207B: 203-8;
204-8
9052A-C7;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCFE
Interstate
Determination
Single
VL
Required
Required
Deny
5.50
207A: 103-1;
104-1
207B: 203-9;
204-9
9052A-C7;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCFE
Interstate
Determination
Single
MC
Required
Required
Deny
5.51
207A: 103-1;
104-1
207B: 203-10;
204-10
9052A-C7;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCFE
Interstate
Determination
Single
Sep/Other
Required
Required
Deny
5.52
207A: 103-1;
104-1
9052B-C103;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCFE
Interstate
Determination
Single
Nonsep
Required
Required
Deny
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCX
Intrastate
Determination
Single
Sep
Required
Required
Allow
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCX
Intrastate
Determination
Single
Nonsep
Required
Required
Allow
5.53
5.54
207A-105-1
9052A-C4;
207A-105-1
9052B-C100;
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SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
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APPENDIX A
2
(Step 1D)
(Rule 1)
3
(Step 1D)
(Rule 2)
4
(Step 2)
5
(Step 4)
6
(Step 5)
SSN
Issue Number
(Unique ID)
Type of
UI Program
Program
Type
Intrastate/
Interstate
Report, Line,
and Column
7
(Step 16)
8
(Step 17)
Determination/
Type of
Redetermination Determination
9
(Step 18)
Issue
Types
10
(Step
19)
11
(Step 20)
12
(Step 21)
First
Week
Detection
Affected
Date
Notice Date
13
(Step 23)
Allowa
or Deny
5.55
207A-105-1
9052A-C8;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCX
Interstate
Determination
Single
Sep
Required
Required
Allow
5.56
207A-105-1
9052B-C104;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCX
Interstate
Determination
Single
Nonsep
Required
Required
Allow
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCX
Intrastate
Determination
Single
Sep
Required
Required
Deny
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCX
Intrastate
Determination
Single
Nonsep
Required
Required
Deny
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCX
Interstate
Determination
Single
Sep
Required
Required
Deny
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UCX
Interstate
Determination
Single
Nonsep
Required
Required
Deny
5.57
5.58
5.59
5.60
207A: 105-1;
106-1
9052A-C4;
207A: 105-1;
106-1
9052B-C100;
207A: 105-1;
106-1
9052A-C8;
207A: 105-1;
106-1
9052B-C104;
MULTI-CLAIMANT NON-MONETARY DETERMINATIONS (5.61 through 5.64)
1) Minimum Sample: First two cases from each subpopulation
5.61
207A-101-5
9052C-C194;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
Determination
Multi
Labor
Dispute
Required
Required
Allow
5.62
207A: 101-5;
102-5
9052C-C194;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
Determination
Multi
Labor
Dispute
Required
Required
Deny
5.63
207A-101-6
9052C-C195;
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
Determination
Multi
Other
Multiclaim
ant
Required
Required
Allow
UI DV HANDBOOK, BENEFITS
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SEPTEMBER 2019
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5.64
APPENDIX A
2
(Step 1D)
(Rule 1)
3
(Step 1D)
(Rule 2)
4
(Step 2)
5
(Step 4)
6
(Step 5)
SSN
Issue Number
(Unique ID)
Type of
UI Program
Program
Type
Intrastate/
Interstate
Required if State
maintains a
unique ID
Regular UI
or
Workshare
Report, Line,
and Column
207A: 101-6;
102-6
9052C-C195;
Required
7
(Step 16)
8
(Step 17)
Determination/
Type of
Redetermination Determination
Determination
9
(Step 18)
Issue
Types
Multi
Other
Multiclaim
ant
10
(Step
19)
11
(Step 20)
12
(Step 21)
First
Week
Detection
Affected
Date
Notice Date
Required
13
(Step 23)
Allowa
or Deny
Required
Deny
REDETERMINATIONS (5.65 through 5.70)
1) Random Sample: 30 or 100
5.65
207A-101-3
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Intrastate
or
Interstate
Redetermination
Single
Required
Required
Allow
5.66
207A: 101-3;
102-3
Required
Required if State
maintains a
unique ID
Regular UI
or
Workshare
UI
Intrastate
or
Interstate
Redetermination
Single
Required
Required
Deny
5.67
207A-103-1
Required
Single
Required
Required
Allow
207A: 103-1;
104-1
Required
Redetermination
Single
Required
Required
Deny
5.69
207A-105-1
Required
Redetermination
Single
Required
Required
Allow
5.70
207A: 105-1;
106-1
Required
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Regular UI
or
Workshare
Redetermination
5.68
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
Redetermination
Single
Required
Required
Deny
aAllow
UCFE
UCFE
UCX
UCX
Intrastate
or
Interstate
Intrastate
or
Interstate
Intrastate
or
Interstate
Intrastate
or
Interstate
or affirmed
UI DV HANDBOOK, BENEFITS
A.41
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Table A.5.2
Relationship between ETA 207Reporting Cells and Subpopulations in Population 5
Total
Determinations and
Redeterminations
(1)
207 SECTION A
Determinations
(2)
Redeterminations
(3)
Multi-labor
(5)
Multi-other
(6)
UI
Dets
101
1-36
65-66
61-62
63-64
UI
Denials
102
19-36
66
62
64
UCFE
Dets
103
UCFE
Denials
104
UCX
Dets
105
UCX
Denials
106
VL
(8)
1, 10
19, 28
19, 28
37, 41
45, 49
45, 49
MC
(9)
2, 11
20, 29
20, 29
38, 42
46, 50
46, 50
Other Separations
(10)
3, 12
21, 30
21, 30
39, 43
47, 51
47, 51
A&A
(12)
4, 13, 22, 31
22, 31
Ded. Income
(13)
5, 14, 23, 32
23, 32
Suit. Work
(14)
6, 15, 24, 33
24, 33
Reporting
(15)
7, 16, 25, 34
25, 34
Profiling
(16)
8, 17, 26, 35
26, 35
Total Seps
(7)
207 SECTION B
UI
Dets
201
UI
Denials
202
UCFE
Dets
203
UCFE
Denials
204
207 SECTION C
Total Nonseps
(11)
Dets
301
Denials
302
UI
UI
aAdd
37-52
67-68
45-52
68
53-60
69-70
57-60
70
Other
(17)
9, 18, 27, 36
27, 36
the number of multiclaimants involved.
UI DV HANDBOOK, BENEFITS
A.42
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Table A.5.3
Relationship between ETA 9052 Adjudications Time Lapse and Subpopulations in Population 5
Separation
9052A
Single
Claimant
Multiclaimant
9052
UI
C2
Intrastate
UCFE
C3
UCX
C4
1-3
19-21
37-39
45-47
53
57
Non-Separation
9052B
UI
C6
Interstate
UCFE
C7
UCX
C8
10-12
28-30
41-43
49-51
55
59
9052C
UI
C98
Intrastate
UCFE
C99
UCX
C100
4-9
22-27
40
48
54
58
UI
C102
Interstate
UCFE
C103
UCX
C104
13-18
31-36
44
52
56
60
Labor
Dispute
Other
C194
C195
61
62
63
64
NOTE: There are 11 time lapse categories in each of these table cells.
UI DV HANDBOOK, BENEFITS
A.43
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Population 5 Notes
1.
For states that require a week to be claimed in order to count non-monetary
determinations, use the transaction date of the non-monetary determination when the mail
date precedes the week claimed date. For example, if a determination is mailed in
December and the week is claimed in January, the state enters the transaction (or
countable) date in January to signify that this non-monetary determination is countable
for Federal reporting purposes.
2.
This population includes non-monetary determinations for Short Time Compensation
(STC) Program (workshare) claims. These records should be labeled as “Workshare” for
“Type of UI Program.” See the software record layouts for more details.
3.
Multiclaimant Nonmonetary Determinations are counted in two ways on the ETA 207
report. Section A 101(6) counts the number of multiclaimant determinations (affirmed
plus denied). Section A 102(6) counts the number of claimants affected by denial
determinations. Currently the software cannot distinguish between the number of
claimants affected and the number of denial determinations because the Population 5
record lacks a key field. If a single record for each denial determination is created, the
count of determinations will be correct; however, the count of claimants involved in
denials will be understated. Alternatively, if a record for each denied claimant is created,
the count of claimants involved in denials will be correct; however, but the count of
determinations will be overstated.
The extract file and software will be revised in the future so that both the number of
multiclaimant determinations and the number of claimants denied will be captured in the
same way that is currently done for all multiclaimant appeal decisions reported on the
ETA 5130 (Populations 8 and 9).
In the meantime, when building the Population 5 extract file create a record for each
multiclaimant determination to deny benefits as well as to affirm benefits. This can be
done by creating a record for one claimant out of each multiclaimant denial determination
as representative of that determination. The validation count for the number of
multiclaimant determinations thus will be correct, and the reported counts of the UI
multiclaimant determinations on the ETA 207 (Group 5.04) and on the ETA 9052 reports
(Group 5.10) will be properly validated. These are Pass/Fail groups because they are part
of important workload items. However, the number of claimants denied on line 102 of
the ETA 207 will be incorrect. (These are not Pass/Fail items.) Indicate in the comments
field of the RV screen that the discrepancy is due to a software limitation and is not a
state error.
UI DV HANDBOOK, BENEFITS
A.44
SEPTEMBER 2019
DATA ELEMENT VALIDATION
APPENDIX A
Table A.6.1
Population 6 Subpopulations
Claimants involved in State UI Appeals Filed - Lower
2
(Step 1E)
(Rule 1)
Subpop
#
ETA ar5130B
Line and
Column
6.1
200-8
6.2a
200-10
aStates
3
(Step 1E)
(Rule 2)
4
(Step 24A)
5
(Step 25A)
(Rule 1)
(Step 25B)
(Rule 1)
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
Required
Required
Lower
Required
Required
Lower
6
(Step 25B)
(Rules 3 – 6)
Number of
Claimants
S
M
7
(Step 32)
Filed Date
Required
1
Required
can list each claimant involved in multiclaimant appeals or just provide the number of claimants based on how the files are stored in the
system.
Table A.6.2
Relationship between ETA AR5130B Report Cells and Subpopulations in Population 6
SECTION B: Claimants Involved in State UI Appeals Cases by Status of Appeals
Line No.
200
UI DV HANDBOOK, BENEFITS
Single-Claimant Appeals
Lower Authority
(8)
1
Status of Appeals
Filed During Month
A.45
Multi-Claimant Appeals
Lower Authority
(10)
2
SEPTEMBER 2019
DATA ELEMENT VALIDATION
APPENDIX A
Table A.7.1
Population 7 Subpopulations
Claimants involved in State UI Appeals Filed – Higher
Subpop
#
ETA ar5130B
Line and
Column
2
(Step 1F)
(Rule 1)
3
(Step 1F)
(Rule 2)
SSN
Docket
Number
Unique ID
4
(Step 24B)
Appeal Level
5
(Step 25A)
(Rule 1)
(Step 25B)
(Rule 1)
Type of Appeal
(Single or
Multiclaimant)
6
(Step 25B)
(Rules 3 – 6)
Number of
Claimants
7
(Step 32)
Filed Date
HIGHER AUTHORITY APPEALS FILED (7.1 through 7.2)
1) Minimum sample: First two cases from each subpopulation
7.1
200-9
7.2a
200-11
aStates
Required
Required
Higher
Required
Required
Higher
S
M
Required
1
Required
can list each claimant involved in multiclaimant appeals or just provide the number of claimants based on how the files are stored in the
system.
Table A.7.2
Relationship between ETA AR5130B Report Cells and Subpopulations in Population 7
SECTION B: Claimants Involved in State UI Appeals Cases by Status of Appeals
Line No.
200
UI DV HANDBOOK, BENEFITS
Single-Claimant Appeals
Higher Authority
(9)
1
Status of Appeals
Filed During Month
A.46
Multi-Claimant Appeals
Higher Authority
(11)
2
SEPTEMBER 2019
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
DATA ELEMENT VALIDATION
APPENDIX A
Table A.8.1
Population 8 Subpopulations
Lower Authority Appeals Decisions
Decision Date Falls within Reporting/Validation Period
Sort in Ascending Order by Time Lapsed Days
2
(Step 1E)
(Rule 1)
Subpop
Report, Line,
and Column
SSN
3
(Step 1E)
(Rule 2)
Docket
Number
Unique ID
4
(Step 2)
Type
of UI
Program
5
(Step 4)
Program
Type
6
(Step 5)
Intrastate/
Interstate
7
(Step
24A)
(Rule 1)
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
13
14
15
(Step 28) (Step 30A) (Step 31)
(Step 30B)
Decision
Date
Disposed
of by
Decision
Issue
Code
SINGLE CLAIMANT LOWER AUTHORITY APPEALS DECISIONS (8.1 through 8.44)
1) Random sample: 60 or 200 (includes review of folders); 2) Supplemental sample--missing strata (8.33 through 8.40 only); 3) Supplemental sample--outliers
ar5130:
8.1
`
8.2
8.3
8.4
8.5
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
UI DV HANDBOOK, BENEFITS
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
S
Must be blank
or 0
Claimant
Y
Required
Required
VL
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
S
Must be blank
Employer
or 0
Y
Required
Required
VL
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
S
Must be blank
or 0
Claimant
N
Required
Required
VL
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
S
Must be blank
Employer
or 0
N
Required
Required
VL
Required
Required
Regular UI
or
Workshare
UI
Interstate
Lower
S
Must be blank
or 0
Y
Required
Required
VL
A.48
Claimant
SEPTEMBER 2019
DATA ELEMENT VALIDATION
2
(Step 1E)
(Rule 1)
Subpop
Report, Line,
and Column
3
(Step 1E)
(Rule 2)
4
(Step 2)
SSN
Docket
Number
Unique ID
Type
of UI
Program
Required
Required
Required
5
(Step 4)
6
(Step 5)
7
(Step
24A)
(Rule 1)
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
13
14
15
(Step 28) (Step 30A) (Step 31)
(Step 30B)
Decision
Date
Disposed
of by
Decision
Program
Type
Intrastate/
Interstate
Issue
Code
Regular UI
or
Workshare
UI
Interstate
Lower
S
Must be blank
Employer
or 0
Y
Required
Required
VL
Required
Regular UI
or
Workshare
UI
Interstate
Lower
S
Must be blank
or 0
Claimant
N
Required
Required
VL
Required
Required
Regular UI
or
Workshare
UI
Interstate
Lower
S
Must be blank
Employer
or 0
N
Required
Required
VL
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
S
Must be blank
or 0
Claimant
Y
Required
Required
MC
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
S
Must be blank
Employer
or 0
Y
Required
Required
MC
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
S
Must be blank
or 0
Claimant
N
Required
Required
MC
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
S
Must be blank
Employer
or 0
N
Required
Required
MC
ar5130:
8.6
8.7
8.8
8.9
8.10
8.11
8.12
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
APPENDIX A
UI DV HANDBOOK, BENEFITS
A.49
SEPTEMBER 2019
DATA ELEMENT VALIDATION
2
(Step 1E)
(Rule 1)
Subpop
Report, Line,
and Column
3
(Step 1E)
(Rule 2)
4
(Step 2)
SSN
Docket
Number
Unique ID
Type
of UI
Program
Required
Required
Regular UI
or
Workshare
Required
Required
Required
5
(Step 4)
6
(Step 5)
Program
Type
Intrastate/
Interstate
UI
Interstate
Regular UI
or
Workshare
UI
Required
Regular UI
or
Workshare
Required
Required
Required
7
(Step
24A)
(Rule 1)
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
13
14
15
(Step 28) (Step 30A) (Step 31)
(Step 30B)
Decision
Date
Disposed
of by
Decision
Issue
Code
ar5130:
8.13
8.14
8.15
8.16
8.17
8.18
8.19
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
APPENDIX A
UI DV HANDBOOK, BENEFITS
Lower
S
Interstate
Lower
S
UI
Interstate
Lower
Regular UI
or
Workshare
UI
Interstate
Required
Regular UI
or
Workshare
UI
Required
Required
Regular UI
or
Workshare
Required
Required
Regular UI
or
Workshare
Y
Required
Required
MC
Must be blank
Employer
or 0
Y
Required
Required
MC
S
Must be blank
or 0
Claimant
N
Required
Required
MC
Lower
S
Must be blank
Employer
or 0
N
Required
Required
MC
Intrastate
Lower
S
Must be blank
or 0
Claimant
Y
Required
Required
Suit
UI
Intrastate
Lower
S
Must be blank
Employer
or 0
Y
Required
Required
Suit
UI
Intrastate
Lower
S
Must be blank
or 0
N
Required
Required
Suit
A.50
Must be blank
or 0
Claimant
Claimant
SEPTEMBER 2019
DATA ELEMENT VALIDATION
2
(Step 1E)
(Rule 1)
Subpop
Report, Line,
and Column
ar5130:
8.20
8.21
8.22
8.23
8.24
8.25
8.26
ar5130:
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
UI DV HANDBOOK, BENEFITS
APPENDIX A
3
(Step 1E)
(Rule 2)
4
(Step 2)
SSN
Docket
Number
Unique ID
Type
of UI
Program
Required
Required
Required
5
(Step 4)
6
(Step 5)
7
(Step
24A)
(Rule 1)
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
13
14
15
(Step 28) (Step 30A) (Step 31)
(Step 30B)
Intrastate/
Interstate
Regular UI
or
Workshare
UI
Intrastate
Lower
S
Must be blank
Employer
or 0
N
Required
Required
Suit
Required
Regular UI
or
Workshare
UI
Interstate
Lower
S
Must be blank
or 0
Claimant
Y
Required
Required
Suit
Required
Required
Regular UI
or
Workshare
UI
Interstate
Lower
S
Must be blank
Employer
or 0
Y
Required
Required
Suit
Required
Required
Regular UI
or
Workshare
UI
Interstate
Lower
S
Must be blank
or 0
Claimant
N
Required
Required
Suit
Required
Required
Regular UI
or
Workshare
UI
Interstate
Lower
S
Must be blank
Employer
or 0
N
Required
Required
Suit
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
S
Must be blank
or 0
Claimant
