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pdfUnemployment Insurance
Data Validation
Operations Guide
ETA Operations Guide 411
U.S. Department of Labor
Employment and Training Administration
Office of Unemployment Insurance
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 900 hours, and partial
validations in the two intervening years), including the time for reviewing
instructions, searching existing data sources, gathering and maintaining the data
needed, and completing and reviewing the collection of information. Send
comments regarding this burden estimate or any other aspect of this collection of
information, including suggestions for reducing this burden to the U. S.
Department of Labor, Employment and Training Administration, Office of
Workforce Security (Attn: Rachel Beistel), 200 Constitution Avenue, NW, Room
S-4522, Washington, D.C. 20210 (Paperwork Reduction Project 1205-0431).
TABLE OF CONTENTS
Chapter 1 ........................................................................................................................... 1
About This Operations Guide .......................................................................................... 1
Technical Support ............................................................................................................. 1
Typographic Conventions ................................................................................................ 1
Software Requirements .................................................................................................... 1
The Data Validation Program ......................................................................................... 2
Navigating the System ...................................................................................................... 3
Definitions .......................................................................................................................... 4
Chapter 2 ........................................................................................................................... 6
Logging On ........................................................................................................................ 6
Chapter 3 ......................................................................................................................... 10
Viewing the Record Layouts .......................................................................................... 10
Chapter 4 ......................................................................................................................... 13
Importing an Extract File .............................................................................................. 13
Cancelling a Load ........................................................................................................... 24
Chapter 5 ......................................................................................................................... 26
Viewing Errors ................................................................................................................ 26
Viewing Duplicate Records ........................................................................................... 29
Chapter 6 ......................................................................................................................... 33
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TABLE OF CONTENTS
Viewing the Source Table............................................................................................... 33
Chapter 7 ......................................................................................................................... 37
Viewing Validation Counts ............................................................................................ 37
Chapter 8 ......................................................................................................................... 40
Viewing the Report Validation Screen .......................................................................... 40
Chapter 9 ......................................................................................................................... 44
Viewing Samples ............................................................................................................. 44
Printing Sample Worksheets ......................................................................................... 48
Entering Validation Results for Non-random Samples (Minimum, Missing
Subpopulations and Outliers) ....................................................................................... 53
Entering Validation Results for Random Samples...................................................... 58
First Tier ...........................................................................................................................58
Second Tier .......................................................................................................................60
Viewing the Data Element Validation Report ............................................................... 63
Chapter 10 ....................................................................................................................... 65
Viewing Data Element Sorts in Tax .............................................................................. 65
Entering Data Element Sorts Results ........................................................................... 67
Query Screen.....................................................................................................................68
Frequency Distribution Screen..........................................................................................71
Chapter 11 ....................................................................................................................... 75
Viewing the Wage Item Validation Screen in Tax ....................................................... 75
Chapter 12 ....................................................................................................................... 80
Submitting Results to DOL ............................................................................................ 80
Adding Comments .......................................................................................................... 80
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TABLE OF CONTENTS
Transmitting Population Results .................................................................................. 84
Transmitting Wage Item Validation Results ................................................................ 91
APPENDIX A .................................................................................................................... 1
APPENDIX B .................................................................................................................... 1
APPENDIX C .................................................................................................................... 1
APPENDIX D .................................................................................................................... 1
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Chapter 1
About This Operations Guide
This guide explains how to navigate the Benefits and Tax applications of the
Data Validation (DV) State Web Software Version 4.2.5.
Technical Support
If any problems are encountered with the software, contact the Office of
Unemployment Insurance (OUI) Technical Support Staff (Hotline) at 1-800-4730188 or send an email to hotline@uis.doleta.gov.
Typographic Conventions
This document uses the following typographic conventions.
Visual Cue
Meaning
Sequenced steps to follow when completing a
task
Black bold type
Button
Blue type
Purple underlined type
Box title
Links on the software that you can click on
Blue underline type
Web or email address
Italics
Documents, screen names and menu options
Indicates where to click on the software screen
1
2
Note with additional information
Tip
Software Requirements
To use the Data Validation State Web Software you will need a computer with
Internet Explorer Version 6.0 or later.
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You will also need a user name and a password which you should obtain from
your system administrator.
In order to perform data validation you need to load extract files into the software.
Specifications on how to build these extract files are available in Appendix A, UI
Benefits Record Layouts and Appendix B, UI Tax Record Layouts of this
Operations Guide. All extract files to be loaded into the software must be copied
to the “/opt/dv/data/” directory in your state SUN server. Extract file names must
have a .txt extension and contain no spaces.
The Data Validation Program
Welcome to the world of data validation! This operations guide is both an
introduction to the Data Validation automated system and a reference source for
continual use.
States are required to file a series of standardized reports on their
Unemployment Insurance (UI) operations with the Employment and Training
Administration (ETA) of the U.S. Department of Labor (DOL). Reports covered
by the data validation program are required on a monthly or quarterly basis.
These reports are used to establish the volume of activity conducted by state UI
administrations and are a factor in establishing funding levels. They provide
information about state compliance with UI requirements. They also provide
information about the amount of benefits paid, the number of claimants served
and other information useful in measuring the U.S. economy and projecting
trends.
Since state programs differ significantly within established parameters and states
utilize a variety of accounting and data processing arrangements, the issue of the
comparability among state reports has emerged. State reporting requirements
are standardized, but states use a variety of reporting procedures and must
interpret reporting requirements within the context of their own laws and
accounting conventions.
The UI Data Validation (DV) program was established in an attempt to identify
and address discrepancies in reported numbers. The program requires that
states recreate reported numbers independently from their reporting process and
compare these numbers with actual numbers reported to DOL. States must
address any discrepancies found that exceed the established tolerance error
rate. The DV program also requires that states examine a sample of reported
cases to verify that the correct information is being counted.
The Data Validation State Web Software facilitates the validation process and
generates standardized outputs which document the state data validation results.