Y
Required
Required
A&A
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
S
Must be blank
Employer
or 0
Y
Required
Required
A&A
A.51
Decision
Date
Disposed
of by
Decision
Program
Type
Issue
Code
SEPTEMBER 2019
DATA ELEMENT VALIDATION
2
(Step 1E)
(Rule 1)
Subpop
Report, Line,
and Column
ar5130:
8.27
8.28
8.29
8.30
8.31
8.32
8.33
ar5130:
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
UI DV HANDBOOK, BENEFITS
APPENDIX A
3
(Step 1E)
(Rule 2)
4
(Step 2)
SSN
Docket
Number
Unique ID
Type
of UI
Program
Required
Required
Required
5
(Step 4)
6
(Step 5)
7
(Step
24A)
(Rule 1)
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
13
14
15
(Step 28) (Step 30A) (Step 31)
(Step 30B)
Intrastate/
Interstate
Regular UI
or
Workshare
UI
Intrastate
Lower
S
Must be blank
or 0
Claimant
N
Required
Required
A&A
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
S
Must be blank
Employer
or 0
N
Required
Required
A&A
Required
Required
Regular UI
or
Workshare
UI
Interstate
Lower
S
Must be blank
or 0
Claimant
Y
Required
Required
A&A
Required
Required
Regular UI
or
Workshare
UI
Interstate
Lower
S
Must be blank
Employer
or 0
Y
Required
Required
A&A
Required
Required
Regular UI
or
Workshare
UI
Interstate
Lower
S
Must be blank
or 0
Claimant
N
Required
Required
A&A
Required
Required
Regular UI
or
Workshare
UI
Interstate
Lower
S
Must be blank
Employer
or 0
N
Required
Required
A&A
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
S
Must be blank
or 0
Y
Required
Required
Other
A.52
Claimant
Decision
Date
Disposed
of by
Decision
Program
Type
Issue
Code
SEPTEMBER 2019
DATA ELEMENT VALIDATION
2
(Step 1E)
(Rule 1)
Subpop
Report, Line,
and Column
3
(Step 1E)
(Rule 2)
4
(Step 2)
SSN
Docket
Number
Unique ID
Type
of UI
Program
Required
Required
Required
5
(Step 4)
6
(Step 5)
7
(Step
24A)
(Rule 1)
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
13
14
15
(Step 28) (Step 30A) (Step 31)
(Step 30B)
Decision
Date
Disposed
of by
Decision
Program
Type
Intrastate/
Interstate
Issue
Code
Regular UI
or
Workshare
UI
Intrastate
Lower
S
Must be blank
Employer
or 0
Y
Required
Required
Other
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
S
Must be blank
or 0
Claimant
N
Required
Required
Other
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
S
Must be blank
Employer
or 0
N
Required
Required
Other
Required
Required
Regular UI
or
Workshare
UI
Interstate
Lower
S
Must be blank
or 0
Claimant
Y
Required
Required
Other
Required
Required
Regular UI
or
Workshare
UI
Interstate
Lower
S
Must be blank
Employer
or 0
Y
Required
Required
Other
Required
Required
Regular UI
or
Workshare
UI
Interstate
Lower
S
Must be blank
or 0
Claimant
N
Required
Required
Other
Required
Required
Regular UI
or
Workshare
UI
Interstate
Lower
S
Must be blank
Employer
or 0
N
Required
Required
Other
Required
Required
Regular UI
or
Workshare
UCFE
Intrastate
Lower
S
Must be blank
or 0
Required
Required
ar5130:
8.34
8.35
8.36
8.37
8.38
8.39
8.40
8.41a
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
APPENDIX A
ar5130A-100-3
9054A-C2
UI DV HANDBOOK, BENEFITS
A.53
SEPTEMBER 2019
DATA ELEMENT VALIDATION
2
(Step 1E)
(Rule 1)
Subpop
Report, Line,
and Column
APPENDIX A
3
(Step 1E)
(Rule 2)
4
(Step 2)
SSN
Docket
Number
Unique ID
Type
of UI
Program
5
(Step 4)
6
(Step 5)
Program
Type
Intrastate/
Interstate
7
(Step
24A)
(Rule 1)
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
13
14
15
(Step 28) (Step 30A) (Step 31)
(Step 30B)
Decision
Date
8.42a
ar5130A-100-3
9054A-C3
Required
Required
Regular UI
or
Workshare
UCFE
Interstate
Lower
S
Must be blank
or 0
Required
Required
8.43a
ar5130A-100-5
9054A-C2
Required
Required
Regular UI
or
Workshare
UCX
Intrastate
Lower
S
Must be blank
or 0
Required
Required
8.44a
ar5130A-100-5
9054A-C3
Required
Required
Regular UI
or
Workshare
UCX
Interstate
Lower
S
Must be blank
or 0
Required
Required
Disposed
of by
Decision
Issue
Code
MULTI-CLAIMANT LOWER AUTHORITY APPEALS DECISIONS (8.45 through 8.55)
1) Minimum sample: First two cases from each subpopulation (includes review of folders)
ar5130:
8.45
8.46
8.47
8.48
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
UI DV HANDBOOK, BENEFITS
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
M-1 or
M-Lead
1
Claimant
Y
Required
Required
Labor
Disp
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
M-1 or
M-Lead
1
Employer
Y
Required
Required
Labor
Disp
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
M-1 or
M-Lead
1
Claimant
N
Required
Required
Labor
Disp
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
M-1 or
M-Lead
1
Employer
N
Required
Required
Labor
Disp
A.54
SEPTEMBER 2019
DATA ELEMENT VALIDATION
2
(Step 1E)
(Rule 1)
Subpop
Report, Line,
and Column
3
(Step 1E)
(Rule 2)
4
(Step 2)
SSN
Docket
Number
Unique ID
Type
of UI
Program
Required
Required
Required
5
(Step 4)
6
(Step 5)
7
(Step
24A)
(Rule 1)
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
13
14
15
(Step 28) (Step 30A) (Step 31)
(Step 30B)
Decision
Date
Disposed
of by
Decision
Program
Type
Intrastate/
Interstate
Issue
Code
Regular UI
or
Workshare
UI
Intrastate
Lower
M-1 or
M-Lead
1
Claimant
Y
Required
Required
Other
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
M-1 or
M-Lead
1
Employer
Y
Required
Required
Other
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
M-1 or
M-Lead
1
Claimant
N
Required
Required
Other
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Lower
M-1 or
M-Lead
1
Employer
N
Required
Required
Other
Required
VL or
MC or
Suit or
A & A or
Other or
Labor
Disp
Required
VL or
MC or
Suit or
A & A or
Other or
Labor
Disp
ar5130:
8.49
8.50
8.51
8.52
8.53
8.54
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
APPENDIX A
ar5130B-210-10
ar5130A: 100-1
ar5130B: 210-8;
210-10
ar5130C: 300-18;
310-18
9054A-C2
UI DV HANDBOOK, BENEFITS
Required
Required
Required
Required
Regular UI
or
Workshare
Regular UI
or
Workshare
UI
UI
Intrastate
Intrastate
Lower
Lower
A.55
M-Nonlead
S or
M-1 or
M-Lead
1
1 or blank
or 0
Required
Other
Y
Required
SEPTEMBER 2019
DATA ELEMENT VALIDATION
2
(Step 1E)
(Rule 1)
Subpop
8.55
aIf
Report, Line,
and Column
ar5130A: 100-1
ar5130B: 210-8;
210-10
ar5130C: 300-18
9054A-C2
SSN
Required
APPENDIX A
3
(Step 1E)
(Rule 2)
Docket
Number
Unique ID
Required
4
(Step 2)
Type
of UI
Program
Regular UI
or
Workshare
5
(Step 4)
Program
Type
UI
6
(Step 5)
Intrastate/
Interstate
Intrastate
7
(Step
24A)
(Rule 1)
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
Lower
S or
M-1 or
M-Lead
1 or blank
or 0
Other
N
Required
13
14
15
(Step 28) (Step 30A) (Step 31)
(Step 30B)
Decision
Date
Required
Disposed
of by
Decision
Issue
Code
VL or
MC or
Suit or
A & A or
Other or
Labor
Disp
a UCFE or UCX multiclaimant appeal is decided, report as a separate population and manually validate the 5130 report.
UI DV HANDBOOK, BENEFITS
A.56
SEPTEMBER 2019
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.
claimant only
cMulticlaimant only
bSingle
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
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Table A.9.1
Population 9 Subpopulations
Higher Authority Appeals Decisions,
Decision Date Falls within Reporting/Validation Period
2
(Step 1F)
(Rule 1)
Subpop
#
Report, Line,
and Column
SSN
3
(Step 1F)
(Rule 2)
4
(Step 2)
Docket
Number
Unique
ID
Type
of UI
Program
5
(Step 4)
Program
Type
6
(Step 5)
Intrastate/
Interstate
7
(Step
24B)
(Rule 1)
Appeal
Level
8
(Step 25A)
(Step 25B)
9
(Step 25B)
(Rules 3
and 5)
Type of
Appeal
(Single or
Multiclaimant)
Number of
Claimants in
Multiclaimant
Appeal
10
(Step 26)
11
(Step
27A)
(Step
27B)
Appellant
In Favor
of
Appellant
12
(Step 32)
13
(Step 28)
Filed
Date
Decision
Date
14
(Step
30A)
(Step
30B)
Disposed
of by
Decision
SINGLE CLAIMANT HIGHER AUTHORITY APPEALS DECISIONS (9.1 through 9.12)
1) Random sample: 30 or 100 (includes review of folders); 2) Supplemental sample--outliers
ar5130:
9.1
ar5130C:
9054B-C2
ar5130:
9.2
ar5130C:
9054B-C2
A 100-2
B 210-9
300-15
310-15
A 100-2
B 210-9
300-17
310-17
Required
Regular UI
or
Workshare
UI
Intrastate
Higher
S
Must be blank
or 0
Claimant
Y
Required
Required
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Higher
S
Must be blank
or 0
Employer
Y
Required
Required
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Higher
S
Must be blank
or 0
Claimant
N
Required
Required
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Higher
S
Must be blank
or 0
Employer
N
Required
Required
Required
Required
Regular UI
or
Workshare
UI
Interstate
Higher
S
Must be blank
or 0
Claimant
Y
Required
Required
ar5130:
9.3
A 100-2
B 210-9
ar5130C-300-15
9054B-C2
Required
ar5130:
9.4
A 100-2
B 210-9
ar5130C-300-17
9054B-C2
ar5130:
9.5
ar5130C:
9054B-C3
A 100-2
B 210-9
300-15
310-15
UI DV HANDBOOK, BENEFITS
A.59
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
2
(Step 1F)
(Rule 1)
Subpop
#
Report, Line,
and Column
ar5130:
9.6
ar5130C:
9054B-C3
A 100-2
B 210-9
300-17
310-17
3
(Step 1F)
(Rule 2)
4
(Step 2)
Docket
Number
Unique
ID
Type
of UI
Program
5
(Step 4)
6
(Step 5)
Program
Type
Intrastate/
Interstate
7
(Step
24B)
(Rule 1)
Appeal
Level
8
(Step 25A)
(Step 25B)
9
(Step 25B)
(Rules 3
and 5)
Type of
Appeal
(Single or
Multiclaimant)
Number of
Claimants in
Multiclaimant
Appeal
10
(Step 26)
11
(Step
27A)
(Step
27B)
Appellant
In Favor
of
Appellant
12
(Step 32)
13
(Step 28)
Filed
Date
Decision
Date
Required
Required
Regular UI
or
Workshare
UI
Interstate
Higher
S
Must be blank
or 0
Employer
Y
Required
Required
Required
Required
Regular UI
or
Workshare
UI
Interstate
Higher
S
Must be blank
or 0
Claimant
N
Required
Required
Employer
N
Required
Required
ar5130:
9.7
A 100-2
B 210-9
ar5130C-300-15
9054B-C3
SSN
APPENDIX A
9.8
ar5130:
A 100-2
B 210-9
ar5130C-300-17
9054B-C3
Required
Required
Regular UI
or
Workshare
UI
Interstate
Higher
S
Must be blank
or 0
9.9a
ar5130A-100-4
9054B-C2
Required
Required
Regular UI
or
Workshare
UCFE
Intrastate
Higher
S
Must be blank
or 0
Required
Required
9.10a
ar5130A-100-4
9054B-C3
Required
Required
Regular UI
or
Workshare
UCFE
Interstate
Higher
S
Must be blank
or 0
Required
Required
9.11a
ar5130A-100-6
9054B-C2
Required
Required
Regular UI
or
Workshare
UCX
Intrastate
Higher
S
Must be blank
or 0
Required
Required
9.12a
ar5130A-100-6
9054B-C3
Required
Required
Regular UI
or
Workshare
UCX
Interstate
Higher
S
Must be blank
or 0
Required
Required
UI DV HANDBOOK, BENEFITS
A.60
14
(Step
30A)
(Step
30B)
Disposed
of by
Decision
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
2
(Step 1F)
(Rule 1)
Subpop
#
Report, Line,
and Column
SSN
APPENDIX A
3
(Step 1F)
(Rule 2)
4
(Step 2)
Docket
Number
Unique
ID
Type
of UI
Program
5
(Step 4)
Program
Type
6
(Step 5)
Intrastate/
Interstate
7
(Step
24B)
(Rule 1)
Appeal
Level
8
(Step 25A)
(Step 25B)
9
(Step 25B)
(Rules 3
and 5)
Type of
Appeal
(Single or
Multiclaimant)
Number of
Claimants in
Multiclaimant
Appeal
10
(Step 26)
11
(Step
27A)
(Step
27B)
Appellant
In Favor
of
Appellant
12
(Step 32)
13
(Step 28)
Filed
Date
Decision
Date
14
(Step
30A)
(Step
30B)
Disposed
of by
Decision
MULTI-CLAIMANT HIGHER AUTHORITY APPEALS DECISIONS (9.13 through 9.23)
1) Minimum sample: First two cases from each subpopulation (includes review of folders)
ar5130:
9.13
ar5130C:
9054B-C2
ar5130:
9.14
ar5130C:
A 100-2
B 210-11
300-15
310-15
A 100-2
B 210-11
300-17
310-17
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Higher
M-1 or
M-Lead
1
Claimant
Y
Required
Required
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Higher
M-1 or
M-Lead
1
Employer
Y
Required
Required
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Higher
M-1 or
M-Lead
1
Claimant
N
Required
Required
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Higher
M-1 or
M-Lead
1
Employer
N
Required
Required
Required
Required
Regular UI
or
Workshare
UI
Interstate
Higher
M-1 or
M-Lead
1
Claimant
Y
Required
Required
Required
Required
Regular UI
or
Workshare
UI
Interstate
Higher
M-1 or
M-Lead
1
Employer
Y
Required
Required
9054B-C2
ar5130:
9.15
A 100-2
B 210-11
ar5130C-300-15
9054B-C2
ar5130:
9.16
A 100-2
B 210-11
ar5130C-300-17
9054B-C2
ar5130:
9.17
ar5130C:
A 100-2
B 210-11
300-15
310-15
9054B-C3
ar5130:
9.18
ar5130C:
A 100-2
B 210-11
300-17
310-17
9054B-C3
UI DV HANDBOOK, BENEFITS
A.61
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
2
(Step 1F)
(Rule 1)
Subpop
#
Report, Line,
and Column
3
(Step 1F)
(Rule 2)
4
(Step 2)
Docket
Number
Unique
ID
Type
of UI
Program
ar5130:
9.19
A 100-2
B 210-11
ar5130C-300-15
9054B-C3
SSN
APPENDIX A
6
(Step 5)
Program
Type
Intrastate/
Interstate
7
(Step
24B)
(Rule 1)
Appeal
Level
8
(Step 25A)
(Step 25B)
9
(Step 25B)
(Rules 3
and 5)
Type of
Appeal
(Single or
Multiclaimant)
1
Claimant
N
Required
Required
Interstate
Higher
M-1 or
M-Lead
1
Employer
N
Required
Required
Higher
M-Nonlead
1
Required
Required
9.21
ar5130B-210-11
Required
Required
Regular UI
or
Workshare
UI
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Higher
S
Required
Required
Regular UI
or
Workshare
UI
Intrastate
Higher
M-1 or
M-Lead
9.23
ar5130C:
9054B-C2
Decision
Date
M-1 or
M-Lead
UI
100-2
210-9
210-11
300-19
Filed
Date
Higher
Regular UI
or
Workshare
ar5130A:
ar5130B:
In Favor
of
Appellant
Interstate
Required
ar5130C:
9054B-C2
Appellant
13
(Step 28)
UI
Required
9.22
Number of
Claimants in
Multiclaimant
Appeal
12
(Step 32)
Regular UI
or
Workshare
A 100-2
B 210-11
ar5130C-300-17
9054B-C3
100-2
210-9
210-11
300-19
11
(Step
27A)
(Step
27B)
Required
9.20
ar5130A:
ar5130B:
10
(Step 26)
Required
ar5130:
aIf
5
(Step 4)
Must be
blank or 0
1
Other
Y or N
Required
Required
Other
Y or N
Required
Required
14
(Step
30A)
(Step
30B)
Disposed
of by
Decision
a UCFE or UCX multiclaimant appeal is decided, report as a separate population.
UI DV HANDBOOK, BENEFITS
A.62
SEPTEMBER 2019
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
aAlso
includes multiclaimant UCFE and UCX decisions subpopulations that are not listed.
claimant only
cMulticlaimant only
bSingle
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
for the number of claimants involved should insert a text prefix of “M-1” (for multi-one
record) in the multi-claimant field.
States which maintain multiple records (one for each claimant) for a multi-claimant appeal
should insert a text prefix of “M-Lead” for one of the records. Both of these types of
records will be assigned to subpopulations 8.45 through 8.52 (lower authority) and 9.13
through 9.20 (higher authority). States which maintain multiple records should insert a
text prefix of “M-Nonlead” in the multiclaimant field for the non-lead claimants. These
records will be assigned to subpopulations 8.53 (lower authority) and 9.21 (higher
authority).
2. Column 14 (Disposed of by Decision) is optional. States which have an indicator to
distinguish countable from uncountable decisions should insert the value of the countable
appeal indicator in this field to show that it is countable based on information in the
appeals file
3. These populations include appeals for Short Time Compensation (STC) Program
(workshare) claims. These records should be labeled as “Workshare” for “Type of UI
Program.” See the software record layouts for more details.
4. Remanded cases by the higher authority are to be handled as follows. A case remanded
to lower authority for the taking of additional evidence is not a decision. It thus does not
belong in the Population 9 extract file until it is actually returned by the lower authority
and then disposed of by the higher authority. A case that is remanded for a rehearing does
involve a decision by the higher authority but it is neither in favor of the appellant nor not
in favor of the appellant. Within the existing DV framework, the Population 9 record
should be built as Not in Favor of the Appellant. If a large number of remanded cases
causes the Population 9 validation to fail, note the number if the Comments field.
UI DV HANDBOOK, BENEFITS
A.64
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Table A.10.1
Population 10 Subpopulations
Lower Authority Appeals Case Aging
Appeals Pending at the End of the Month Being Validated
Sort by Days Pending Within Each Category
2
(Step 1E)
(Rule 1)
Subpopulation #
10.1
10.2
10.3
10.4
10.5
10.6
10.7
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 –
Age ≤ 25 days
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
5
(Step 30B)
(Rule 1)
Appeal
Pending
6
(Step 32)
Filed Date
Required*
Required*
Required*
Required*
Required*
Required*
Required*
* Ages are calculated from this date to the last day of the report period being validated. The software groups the transactions into each subpopulation on the basis of the
date ranges given in “ETA 9055 Column.”
UI DV HANDBOOK, BENEFITS
A.65
SEPTEMBER 2019
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
≤ 25
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
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Table A.11.1
Population 11 Subpopulations
Higher Authority Appeals Case Aging
Appeals Pending at the End of the Month Being Validated
Sort by Days Pending Within Each Category
2
(Step 1F)
(Rule 1)
3
(Step 1F)
(Rule 2)
SSN
Docket Number
Unique ID
ETA 9055 Column
4
(Step 24B)
5
(Step 30B)
6
(Step 32)
Appeal Level
Appeal
Pending
Filed Date
Subpopulation #
HIGHER AUTHORITY APPEALS CASE AGING (11.1 through 11.6)
1) Supplemental sample--outliers
11.1
Section 9055H –
Age ≤ 40 days
Required
Required
Higher
11.2
Section 9055H –
Age 41-70 days
Required
Required
Higher
11.3
Section 9055H –
Age 71-120 days
Required
Required
Higher
11.4
Section 9055H –
Age 121-180 days
Required
Required
Higher
11.5
Section 9055H –
Age 181-360 days
Required
Required
Higher
11.6
Section 9055H –
Age > 360 days
Required
Required
Higher
Required*
Required*
Required*
Required*
Required*
Required*
* Ages are calculated from this date to the last day of the report period being validated. The software groups the transactions into each subpopulation on the basis
of the date ranges given in “ETA 9055 Column.”
UI DV HANDBOOK, BENEFITS
A.67
SEPTEMBER 2019
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
≤ 40
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
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Table A.12.1
Population 12 Subpopulations
Overpayments Established by Cause
Subpop
#
2
3
(Step 1G) (Step 1G)
(Rule 1)
(Rule 2)
SSN
Unique ID
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
12.1
1
2
.
1 101 (2, 4, 5)
b
112 (2, 4, 5)
12.2b
101 (2, 4, 5)
102 (2, 4, 5)
112 (2, 4, 5)
12.3b
104 (2, 4, 5)
113 (2, 4, 5)
12.4b
105 (2, 4, 5)
113 (2, 4, 5)
12.5b
106 (2, 4, 5)
113 (2, 4, 5)
12.6b
107 (2, 4, 5)
113 (2, 4, 5)
UI DV HANDBOOK, BENEFITS
Required
Required
Required
Required
Required
Required
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
Fraud
Single
Claimant
Within
the
Quarter
Fraud
Multi
Claimant
Schemesc
Within
the
Quarter
>0
Nonfraud
Reversals
Within
the
Quarter
>0
Nonfraud
State
Agency
Errorsc
Within
the
Quarter
>0
Nonfraud
Employer
Errorsc
Within
the
Quarter
>0
Nonfraud
Claimant
Errorsc
Within
the
Quarter
>0
A.69
>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
> 0 if joint
claim;
otherwise
blank or 0
Blank or 0
Blank or
0
Required
Blank or 0
Blank or
0
Required
Blank or 0
Blank or
0
Required
Blank or 0
Blank or
0
Required
Blank or 0
Blank or
0
Required
Blank or 0
Blank or
0
Required
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
Subpop
#
ETA 227A
Line and
Column
2
3
(Step 1G) (Step 1G)
(Rule 1)
(Rule 2)
SSN
Unique ID
12.7b
108 (2, 4, 5)
113 (2, 4, 5)
Required
12.8b
109 (4, 5)
Required
12.9
101 (3, 5)
112 (3, 5)
Required
12.10
101 (3, 5)
102 (3, 5)
112 (3, 5)
Required
12.11
104 (3, 5)
113 (3, 5)
Required
12.12
105 (3, 5)
113 (3, 5)
Required
12.13
106 (3, 5)
113 (3, 5)
Required
12.14
107 (3, 5)
113 (3, 5)
Required
UI DV HANDBOOK, BENEFITS
APPENDIX A
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
A.70
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
Blank or
0
Required
Required
Blank or
0
Blank or
0
Required
Blank or
0
Blank or
0
Required
Blank or
0
Blank or
0
Required
Blank or
0
Blank or
0
Required
Blank or
0
Blank or
0
Required
Blank or
0
Blank or
0
Required
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
Subpop
#
12.15
ETA 227A
Line and
Column
108 (3, 5)
113 (3, 5)
12.16
109 (5)
12.17b
101 (2, 4, 5)
111 (2, 4, 5)
112 (2, 4, 5)
12.18
101 (3, 5)
111 (3, 5)
112 (3, 5)
12.19
101 (20, 21)
112 (20, 21)
12.20
101 (20, 21)
102 (20, 21)
112 (20, 21)
12.21
101 (20, 21)
111 (20, 21)
112 (20, 21)
12.22
104 (20, 21)
113 (20, 21)
UI DV HANDBOOK, BENEFITS
APPENDIX A
2
3
(Step 1G) (Step 1G)
(Rule 1)
(Rule 2)
SSN
Unique ID
Required
Required
Required
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
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
Within
the
Quarter
Blank or 0
Within
the
Quarter
Blank or 0
Fraud
Agency
Employee
Benefit
Within
the
Quarter
>0
Fraud
Agency
Employee
Benefit
Within
the
Quarter
Blank or 0
Fraud
Single
Claimant
Within
the
Quarter
Fraud
Multi
Claimant
Schemesc
Fraud
Nonfraud
Other
Penalty
Nonfraud
>0
Blank or 0
Blank or
0
Blank or
0
>0
Blank or 0
> 0 if joint
claim;
otherwise
blank or 0 Blank or 0
Required
Required
Blank or
0
Required
Blank or
0
Required
Blank or 0
Blank or
0
Blank or 0 Blank or 0
>0
Blank or
0
Blank or 0
Required
Within
the
Quarter
Blank or 0 Blank or 0
>0
Blank or
0
Blank or 0
Required
Agency
Employee
Benefit
Within
the
Quarter
Blank or 0 Blank or 0
>0
Blank or
0
Blank or 0
Required
Reversals
Within
the
Quarter
Blank or 0 Blank or 0
>0
Blank or
0
Blank or 0
Required
A.71
>0
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
Subpop
#
ETA 227A
Line and
Column
12.23
105 (20, 21)
113 (20, 21)
12.24
106 (20, 21)
113 (20, 21)
12.25
107 (20, 21)
113 (20, 21)
12.26
108 (20, 21)
113 (20, 21)
12.27
109 (21)
APPENDIX A
2
3
(Step 1G) (Step 1G)
(Rule 1)
(Rule 2)
SSN
Unique ID
Required
Required
Required
Required
Required
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
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
EB
EB
EB
EB
EB
Nonfraud
State
Agency
Errorsc
Within
the
Quarter
Blank or 0 Blank or 0
>0
Blank or
0
Blank or 0
Required
Nonfraud
Employer
Errorsc
Within
the
Quarter
Blank or 0 Blank or 0
>0
Blank or
0
Blank or 0
Required
Nonfraud
Claimant
Errorsc
Within
the
Quarter
Blank or 0 Blank or 0
>0
Blank or
0
Blank or 0
Required
Other
Within
the
Quarter
Blank or 0 Blank or 0
>0
Blank or
0
Blank or 0
Required
Within
the
Quarter
Blank or 0 Blank or 0
>0
Nonfraud
Penalty
Required
_____________________________
a
To accommodate the special case when there is a claim that has no amount for a type of overpayment in the validation quarter but has an accumulated amount from previous
quarters that needs to be used to calculate a high dollar overpayment, the software will accept a zero or blank value in the UI Amount, Federal Amount and EB Amount fields, but
the corresponding accumulated amount must be greater than zero.
b
For Subpopulations 12.1 through 12.8, and 12.17 the Federal amount is the Federal share of a joint UI-Federal claim.
c
These values are abbreviated in the record layout data format specifications (see Appendix A of ETA Operations Guide 411) but are shown here in their entirety for informational
purposes.
UI DV HANDBOOK, BENEFITS
A.72
SEPTEMBER 2019
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 – 12.8 and 12.17: Enter the Federal amount in Column 9 for joint
claims.
2.
Do not include revisions to overpayment amounts made in subsequent quarters. For
example, if an overpayment was established in March and a revision to the amount was
made in April, these revisions are reported in Population 13 as additions and subtractions
but not reported in Population 12.
3.
The “cause” of fraud overpayments must be either “Multiclaimant schemes” or “Single
Claimant.” The software will reject records for fraud overpayments where the cause is
UI DV HANDBOOK, BENEFITS
A.73
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
not “multiclaimant schemes” or “Single Claimant.” States that use multiple codes for
types of fraud committed by single claimants should use “Single Claimant.”
4.
The accumulated amounts (i.e. fields Accumulated UI Amount, Accumulated Federal
Amount, and Accumulated EB Amount) are used to calculate high dollar overpayments.
Enter the total amount that the claim has from previous quarters that has not been
counted already towards a high dollar overpayment in a previous quarter. For records
belonging to the same claim, the accumulated amount should be the same. The software
will add the accumulated amount only once.
5.
To accommodate the special case when there is a claim that has no amount for a type of
overpayment in the validation quarter but has an accumulated amount from previous
quarters that needs to be used to calculate a high dollar overpayment, the software will
accept a zero or blank value in the UI Amount, Federal Amount and EB Amount fields,
but the corresponding accumulated amount must be greater than zero. For example, if
the claim has a nonfraud amount but no fraud amount in the validation quarter, the
validator needs to create a record with the accumulated fraud amount from previous
quarters. The record should have the amount equal to zero, the accumulated amount
greater than zero and any date within the validation quarter as the date established. The
software will accept records with the amount equal to zero only if the accumulated
amount is greater than zero. For example, if the Program Type is UI, and the UI
Amount = 0, then Accumulated UI Amount > 0 and/or Accumulated Federal Amount >
0 if it’s a joint claim. If Program Type is UCX or UCFE and Federal Amount = 0, then
Accumulated Federal Amount > 0. If Program Type is EB, and EB Amount = 0, then
Accumulated EB Amount > 0. This does not apply to Penalty records, for which the
accumulated amounts are always optional because they are not used to calculate high
dollar overpayments.
UI DV HANDBOOK, BENEFITS
A.74
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Table A.13.1
Population 13 Subpopulations
Overpayment Reconciliation Activities
Overpayment Reconciliation Transaction Occurred During
Reporting Quarter Being Validated
ETA 227 – Section C
Sub
pop
#
13.1
13.2
13.3
13.4
13.5
13.6
13.7
13.8
ETA 227C
Line and
Column
2
(Step 1H)
(Rule 1)
3
(Step 1H)
(Rule 2)
4
(Step 4)
5
(Step 33)
6
(Step 38)
SSN
Unique ID
Program
Type
Type of
Overpayment
7
(Step 39)
8
(Step 40A)
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
UI DV HANDBOOK, BENEFITS
A.75
10
(Step 40C)
EB
Reconciliation
Amount
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
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
Sub
pop
#
ETA 227C
Line and
Column
2
(Step 1H)
(Rule 1)
3
(Step 1H)
(Rule 2)
4
(Step 4)
5
(Step 33)
6
(Step 38)
7
(Step 39)
8
(Step 40A)
9
(Step 40B)
10
(Step 40C)
SSN
Unique ID
Program
Type
Type of
Overpayment
Type of
Reconciliation
Activity
Date of
Reconciliation
Activity
UI
Reconciliation
Amount
Federal
Reconciliation
Amounta
EB
Reconciliation
Amount
UCFE or
UCX
Fraud
Cash
Required
Must be blank
or 0
>0
Must be blank
or 0
UCFE or
UCX
Fraud
Benefit Offset
Required
Must be blank
or 0
>0
Must be blank
or 0
UCFE or
UCX
Fraud
State Income
Tax Offset*
Required
Must be blank
or 0
>0
Must be blank
or 0
UCFE or
UCX
Fraud
By Other State
Required
Must be blank
or 0
>0
Must be blank
or 0
UCFE or
UCX
Fraud
Other
Required
Must be blank
or 0
>0
Must be blank
or 0
UCFE or
UCX
Fraud
Write-Off
Required
Must be blank
or 0
>0
Must be blank
or 0
UCFE or
UCX
Fraud
Addition
Required
Must be blank
or 0
>0
Must be blank
or 0
UCFE or
UCX
Fraud
Subtraction
Required
Must be blank
or 0
UI
Nonfraud
Cash
Required
>0
UI
Nonfraud
Benefit Offset
Required
>0
UI
Nonfraud
State Income
Tax Offset*
Required
>0
UI
Nonfraud
By Other State
Required
>0
13.9
303 (12)
Required
13.10
304 (12)
Required
13.11
305 (12)
Required
13.12
306 (12)
Required
13.13
307 (12)
Required
13.14
309 (12)
Required
13.15
310 (12)
Required
13.16
311 (12)
Required
13.17
303 (13, 14)
Required
13.18
304 (13, 14)
Required
13.19
305 (13, 14)
Required
13.20
306 (13, 14)
Required
UI DV HANDBOOK, BENEFITS
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
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
A.76
>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
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
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
Sub
pop
#
ETA 227C
Line and
Column
2
(Step 1H)
(Rule 1)
3
(Step 1H)
(Rule 2)
4
(Step 4)
5
(Step 33)
6
(Step 38)
7
(Step 39)
8
(Step 40A)
9
(Step 40B)
10
(Step 40C)
SSN
Unique ID
Program
Type
Type of
Overpayment
Type of
Reconciliation
Activity
Date of
Reconciliation
Activity
UI
Reconciliation
Amount
EB
Reconciliation
Amount
UI
Nonfraud
Other
Required
>0
UI
Nonfraud
Waived
Required
>0
UI
Nonfraud
Write-Off
Required
>0
UI
Nonfraud
Addition
Required
>0
UI
Nonfraud
Subtraction
Required
>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
UCFE or
UCX
Nonfraud
Cash
Required
Must be blank
or 0
>0
Must be blank
or 0
UCFE or
UCX
Nonfraud
Benefit Offset
Required
Must be blank
or 0
>0
Must be blank
or 0
UCFE or
UCX
Nonfraud
State Income
Tax Offset*
Required
Must be blank
or 0
>0
Must be blank
or 0
UCFE or
UCX
Nonfraud
By Other State
Required
Must be blank
or 0
>0
Must be blank
or 0
UCFE or
UCX
Nonfraud
Other
Required
Must be blank
or 0
>0
Must be blank
or 0
UCFE or
UCX
Nonfraud
Waived
Required
Must be blank
or 0
>0
Must be blank
or 0
UCFE or
UCX
Nonfraud
Write-Off
Required
Must be blank
or 0
>0
Must be blank
or 0
13.21
307 (13, 14)
Required
13.22
308 (13, 14)
Required
13.23
309 (13, 14)
Required
13.24
310 (13, 14)
Required
13.25
311 (13, 14)
Required
13.26
303 (14)
Required
13.27
304 (14)
Required
13.28
305 (14)
Required
13.29
306 (14)
Required
13.30
307 (14)
Required
13.31
308 (14)
Required
13.32
309 (14)
Required
UI DV HANDBOOK, BENEFITS
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
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
A.77
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
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
Sub
pop
#
ETA 227C
Line and
Column
2
(Step 1H)
(Rule 1)
3
(Step 1H)
(Rule 2)
4
(Step 4)
5
(Step 33)
6
(Step 38)
7
(Step 39)
8
(Step 40A)
9
(Step 40B)
10
(Step 40C)
SSN
Unique ID
Program
Type
Type of
Overpayment
Type of
Reconciliation
Activity
Date of
Reconciliation
Activity
UI
Reconciliation
Amount
Federal
Reconciliation
Amounta
EB
Reconciliation
Amount
UCFE or
UCX
Nonfraud
Addition
Required
Must be blank
or 0
>0
Must be blank
or 0
UCFE or
UCX
Nonfraud
Subtraction
Required
Must be blank
or 0
>0
Must be blank
or 0
EB
Fraud
Cash
Required
Must be blank
or 0
Must be blank
or 0
>0
EB
Fraud
Benefit Offset
Required
Must be blank
or 0
Must be blank
or 0
>0
EB
Fraud
State Income
Tax Offset*
Required
Must be blank
or 0
Must be blank
or 0
>0
EB
Fraud
By Other State
Required
Must be blank
or 0
Must be blank
or 0
>0
EB
Fraud
Other
Required
Must be blank
or 0
Must be blank
or 0
>0
EB
Fraud
Write-Off
Required
Must be blank
or 0
Must be blank
or 0
>0
EB
Fraud
Addition
Required
Must be blank
or 0
Must be blank
or 0
>0
EB
Fraud
Subtraction
Required
Must be blank
or 0
Must be blank
or 0
>0
EB
Nonfraud
Cash
Required
Must be blank
or 0
Must be blank
or 0
>0
EB
Nonfraud
Benefit Offset
Required
Must be blank
or 0
Must be blank
or 0
>0
13.33
310 (14)
Required
13.34
311 (14)
Required
13.35
303 (22)
Required
13.36
304 (22)
Required
13.37
305 (22)
Required
13.38
306 (22)
Required
13.39
307 (22)
Required
13.40
309 (22)
Required
13.41
310 (22)
Required
13.42
311 (22)
Required
13.43
303 (23)
Required
13.44
304 (23)
Required
UI DV HANDBOOK, BENEFITS
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
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
A.78
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
Sub
pop
#
ETA 227C
Line and
Column
2
(Step 1H)
(Rule 1)
3
(Step 1H)
(Rule 2)
4
(Step 4)
5
(Step 33)
6
(Step 38)
7
(Step 39)
8
(Step 40A)
9
(Step 40B)
10
(Step 40C)
SSN
Unique ID
Program
Type
Type of
Overpayment
Type of
Reconciliation
Activity
Date of
Reconciliation
Activity
UI
Reconciliation
Amount
Federal
Reconciliation
Amounta
EB
Reconciliation
Amount
EB
Nonfraud
State Income
Tax Offset*
Required
Must be blank
or 0
Must be blank
or 0
>0
EB
Nonfraud
By Other State
Required
Must be blank
or 0
Must be blank
or 0
>0
EB
Nonfraud
Other
Required
Must be blank
or 0
Must be blank
or 0
>0
EB
Nonfraud
Waived
Required
Must be blank
or 0
Must be blank
or 0
>0
EB
Nonfraud
Write-Off
Required
Must be blank
or 0
Must be blank
or 0
>0
EB
Nonfraud
Addition
Required
Must be blank
or 0
Must be blank
or 0
>0
EB
Nonfraud
Required
Must be blank
or 0
UI
Fraud
Required
>0
Must be blank
or 0
> 0 if joint claim;
otherwise blank
or 0
UCFE or
UCX
Fraud
Required
Must be blank
or 0
UI
Nonfraud
Required
>0
>0
> 0 if joint claim;
otherwise blank
or 0
UCFE or
UCX
Nonfraud
Required
Must be blank
or 0
>0
Must be blank
or 0
EB
Fraud
Subtraction
Federal
Income Tax
Offset*
Federal
Income Tax
Offset*
Federal
Income Tax
Offset*
Federal
Income Tax
Offset*
Federal
Income Tax
Offset*
Required
Must be blank
or 0
Must be blank
or 0
>0
13.45
305 (23)
Required
13.46
306 (23)
Required
13.47
307 (23)
Required
13.48
308 (23)
Required
13.49
309 (23)
Required
13.50
310 (23)
Required
13.51
311 (23)
Required
13.52
314 (11, 12)
Required
13.53
314 (12)
Required
13.54
314 (13, 14)
Required
13.55
314 (14)
Required
13.56
314 (22)
Required
UI DV HANDBOOK, BENEFITS
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
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
A.79
>0
Must be blank
or 0
Must be blank
or 0
Must be blank
or 0
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
Sub
pop
#
13.57
ETA 227C
Line and
Column
314 (23)
APPENDIX A
2
(Step 1H)
(Rule 1)
3
(Step 1H)
(Rule 2)
4
(Step 4)
5
(Step 33)
6
(Step 38)
7
(Step 39)
8
(Step 40A)
9
(Step 40B)
10
(Step 40C)
SSN
Unique ID
Program
Type
Type of
Overpayment
Date of
Reconciliation
Activity
UI
Reconciliation
Amount
Federal
Reconciliation
Amounta
EB
Reconciliation
Amount
Required
Required if State
maintains a
unique ID
EB
Nonfraud
Type of
Reconciliation
Activity
Federal
Income Tax
Offset*
Required
Must be blank
or 0
Must be blank
or 0
>0
*These values are abbreviated in the record layout data format specifications (see Appendix A of ETA Operations Guide 411) but are shown here
in their entirety for informational purposes.
aFor
Subpopulations 13.1 through 13.8, 13.17 through 13.25, 13.52, and 13.54 the Federal amount is the Federal share of a joint UI-Federal claim.