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The data validation process is divided into two main validation processes: Report
Validation (RV) and Data Element Validation (DEV). RV verifies that reported
numbers in ETA reports are accurate, i.e., that the process which the state uses
to count transactions is correct. DEV refers to the investigation of samples of
records to establish that the information in individual records is accurate and
conforms to federal reporting requirements, i.e., that the state is counting the
right transactions.
The Benefits application uses random, missing, minimum and outliers samples
for the DEV process. The Tax application uses minimum samples, formerly
known as “File Integrity Validation” or FIV samples, which consist of two records
per sub-population within an extract file. The sample frame for each sample
consists of a set of specific sub-populations within an extract file. Records
included in a sample are displayed along with the data elements to be validated
in a data entry screen. Investigators review each record, identify any elements
found to be erroneous, and data-enter this information into the system. In Tax,
even one error causes a sample to fail.
The Tax application also provides a sort utility for Populations 1 – 4 as part of the
DEV process. It tests whether any secondary codes or Employer Account
Number values support the primary codes (such as A for Active or C for
Contributory employers) used to classify extracted transactions. Sorts pass if
fewer than 2% of the sorted of the sorted transactions involve discrepancies.
Tax Population 5 has no sort utility.
The Tax application includes a Wage Item Validation component that requires
validation of incoming information provided by employers pertaining to wages
paid to individuals on a quarterly basis (wage Records). This information is not
included in extract files. Validation of wage record information requires a review
of incoming information and a comparison of reported numbers included in ETA
581 Report count with re-constructed counts. This information is key-entered
into the software and forwarded to DOL.
Navigating the System
The DV software is a web-based application with certain characteristics that the
user should be aware of.
•
Multiple users.
The software supports multiple, concurrent users.
However, it was not designed to allow, for example, update of a single
table by multiple users at the same time.
•
Time Out. You will be automatically logged out from the application if you
are inactive for more than 59 minutes. To maintain your session hit a
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keystroke or move your mouse. You should perform “save” operations
frequently if there is a danger of work being lost due to inactivity. During
the extract loading operation, the time-out parameter is set to four hours,
to allow large extract files to be loaded without interruption.
•
Exit from Screens. The user can exit from a secondary window within the
application through use of the “X” in the upper right corner of the window.
Be aware that the “X” at the extreme upper corner of the screen will exit
the user from the entire application. This will require the user to sign on
again and may result in lost data.
•
Use of the Back button. The Internet browser has a Back button that
allows the user to return to a previous screen. Users should be aware that
use of this button may result in unexpected results. This problem can be
avoided by using the links on the software screens that were designed to
navigate to previous screens. For example, the Home link at the bottom of
a screen will take you back to the Benefits Selection Criteria screen.
•
and . will take you
immediately to the bottom of any screen and to the top.
•
Print Function. To print screens, use the print function on your browser or
if available, the print button at the bottom of the screen. Some screen
sizes exceed the width of a portrait print. In this case try the landscape
option on your printer. You can also try copying the screen to Word, Excel
or some other utility and print from there. System administrators should
be able to assist you if you encounter problems.
•
Save and Save As Functions. Use the Save button to save data in the DV
application. Data for a given population saved using the Save button are
overwritten when a new extract file for that population is loaded. The
Save As button allows you to save a screen shot of the current software
screen outside the DV software. Screen shots saved outside the
application are not affected by loading new extract files. The Save As
button can be used to save screen shots of summary reports and DEV
worksheets to satisfy audit requirements.
•
Help functions. The application has Help links on certain screens. Click
on this link to display information relevant to the data or functions available
on the screen.
Definitions
Certain terms used in the validation process have a specialized meaning within
the context of the DV program:
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1. Extract Files. These files consist of information extracted from state
production databases. Each state UI transaction is represented as a row
of comma-separated data fields that allow it to be identified as a countable
transaction and classified into the report cells being validated. The extract
files are used as input for the DV software.
2. Record Layouts. These documents provide detailed information on how to
build the extract files. They can be found in the software (see Viewing the
Record Layouts section) or in Appendix A, UI Benefits Record Layouts or
Appendix B, UI Tax Record Layouts of this guide.
3. Module 3. State-specific document used to map the data elements in the
record layouts and samples to elements in individual state systems.
4. Populations. Populations are sets of unique, non-overlapping types of
transactions or statuses that relate to reportable benefits or tax operations.
Benefits validation uses 15 such populations, of which 12 are transactions
during a reporting period (e.g., Population 1, Weeks Claimed) and three
are statuses at the end of a reporting period (e.g., Population 10, Age of
Pending Lower Authority Appeals). Tax validation uses five populations.
An extract file must be constructed for each population. Records in some
populations may be used to validate counts from only one UI report (e.g.
Benefits Population 1 records validate only Weeks Claimed on the ETA
5159 report); others are used to validate multiple reports (e.g., Benefits
Population 4 records validate parts of four benefits reports.)
5. Subpopulation. Populations are divided into mutually exclusive subsets
called subpopulations. Subpopulations are defined in such a way that
they can be used to reconstruct report counts; some are used in the
reconstruction of more than one reported count. Each record from a
population extract file can be assigned to only one subpopulation. For
example, in Benefits Population 1, UI weeks claimed records are assigned
to Subpopulation 1.1 and UCFE weeks claimed records are assigned to
Subpopulation 1.2.
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Chapter 2
Logging On
To log on to the data validation software, follow the next steps.
1
Go to your state Unemployment Insurance Applications Menu screen,
select Data Validation, and then select Validation Software.
2
On the Data Validation login screen, enter your User Name. Example:
dv3
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Unemployment Insurance Data Validation Operations Guide
Screen shots in this operations guide might look different (fonts and
colors) than your screen due to your desktop and browser settings.
3
Enter your Password.
User name and password are assigned by your state system
administrator.
Passwords are case-sensitive, i.e., the operator must use capital
letters or special characters such as (#,*, or %) if these are part of the
password.
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4
Select the application you want to log on to, i.e. Benefits or Tax (Benefits
is selected by default)
5
Click on the Login button.
The State Menu link at the bottom of the screen returns you to the state
menu. The Feedback link accesses contact information for technical
problems. The Help link accesses information on all available functions on
the screen.
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6
You should see the Benefits Selection Criteria or the Tax Selection
Criteria screen, depending on the application you selected.
The Login link at the bottom of the screen will take you back to the login
screen. Click on Population and Choose Function for additional
information on these parameters.
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Chapter 3
Viewing the Record Layouts
In order to use the data validation software, you need to have an extract file
which contains the required data for the reporting period you want to validate.
The data in the file should be extracted from your state production system in
accordance to the specifications described in Appendix A, UI Benefits Record
Layouts, or Appendix B, UI Tax Record Layouts of this guide. You will need 15
extract files; one for each benefit population, and 5 extract files; one for each tax
population.
The record layouts, i.e. the extract file specifications, are also available in the
software. To view them, follow the next steps.
1
On the Benefits Selection Criteria or the Tax Selection Criteria screen,
click on the Population link.
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2
To see the record layout of a population click on the population’s link.
(Benefits are used in the example; Tax will list valid Tax populations.)
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The record layout for the population will be displayed.
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Chapter 4
Importing an Extract File
To use the data in an extract file to validate reported counts, you first need to
import the file into the software. To import an extract file, follow these steps:
1
Select a population from the Population drop–down menu on the Benefits
or the Tax Selection Criteria screen.
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Unemployment Insurance Data Validation Operations Guide
When you select a population, on the lower left corner of the screen you
will see the last date this population was imported and which user
imported it. If you have never imported this population it will display
“Never”.
If you have already imported the population, you will see the last day it
was imported and the user that imported it. You will also see the last date
when validation results were transmitted to DOL. If validation results have
not been transmitted to DOL you will see “Never”.
2
Select Import Data from the Choose Function drop-down menu and click
Go.
When you select Import Data in Benefits, the fields Period Start Date,
Period End Date and Import From Extract File will be displayed.
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You can click on Period Start Date, Period End Date and Import From
Extract File for additional information on these parameters.
When you select Import Data in Tax, the fields Report Quarter and Year,
will be displayed.
You can click on Report Quarter and Year for additional information on
these parameters.
If you are loading Tax Population 2, the Tax Selection Criteria screen will
also display boxes for Contributory and Reimbursing Dates. (These boxes
do not display for other tax populations.)
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Unemployment Insurance Data Validation Operations Guide
The report due date is a state-designated date after which the state
assesses penalty or late charges to employers. The software allows
separate dates for contributory and reimbursing reports because some
states have different due dates for contributory and reimbursing reports.
3
Enter the reporting period you want to validate.
In Benefits, you need to enter the Period Start Date and Period End Date
using MM/DD/YYYY format. For example, January 1st, 2008 must be
entered as “01/01/2008.”
You can also click on the calendar icons on the right to select start and
end dates from a calendar.
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Use the double arrows on the calendar to scroll through years and the
single arrows to scroll through months and then click on the day you want
to use as start or end date.
Scroll
months
Click on day
you want to
select
Scroll years
In Tax, select the Report Quarter and insert Year corresponding to your
extract file, using the drop-down menu next to Report Quarter and type in
year using YYYY format.
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Unemployment Insurance Data Validation Operations Guide
For Tax Population 2, also enter report due dates, using MM/DD/YYYY
format.
You can also click on the calendar icon on the right of each due date to
select the report due date from a calendar, the same way you would select
the reporting dates from the calendar in Benefits.
The time period entered or selected should be the same used to
construct the extract file you are going to load.
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In Benefits, the software allows you to load extract files that do not
conform to actual reporting time periods. This option is included for
diagnostic purposes only. You should only submit to DOL data
validation results that correspond to time periods which match the
time period covered by an actual report (e.g., the ETA 5159 Report
for January 1 – 31, 2008).
The reporting dates are needed only for the import function. Once a
population is loaded, the user may choose any other function without
entering these dates.
4
Enter the full path where the file is located and the name of the extract file
into the Import From Extract File box (example: /opt/dv/data/pop1.txt).
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Unemployment Insurance Data Validation Operations Guide
The Clear Query button on the bottom of the screen will reset the Benefits
or Tax Selection Criteria screen.
All extract files must be copied to the /opt/dv/data/ directory; hence
the path name will always be /opt/dv/data/filename.txt. This directory
was created on the Sun servers exclusively for data validation use.
The software will only accept files in text format. File names cannot
contain spaces and must end in “.txt”.
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5
Click on the Import button to load the extract file into the system.
This will take you to the Import Messages screen for information on the
loading procedure.
On this screen you can see which user is loading the population, the start
and end times of the load, the number of errors found in the file, and the
total number of rows processed (including records in error).
Incoming extract files are subjected to various tests to identify
1) Syntax errors, 2) logic errors, and 3) duplicate records.
For large files, a new import message line will appear for each 5,000
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records.
Load times vary depending on the number of records in the extract
file. The time-out parameter is set to 12 hours while the software is
loading to allow ample time for loading large files. Load times are
affected by the size of the file, the population being loaded, and the
number of error conditions encountered during the load.
The software allows different populations to be resident in the
application at the same time, but only one data set for each
population.
If the same population is loaded a second time, the new data set will
over-write the former. Re-loading the same extract file will produce
identical results for report validation, but different samples.
While the file is loading you can go back to the Benefits or Tax Selection
Criteria screen and access screens for other populations. You cannot,
however, load another population or access any of the screens of the
population being loaded. A message in red will appear on the screen
letting you know that the population is being loaded and the user that is
loading it.
In addition, the Population drop-down menu will not display the population
being loaded and the Choose Function drop-down menu will not display
the Import function.