UI DV HANDBOOK, BENEFITS
A.80
SEPTEMBER 2019
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
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Table A.14.1
Population 14 Subpopulations
Age of Overpayments
ETA 227C
ETA 227E
2
(Step
1G)
(Rule 1)
4
5
6
7
8
9
10
(Step 1G)
(Step 36)
(Step 4)
(Step 44)
(Step 33)
(Step 42A)
(Step 42B)
(Step 42C)
Type of
Overpaym
ent
UI
Federal
EB
Balance at
Balance at
Balance at
End of Qtr
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
(Rule 2)
Report, Line,
pop #
and Column
14.1
E501 (18, 19)
Age ≤ 90 days
Required
Required if State
maintains a unique ID
Requireda
UI
>0
14.2
E502 (18, 19)
Age 91-180 days
Required
Required if State
maintains a unique ID
Requireda
UI
>0
14.3
E503 (18, 19)
Age 181-270 days
Required
Required if State
maintains a unique ID
Requireda
UI
>0
14.4
E504 (18, 19)
Age 271-360 days
Required
Required if State
maintains a unique ID
Requireda
UI
>0
14.5
E505 (18, 19)
Age 361-450 days
Required
Required if State
maintains a unique ID
Requireda
UI
>0
14.6
E506 (18, 19)
Age > 450 days
Required
Required if State
maintains a unique ID
Requireda
UI
14.8
14.9
E501 (19)
Age ≤ 90 days
E502 (19)
Age 91-180 days
E503 (19)
Age 181-270 days
UI DV HANDBOOK, BENEFITS
Required
Required
Required
Unique ID
Date
Established
Sub
14.7
SSN
3
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Requireda
Requireda
Requireda
Program
Active
Type
Collection
UCFE or
UCX
UCFE or
UCX
UCFE or
UCX
A.83
Y or N*
>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
Must be blank or 0
>0
Must be blank or 0
>0
Must be blank or 0
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
ETA 227C
ETA 227E
Sub
Report, Line,
pop #
and Column
E504 (19)
Age 271-360 days
E505 (19)
Age 361-450 days
E506 (19)
Age > 450 days
14.10
14.11
14.12
2
(Step
1G)
(Rule 1)
SSN
Required
Required
Required
APPENDIX A
3
4
5
6
7
8
9
10
(Step 1G)
(Step 36)
(Step 4)
(Step 44)
(Step 33)
(Step 42A)
(Step 42B)
(Step 42C)
Type of
Overpaym
ent
UI
Federal
EB
Balance at
Balance at
Balance at
End of Qtr
Must be
blank or 0
Must be
blank or 0
Must be
blank or 0
End of Qtr
End of Qtr
>0
Must be blank or 0
>0
Must be blank or 0
>0
Must be blank or 0
(Rule 2)
Unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
Required if State
maintains a unique ID
14.13
C312 (11, 12)
Required
Required if State
maintains a unique ID
14.14
C312 (13, 14)
Required
Required if State
maintains a unique ID
14.15
C312 (12)
Required
14.16
C312 (14)
Required
14.17
C312 (22)
Required
14.18
C312 (23)
Required
14.19
14.20
14.21
14.22
14.23
14.24
E501 (25)
Age ≤ 90 days
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
Required
Required
Required
Required
Required
Required
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
Date
Established
Requireda
Requireda
Requireda
Program
Active
Type
UCFE or
UCX
UCFE or
UCX
UCFE or
UCX
Collection
Y or N*
Requiredb
UI
N or D*
Fraud
>0
Requiredb
UI
N or D*
Nonfraud
>0
N or D*
Fraud
N or D*
Nonfraud
Requiredb
Requiredb
UCFE or
UCX
UCFE or
UCX
Requiredb
EB
N or D*
Fraud
Requiredb
EB
N or D*
Nonfraud
Requireda
EB
Requireda
EB
Requireda
EB
Requireda
EB
Requireda
EB
Requireda
EB
A.84
Y or N*
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 if joint
claim;
otherwise
blank or 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
>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
>0
>0
>0
>0
>0
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
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 on the basis of the date ranges given in “ETA 227C ETA 227E Report, Line, and Column.”
aAges
bThese
overpayments have been reported in line 506 (18,19) in at least 3 prior quarters.
Column 6:
Y* = Yes, overpayment in active collection throughout the report quarter. Overpayment records must be coded with N or Y as soon as
they are old enough to be reported in E-506 (18 or 19)—Age 451+ days.
N = No, overpayment not in active collection at the end of the report quarter. Records of overpayments not in active collection must be
coded with N as soon as they are old enough to be reported in E-506 (18 or 19)--Age 451+ days--and will be removed after having been
reported in Section E for eight previous quarters.
D* = Dropped, overpayment not in active collection at the end of the report quarter after being in active collection throughout (or at least
at the end of) the prior quarter and reported in Section E at least nine previous quarters.
UI DV HANDBOOK, BENEFITS
A.85
SEPTEMBER 2019
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
91 − 180 days
181 − 270 days
271 − 360 days
361 − 450 days
451 days or more
Total Accounts Receivable
501
502
503
504
505
506
507
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.
Population 14 has been designed to process a state’s entire outstanding overpayments file
and generate:
Section E of the ETA 227 Report (Age of Outstanding Overpayments)
Amounts removed on Section C of the ETA 227 Report (Overpayments
Reconciliation Activities – Row 312)
The validation of amounts removed in Section C uses the population 14 file and not the
population 13 file which validates Section C because removal is determined by examining
outstanding overpayments.
The software will ignore any overpayments that are included in the extract file that are
too old to be included in Section E and are not removed during the quarter.
Overpayments are not removed automatically when they have been included on the
previous eight 227 reports. If the overpayment is in Active Collection status in the ninth
quarter after it was established, it is not removed until the state indicates that it has
dropped the Active Collection status.
Therefore, states must label each outstanding overpayment that has been reported on eight
227 reports in Column 6 (Active Collection) as either:
Yes – in active collection. These overpayments will not be removed and will be
included in section E (greater than 450 days).
No – not in active collection. These overpayments will be removed (not
included in section E but included in Section C line 12) in the ninth quarter after
the date established. Any overpayment greater than nine quarters old with a no
in Column 7 is not included in Sections C or E.
Dropped – the overpayment has been reported for 9 or more quarters and was in
active collection in the prior quarter but has been dropped during the report
quarter from active collection status. These payments will be included in Section
C line 12 as removed during the quarter.
2.
Overpayment in Active Collection: Overpayments for which a payment schedule is
established with the claimant or for which offsets are being collected.
3.
Section C of the ETA 227 report requires the amounts removed to be identified as fraud
or non-fraud. Therefore, a value of fraud or non-fraud is required in Column 8 for
overpayments which had been reported for eight quarters and are not in active collection
or overpayments which had been reported for nine or more quarters and the state dropped
active collection during the quarter.
UI DV HANDBOOK, BENEFITS
A.87
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
Table A.15.1
Population 15 Subpopulations
Overpayments Established by Method
2
(Step 1G)
(Rule 1)
Subpop
#
ETA 227B
Line and
Column
15.01
202 (6)
15.02
203 (6)
15.03
210 (6)
15.04
204 (6)
15.05
205 (6)
15.06
206 (6)
15.07
202 (6, 7, 8)
15.08
203 (6, 7, 8)
15.09
210 (6, 7, 8)
15.10
204 (6, 7, 8)
15.11
205 (6, 7, 8)
15.12
206 (6, 7, 8)
UI DV HANDBOOK, BENEFITS
SSN
3
(Step 1G)
(Rule 2)
Unique ID
4
(Step 33)
Type of
Overpayment
5
(Step 35)
Detection
Method
6
(Step 36)
Date
Established
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
A.88
7
(Step 37A)
(Step 37B)
8
(Step 46)
Overpayment
Established
by
Investigation
Amount
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
N
N
N
N
N
N
>0
Y
>0
Y
>0
Y
>0
Y
>0
Y
>0
Y
SEPTEMBER 2019
SUBPOPULATION SPECIFICATIONS
APPENDIX A
2
(Step 1G)
(Rule 1)
Subpop
#
ETA 227B
Line and
Column
SSN
15.13
207 (7, 8)
Required
15.14
208 (7, 8)
Required
15.15
202 (6, 9, 10)
Required
15.16
203 (6, 9, 10)
Required
15.17
210 (6, 9, 10)
Required
15.18
204 (6, 9, 10)
Required
15.19
206 (6, 9, 10)
Required
15.20
207 (9, 10)
Required
15.21
208 (9, 10)
Required
UI DV HANDBOOK, BENEFITS
3
(Step 1G)
(Rule 2)
Unique ID
4
(Step 33)
5
(Step 35)
6
(Step 36)
7
(Step 37A)
(Step 37B)
Date
Established
8
(Step 46)
Overpayment
Established
by
Investigation
Type of
Overpayment
Detection
Method
Fraud
Other
Controllable
Required
>0
Fraud
Noncontrollable
Required
>0
Nonfraud
Wage
Crossmatch
Required
>0
Y
Nonfraud
IB Crossmatch
Required
>0
Y
Nonfraud
NDNH
Required
>0
Y
Nonfraud
SDNH
Required
>0
Y
Nonfraud
Special Project
Required
>0
Y
Nonfraud
Other
Controllable
Required
>0
Nonfraud
Noncontrollable
Required
>0
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
A.89
Amount
SEPTEMBER 2019
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
APPENDIX B
Benefits
SAMPLE SPECIFICATIONS
SAMPLE SPECIFICATIONS
APPENDIX B
A. Purpose
This appendix describes the sampling specifications used by the software to select samples of
transactions for data element validation.
B. TYPES OF SAMPLES
The validation software uses specific random and supplemental sampling techniques to ensure
that the validation methodology is efficient but thorough. The software selects four different
types of samples:
Random
Missing subpopulations
Outliers
Minimum
There are 18 random samples among all benefits populations. These samples pass with an
error rate of 5% or less. If a random sample fails to pass validation, the population must be
revalidated within a year.
Non-random samples are supplemental and are not used when calculating population pass/fail
scores, but states must complete them and save their results for three years in case of an Office
of Inspector General (OIG) audit.
C. Random Samples
Random samples are used to validate the most important transaction types, for which ETA
requires the most comprehensive validation. These transaction types are used for funding or
for important performance measures, such as initial claims, nonmonetary determinations,
appeals, and first payments.
The DV program uses a two-tier random sampling method. This approach is very efficient
because it allows states to review a relatively small number of cases while still ensuring that
the data meet UI validation standards.
Depending on the type of transactions to be validated, the software selects 100 or 200 cases
at random from a specific set of subpopulations. The validator initially reviews 30 cases for
samples of 100 records or 60 for samples of 200 records, referred to as the first tier of the
sample. After the validator finishes validating the first tier, the software indicates whether it
is necessary to continue to review the remaining cases. If there are no errors or a sufficiently
large number of errors in the first tier, it is not necessary to validate the remaining cases
because the error rate of the whole sample is conclusively below 5% or above 5%. It is only
necessary to validate the remaining cases when the error rate is not conclusively below or
UI DV HANDBOOK, BENEFITS
B.1
SEPTEMBER 2019
SAMPLE SPECIFICATIONS
APPENDIX B
above 5%. The method the software uses to determine pass/fail scores follows. Specifications
for each type of random sample are found in Table B.1 on page B.5.
Procedures for reviewing 30/100 samples:
Step 1:
Review the 30 cases in the first tier.
0 errors: the error rate is considered to be below 5%, and it is not necessary to
review the remaining cases in the sample. The sample passes validation.
5 or more errors: the error rate is considered to be above 5%, and it is not
necessary to review the remaining cases in the sample. The sample fails
validation.
1 - 4 errors: the error rate is inconclusive, and the remaining 70 cases in the
second tier of the sample must be reviewed (proceed to step 2)
Step 2:
Review the remaining 70 cases in the second tier.
9 or fewer errors (out of 100): the error rate is considered to be below 5%, and
hence the sample passes the validation.
10 or more errors (out of 100): the error rate is considered to be above 5%, and
hence the sample fails the validation.
Procedures for reviewing 60/200 samples:
Step 1:
Review the 60 cases in the first tier.
0 errors: the error rate is considered to be below 5%, and it is not necessary to
review the remaining cases in the sample. The sample passes validation.
7 or more errors: the error rate is considered to be above 5%, and it is not
necessary to review the remaining cases in the sample. The sample fails
validation.
1 - 6 errors: the error rate is inconclusive, and the remaining 140 cases in the
second tier of the sample must be reviewed (proceed to step 2).
Step 2:
Review of the remaining 140 cases in the second tier:
16 or fewer errors (out of 200): the error rate is considered to be below 5%,
and hence the sample passes the validation
UI DV HANDBOOK, BENEFITS
B.2
SEPTEMBER 2019
SAMPLE SPECIFICATIONS
APPENDIX B
17 or more errors (out of 200): the error rate is considered to be above 5%,
and hence the sample fails the validation
D. Missing Subpopulations Samples
Each missing subpopulations sample is related to a specific random sample. These are
supplemental samples that check one transaction from each subpopulation for which no
transactions were selected in the corresponding random sample. The purpose of these samples
is to make sure that all types of critical transactions are reviewed.
For example, when selecting a random sample of first payments, the sample might not include
any interstate first payments for claimants with both state UI and Federal wages
(subpopulation 4.12) because this type of payment might occur infrequently. For the
corresponding minimum sample, the software would then randomly select one transaction
from subpopulation 4.12 and from any other subpopulation not represented in the random
sample.
E. Outliers Samples
Random and missing subpopulations samples ensure that critical transactions have been
defined correctly. However, these types of samples will not necessarily examine time lapse
and dollar amount extremes (the shortest and longest time lapses, and the lowest and highest
dollar amounts) where data or programming errors may occur. Review of data outliers is the
most efficient way of detecting calculation or logic errors because it examines the extremes
in a distribution of cases sorted by time lapse or dollar amount.
For example, to ensure that there are no calculation or date errors, the software draws the five
cases with the lowest time lapse in days and the five cases with the highest time lapse in days
for transactions subjected to time lapse measurement. The user then validates these cases to
determine whether there are some anomalies. The same method is applied for transactions
that report dollar amounts, such as overpayments established and overpayment reconciliation
activities. Specifications for each outliers sample are found in Table B.1.
F. Minimum Samples
Supplemental minimum samples are used for transactions which have low priority for
validation and for which no random sample is drawn by the software. For these types of
transactions, it is only necessary to ensure that the state reporting software uses the correct
fields in the database to process and report the transactions. For example, for new UCFE/UCX
claims (subpopulations 3.15-3.18), only a supplemental sample of two cases per
subpopulation (or eight cases in total) is reviewed and no random sample is drawn.
Specifications for each supplemental minimum sample are found in Table B.1.
G. SAMPLE SELECTION SPECIFICATIONS
Table B.1 summarizes the sampling specifications. It lists all samples drawn by the software
UI DV HANDBOOK, BENEFITS
B.3
SEPTEMBER 2019
SAMPLE SPECIFICATIONS
APPENDIX B
along with the subpopulations sampled, the sample size, the sample name, the sample type,
and the corresponding RV group. For example, Sample 100 is a random sample of 200 records
selected from subpopulations 1.1 through 1.3 (intrastate weeks claimed), related to Group 1.01
of the RV.