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Unemployment Insurance Data Validation Operations Guide
To return to the Import Messages, select View Import Messages from the
Choose A Function drop-down menu on the Benefits Selection Criteria
screen. You don’t need to select a Population.
Messages displayed on the Import Messages screen are available
during the loading operation, but are not available after the file has
been loaded and the user has left this screen. Information about
previous population loads is not available. Users have the option of
printing this screen when it is displayed, for future reference.
To accurately validate Benefits Population 3 reported numbers, i.e.,
RV, the extract file for Benefits Population 3a must also be loaded on
the software for the same reporting period. When the software
generates the RV for Benefits Population 3, it retrieves validation
counts for new and transitional claims from the Benefits Population 3
extract file and additional claim counts from the Benefits Population 3a
extract file. For more information, please refer to Appendix A, UI
Benefits Report Validation Specifications of the ETA Handbook 361- A
Benefits.
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Cancelling a Load
To cancel a load in progress, follow the next steps.
1
To cancel a load in progress, click the Cancel Import button on the Import
Messages screen.
You should get a message saying that the load was cancelled and the
time it was cancelled.
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When you return to the Benefits or the Tax Selection Criteria screen, using
the Home link, you will see a message in red indicating that the load was
cancelled and the Last Import date will display “Cancelled.”
When you cancel a load, the only screen available for the population for
which the load was cancelled is the Errors screen.
If
you are loading a large file and the number of errors is excessive,
you don’t need to wait until the load finishes, to check the type of
errors you are getting. Instead, cancel the load and check the Errors
screen. You will be able to see the errors that were processed up to
the point where you cancelled the load.
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Chapter 5
Viewing Errors
When extract files are loaded, the software reads each record to ensure that all
fields are valid with reference to specifications provided in the ETA Handbook
361 Benefits and 361 Tax.
There are three kinds of error conditions detected during the import and loading
process:
Syntax errors. This refers to records that are not formatted according to
instructions in the population-specific record layouts. Example: alpha characters
in the social security number field or dollars field.
Parsing errors.
This refers to records that cannot be assigned to a
subpopulation because the values in the fields do not match the required criteria
for any of the subpopulations.
Duplicate records. This refers to records that are found to be duplicates based
on the criteria described in Appendix C, UI Benefits Duplicate Detection Criteria
or Appendix D, UI Tax Duplicate Detection Criteria, of this guide.
All records with errors are loaded to the Errors table. Records in the Errors table
are not included in any of the validation screens and hence cannot be validated.
You should inspect these records and determine whether the extract file was not
constructed correctly or there is a problem in the state database from which the
data was extracted. If the extract file was not constructed correctly, fix the file and
load it again. If the problem is in your state database, for example a field is not
being captured; your office needs to take steps to fix it. In your review, you must
try to distinguish between (a) incorrectly built records that represent countable
transactions, and (b) records that do not represent countable transactions.
Examples of the latter are one of a set of two duplicate transactions and records
with dates putting them out of range for validating the quarter you are trying to
validate. Rebuild the file to correct errors of a type (a); you may eliminate errors
of type (b) from the extract file or just ignore them as they do not enter into
validation counts or appear in samples.
The Errors screen allows the user to view the records that were found to have
errors during the loading operation. To view the Errors screen follow the next
steps.
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Unemployment Insurance Data Validation Operations Guide
1
In the Benefits or Tax Selection Criteria screen, select the Population for
which you want to see the errors table. Benefits screens will be displayed
in the following examples.
2
Select View Errors from the Choose Function drop-down menu and click
Go.
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The Errors screen displays records with errors along with an error
message for each record.
The Errors screen displays 100 records at a time. To see the next 100
records, click on the Next link at the bottom of the screen. This link is
visible only when there are more than 100 records. If the loaded file
contains more than 1,000 errors only the first 1,000 can be viewed, and
the software will display a red message to inform you of this.
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When a file with no errors is loaded, the Errors screen displays “No Rows
Found” in red.
Viewing Duplicate Records
Duplicate errors are displayed in the Errors screen along with all other
errors, but can be viewed separately by accessing the Duplicate Detection
Report screen. To access this screen follow the steps below.
1
Click on the Duplicate Detection Report link at the bottom of the Errors
screen.
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The Duplicate Detection Report screen displays duplicates only.
Like in the Errors screen, the screen displays only 100 records at a time.
To see the next 100 records, click on the Next link at the bottom of the
screen. This link is visible only when there are more than 100 records. If
the loaded file contains more than 1,000 duplicates only the first 1,000 can
be viewed, and the software will display a red message to inform you of
this.
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To go back to the Errors screen click on the All Errors link at the bottom of
the screen.
When a file with no duplicates is loaded, the Duplicate Detection Report
screen displays “No Rows Found” in red.
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Chapter 6
Viewing the Source Table
The Source Table displays all the records that were successfully loaded to the
application. To access the Source Table follow the steps below.
1
From the Benefits or Tax Selection Criteria screen select a Population that
has been loaded. Benefits screens will be displayed in the following
examples.
2
Select View Source Table from the Choose Function drop-down menu and
click Go.
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The Source Table screen contains all records parsed, but displays only
100 records at a time. At the bottom of the Source Table screen, you can
see a count of the number of errors found during the loading process and
the error rate. You can access the Errors screen from the Source Table
screen by clicking on the Show Errors link at the bottom of the screen.
You can sort records by any field by clicking at the field header. Click once
to sort in ascending order, and twice for descending. (Applies only to
Benefits)
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Unemployment Insurance Data Validation Operations Guide
You can sort records by a field to quickly find records with outlier
values. For example, sort on Weekly Benefit Allowance (WBA) to
find records with values exceeding the state established WBA.
The Source Table screen displays 100 records at a time. To see the next
100 records, click on the Next link at the bottom of the screen. This link is
visible only when there are more than 100 records. If the table contains
more than 1,000 records only the first 1,000 can be viewed.
The Source Table screen shows the number of errors found during the
loading process and the error rate at the bottom of the screen. You can
access the Errors screen from the Source Table screen by clicking on the
Show Errors link at the bottom of the screen.
If no record was successfully loaded, the Source Table screen displays a
warning message in red.
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Chapter 7
Viewing Validation Counts
The Validation Counts screen displays all the subpopulations in the population
and the number of records from the extract file that were assigned to each
subpopulation. To view the Validation Counts screen, follow the next steps.
1
From the Benefits or Tax Selection Criteria screen select a Population that
has been loaded. Benefits screens will be displayed in the following
examples.
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2
Select View Validation Counts from the Choose Function drop- down
menu and click on Go.
The screen displays the subpopulations, the report cells for which they are
used, the type of values expected for records in them, and the number of
records assigned to each.
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3
Click on the subpopulation number to view records that were parsed into
that subpopulation.
You can sort records by any field by clicking at the field header. Click once
to sort in ascending order, and twice for descending.
You can print the screen by clicking on the Print button at the bottom of
the screen.
The screen displays 100 records at a time. To see the next 100 records,
click on the Next link at the bottom of the screen. This link is displayed
only when there are more than 100 records.
4
Click on the “X” in the upper right hand corner of the screen to close the
screen and return to the Validation Counts screen.
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Chapter 8
Viewing the Report Validation Screen
Report validation (RV) consists of establishing the extent to which reported
numbers match report counts reproduced through the data validation process.
This comparison process is automated and requires no additional input from
state staff.
The software retrieves reported numbers from the state UI database and
compares them to the validation numbers derived from the extract files. In
Benefits, percent errors are displayed for each report cell, but pass/fail scores
are displayed for groups. A group passes validation if the percent error is 2% or
less, except for groups which contain report cells that are used for Government
Performance and Results Act (GPRA) measures, which should have a percent
error of 1% or less (i.e., Groups 4.01, 4.02 and 12.04). If all groups pass, the
population passes report validation; otherwise, it fails; except in Populations 10
and 11, where there are individual report cells that must also pass in addition to
the groups.
In Tax, percent errors are displayed for each report cell. A report cell passes
validation if the percent error is 2% or less, except for cells which are used for
Government Performance and Results Act (GPRA) measures, which should
have a percent error of 1% or less (ETA 581, cells 11 and 61). If all cells pass,
the population passes report validation; otherwise, it fails.
The Report Validation screen displays the results of report validation. To display
the screen follow the steps below.
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1
From the Benefits or Tax Selection Criteria screen select a Population that
has been loaded. Tax screens will be displayed in the following examples,
unless otherwise noted.
2
Select View Report Validation from the Choose Function drop-down menu
and click on Go.
The Report Validation screen displays each report cell in the population,
its description, validation count (derived from the extract file), reported
count (retrieved from the UI database), count difference, and percent
difference, cumulative counts for some groups of report cells, and pass/fail
scores for items that are used to determine the score of RV. If any scored
item fails, the RV fails.
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In Benefits, at the right bottom corner of the Report Validation screen you
can see the Report Validation Status of the population.
In Tax, the failure of even one count shown on the table will result in the
RV Status to Fail, while in Benefits a failure in one group will result in the
status to Fail.
At the bottom of the screen there is a button to access the View
Population Scores screen. Click on it to display the status of the RV and
DEV, which are the two components used to calculate the population
score. In Tax, DEV is composed of Sorts and Minimum samples, and in
Benefits, it’s composed of all random samples for the population. For more
information on this screen, see section on submitting results to DOL.
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To save a screen shot of the Report Validation screen outside the software,
follow the next steps.
3
Select Save As from the drop-down menu File on the top left corner of
your browser.
4
Select the location where you want to save the screen shot and write in
the File Name box the name you want to give the file and click save.
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Chapter 9
Viewing Samples
Data element validation (DEV) consists of the investigation of samples drawn
from extract files to verify that the information in the records is accurate. Four
kinds of samples are drawn: random, missing subpopulations, outliers, and
minimum,
•
•
•
•
Random. These samples are drawn from specific subpopulations within
extract files. These were designed as two-tier samples so that the second
tier of the sample does not have to be investigated if the results of the
investigation of the first tier are conclusive. The samples are either 30/100
or 60/200, where the first number indicates the size of the first tier and the
second number the size of the whole sample. So, for example, in a 30/100
sample, 30 cases are investigated in the first tier and 70 on the second,
for a total of 100 records. These samples pass with an error rate of 5% or
less.
Missing subpopulations. These samples are dependent on the random
samples. Each sample consists of one case from each subpopulation that
is in the universe of the related random sample but was not selected in the
random sample.
Minimum. These samples consist of two cases from each subpopulation
included in the sample frame.
Outliers. These samples consist of 10 records with extreme values: the
five largest and five smallest values for the variable of interest in the data
set.
Benefits DV uses all four samples, and Tax DV only uses minimum, but Tax DEV
also includes sorts. In Benefits only random samples are scored and submitted to
DOL. The other samples in Benefits are included for diagnostic purposes, but
failure of a non-random sample does not require corrective action. States should
investigate them and keep a record of their results for auditing purposes.
Tax Data Element Validation (DEV) has two parts: Minimum Samples (previously
known as File Integrity Validation (FIV) samples), and Data Element Sorts
validation (refer to Chapter 10 for more information). The minimum samples are
so small; that in order to pass this aspect of DEV all sampled records must be
free of errors.
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For both Benefits and Tax, the RV of a population is not valid unless the
population passes all applicable DEV tests.
To view the samples of a population follow the next steps.
1
From the Benefits or Tax Selection Criteria screen select a Population that
has been loaded. Benefits screens will be displayed in the following
examples.
2
Select View Samples from the Choose Function drop-down menu and
click on Go.