The following is a description of each column in Table B.1:
Column 1:
Sample number
Column 2:
Type of Transaction (population)
Column 3:
Sample ID corresponds to the sample numbers in the software
Column 4:
Sample Name of sampled subset
Column 5:
Type and size of sample (shows whether the sampled transactions come from
a random, minimum, missing subpopulation, or outlier sample and the required
sample size)
Column 6:
Universe (subpopulations) subset from which each sample is derived
Column 7:
Group Number for the corresponding RV Pass/Fail group
Column 8:
Group Name for the corresponding RV Pass/Fail group
UI DV HANDBOOK, BENEFITS
B.4
SEPTEMBER 2019
SAMPLE SPECIFICATIONS
APPENDIX B
Table B.1
Sample Specifications
Benefits
Population
(1)
Pop
(2)
Type of
Transaction
1
Weeks Claimed
2
Final Payments
Data Element Validation Samples
(3)
Sample
ID
(4)
(5)
Pass/Fail Groups
Sample Name
Type and Size
(6)
Universe
(Subpops)
(7)
Group
Number
(8)
100
Intrastate Weeks Claimed
Random 60/200
1.1-1.3
1.01
5159 Intrastate Weeks Claimed
110
Interstate Liable Weeks Claimed
Random 30/100
1.4-1.6
1.02
5159 Interstate Liable Weeks Claimed
120
Interstate Weeks Claimed from
Agent
Minimum--6
1.7-1.9
1.03
5159 Interstate Weeks Claimed Filed from
Agent State
200
Final Payments
Random 30/100
2.1-2.4
2.01
5159 Final Payments
2.02
Group Name
Random 60/200
Missing Subpops ≤
17
3.1-3.18
3.01
218 Final Payments
5159 New Intrastate & Interstate Received as
Liable
3.1-3.18
3.02
5159 Filed from Agent
Interstate Filed from Agent
Minimum--6
3.19-3.21
3.03
5159 Taken as Agent
Interstate Taken as Agent
Minimum--6
3.22-3.24
3.08
218 Total Determinations
Intra and Inter Transitional Claims
Random 30/100
3.25-3.33
3.04
5159 Transitional
CWC Claims
Random 30/100
3.34-3.39
3.06
586 New CWC
321
CWC Claims
Missing Subpops ≤ 5
3.34-3.39
3.07
586 New CWC BY Established
300
New Intra & Inter Liable Claims
301
New Intra & Inter Liable Claims
305
310
315
320
325
Monetary Sent w/o New Claim
Minimum--12
3.40-3.45
3.09
218 Total Benefit Year Established
3
Claims
330
Entering Self Employment Program
Minimum--2
3.46
3.1
218 BY Established by Weeks
3a
Additional
Claims
350
Intrastate Additional Claims
Random 60/200
3A.1-3A.3
3A.1
360
Interstate Liable Additional Claims
Minimum--6
3A.4-3A.6
UI DV HANDBOOK, BENEFITS
B.5
5159 Additional Intrastate
SEPTEMBER 2019
SAMPLE SPECIFICATIONS
APPENDIX B
Benefits
Population
(1)
Pop
(2)
Type of
Transaction
4
Payments
5
Nonmonetary
Determinations
Data Element Validation Samples
(3)
Sample
ID
(5)
Sample Name
Type and Size
400
First Payments
405
First Payments
Random 60/200
Missing Subpops ≤
15
Pass/Fail Groups
(6)
Universe
(Subpops)
(7)
Group
Number
(8)
4.1-4.16
4.01
9050 First Payments
4.1-4.16
4.02
9050 Partial First Payments
Group Name
410
First Payments
Outliers--10
4.1, 4.3, 4.5,
4.7, 4.9,
4.11, 4.13,
4.15
4.03
9051 Continued Weeks Compensated
415
Outliers--10
4.17-4.24
4.05
586 Weeks Compensated
420
Continued Weeks Total Payments
Continued Weeks Partial
Payments
Random 30/100
4.25-4.32
4.04
9051 Continued Partial Weeks Compensated
425
Adjusted Payments
Outliers--10
4.33-4.42
4.06
586 Prior Weeks Compensated
430
Self Employment Payments
Minimum--2
4.43
4.07
586 Benefits Paid ($)
435
CWC First Payments
Random 30/100
4.44-4.45
4.09
586 CWC First Payments
440
CWC Continued Payments
Minimum--4
4.46-4.47
4.08
586 Prior Benefits Paid ($)
445
CWC Adjusted Payments
Minimum--4
4.48-4.49
4.1
5159 UI Weeks Compensated
450
CWC Prior Weeks Compensated
Minimum--4
4.50-4.51
4.11
5159 UCFE/UCX Weeks Compensated
4.12
5159 UI Amount Paid ($)
4.13
5159 UCFE/UCX Amount Paid ($)
500
Single Claimant Nonmon
Determinations
Random 30/100
5.1-5.60
5.09
9052 Single Claimant Non Monetary
Determinations
Missing Subpops ≤
59
5.1-5.60
5.01
207 Total Single Claimant Determinations and
UCFE/UCX Redeterminations
Outliers--10
5.1-5.60
5.03
207 Single Claimant Denials
505
Single Claimant Nonmon
Determinations
Single Claimant Nonmon
Determinations
510
UI Multi-Claimant Determinations
Minimum--8
5.61-5.64
5.04 and
5.10
520
Single Claimant Redeterminations
Random 30/100
5.65-5.70
5.02
207 UI Single Claimant Redeterminations
5.05
207 Separation Determinations
5.06
207 Separation Denials
5.07
207 UI Non Separation Determinations
5.08
207 UI Non Separation Denials
501
UI DV HANDBOOK, BENEFITS
(4)
B.6
207 and 9052 Multi-Claimant Non Monetary
Determinations
SEPTEMBER 2019
SAMPLE SPECIFICATIONS
APPENDIX B
Benefits
Population
(1)
Data Element Validation Samples
Pop
(2)
Type of
Transaction
(3)
Sample
ID
6
Appeals Filed,
Lower Authority
600
7
Appeals Filed,
Higher Authority
8
(4)
(5)
Sample Name
Pass/Fail Groups
Type and Size
(6)
Universe
(Subpops)
(7)
Group
Number
Appeals Filed, Lower Authority
Minimum--4
6.1-6.2
6.01
5130 Lower Authority Appeals
700
Appeals Filed, Higher Authority
Minimum--4
7.1-7.2
7.01
5130 Higher Authority Appeals
5130 All Decisions
Lower Authority Appeals Decisions
Random 60/200
8.1-8.52;
8.54-8.55
8.01
800
8.06
9054 All Appeals
810
Lower Authority Appeals Decisions
Missing Subpops ≤
21
8.33-8.52;
8.54-8.55
8.02
5130 UI Disposed of During Month
820
Lower Authority Appeals Decisions
Outliers--10
8.1-8.52;
8.54-8.55
8.03
5130 UI Decisions (by Type)
8.04
5130 UI in Favor of Appellant
8.05
5130 UI Decisions (by Issue)
9.01
5130 All Decisions
9.05
9054B All Appeals
Appeals
Decisions,
Lower Authority
900
Higher Authority Appeals Decisions
910
Multi Claimant Appeals, Higher
Authority
920
Higher Authority Appeals Decisions
(8)
Group Name
Random 30/100
9.1-9.20;
9.22-9.23
Missing Subpops ≤ 9
9.13 – 9.20;
9.22-9.23
9.02
5130 UI Disposed of During Month
Outliers--10
9.13 – 9.20;
9.22-9.23
9.03
5130 UI Decisions (by Type)
9.04
5130 UI in Favor of Appellant
9
Appeals
Decisions,
Higher Authority
10
Appeals Case
Aging, Lower
Authority
1000
Appeals Case Aging, Lower
Authority
Outliers--10
10.1-10.7
10.01
9055 Lower Authority Appeals Case Aging
11
Appeals Case
Aging, Higher
Authority
1100
Appeals Case Aging, Higher
Authority
Outliers--10
11.01
9055 Higher Authority Appeals Case Aging
1200
Overpayment $ Established
Random 60/200
12.04
227 Total Dollars Established ($)
1210
Overpayment $ Established
Missing Subpops ≤
24
12.02
227 Fraud
1220
Overpayment $ Established
Outliers--10
11.1-11.6
12.1-12.7;
12.9-12.15;
12.17-12.26
12.1-12.7;
12.9-12.15;
12.17-12.26
12.1-12.7;
12.9-12.15;
12.17-12.26
12.03
227 Non-fraud
12.05
227 Penalty ($)
12
Overpayments
Established by
Cause
UI DV HANDBOOK, BENEFITS
B.7
SEPTEMBER 2019
SAMPLE SPECIFICATIONS
APPENDIX B
Benefits
Population
(1)
Pop
(2)
Type of
Transaction
Data Element Validation Samples
(3)
Sample
ID
1300
1310
1320
13
14
15
(4)
(5)
Sample Name
Type and Size
Overpayment Reconciliation
Activities
Overpayment Reconciliation
Activities
Overpayment Reconciliation
Activities
Pass/Fail Groups
(6)
Universe
(Subpops)
(7)
Group
Number
Random 30/100
Missing Subpops ≤
56
13.1-13.57
13.01
227 Recovered ($)
13.1-13.57
13.02
227 Waived ($)
Outliers--10
13.1-13.57
13.03
227 Written-Off ($)
13.04
227 Addition ($)
Overpayment
Reconciliation
Activities
Aged
Overpayments
Overpayments
Established by
Method
UI DV HANDBOOK, BENEFITS
(8)
Group Name
13.05
227 Subtraction ($)
1400
Aged Overpayments
Random 30/100
14.1-14.12
14.01
1410
Aged Overpayments
14.1-14.12
14.03
1420
Aged Overpayments
Overpayments $ Established by
Method
Overpayments $ Established by
Method
Outliers--10
Missing Subpops ≤
11
14.1-14.12
14.02
227 UI Total Accounts Receivable ($)
227 Receivables Removed at End of Period
($)
227 UCFE/UCX Total Accounts Receivable
($)
Random 60/200
Missing Subpops ≤
14
15.7-15.21
15.03
227 Dollars Established ($)
15.7-15.21
15.01
227 Overpayment Cases Investigated
15.02
227Overpayment Cases
1500
1510
B.8
SEPTEMBER 2019
SAMPLE SPECIFICATIONS
APPENDIX B
H. Sample Sizes below the Guidelines
For some smaller states, the number of cases to be randomly sampled (100 or 200) may exceed
the universe for the selected time period being validated. In that case, the software will display
all records and use the following table (Table B.2) to determine the score of the sample.
Table B.2
Numbers of Errors and Conclusions for Samples under Supplemented Guidelines
Total Number of
Transactions Sampled
(Range)
3 to 7
8 to 16
17 to 28
29 to 40
41 to 53
54 to 67
68 to 81
82 to 95
96 to 110
111 to 125
126 to 140
141 to 155
156 to 171
172 to 187
188 to 200
UI DV HANDBOOK, BENEFITS
Error Rate is Less than
5% (Pass) if Number of Error Rate is at Least
Errors is No More
5% (Fail)if Number of
Than:
Errors is at Least
1
2
2
3
3
4
4
5
5
6
6
7
7
8
8
9
9
10
10
11
11
12
12
13
13
14
14
15
15
16
B.9
SEPTEMBER 2019
APPENDIX C
Benefits
INTERSTATE FILED FROM AGENT RECORDS
POPULATIONS 1 AND 3
INTERSTATE FILED FROM AGENT RECORDS
APPENDIX C
A. Purpose
Agent States are informed about New Claims and Continued Claims filed directly from
claimants in their state against paying states through the Liable Agent Data Transfer (LADT)
system. The LADT records are transferred from liable states to agent states via the Interstate
Connection (ICON) system, and are the source from which Interstate Agent claim counts are
reported and validated. LADT individual records are the source for building the validation
records for Interstate Agent Weeks Claimed (subpopulations 1.7-1.9 of Population 1) and
Interstate Agent Initial Claims (subpopulations 3.19-3.21 of Population 3.) This appendix
provides instructions on how to build these records. If LADT individual records are not stored
on the state UI database, then Populations 1 and 3 constructed directly from the database will
contain no Interstate agent records and separate steps must be taken to construct and add them
to the extract files
B. Methodology
The two record layouts below provide guidance on how the LADT individual record data are
used to build Interstate Filed from Agent records. The records must be appended to records
in the extract files for Populations 1 and 3 before importing them into the validation software.
These records must be constructed as ASCII comma-delimited columns, as other records in
the extract file. Data must be in the order listed on the record layout.
Module 3 indicates the step where the state-specific values for each field are documented.
Where the LADT record does not contain the appropriate information, the record layout
indicates “Leave blank” in the LADT field number column. The Data Type/Format indicates
the generic values for text fields. These must be followed by a dash and the state-specific
value.
Refer to field number 62 (Record Type) in the LADT record to determine whether the record’s
data are to be used for Population 1 or 3. Population 1 uses data from Record Type = 2.
Population 3 extract records are built from LADT Records Type = 1 and 3.
UI DV HANDBOOK, BENEFITS
C.1
SEPTEMBER 2019
INTERSTATE FILED FROM AGENT RECORDS
APPENDIX C
Table C.1
Record Layout for Creating Records for
Interstate Filed From Agent State Weeks Claimed
Population 1: Weeks Claimed
ETA 5159 reference: Row 201, column 11; Row 202, column 11; Row 203, column 11
Subpopulations: 1.7 – 1.9
Field 62 (Record Type) in LADT = 2 (Weeks Claimed)
Num
Field Name
LADT Field
Number
Module 3 Reference
Field Description
1
OBS
N/A
2
Claim Week-Ending Date
Step 1A – Rule 2
52
3
SSN
Step 1A – Rule 1
1
State assigned sequential unique
identifier for each record in the
extract file.
The week-ending date of the
week claimed.
Social Security Number
4
Type of UI Program
Field 28 = 0
Regular UI claim.
5
Program Type
Regular UI:
Step 2A – Rule 1
UI: Step 4A – Rule 1
27
UI, UCFE, or UCX
UCFE: Step 4B – Rule 1
6
7
8
Intrastate/ Interstate
Date Week Claimed
Monetarily Eligible or
Pending
UI DV HANDBOOK, BENEFITS
UCX: Step 4C – Rule 1
Intrastate: Step 5A – Rules 1 and 2 Insert “Interstate
Agent”
Interstate Received as Liable
State: Step 5B – Rules 1 and 2
Interstate Filed From Agent State:
Step 5D – Rules 1 and 2
Step 11 – Rule 1
Step 11 – Rule 2
63
Leave Blank
C.2
Data Type/Format
Number – 00000000
(Required)
Date - MM/DD/YYYY
(Required)
Number – 000000000
(Required)
Text – Regular UI (Required)
Text – UI;
UCFE;
UCX
(Required)
Intrastate, Interstate received as Text – Intrastate;
liable state, or Interstate filed from Interstate
liable;
agent state.
agent
(Required)
Interstate
The date the week was claimed. Date – MM/DD/YYYY (Required)
Claimant is monetarily eligible for Text - Eligible; Pending
benefits when the week was
(Optional)
claimed if: benefits have not been
exhausted or monetary eligibility
is pending, i.e., eligibility has not
been finally determined. .
SEPTEMBER 2019
INTERSTATE FILED FROM AGENT RECORDS
APPENDIX C
9
Earnings
Step 11 – Rule 3
LADT Field
Number
Leave Blank
10
11
WBA
User
Step 11 – Rule 3
N/A
33
Leave Blank
Num
Field Name
UI DV HANDBOOK, BENEFITS
Module 3 Reference
C.3
Field Description
Earnings for the week claimed
except for interstate filed from
agent state claims.
Weekly benefit allowance.
User defined field. Can be used
for any additional data element.
Not mandatory.
Data Type/Format
Number – 00000.00
(Required except optional for
interstate filed from agent state
claims)
Number – 00000.00 (Required)
Text
(Optional)
SEPTEMBER 2019
INTERSTATE FILED FROM AGENT RECORDS
APPENDIX C
Table C.2
Record Layout for Creating Records for
Interstate Filed From Agent State Claims
Population 3: Claims
ETA 5159 reference: Row 101, column 4; Row 102, column 4; Row 103, column 4
Subpopulations: 3.19 – 3.21
Field 62 (Record Type) in LADT = 1 or 3 (TIC or Reopen/Transfer)
Num
Field Name
Module 3 Reference
1
OBS
N/A
2
3
SSN
Date Claim
Filed/IB-4
Sent
Type of UI
Program
Type of Claim
Step 1B – Rule 1
Step 3A – Rule 1
Step 3B – Rule 1
Step 3C – Rule 1
Regular UI:
Step 2A – Rule 1
New: Step 3A – Rule 2
4
5
Transitional: Step 3C – Rule 2
Entering Self-Employment: Step 3D –
Rule 2
Additional: Step 3B – Rule 2
Reopened: Step 3B – Rule 7
LADT Field
Number
Field Description
Data Type/Format
State assigned sequential
unique identifier for each record
in the extract file.
1
Social Security Number
25
The date the claim was filed in
person, by mail or telephone, or
by other means.
Field 28 = 0 Regular UI claim.
Number – 00000000 (Required)
30 or
59 =
1(Reopen)
Text – New; Transitional;
Entering Self-Employment;
Additional;
Reopened;
CWC New;
Prior Qtr New CWC;
Prior Qtr New Claim
(Required)
New claim,
Transitional claim,
Entering self-employment,
Additional claim,
Reopened claim,
New CWC claim,
New CWC claim filed in a prior
quarter, or
New claim filed in a prior
quarter.
Number – 000000000 (Required)
Date – MM/DD/YYYY (Required)
Text – Regular UI (Required)
New CWC claim: Step 3A – Rule 6
New CWC claim filed in prior quarter:
Step 3A – Rule 7
New claim filed in prior quarter: Step
3A – Rule 5
UI DV HANDBOOK, BENEFITS
C.4
SEPTEMBER 2019
INTERSTATE FILED FROM AGENT RECORDS
Num
6
Field Name
Program
Type
Module 3 Reference
UI: Step 4A –
Rule 1
APPENDIX C
LADT Field
Field Description
Number
27
UI, UCFE, or UCX.
UCFE: Step 4B – Rule 1
7
Intrastate/
Interstate
UCX: Step 4C – Rule 1
Intrastate: Step 5A – Rules 1 and 2
Interstate Received as Liable State:
Step 5B – Rules 1 and 2
Data Type/Format
Text – UI;
UCFE;
UCX
(Required except optional for CWC and entering
self-employment program claims)
Insert
“Interstate
Agent”
Intrastate,
Interstate received as liable,
Interstate taken as agent,
Interstate filed from agent state,
Intrastate combined wage claim,
or
Interstate combined wage claim.
Text – Intrastate;
Interstate liable;
Interstate taken;
Interstate agent;
CWC Intrastate;
CWC Interstate;
(Required except optional for transitional claims,
new claims filed during a prior quarter, and entering
self-employment program claims)
Leave
Blank
Date when the original
determination was made on
whether the claimant has
sufficient base-period wages
and/or employment to establish
a benefit year.
The status of the new UI or
CWC claim at the time the 218
report was run: Sufficient – new
base year established,
Sufficient – no new base year
established,
Insufficient,
a new CWC claim,
or not a new CWC claim.
Date – MM/DD/YYYY (Required except must be
blank for “No Monetary” claim and CWC claims with
insufficient wages and optional for UCFE, UCX,
interstate filed from agent state, interstate taken as
agent state, and entering self-employment program
claims)
Text – Insufficient; Sufficient New BY; Sufficient No
BY; Sufficient New CWC BY
(Required except must be blank for “No Monetary”
claim and optional for UCFE, UCX, interstate filed
from agent state, interstate taken as agent state, and
entering self-employment program claims)
Interstate Taken as Agent State:
Step 5C – Rules 1 and 2
Interstate Filed From Agent State: Step
5D – Rules 1 and 2
Intrastate CWC: Step 5E – Rules 1 and
2
8
9
Date of
Original
Monetary
Sufficient/
Insufficient/
Combined
Wages
Interstate CWC: Step 5F – Rules 1
through 4
Step 6A – Rules 1 and 2
Step 6B – Rule 1
Sufficient Wages – New Benefit Year:
Step 6C – Rules 1 and 2
Sufficient Wages – No New Benefit
Year: Step 6C – Rule 3
Insufficient Wages: Step 6D – Rule 1
New CWC Wages: Step 6C – Rule 4
Leave
Blank
No New CWC Wages: Step 6D – Rules
2 and 3
UI DV HANDBOOK, BENEFITS
C.5
SEPTEMBER 2019
INTERSTATE FILED FROM AGENT RECORDS
Num
10
Field Name
WBA
Module 3 Reference
Step 7 – Rules 1 and 2
APPENDIX C
LADT Field
Field Description
Number
33
Weekly benefit allowance is the
maximum or less than
maximum.
11
MBA
Steps 8A and 8B – Rule 1
Leave
Blank
12
Potential
Weeks of
Duration
Step 8A – Rule 1
Leave
Blank
13
Potential
Weeks
Maximum
Duration
Step 8B – Rules 1 and 2
Leave
Blank
14
User
N/A
Leave
Blank
UI DV HANDBOOK, BENEFITS
Data Type/Format
Text – Maximum; Less than Maximum (Required
except must be blank for insufficient, sufficient but
no benefit year, and “No Monetary” claim, and
optional for UCFE, UCX, interstate filed from agent
state, interstate taken as agent state, CWC, and
entering self-employment program claims)
(States should include the WBA after the dash which
follows the generic Federal value.)
Maximum benefit allowance.
Number – 00000.00 (Required except must be blank
or 0 for insufficient, sufficient but no benefit year,
and “No Monetary” claim, and optional for UCFE,
UCX, interstate filed from agent state, interstate
taken as agent state, CWC, and entering selfemployment program claims)
The number of full weeks of
Number – 00 (Required except must be blank or 0
benefits for which a claimant is for insufficient, sufficient but no benefit year, and “No
determined to be eligible within Monetary” claim, and optional for UCFE, UCX,
a benefit year.
interstate filed from agent state, interstate taken as
agent state, CWC, and entering self-employment
program claims)
The duration of the benefit year Text – Y;
is or is not the maximum for the N
State.
(Required except must be blank for insufficient,
sufficient but no benefit year, and “No Monetary”
claim, and optional for UCFE, UCX, interstate filed
from agent state, interstate taken as agent state,
CWC, and entering self-employment program
claims)
User defined filed. Can be used Text
for any additional data element. (Optional)
Not mandatory.
C.6
SEPTEMBER 2019
APPENDIX D
Benefits
COMBINED WAGE CLAIMS AND PAYMENTS
POPULATIONS 3 AND 4
COMBINED WAGE CLAIMS AND PAYMENTS
APPENDIX D
A. Purpose
The ETA 5159 report includes information on claims filed and payments made. If those
claims and payments involve combining wages from more than one state--i.e., they are
combined wage claims (CWC)—they are also reported on the ETA 586 report of the paying
state. The way CWC are reported on the two reports, however, is completely different. For
this reason, the data validation program counts CWC claims and payments as separate
transactions for which separate records are built and extracted differently for Populations 3
and 4, even though they represent a single claim or payment on the 5159. This guide indicates
how the two sets of records are built and gives examples of both kinds of records.
For Population 3, state programmers need to extract claim records in subpopulations 3.1 to
3.33; 3.40 to 3.46 using the reporting rules of ETA 5159, where the issue of wages from
multiple states is irrelevant. Then, the programmers in the CWC paying state need to extract
CWC records for subpopulations 3.34 to 3.39 using the logic presented in the scenarios on the
following pages where wages from more than one state are involved (including where wages
were requested and/or added to the claim). Once the claims are extracted, the programmers
must merge the records into a single file that can be loaded into the DV software.
The same approach is used for CWC payments in Population 4. The reporting of weeks
compensated on the ETA 5159 report and of payments’ time lapse on the ETA 9050 and ETA
9051 reports is not affected by how many states’ wages are used. The reporting rules for
weeks compensated on the ETA 586 report is explained in this guide and is very different
from the rules for the ETA 5159, ETA 9050, and ETA 9051 reports.
State programmers should extract payments for subpopulations 4.1 to 4.43 using the ETA
5159, ETA 9050, and ETA 9051 reporting rules. Then, using the logic explained in the
scenarios on the following pages, create a separate extract file for CWC payments for
subpopulations 4.44 to 4.51. These two files must then be merged to load into Population 4
in the DV software.
Obviously, it is not necessary to physically create two extracts each for Populations 3 and 4
and then merge them. Programmers could combine the two sets of extract logic into a single
extract process for each of these populations.
B.
Methodology
The following scenarios illustrate examples of different ways that combined wage claims and
their associated payments are reported and validated on the ETA 586. For the first five
scenarios, the first quarter of 2006 (January to March, 2006) was used. Activities that were
reported on prior ETA 586 reports are listed as N/A for that specific quarter. Reporting
UI DV HANDBOOK, BENEFITS
D.1
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
APPENDIX D
activities on the ETA 5159 and ETA 218 reports are also listed. A sixth scenario illustrates
the effect of a regulation issued in November 2008 (effective January 2009) that changes the
definition of the CWC paying state.
Scenario 1
Wages were requested and combined for the initial claim within the same
quarter and before the issuance of the first payment.
Table D.1
Scenario 1
Step
1
2
3
4
Date
Action
02/02/2006 New UI intrastate
claim and request for
wages from another
state
02/03/2006 IB-4 is sent
02/06/2006 Monetary
determination of a
$150 weekly benefit
allowance (WBA)
was made based on
wages from two
states
02/10/2006 First Payment of
$150
5
02/17/2006 Payment of $150
6
02/24/2006 Payment of $150
7
03/03/2006 Payment of $150
3.01 (Insufficient) or
3.04 (Sufficient, less
than Maximum)
N/A
Reporting of
Transaction as
Regular
Transaction
5159A-101-2
3.34 or 3.35
depending on the
outcome of the
monetary
New CWC
3.35
New CWC Benefit
Year (BY)
586-101-1
N/A
586-101-2
218A-100-1 (3-5)
218B-101 (8-13)
(after
redetermination for
CWC wages)
Subpopulation
Reporting of
Transaction as
CWC Transaction
4.1 (UI 1st payment); 586-101-4,
4.44 CWC first
586-101-5 ($)
payment
586B (8) – 1st
payment
4.17, UI continued
586-101-4,
payment
586-101-5 ($)
4.46 CWC continued
payment
4.17, UI continued
586-101-4,
payment
586-101-5 ($)
4.46 CWC continued
payment
4.17, UI continued
586-101-4,
payment
586-101-5 ($)
4.46 CWC continued
payment
5159B-301 (14-15);
5159B-302 (14-15);
9050-All-C2
5159B-301 (14-15);
5159B-302 (14-15);
9051-All-C2
5159B-301 (14-15);
5159B-302 (14-15);
9051-All-C2
5159B-301 (14-15);
5159B-302 (14-15);
9051-All-C2
1. A new UI intrastate claim is filed and determined monetarily insufficient or sufficient
for less than the maximum WBA on 02/02/2006 (if the original monetary were for the
Maximum MBA/WBA, wages could not be combined to yield a New CWC BY.) In
many state environments, the claimant may request that wages be combined as part of
filing an IC; in such cases, the initial claim process will include sending IB-4’s to the
states where the claimant worked, and a monetary determination will not be done until
the requested out-of-state wages are received.
UI DV HANDBOOK, BENEFITS
D.2
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
APPENDIX D
2. An IB-4 request to combine wages is sent. This results in a new CWC that is reported
on the ETA 586 in cell 101-1.
3. A monetary redetermination is issued that combines wages from two states and sets a
WBA of $150. This results in a new CWC benefit year that is reported on the ETA586
report of the first quarter of 2006, in cell 101-2.
4. A payment of $150 is made. This is considered a CWC first payment and is reported
on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5. The
payment is also reported on the 9050 and on the 5159, and $ on the 5159.
5. A second payment of $150 is made. This is considered a CWC continued payment
and is reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell
101-5. The payment is also reported on the 9051 and on the 5159, and $ on the 5159.
6. A third payment of $150 is made. This is considered a CWC continued payment and
is reported on the 586 in cell 101-4. The dollar amount is reported in cell 101-5. The
payment is also reported on the 9051 and on the 5159, and $ on the 5159.
7. A fourth payment of $150 is made. This is considered a CWC continued payment and
is reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5.
The payment is also reported on the 9051 and on the 5159, and $ on the 5159.
The following tables illustrate the records that would be built for Populations 3 and 4. CWC
records are shaded.
UI DV HANDBOOK, BENEFITS
D.3
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
APPENDIX D
Table D.2
Scenario 1
How the Steps Would be Reflected in Population 3 Validation Records
Step
Date
Claim
Filed
Type UI
Program
Claim
Type
Program
Type
Intrastate/
Interstate
Date
Original
Monetary
1
2/2/2006
Regular UI-1
NEW
UI
Intrastate-01
2/2/2009
2/2/2006
Regular UI-1
UI
Regular UI
Intrastate-01
CWC
Intrastate
2/2/2009
2/3/2006
NEW
CWC
NEW
1
2,3
UI
2/6/2006
Sufficient/
Insufficient
Insufficient
Sufficient New
BY
Sufficient New
CWC BY
WBA
Potential
Weeks
Duration
MBA
Potential
Weeks
Max
Duration
0
0
Less than
maximum
2600
26
Y
Maximum
3900
26
Y
(Optional) (Optional) (Optional) (Optional)
Subpop
3.01
3.04
3.35
Table D.3
Scenario 1
How the Steps Would be Reflected in Population 4 Validation Records
Step
4
4
5
5
6
6
7
7
Intra/
Type of Partial
Inter
Earnings
Comp.
/Total
Claim
Intrastate
First
UI Only-U
Total
0
CWC-1 Payment
First
UI Only-U Intrastate
Total
0
Payment
Intrastate Continued
UI Only-U
Total
0
CWC-1 Payment
Continued
UI Only-U Intrastate
Total
0
Payment
Intrastate Continued
UI Only-U
Total
0
CWC-1 Payment
Continued
UI Only-U Intrastate
Total
0
Payment
Intrastate Continued
UI Only-U
Total
0
CWC-1 Payment
Continued
UI Only-U Intrastate
Total
0
Payment
Type UI Program
Program Type
Regular
UI-1
Regular
UI-1
Regular
UI-1
Regular
UI-1
Regular
UI-1
Regular
UI-1
Regular
UI-1
Regular
UI-1
UI DV HANDBOOK, BENEFITS
WBA
UI
UCFE
UCX
CWC
SE
Week End
Mail Date Subpop
Amount Amount Amount Amount Amount
Date
150
0
0
0
150
0
2/1/2006 2/10/2006
4.44
150
150
0
0
0
0
2/1/2006 2/10/2006
4.1
150
0
0
0
150
0
2/8/2006 2/17/2006
4.46
150
150
0
0
0
0
2/8/2006 2/17/2006
4.17
150
0
0
0
150
0
2/15/2006 2/24/2006
4.46
150
150
0
0
0
0
2/15/2006 2/24/2006
4.17
150
0
0
0
150
0
2/22/2006 3/3/2006
4.46
150
150
0
0
0
0
2/22/2006 3/3/2006
4.17
D.4
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
APPENDIX D
The tables below illustrate the total counts and dollar amounts that the state would report in
each applicable cell of the ETA 586 for the first quarter of 2006, if the preceding scenario
occurred.
Table D.4
Scenario 1
How Claims and Benefit Years Would be Reported in ETA 586
ETA 586A
State UI
Line No.
New Claims
(1)
Persons
Establishing
Benefit Years
(2)
Intrastate
101
1
1
Interstate
Received
as Paying State
102
0
0
Table D.5
Scenario 1
How Payments Would be Reported in ETA 586
Weeks
Compensated
State UI
Benefits
Paid
Prior Weeks
Compensated
Prior
Benefits
Paid
Line
No.
(4)
Intrastate
101
4
$600
0
$0
Interstate
Received
as
Paying
State
102
0
0
0
0
UI DV HANDBOOK, BENEFITS
(6)
(5)
D.5
(7)
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
Scenario 2
APPENDIX D
An IB-4 request is sent after two UI payments are made. Wages were
combined after the new UI claim was filed but within the same quarter; and the
first payment for the new CWC is the payment for the first compensable week
after wages were combined. In this scenario, the CWC first payment occurs
before an adjustment check is issued for the week compensated before
combining the wages.
Table D.6
Scenario 2
Step
1
Date
Action
Subpopulation
2
01/02/2006 New UI intrastate
claim, and a
sufficient monetary
determination for
less than the
maximum WBA is
made
01/13/2006 Payment of $100
3
01/20/2006 Payment of $100
4
01/24/2006 Request to combine
wages; IB-4 is sent
5
01/25/2006 Monetary
redetermination is
made to increase
WBA to $150 after
wages are combined
02/03/2006 First CWC payment 4.17, UI cont’d
of $150
payment
4.44, CWC first
payment
02/09/2006 Adjustment payment 4.33, Adjustment
of $100 (2 x $50) is 4.48, CWC
made for weeks
adjustment
compensated before
wages combined
02/10/2006 Payment of $150
4.17, UI cont’d
payment
4.46, CWC cont’d
payment
02/17/2006 Payment of $150
4.17, UI cont’d
payment
4.46, CWC cont’d
payment
6
7
8
9
UI DV HANDBOOK, BENEFITS
Reporting of
Transaction as
CWC Transaction
3.4 New Intrastate
claim; max duration,
less than max WBA
N/A
4.1 (UI 1st payment);
4.46 CWC cont’d
payment
4.17 (UI cont’d
payment)
4.46
CWC continued
payment
3.34 or 3.35
depending on the
outcome of the
monetary
New CWC claim
3.35
New CWC BY
586-101-4,
586-101-5 ($)
D.6
586-101-4,
586-101-5 ($)
Reporting of
Transaction as
Regular
Transaction
5159A-101-2
5159B-301 (14,15)
5159B-302 (14,15)
9050-All-C2
5159B-301 (14,15)
5159B-302 (14,15)
9051-All-C2
586-101-1
N/A
586-101-2
218A-100 (1, 2);
218B-103 (14, 19)
after redetermination
and effect of
combining wages)
5159B-301 (14,15)
5159B-302 (14,15)
9051-All-C2
586-101-4,
586-101-5 ($)
586B (8) – 1st
payment
586-101-5 ($ only)
5159B-302 (14,15)
586-101-4,
586-101-5 ($)
5159B-301 (14,15)
5159B-302 (14,15)
9051-All-C2
586-101-4,
586-101-5 ($)
5159B-301 (14,15)
5159B-302 (14,15)
9051-All-C2
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
Step
10
Date
Action
02/24/2006 Payment of $150
APPENDIX D
Subpopulation
4.17, UI cont’d
payment
4.46, CWC cont’d
payment
Reporting of
Transaction as
CWC Transaction
586-101-4,
586-101-5 ($)
Reporting of
Transaction as
Regular
Transaction
5159B-301 (14,15)
5159B-302 (14,15)
9051-All-C2
1. A new UI intrastate claim is filed and determined sufficient on 01/02/2006. The
monetary results in a Benefit Year for maximum duration but less than maximum
WBA.
2. A payment of $100 is made on 01/13/2006. This payment is a regular first payment
on the 9050 report and included in the 5159, but it will be reported as a CWC continued
payment on the ETA 586 in cell 101-4, with the dollar amount reported in cell 101-5.
3. A second payment of $100 is made on 01/20/2006. This payment will be reported as
a CWC continued payment on the ETA 586 in cell 101-4. The dollar amount is reported
in cell 101-5.
4. An IB-4 request to combine wages is sent. This results in a new CWC claim that is
reported on the ETA 586 in cell 101-1.
5. A monetary redetermination is issued that combines wages and increases the WBA to
$150. This establishes the CWC benefit year that is reported on the ETA 586 in cell
101-2. This redetermination is assumed to result in a Benefit Year for maximum
duration and a higher, but still less than maximum, WBA.
6. A payment of $150 is made. This is considered a CWC first payment and is reported
on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5.
7. A CWC adjustment payment of $100 is made. This is not reported as a week
compensated since the weeks have already been counted in steps 2 and 3. However,
the dollar amount is reported on the ETA 586 in cell 101-5.
8. A payment of $150 is made. This is considered a CWC continued payment that is
reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5.
9. A payment of $150 is made. This is considered a CWC continued payment that is
reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5.
10. A payment of $150 is made. This is considered a CWC continued payment that is
reported on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5.
The following tables illustrate the records that would be built for Populations 3 and 4. CWC
records are shaded.
UI DV HANDBOOK, BENEFITS
D.7
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
APPENDIX D
Table D.7
Scenario 2
How the Steps Would be Reflected in Population 3 Validation Records
Date
Claim
Filed
Step
1, 5
Type UI
Program
Claim
Type
Program
Type
Intrastate/
Interstate
Date
Original
Monetary
Sufficient/
Insufficient
WBA
Potential
Weeks
Duration
MBA
1/2/2006 Regular UI-1
New
UI
Intrastate-01
Sufficient New
2/2/2009 BY
Less than
Maximum
2600
2/3/2006 Regular UI
CWC
New
UI
CWC Intrastate
Sufficient New
2/6/2006 CWC BY
Maximum
(Optional)
3900
(Optional)
4
Potential
Weeks
Max
Duration
Subpop
26 Y
3.4
26 Y
(Optional) (Optional)
3.35
Table D.8
Scenario 2
How the Steps Would be Reflected in Population 4 Validation Records
Step
2
2
3
3
6
6
7
7
8
Intra/
Inter
Claim
Regular
Intrastate
UI Only-U
UI-1
CWC-1
Regular
UI Only-U Intrastate
UI-1
Regular
Intrastate
UI Only-U
UI-1
CWC-1
Regular
UI Only-U Intrastate
UI-1
Regular
Intrastate
UI Only-U
UI-1
CWC-1
Regular
UI Only-U Intrastate
UI-1
Regular
Intrastate
UI Only-U
UI-1
CWC-1
Regular
UI Only-U Intrastate
UI-1
Regular
Intrastate
UI Only-U
UI-1
CWC-1
Type UI Program
Program Type
UI DV HANDBOOK, BENEFITS
Type of
Comp.