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The Sample ID number on the Samples screen identifies the specific
sample. Sample Type describes it as one of the four types of samples
described above (random, minimum, outlier or missing subpopulations).
Sample Description is a narrative explanation of the subpopulations
included in the sample frame for each sample.
3
Click on the Sample ID of the sample you want to view.
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The Sample Validation screen displays the records selected in the sample
that are to be investigated. The number and description of the sample are
displayed at the top of the screen.
This screen is used to enter the results of the investigation. The step
numbers on the headers of the columns refer to the steps in Module 3 of
the data validation handbook.
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Printing Sample Worksheets
Before you start investigating each record in a sample it is recommended that
you print the worksheets for all records. You can annotate validation results in
these worksheets and later enter all results in the Sample Validation screen. To
print the worksheets follow the next steps. Benefits screens will be displayed in
the following examples.
1
Click the Print Worksheets button. This button is displayed at the top and
bottom of the Sample Validation screen. Click on either button.
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2
Start Row and End Row boxes will be displayed at the bottom of the
screen. Enter the range of rows that you want to print and click Go. For
example, enter “1” in Start Row and “4” in End Row and click Go, to print
sample worksheets for rows 1 to 4.
To print the worksheet of only one record, enter the row number of
the record in the Start Row and End Row boxes. For example, to
print the record in the second row, enter “2” in both the Start Row
and End Row boxes.
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The worksheets display the records with all fields and corresponding
values in portrait orientation.
3
Scroll to the end of the screen and click on Print Preview.
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If instead of printing you want to add more records to print, click on Get
More Rows. Start Row and End Row boxes will be displayed at the
bottom of the screen. Enter the range of rows that you want to add and
click Go.
Then click on Print Preview.
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4
Click the Printer symbol on the left top corner of the screen.
5
Select a printer and click Print.
You can keep worksheets for samples you submit to the DOL as
evidence of the work done, in case you are subject to an Office of
Inspector General (OIG) audit.
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Entering Validation Results for Non-random Samples (Minimum,
Missing Subpopulations and Outliers)
After you investigate each record, you need to enter the results of the validation
into the software. To enter results for non-random samples, go to the Sample
Validation screen of the sample you are investigating and follow the next steps.
1
For each data element, go to the box next to it, click on the drop-down
menu and select pass or fail according to your findings. Tax screens will
be displayed in the following examples, unless otherwise noted.
If all elements in a record have passed you don’t have to enter results
individually for each data element. You can instead click on the Pass Row
box at the beginning of the row and all boxes for that row will be filled with
“Pass”.
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For a record that has only a few elements failed and the rest of the
elements passed, you can select “Fail” for the elements that failed and
then check the Pass Row box at the beginning of the row to change the
remaining blank boxes to “Pass”.
If all of the records within the sample have passed all data elements you
can select the Check All box on the top left corner of the table to change
all blank boxes to “Pass”.
You can enter “Fail” for the elements that have failed for the whole
sample and then click the Check All box to change the remaining blank
boxes to “Pass”.
2
Click Save to save all entered results. When you click Save the software
will display a summary of your results at the bottom of the screen,
including the number of cases reviewed and the number of cases in error.
The Save button will save your results in the software. You can use this
button to save partial results if you need to log out from the software.
When you return to this screen, all results you have entered so far will be
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displayed. (for Taxes the Save button saves your data to your state’s
database).
3
When you finish validating all records, click on the Save Final Validation
Results (only appears on Benefits screen) button at the top or bottom
of the screen, to save your data in your state’s database.
Click OK.
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Click OK.
You can later access these data by querying your database, but the data
will be erased from the software when the population is reloaded.
The Save As button displayed at the top and bottom of the screen can be
used to save a screen shot of your results outside the software. To do this,
follow the next steps.
4
Click on Save As.
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5
Select the location where you want to save the screen shot and write in
the File name box the name you want to give the file. Click on Save.
6
When you finish entering and saving your sample validation results, close
the Sample Validation screen by clicking the X in the upper right-hand
corner.
Click OK
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Entering Validation Results for Random Samples
When validating random samples (Benefits) you first have to validate records on
the first tier of the sample. If the results are conclusive, you don’t need to validate
the second tier (rest of the sample). If results are inconclusive you need to go to
the second tier and enter results for the rest of the sample. To enter results for
random samples follow the next steps.
First Tier
1
When you first open the Sample Validation screen for a random sample
you will see the records in the first tier of the sample, i.e., the first 30
records for a 30/100 sample or the first 60 records for a 60/200 sample.
Enter validation results for all records on the screen by following the
instructions described in Step 1 of the previous section for non-random
samples.
If the sample’s universe size is less than 100 for 30/100 samples or
200 for 60/200 samples, i.e., if the extract file has less than 100 or
200 records respectively from which to select that sample, you will
see all records selected for the sample on the screen and you will
not have to complete a second tier. The software will use the error
rates in Table B.2 of the Benefits Handbook to score the sample.
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2
Click Save. If the results are conclusive, the screen will display a summary
of your results at the bottom of the page, along with a pass or fail score.
You have finished the validation and don’t need to complete the second
tier. If the sample universe is smaller than the 30- or 60-case tier one
sample, the results will be conclusive regardless of the number of errors.
If the results are inconclusive, clicking on Save will bring up the following
pop-up window informing you that you need to go to the second tier. Click
OK.
If you need to exit the software before entering all your results,
click Save before you do so, so that you don’t lose any of your
results. Also, if you are inactive for more than 59 minutes (the
time-out limit), save your work before, to avoid losing your
results.
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Second Tier
3
To go to the second tier, click on one of the Switch to Tier 2 buttons
available at the top and bottom of the screen.
The first tier’s records are going to be disabled but still visible on the
screen and the records for the second tier are going to be displayed.
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If you want to edit results for any records on the first tier, you can click on
either of the Back to Tier 1 buttons available at the top and bottom of the
screen.
However, if you had entered any results for records on the second tier,
you will lose them. The software will give you a warning before going back
to tier 1. Click OK if you want to go to tier 1 or Cancel to return to Tier 2.
Be aware that returning to tier 1 from tier 2 might take a long time.
4
Enter results for all records on the second tier the same way you entered
results on the first tier. Follow the first tier instructions described under
Step 1.
5
When you finish entering results click Save. A summary of your results will
be displayed at the bottom of the page along with a pass or fail score.
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6
If you want to save a screen shot click Save As and follow the steps
described in the previous section.
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Viewing the Data Element Validation Report
The Data Element Validation Report screen provides summary information about
completed sample investigations for a given population. This report is for
informational purposes only. It provides, for example, the number of cases in
error and the derived percent of errors established through the sample
investigation process. The report can be printed and/or saved outside the
application, but there is no Transmit button for export to DOL. To access this
screen follow the next steps.
1
Click on the link Data Element Validation Report screen located at the
bottom of the Samples screen.
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The screen will show results that you have entered for all samples. You
can print this screen by clicking on Print and save it outside the software
by clicking on Save As.
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Chapter 10
Viewing Data Element Sorts in Tax
The purpose of data element sorts validation is to determine whether the generic
primary codes used to assign transactions (e.g. C (Contributory) and R
(Reimbursing) in Populations 1 and 2) are accurately supported by state-specific
secondary codes or specific ranges of employer account numbers (EANs). If a
state’s database does not have more than one state-specific code for a given
generic code, or does not use EAN ranges, these tests do not apply. Also, these
tests do not apply to Population 5.
A data element passes sort validation if no more than 2% of the sorted
transactions include an incorrect state-specific code. For detailed information on
data element sort validation check Module 2.3 of the tax handbook.
The following table illustrates the relationship between tax populations, sorts, and
sub-populations. The Test Data Element column identifies the data element used
by the software to perform the sort.
Tax Populations, Sorts and Sub-populations
Population
1
1
1
1
1
2
2
2
2
3
3
3
3
4
4
4
Sort
S1.1
S1.2
S1.3
S1.4
S1.5
S2.1
S2.2
S2.3
S2.4
S3.1
S3.2
S3.3
S3.4
S4.1
S4.2
S4.3
Subpopulations Examined
1.1 (Contributory Employers)
1.2 (Reimbursing Employers)
1.1 + 1.2 (All employers)
1.1 (Contributory Employers)
1.2 (Reimbursing Employers)
2.1 – 2.8 (Contributory Employers)
2.9 – 2.16 (Reimbursing Employers)
2.1 – 2.8 (Contributory Employers)
2.9 – 2.16 (Reimbursing Employers)
3.1 – 3.3 (New Status Det.)
3.4 – 3.6 (Successor Status Det.)
3.7 (Inactivation Det.)
3.8 (Termination Det.)
4.1, 4.9 (Establishment Transaction)
4.2, 4.10 (Liquidation Transaction)
4.3, 4.4, 4.11, 4.12 (Uncollectible
Transactions)
Test Data Element
EAN
EAN
Employer Status Indicator
Employer Type Indicator
Employer Type Indicator
EAN
EAN
Employer Type Indicator
Employer Type Indicator
Status Determination Type
Status Determination Type
Status Determination Type
Status Determination Type
Transaction Type Indicator
Transaction Type Indicator
Transaction Type Indicator
The software has two different sorting methods to determine which employers or
transactions are out of range: query and frequency distribution. The query is
available for EANs and the frequency distribution for all other data elements. The
next sections will explain each method in detail.
To access the Data Element Sorts screen follow the next steps.
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1
From the Tax Selection Criteria screen select a Population that has been
loaded.
2
Select View Data Element Sorts from the Choose Function drop-down
menu and click Go.
The Data Element Sorts screen displays each data element to be sorted,
the corresponding step in Module 3 that is used to validate it, and the
number of cases to be validated. Each data element has a sort number
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assigned to it, e.g., S1.1. The sort numbers are displayed as links that
take you to the sorting function.
Entering Data Element Sorts Results
To enter results for data element sorts follow the next steps.
1
If your state does not have secondary codes for the data element, you
cannot do sort validation for that data element. In that case, click on the
N/A box next to the data element.
The data element is disabled and the Status column displays “N/A”.
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2
If your state has secondary codes for the data element or assigns EAN
ranges to contributory and reimbursing employers, click on the sort
number link. For example, click on S1.1.
If the data element is EAN, you will get a query screen. For other data
elements you will get a screen showing a frequency distribution of codes.
Query Screen
If your state assigns a certain range of EAN numbers to contributory
employers and another range to reimbursing employers, you can query
against the EANs in your extract file to determine if there are any numbers
out of range.
Select the type of query you want to execute and the parameters for the
query. The software offers three possible queries: starts with, ends with
and is between.
Starts with retrieves all employers whose EANs begin with the sequence
you identify. For example, to get all the records with an EAN starting with
3000, click the starts with option, and enter 3000 in the first box.
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Ends with retrieves all employers whose EAN ends with the sequence you
identify. For example, to get all the records with an EAN ending in 1230,
click the ends with option, and enter 1230 in the first box.
Is between allows you to specify a range starting with an EAN value in the
first box and an ending value in the second box. The query returns the set
of employers that falls within the specified range. For example, to get all
the records with an EAN between 3000 and 502222, click the is between
option, enter 3000 in the first box and 502222 in the second box.
You can save your parameters by clicking on Save Parameters.
Click on the Query button.
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The software displays a screen with all records that satisfy the query
parameters. At the bottom of the screen the total number of records
retrieved is displayed.
If the number returned by the query exceeds 10,000, the
software displays the first 10,000, beginning with the lowest
EAN.
If you query for valid values, for example if your state’s EANs always start
with 4, and you query for those records, then the records the software
retrieves are all correct. In this case, compare the number of records
retrieved with the number of cases in the Data Element Sort screen.