First
Payment
Continued
Payment
Continued
Payment
Continued
Payment
Continued
Payment
First
Payment
Part/
Earnings
Total
WBA
UI
UCFE
UCX
CWC
SE
Week End
Mail Date Subpop
Amount Amount Amount Amount Amount
Date
Total
0
100
100
0
0
0
0
1/7/2006 1/13/2006
4.1
Total
0
100
0
0
0
100
0
1/7/2006 1/13/2006
4.46
Total
0
100
100
0
0
0
0
1/14/2006 1/20/2006
4.17
Total
0
100
0
0
0
100
0
1/14/2006 1/20/2006
4.46
Total
0
150
150
0
0
0
0
1/21/2006 2/3/2006
4.17
Total
0
150
0
0
0
150
0
1/21/2006 2/3/2006
4.44
Adjustment
Total
0
150
100
0
0
0
0
2/9/2006
4.33
Adjustment
Total
0
150
0
0
0
100
0
2/9/2006
4.48
Continued
Payment
Total
0
150
150
0
0
0
0
1/28/2006 2/10/2006
4.17
D.8
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
Step
8
9
9
Type UI Program
Program Type
Intra/
Inter
Claim
Type of
Comp.
Regular
Continued
UI Only-U Intrastate
UI-1
Payment
Regular
Intrastate Continued
UI Only-U
UI-1
CWC-1
Payment
Regular
Continued
UI Only-U Intrastate
UI-1
Payment
UI DV HANDBOOK, BENEFITS
APPENDIX D
Part/
Earnings
Total
WBA
UI
UCFE
UCX
CWC
SE
Week End
Mail Date Subpop
Amount Amount Amount Amount Amount
Date
Total
0
150
0
0
0
150
0
1/28/2006 2/10/2006
4.46
Total
0
150
150
0
0
0
0
2/4/2006 2/17/2006
4.17
Total
0
150
0
0
0
150
0
2/4/2006 2/17/2006
4.46
D.9
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
APPENDIX D
The tables below illustrate the total counts and dollar amounts that the state would report in
each applicable cell of the ETA 586 for the first quarter of 2006, if the preceding scenario
occurred.
Table D.9
Scenario 2
How Claims and Benefit Years Would be Reported in ETA 586
ETA 586A
State UI
Line No.
New Claims
(1)
Persons
Establishing
Benefit Years
(2)
Intrastate
101
1
1
Interstate
Received
as Paying State
102
0
0
Table D.10
Scenario 2
How Payments Would be Reported in ETA 586
Weeks
Compensated
Benefits
Paid
Line
No.
(4)
(5)
Intrastate
101
6
$900
0
$0
Interstate
Received as
Paying State
102
0
0
0
0
State UI
UI DV HANDBOOK, BENEFITS
Prior Weeks
Compensated
Prior
Benefits
Paid
(6)
D.10
(7)
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
Scenario 3
APPENDIX D
An IB-4 request is sent after two UI payments are made. Wages were
combined after the new UI claim was filed but within the same quarter. The
first check issued to the claimant after wages are combined is an adjustment
payment for the two weeks compensated prior to the combining of wages. The
next check is for the first week compensated after wages are combined. For
purposes of determining CWC first payment time lapse, Handbook 401
considers the adjustment check as the first payment; however, data validation,
which does not validate CWC time lapse but only the count of first payments,
considers the payment for the first CWC week paid to be the CWC First
Payment. This difference in definitions should result in only an insignificant
difference in the count of first payments.
Table D.11
Scenario 3
Step
1
Date
Action
2
01/02/2006 New UI intrastate
claim, and a
sufficient monetary
determination for
less than the
maximum WBA is
made
01/13/2006 Payment of $100
3
01/20/2006 Payment of $100
4
01/24/2006 Request to combine
wages; IB-4 is sent
5
7
01/25/2006 Monetary
redetermination is
made to increase
WBA to $150 after
wages are combined
02/02/2006 Adjustment payment
of $100 (2 x $50) is
made for weeks
compensated before
wages were
combined
02/03/2006 Payment of $150
8
02/10/2006 Payment of $150
6
UI DV HANDBOOK, BENEFITS
Subpopulation
Reporting of
Transaction as
CWC Transaction
Reporting of
Transaction as
Regular
Transaction
5159A-101-2
3.4 New Intrastate
claim; max duration,
less than max WBA
N/A
4.1 (UI 1st payment);
4.46 CWC cont’d
payment
4.17 (UI cont’t
payment)
4.46 CWC continued
payment
3.34 or 3.35
depending on the
outcome of the
monetary
New CWC claim
3.35
New CWC BY
586-101-4,
586-101-5 ($)
4.33, Adjustment
4.48 CWC
Adjustment
586A-101-5 ($)
586B (8)—1st
payment
4.17, UI Cont’d
payment
4.44 CWC first
payment
4.17, UI cont’d
payment
4.46, CWC cont’d
payment
586-101-4,
586-101-5 ($)
5159B-301 (14,15)
5159B-302 (14,15)
9051-All-C2
586-101-4,
586-101-5 ($)
5159B-301 (14,15)
5159B-302 (14,15)
9051-All-C2
D.11
586-101-4,
586-101-5 ($)
5159B-301 (14,15)
5159B-302 (14,15)
9050-All-C2
5159B-301 (14,15)
5159B-302 (14,15)
9051-All-C2
586-101-1
N/A
586-101-2
218A-100 (1, 3);
218B-103 (14, 19)
after redetermination
and effect of
combining wages
5159B-302 (14, 15)
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
Step
9
Date
Action
02/17/2006 Payment of $150
APPENDIX D
Subpopulation
4.17, UI cont’d
payment
4.46, CWC cont’d
payment
Reporting of
Transaction as
CWC Transaction
586-101-4,
586-101-5 ($)
Reporting of
Transaction as
Regular
Transaction
5159B-301 (14,15)
5159B-302 (14,15)
9051-All-C2
1. A new UI intrastate claim is filed on 01/02/2006.
2. A payment of $100 is made on 01/13/2006. After a CWC BY is established, this payment
will be reported as a CWC continued payment on the ETA586 in cell 101-4. The dollar
amount is reported in cell 101-5.
3. A second payment of $100 is made on 01/20/02. After a CWC BY is established, this
payment will be reported as a CWC continued payment on the ETA 586 in cell 101-4. The
dollar amount is reported in cell 101-5.
4. An IB-4 request to combine wages is sent. This results in a new CWC claim and is reported
on the ETA 586 in cell 101-1.
5. A monetary redetermination is issued that combines wages and increases the WBA to $150.
This establishes the CWC benefit year that is reported on the ETA 586 in cell 101-2.
6. A CWC adjustment payment of $100 is made. This is not reported as a week compensated
since the weeks have already been counted in steps 2 and 3. However, the dollar amount
is reported on the ETA 586 in cell 101-5 and on the 5159 in cells 302 14,15. For
determining CWC 1st payment time lapse, however, Handbook 401 considers this the CWC
First Payment.
7. A payment of $150 is made. It is reported as a week compensated reported on the ETA
586 in cell 101-4, and the dollar amount is reported in cell 101-5. Data validation considers
this the CWC First Payment.
8. A payment of $150 is made. This is considered a CWC Continued Payment that is reported
on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5.
9. A payment of $150 is made. This is considered a CWC Continued Payment that is reported
on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5.
The following tables illustrate the records that would be built for Populations 3 and 4. CWC
records are shaded.
UI DV HANDBOOK, BENEFITS
D.12
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
APPENDIX D
Table D.12
Scenario 3
How the Steps Would be Reflected in Population 3 Validation Records
Date
Claim
Filed
Step
1, 5
4
Type UI
Program
Claim
Type
Program
Type
Intrastate/
Interstate
1/2/2006 Regular UI-1
NEW
UI
Intrastate-01
1/24/2006 Regular UI
CWC
NEW
UI
CWC
Intrastate
Date
Original
Monetary
Sufficient/
Insufficient
Sufficient New
1/2/2009 BY
Sufficient New
1/25/2006 CWC BY
WBA
Potential
Weeks
Duration
MBA
Less than
Maximum
2600
Potential
Weeks
Max
Duration
26 Y
Subpop
3.04
Maximum
3900
26 Y
(Optional) (Optional) (Optional) (Optional)
3.35
Table D.13
Scenario 3
How the Steps Would be Reflected in Population 4 Validation Records
Step
2
2
3
3
7
7
6
6
Type UI Program
Program Type
Regular
UI-1
Regular
UI-1
Regular
UI-1
Regular
UI-1
Regular
UI-1
Regular
UI-1
Regular
UI-1
Regular
UI-1
Intra/
Inter
Claim
Type of
Comp.
First
Payment
Intrastate Continued
UI Only-U
CWC-1
Payment
Continued
UI Only-U Intrastate
Payment
Intrastate Continued
UI Only-U
CWC-1
Payment
UI Only-U Intrastate
UI Only-U Intrastate Adjustment
Intrastate
Adjustment
CWC-1
Continued
UI Only-U Intrastate
Payment
Intrastate
First
UI Only-U
CWC-1
Payment
UI Only-U
UI DV HANDBOOK, BENEFITS
Part/
Earnings
Total
WBA
UI
UCFE
UCX
CWC
SE
Week End
Mail Date Subpop
Amount Amount Amount Amount Amount
Date
Total
0
100
100
0
0
0
0
1/7/2006 1/13/2006
4.1
Total
0
100
0
0
0
100
0
1/7/2006 1/13/2006
4.46
Total
0
100
100
0
0
0
0
1/14/2006 1/20/2006
4.17
Total
0
100
0
0
0
100
0
1/14/2006 1/20/2006
4.46
Total
0
150
100
0
0
0
0
2/2/2006
4.33
Total
0
150
0
0
0
100
0
2/2/2006
4.48
Total
0
150
150
0
0
0
0
1/21/2006 2/3/2006
4.17
Total
0
150
0
0
0
150
0
1/21/2006 2/3/2006
4.44
D.13
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
Step
8
8
9
9
Type UI Program
Program Type
Regular
UI-1
Regular
UI-1
Regular
UI-1
Regular
UI-1
Intra/
Inter
Claim
Type of
Comp.
Continued
Payment
Intrastate Continued
UI Only-U
CWC-1
Payment
Continued
UI Only-U Intrastate
Payment
Intrastate Continued
UI Only-U
CWC-1
Payment
UI Only-U Intrastate
UI DV HANDBOOK, BENEFITS
APPENDIX D
Part/
Earnings
Total
WBA
UI
UCFE
UCX
CWC
SE
Week End
Mail Date Subpop
Amount Amount Amount Amount Amount
Date
Total
0
150
150
0
0
0
0
1/28/2006 2/10/2006
4.17
Total
0
150
0
0
0
150
0
1/28/2006 2/10/2006
4.46
Total
0
150
150
0
0
0
0
2/4/2006 2/17/2006
4.17
Total
0
150
0
0
0
150
0
2/4/2006 2/17/2006
4.46
D.14
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
APPENDIX D
The tables below illustrate the total counts and dollar amounts that the state would report in
each applicable cell of the ETA 586 for the first quarter of 2006, if the preceding scenario
occurred.
Table D.14
Scenario 3
How Claims and Benefit Years Would be Reported in ETA 586
ETA 586A
State UI
Line No.
New Claims
(1)
Persons
Establishing
Benefit Years
(2)
Intrastate
101
1
1
Interstate
Received
as Paying State
102
0
0
Table D.15
Scenario 3
How Payments Would be Reported in ETA 586
Weeks
Compensated
Benefits Paid
Prior Weeks
Compensated
Line
No.
(4)
(5)
(6)
Intrastate
101
5
$750
0
$0
Interstate
Received
as
Paying
State
102
0
0
0
0
State UI
UI DV HANDBOOK, BENEFITS
Prior
Benefits
Paid
(7)
D.15
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
Scenario 4
APPENDIX D
Wages were requested and combined in the quarter after the UI claim was filed.
Four payments were made before wages were combined. Two of them
occurred in the quarter before wages were combined and are considered CWC
Prior Weeks Compensated. The next two occurred in the same quarter as the
CWC and are considered CWC continued weeks compensated. As in Scenario
3, the first check issued to the claimant after wages are combined is an
adjustment payment (in this scenario for the four weeks compensated before
wages were combined.) The next check is for the first week compensated after
wages are combined, which data validation considers the CWC first payment.
As pointed out in Scenario 3, for CWC 1st payment timeliness, Handbook 401
considers the adjustment payment as the first payment.
Table D.16
Scenario 4
Step
1
Date
Action
Subpopulation
2
12/02/2005 New UI intrastate
claim, and a
sufficient monetary
determination is
made for less than
the maximum WBA
12/09/2005 Payment of $100
3
12/16/2005 Payment of $100
4
01/06/2006 Payment of $100
5
01/13/2006 Payment of $100
6
01/24/2006 Request to combine
wages; IB-4 is sent
7
01/25/2006 Monetary
redetermination is
made to increase
WBA to $150 after
wages are combined
02/02/2006 Adjustment payment 4.33, Adjustment
of $200 (4 x $50)
4.48 CWC
Adjustment
02/03/2006 Payment of $150
4.17, UI Cont’d
payment
4.44 CWC first
payment
8
9
UI DV HANDBOOK, BENEFITS
Reporting of
Transaction as
CWC Transaction
3.4 New Intrastate
claim; max duration,
less than max WBA
N/A
4.1, UI first payment
4.50, CWC prior
week compensated
4.17., UI cont’d
payment
4.50, CWC prior
week compensated.
4.17 (UI continued
payment)
4.46 CWC continued
payment
4.17 (UI continued
payment)
4.46 CWC continued
payment
3.34 or 3.35
depending on the
outcome of the
monetary
New CWC claim
3.35
New CWC BY
586-101-6,
586-101-7 ($)
D.16
586-101-6
586-101-7 ($)
Reporting of
Transaction as
Regular
Transaction
5159A-101-2
218A-100 (1, 2);
218B-103 (14, 19)
5159B-301 (14,15)
5159B-302 (14,15)
9050-All-C2
5159B-301 (14,15)
5159B-302 (14,15)
9051-All-C2
586-101-4,
586-101-5 ($)
5159B-301 (14,15)
5159B-302 (14,15)
9051-All-C2
586-101-4,
586-101-5 ($)
5159B-301 (14,15)
5159B-302 (14,15)
9051-All-C2
586-101-1
N/A
586-101-2
Not reported
(redeteminations)
586A-101-5 ($)
586B (8)—1st
payment
586-101-4,
586-101-5 ($)
5159B-302 (14, 15)
5159B-301 (14,15)
5159B-302 (14,15)
9051-All-C2
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
Step
Date
Action
10
02/10/2006 Payment of $150
11
02/17/2006 Payment of $150
APPENDIX D
Subpopulation
4.17, UI cont’d
payment
4.46, CWC cont’d
payment
4.17, UI cont’d
payment
4.46, CWC cont’d
payment
Reporting of
Transaction as
CWC Transaction
586-101-4,
586-101-5 ($)
586-101-4,
586-101-5 ($)
Reporting of
Transaction as
Regular
Transaction
5159B-301 (14,15)
5159B-302 (14,15)
9051-All-C2
5159B-301 (14,15)
5159B-302 (14,15)
9051-All-C2
1. A new UI intrastate claim is filed and determined sufficient on 12/02/2005. The claim and
monetary establishing a $2,600 MBA and WBA of $100 are reported in the 200504 quarter.
2. A payment of $100 is made on 12/09/2005. This is the regular payment for the first
compensable week and reported on the 9050 report, as well as a week compensated/$
compensated on the 5159 report for December 2005. After a CWC BY is established, this
payment will be reported as a CWC prior week compensated on the ETA 586 in cell 1016, and the dollar amount will be reported in cell 101-7.
3. A second payment of $100 is made on 12/16/2005. This is a regular continued week paid
(9051, 5159 reports for December 2005). After a CWC BY is established, this payment
will be reported as a CWC prior week compensated on the ETA 586 in cell 101-6. The
dollar amount is reported in cell 101-7.
4. A third payment of $100 is made on 01/06/2006. This is a regular continued week paid
(9051, 5159 reports). After a CWC BY is established, this payment will be reported as a
CWC continued payment on the ETA 586 in cell 101-4. The dollar amount is reported in
cell 101-5.
5. A fourth payment of $100 is made on 01/13/2006. This is a regular continued week paid
(9051, 5159 reports). After a CWC BY is established, this payment will be reported as a
CWC continued payment on the ETA 586 in cell 101-4. The dollar amount is reported in
cell 101-5.
6. An IB-4 request to combine wages is sent. This results in a new CWC claim and is reported
on the 586 in cell 101-1.
7. A monetary redetermination is issued that combines wages and increases the WBA to $150.
This establishes the CWC benefit year that is reported on the ETA 586 in cell 101-2. Being
a redetermination, it is not reported on the 218 report for the 200601 quarter.
8. A CWC adjustment payment of $200 is made. This is not reported as a week compensated
since the weeks have already been counted in steps 2, 3, 4 and 5. However, the dollar
amount is reported on the ETA 586 in cell 101-5 because it is a CWC payment made in the
200601 quarter.
UI DV HANDBOOK, BENEFITS
D.17
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
APPENDIX D
9. A payment of $150 is made. This is considered a CWC first payment for data validation
purposes that is reported on the ETA 586 in cell 101-4. The dollar amount is reported in
cell 101-5.
10. A payment of $150 is made. This is considered a CWC continued payment that is reported
on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5.
11. A payment of $150 is made. This is considered a CWC continued payment that is reported
on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5.
The following tables illustrate the records that would be built for Populations 3 and 4. CWC
records are shaded.
UI DV HANDBOOK, BENEFITS
D.18
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
APPENDIX D
Table D.17
Scenario 4
How the Steps Would be Reflected in Population 3 Validation Records
Includes only Records for 200601 Report Quarter
Date
Claim
Filed
Step
4
Type UI
Program
1/24/2006 Regular UI
Claim
Type
CWC
NEW
Program
Type
UI
Intrastate/
Interstate
CWC
Intrastate
Date
Original
Monetary
Sufficient/
Insufficient
WBA
Sufficient New
1/25/2006 CWC BY
MBA
Potential
Weeks
Duration
Potential
Weeks
Max
Duration
Subpop
Maximum 3900
26
Y
(Optional) (Optional) (Optional) (Optional)
3.35
Table D.18
Scenario 4
How the Steps Would be Reflected in Population 4 Validation Records
Includes only Records for 200601 Report Quarter
Step
2
2
3
3
3
3
7
7
Intra/
Type of
Part/
Inter
Comp.
Total
Claim
Intrastate Prior Weeks
UI Only-U
Total
CWC-1 Compensated
Intrastate Prior Weeks
UI Only-U
Total
CWC-1 Compensated
Continued
UI Only-U Intrastate
Total
Payment
Intrastate Continued
UI Only-U
Total
CWC-1
Payment
Continued
UI Only-U Intrastate
Total
Payment
Intrastate Continued
UI Only-U
Total
CWC-1
Payment
Type UI Program
Program Type
Regular
UI-1
Regular
UI-1
Regular
UI-1
Regular
UI-1
Regular
UI-1
Regular
UI-1
Regular
UI Only-U Intrastate
UI-1
Regular
Intrastate
UI Only-U
UI-1
CWC-1
UI DV HANDBOOK, BENEFITS
UI
UCFE
UCX
CWC
SE
Week End
Amount Amount Amount Amount Amount
Date
Earn.
WBA
Mail Date
Subp.
0
100
0
0
0
100
0
12/30/2005
12/9/2006
4.50
0
100
0
0
0
100
0
12/30/2005 12/16/2006
4.50
0
100
100
0
0
0
0
1/6/2006
4.17
0
100
0
0
0
100
0
1/6/2006
4.46
0
100
100
0
0
0
0
1/6/2006
1/13/2006
4.17
0
100
0
0
0
100
0
1/6/2006
1/13/2006
4.46
Adjustment
Total
0
150
200
0
0
0
0
2/2/2006
4.33
Adjustment
Total
0
150
0
0
0
200
0
2/2/2006
4.48
D.19
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
Step
6
6
8
8
9
9
Type UI Program
Program Type
Regular
UI-1
Regular
UI-1
Regular
UI-1
Regular
UI-1
Regular
UI-1
Regular
UI-1
Intra/
Inter
Claim
UI Only-U Intrastate
UI Only-U
UI Only-U
UI Only-U
UI Only-U
UI Only-U
UI DV HANDBOOK, BENEFITS
APPENDIX D
Type of
Comp.
Part/
Total
Earn.
WBA
Continued
Payment
Total
0
150
150
0
0
0
0
Total
0
150
0
0
0
150
Total
0
150
150
0
0
Total
0
150
0
0
Total
0
150
150
Total
0
150
0
Intrastate
First Payment
CWC-1
Continued
Intrastate
Payment
Intrastate Continued
CWC-1
Payment
Continued
Intrastate
Payment
Intrastate Continued
CWC-1
Payment
UI
UCFE
UCX
CWC
SE
Week End
Amount Amount Amount Amount Amount
Date
D.20
Mail Date
Subp.
1/21/2006
2/3/2006
4.17
0
1/21/2006
2/3/2006
4.44
0
0
1/28/2006
2/10/2006
4.17
0
150
0
1/28/2006
2/10/2006
4.46
0
0
0
0
2/4/2006
2/17/2006
4.17
0
0
150
0
2/4/2006
2/17/2006
4.46
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
APPENDIX D
The tables below illustrate the total counts and dollar amounts that the state would report in
each applicable cell of the ETA 586 for the first quarter of 2006, if the preceding scenario
occurred.
Table D.19
Scenario 4
How Claims and Benefit Years Would be Reported in ETA 586
ETA 586A
State UI
Line No.
New Claims
(1)
Persons
Establishing
Benefit Years
(2)
Intrastate
101
1
1
Interstate
Received
as Paying State
102
0
0
Table D.20
Scenario 4
How Payments Would be Reported in ETA 586
Weeks
Compensated
Benefits
Paid
Prior Weeks
Compensated
Prior
Benefits
Paid
Line
No.
(4)
State UI
Intrastate
101
5
$850
2
$200
Interstate
Received
as
Paying
State
102
0
0
0
0
UI DV HANDBOOK, BENEFITS
(6)
(5)
D.21
(7)
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
Scenario 5
APPENDIX D
Wages were combined in the quarter after the CWC claim was filed. The
claimant requested that wages be added from another state, and the state sent
the IB-4 in one quarter. However, the first monetary determination
(redetermination) based on wages from two or more states was not issued until
the following quarter.
The first IB-4 sent for a claim constitutes a "new CWC." The first monetary
determination or redetermination using wages from more than one state is a
"new CWC benefit year." In the first quarter, then, there is a new CWC but
not a CWC benefit year since these two events occurred in different quarters.
Data validation treats this transaction as an "insufficient CWC."
In the subsequent quarter there is a new CWC benefit year established but the
claim has already been reported in the prior quarter. Therefore, data validation
treats this as a new CWC benefit year where the claim was filed in a prior
quarter and does not double count the CWC.
Table D.21
Scenario 5
Step
1
2
3
Date
Action
12/28/2005 New UI intrastate
claim, determined
insufficient.
12/28/2005 Request to combine
wages; IB-4 is sent
4
01/16/2006 Monetary
redetermination
increasing WBA to
$150 after wages
combined
01/20/2006 Payment $150
5
01/27/2006 Payment $150
Subpopulation
3.1 New Intrastate
claim with
Insufficient monetary
3.34
New CWC Claim,
wages are not
combined reported
in Q4 2005
3.38
New CWC BY for
CWC claim filed in
prior quarter
Reporting of
Transaction as
CWC Transaction
N/A
586A-101-1 (for
2005Q4 report)
586-101-2
Reporting of
Transaction as
Regular
Transaction
5159A-101-2
218A-100 (1, 2)
For Dec/Q4 of 2005
N/A
N/A
4.1 (UI 1st payment); 586-101-4,
4.44 CWC first
586-101-5 ($)
payment
5159B-301 (14-15);
5159B-302 (14-15);
9050-All-C2
4.17, UI cont’d
payment
4.46, CWC cont’d
payment
5159B-301 (14,15)
5159B-302 (14,15)
9051-All-C2
586-101-4,
586-101-5 ($)
1. A new UI intrastate claim is filed and determined insufficient on 12/28/2005.
2. An IB-4 request to combine wages is sent on 12/28/2005. This results in a new CWC that
is reported on the ETA 586 in cell 101-1 for the fourth quarter of 2005.
UI DV HANDBOOK, BENEFITS
D.22
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
APPENDIX D
3. A monetary redetermination is issued that combines wages and results in a WBA of $150.
This establishes the CWC benefit year that is reported on the ETA 586 in cell 101-2.
Because the monetary redetermination is in a different quarter than the IB-4, the new CWC
benefit year is reported in subpopulation 3.38.
4. A payment of $150 is made. This is considered both a regular first payment (Reported on
9050 and as a week/$ compensated on the 5159) and a CWC first payment that is reported
on the ETA 586 in cell 101-4. The dollar amount is reported in cell 101-5.
5. A second payment of $150 is made. This is considered a regular continued payment (9051,
5159) and CWC continued payment that is reported on the ETA 586 in cell 101-4. The
dollar amount is reported in cell 101-5.
The following tables illustrate the records that would be built for Populations 3 and 4. CWC
records are shaded.
UI DV HANDBOOK, BENEFITS
D.23
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
APPENDIX D
Table D.22
Scenario 5
How the Steps Would be Reflected in Population 3 for 200504 Quarter
Date Claim
Filed
Step
1
Type UI
Program
Claim
Type
12/28/2005 Regular UI-1 New
CWC
12/28/2005 Regular UI
New
2
Program
Type
UI
Intrastate/
Interstate
Date Original
Monetary
Intrastate-01
CWC
Intrastate
UI
Sufficient/
WBA MBA
Insufficient
12/28/2005 Insufficient
Potential
Weeks
Duration
0
Potential
Weeks Max
Duration
0
Subpop
3.01
Insufficient
3.34
Table D.23
Scenario 5
How the Steps Would be Reflected in Population 3 for 200601 Quarter
Step
3
Date Claim
Filed
Type UI
Program
12/28/2005
Regular
UI
Claim
Type
Prior Qtr
New CWC
Program
Type
Intrastate/
Interstate
CWC
Intrastate
UI
Date
Original
Monetary
Sufficient/
Insufficient
WBA
MBA
Potential
Weeks
Duration
Potential
Weeks
Subp.
Max
Duration
SUFFICIENT
Maximum 3900
26
Y
1/16/2006 NEW CWC BY (Optional) (Optional) (Optional) (Optional)
3.39
Table D.24
Scenario 5
How the Steps Would be Reflected in Population 4 for 200601 Quarter
Step
4
4
Type UI Program
Program Type
Intra/
Inter
Claim
Type of
Comp.
Part/
Total
Regular
UI Only-U Intrastate First Payment Total
UI-1
Regular
Intrastate
UI Only-U
First Payment Total
UI-1
CWC-1
UI DV HANDBOOK, BENEFITS
UI
UCFE
UCX
CWC
SE
Week End
Amount Amount Amount Amount Amount
Date
Earn.
WBA
0
150
150
0
0
0
0
0
150
0
0
0
150
0
D.24
Mail Date
Subp.
1/13/2006
1/20/2006
4.1
1/13/2006
1/20/2006
4.44
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
Step
5
5
Type UI Program
Program Type
Intra/
Inter
Claim
Regular
UI Only-U Intrastate
UI-1
Regular
Intrastate
UI Only-U
UI-1
CWC-1
UI DV HANDBOOK, BENEFITS
Type of
Comp.
Continued
Payment
Continued
Payment
APPENDIX D
Part/
Total
Earn.
WBA
UI
UCFE
UCX
CWC
SE
Week End
Amount Amount Amount Amount Amount
Date
Total
0
150
150
0
0
0
0
Total
0
150
0
0
0
150
0
D.25
Mail Date
Subp.
1/20/2006
1/27/2006
4.17
1/20/2006
1/27/2006
4.46
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
APPENDIX D
The tables below illustrate the total counts and dollar amounts that the state would
report in each applicable cell of the ETA 586 for the first quarter of 2006, if the
preceding scenario occurred.
Table D.25
Scenario 5
How Claims and Benefit Years Would be Reported in ETA 586
For the 200504 Quarter
ETA 586A
State UI
Line No.
New Claims
(1)
Persons
Establishing
Benefit Years
(2)
Intrastate
101
1
0
Interstate
Received
as Paying State
102
0
0
Table D.26
Scenario 5
How Claims and Benefit Years Would be Reported in ETA 586
For the 200601 Quarter
ETA 586A
State UI
Line No.
New Claims
(1)
Persons
Establishing
Benefit Years
(2)
Intrastate
101
0
1
Interstate
Received
as Paying State
102
0
0
Table D.27
Scenario 5
How Payments Would be Reported in ETA 586
Weeks
Compensated
State UI
Intrastate
Interstate
Received as
Paying State
UI DV HANDBOOK, BENEFITS
Line
No.
101
(4)
102
Benefits
Paid
Prior Weeks
Compensated
Prior
Benefits
Paid
(6)
2
(5)
$300
0
(7)
$0
0
0
0
0
D.26
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
Scenario 6
APPENDIX D
Determining the CWC Paying State.
On November 14, 2008, UIPL 1-09 redefined the CWC “paying state.”
Effective January 6, 2009, it is “a single state against which a claimant files a
CWC if (1) the claimant has employment and wages in that State’s base period
and (2) the claimant qualifies for UC in that state using the combined
employment and wages.” Previously, the paying state could be any state under
whose UC law the claimant qualified for benefits on the basis of combined
employment and wages, whether the claimant actually had employment and
wages in that state or not. The change in definition limits a claimant’s
flexibility in filing a CWC and thus changes where CWC benefit years are
established, and who pays regular and CWC benefits. This change may affect
which state is the paying state, it may also affect reporting,, including the
classification of claims and payments as Intrastate or Interstate. The following
example illustrates.
Jones recently lost her job in Maryland, where she still resides. During the
base period, however, she had enough work and earnings in both Maryland and
Virginia to qualify for a combined-wage benefit in either state; on the basis of
her combined wages, her WBA in Maryland would be higher than in Virginia.
However, she has been informed that the Massachusetts benefit scale is higher
yet, and that she has enough Maryland and Virginia wages to qualify for
benefits in Massachusetts.
Before January 6: Jones could have qualified not only for an Intrastate CWC
benefit in Maryland or an Interstate CWC benefit in Virginia—states where
she had base period wages--but also an Interstate CWC benefit in any other
state where those wages were sufficient for a BY. She selects Massachusetts
for the highest benefit. MA would report her regular Initial Claim on the 5159
report and 218 and as the paying state, MA’s 586 report would record her
claims and payment activity on line 102 (Interstate) and 1st payment activity in
column 9 (Interstate) of Part B of the 586. Regular payment activity will be
reported on MA’s 5159, 9050-All-C6, and 9051 reports.
Since January 6: Jones could only file either an Intrastate CWC against
Maryland or an Interstate CWC against Virginia. She chooses Maryland to get
a higher WBA. Maryland will report her CWC claims and payment activity on
line 101 of its 586 part A (Intrastate) and 1st payment activity in column 8 of
part B. Maryland will also report an initial claim (Intrastate) in its 5159-1012, a first payment in 9050-All-C2, and Weeks and Amounts compensated on
the 5159.
UI DV HANDBOOK, BENEFITS
D.27
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
APPENDIX D
Table D.28
Scenario 6
Before January 6, 2009, Massachusetts
Step
1
2
3
4
Date
Action
3.08, 3.09, 3.10,
3.11, 3.12, or 3.13
N/A
Reporting of
Transaction as
Regular
Transaction
5159A-101-7
3.36 or 3.37
586-102-1
N/A
3.10 (Sufficient,
WBA, Duration less
than Maximum)
3.37 New CWC
Interstate Benefit
Year (BY)
4.2 (UI Interstate 1st
payment);
4.45 (CWC
Interstate first
payment)
586-102-2
218A-100-1, 354
218B 101 (8-13)
586-102-4,
586-102-5 ($)
586B (column 9)
Total
5159B-301-(14-17)
5159B-302-(14-17)
9050-All-C6
Subpopulation
02/02/2009 Jones files Interstate
claim against MA
with request to
combine MD & VA
wages
02/02/2009 MA requests wages
from Maryland and
Virginia
IB-4 is sent
02/06/2009 Monetary
determination of a
$400 weekly benefit
amount (WBA) in
MA based on VA
and MD wages
02/10/2009 First Payment of
$400
Reporting of
Transaction as
CWC Transaction
Table D.29
Scenario 6
Since January 6, 2009, Maryland
Step
1
2
3
4
Date
Action
02/02/2009 Jones files New UI
intrastate IC against
Maryland with
request to combine
wages from Virginia
02/02/2009 MD requests wages
from Virginia.
IB-4 is sent
02/06/2009 Monetary
determination of a
$290 weekly benefit
amount (WBA) in
Maryland based on
VA and MD wages
02/10/2009 First Payment of
$290
UI DV HANDBOOK, BENEFITS
3.01, 3.02, 3.03,
3.04, 3.05, or 3.06
N/A
Reporting of
Transaction as
Regular
Transaction
5159A-101-2
3.34 or 3.35
depending on the
outcome of the
monetary
New Intrastate CWC
3.04 (Sufficient,
WBA, Duration less
than Maximum)
3.35 New CWC
Interstate Benefit
Year (BY)
4.1 (UI Intrastate 1st
payment);
4.44 CWC Intrastate
first payment
586-101-1
N/A
586-101-2
218A-100-(1, 3, 4)
218B-103 (14, 19)
586-101-4,
586-101-5 ($)
586B (column 8)
Total
5159B-301 (14-15);
5159B-302 (14-15);
9050-All-C2
Subpopulation
D.28
Reporting of
Transaction as
CWC Transaction
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
APPENDIX D
These are examples of Population 3 records before and after January 6, 2009:
Table D.30
Scenario 6
How the Steps Would be Reflected in Population 3 Validation Records
Before January 6, 2009, Massachusetts
Step
1, 3
2
Date Claim
Filed
Type UI
Program
RegularUI12/23/2008 1
12/28/2009 Regular UI
Claim
Type
Program
Type
NEW
CWC
NEW
UI
UI
Intrastate/
Interstate
Interstate-03
CWC
Intrastate
Date
Original
Monetary
Sufficient/
Insufficient
SUFFICIENT
12/30/2008 NEW BY
SUFFICIENT
NEW CWC BY
WBA
Less than
Maximum
Less than
Maximum
MBA
Potential
Weeks
Duration
10400
10400
26
Potential
Weeks
Max
Duration
Subpop
N
3.10
26
N
3.37
Potential
Weeks
Duration
Potential
Weeks
Max
Duration
Table D.31
Scenario 6
How the Steps Would be Reflected in Population 3 Validation Records
Since January 6, 2009, Maryland
Step
1, 3
2
Date
Claim
Filed
Type UI
Program
Regular UI2/2/2009 1
2/2/2009 Regular UI
UI DV HANDBOOK, BENEFITS
Claim
Type
NEW
CWC
NEW
Program
Type
UI
UI
Intrastate/
Interstate
Intrastate
CWC
Intrastate
Date
Original
Monetary
Sufficient/
Insufficient
SUFFICIENT
2/6/2009 NEW BY
SUFFICIENT
2/6/2009 NEW CWC BY
D.29
WBA
Less than
Maximum
Less than
Maximum
MBA
Subpop
7540
26 Y
3.04
7540
26 Y
3.35
SEPTEMBER 2019
COMBINED WAGE CLAIMS AND PAYMENTS
APPENDIX D
These are examples of 1st payment records before and after January 6, 2009:
Table D.32
Scenario 6
How the Steps Would be Reflected in Population 4 Validation Records
Before January 6, 2009, Massachusetts
Step
4
4
Type UI Program
Program Type
Intra/
Inter
Claim
Type of
Comp.
Part/
Total
Regular
UI Only-U Intrastate First Payment Total
UI-1
Regular
Intrastate
UI Only-U
First Payment Total
UI-1
CWC-1
UI
UCFE
UCX
CWC
SE
Week End
Amount Amount Amount Amount Amount
Date
Earn.
WBA
0
400
400
0
0
0
0
0
400
0
0
0
400
0
Mail Date
Subp.
1/6/2009
1/10/2009
4.2
1/6/2009
1/10/2009
4.46
Mail Date
Subp.
Table D.33
Scenario 6
How the Steps Would be Reflected in Population 4 Validation Records
Since January 6, 2009, Maryland
Step
4
4
Type UI Program
Program Type
Intra/
Inter
Claim
Type of
Comp.
Part/
Total
Regular
UI Only-U Intrastate First Payment Total
UI-1
Regular
Intrastate
UI Only-U
First Payment Total
UI-1
CWC-1
UI DV HANDBOOK, BENEFITS
UI
UCFE
UCX
CWC
SE
Week End
Amount Amount Amount Amount Amount
Date
Earn.
WBA
0
290
290
0
0
0
0
2/6/2009
2/10/2009
4.1
0
290
0
0
0
290
0
2/6/2009
2/10/2006
4.44
D.30
SEPTEMBER 2019
| File Type | application/pdf |
| Author | Lynne Beres |
| File Modified | 2020-01-30 |
| File Created | 2020-01-30 |