The difference between these numbers equals the number of records that
have an incorrect EAN, i.e. the number of errors. For example, if you
retrieved 4 correct records using the query and the number of cases is 12,
then there are 8 records in error.
If you query for invalid values, for example if all EANs in your state can
end in any digit but 9 and you query for all EANs ending in 9, then the total
number of records retrieved equals the number of errors.
In some cases you might want to execute multiple queries to find the
number of errors. For example, if the EANs in your state should be
between 007900000 and 007999999, then you can query for records
above the upper limit and below the lower limit of your state’s EAN
range, i.e., run a query for records beginning with 000000000 and
ending with 007899999 and another query for 008000000 and above.
Add the number of records returned by both queries to get the total
number of errors.
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Frequency Distribution Screen
If your state has multiple codes for active employers, employer type, or
types of transactions, you can determine which records have an incorrect
code by looking at their frequency distribution of codes.
1
After you click on the sort number link of a data element that is not an
EAN, a window will come up showing a frequency distribution of all codes.
Look at all the codes and determine whether these are correct. Add up all
the counts of incorrect codes to determine the total number of errors for
the data element you are validating.
For example, in the previous screen, if you are validating Inactive codes
and 315 and 316 are not Inactive codes in your state system, then you
have a total of 11 (8+3) errors for Inactive.
2
To view all records that were counted for a code, click on the code link.
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The software can only display the first 10,000 records.
After you determine how many errors you have for a data element, either
by querying or by using the codes frequency distribution, enter that number
in the Data Element Sorts screen. To do this, follow the next steps.
3
Enter the number of records in error for the data element you are
validating, in the # of Errors field on the Data Element Sorts screen.
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4
Click the Save button at the bottom of the screen.
5
You will get a pop up window confirming that you have saved the data.
Click OK.
The software calculates the percentage of errors and determines whether
the data element passed sort validation. It also calculates the Data
Element Sorts Status.
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If you haven’t completed all the sorts, the status will display “Incomplete”.
In order to submit results to the DOL, you first need to complete all sorts,
by either entering the number of errors or checking the N/A box, and click
Save.
When you complete and save all sorts for a population, the status field will
display Pass or Fail.
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Chapter 11
Viewing the Wage Item Validation Screen in Tax
Wage item validation consists of reviewing counts of wage record transactions
which appear on the ETA 581 report to verify their accuracy. A wage record is
the listing of an individual’s earnings in covered employment. Employers are
required to provide this information to the Unemployment Insurance program four
times per year.
To validate wage items you need to compare counts from the ETA 581 with
reconstructed counts produced under controlled conditions. You should test that
every wage item is counted and that the count does not include corrections
(counted twice), incomplete wage records or duplicate records. You can find a
detailed explanation in Module 5 of the ETA Handbook 361- Tax.
To enter wage item validation results into the software follow the next steps.
1
Select Wage Item Validation from the Other Validations box on the Tax
Selection Criteria screen and click View.
When you select Wage Item Validation, you will see the date results were
last transmitted to the National Office at the bottom of the Other
Validations box. If you have not transmitted any results, the Last
Transmitted field will display “Never”.
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2
Click on View to get to the Wage Item Validation screen.
If you have never entered results before you might get a screen with no
wage items.
3
Select the quarter from the Report Quarter drop down menu, then input
year (year must be 4 characters long).
If you have previously entered results, you will see them and you can edit
or delete them. Wage items do not get overwritten when you load extract
files and are not dependent on any population.
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4
To add a wage item. Click on the Add Wage Item button located at the
bottom of the screen.
5
In the Add Wage Items for Validation pop up window enter the information
for the wage item you want to add and click Save.
•
•
•
•
•
Select the Mode Type; from the drop down menu this is a general
description of the item you are validating.
Enter the Mode; this is a brief description of the item you are
validating. If Mode Type is used more than once each Mode should
have a unique name/description. For example, if CD/Diskette is
selected twice as your Mode Type the Mode could be entered as
CD1 and CD2 with a brief description like CD1 – First Month, CD2
Second Month.
Next, enter Sample Size; which cannot be zero or greater than 150.
If Sample Size is less than 150 the software will automatically fill in
the Cases Reviewed field with the same number as the Sample
Size. If 150 is entered as the Sample Size, then for the Cases
Reviewed field you must enter 50 if you are reviewing Stage 1 or
enter 150 if you are reviewing Stage 2. Refer to UI DV Handbook
361, Tax for more information on when Stage 1 or Stage 2 are
required.
Enter the recount for that category in the Validation Count field.
Enter the counts for the applicable time period that are reflected in
the ETA 581 Report in the Reported Count field.
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When you save the item, the Wage Item Validation screen displays the
item added and calculates the Difference between the Reported Count
and Validation Count fields, and whether the item Passed or Failed
validation.
Repeat this procedure to ensure that you have validated wage items for
every mode your state’s employers use to submit them.
6
To update any field of a wage item other than the Mode Type and Mode
fields, click on the field box you want to edit and edit the field. Then click
the Save button at the bottom of the screen to save your changes.
You cannot update the Mode Type or Mode fields. Instead, you need to
delete the wage item and add a new one with the correct Mode.
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7
To delete a wage item click on the Delete button next to the wage item,
located on the column Delete Wage Item?
A pop-up window will be displayed to confirm your request. Click OK to
delete the item or Cancel if you don’t want to delete it.
8
After you finish entering your validation results, click the Save button at
the bottom of the screen to save your work.
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Chapter 12
Submitting Results to DOL
Adding Comments
You can add individual comments to your RV, samples, sorts, and wage items
results before transmitting them to DOL by using the Comments buttons on the
Report Validation, Sample Validation, Data Element Sorts, and Wage Item
Validation screens. To add comments, follow the steps below. Tax screens will
be displayed in the following examples.
1
From the Benefits or Tax Selection Criteria screen select the Population
for which you want to add comments.
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2
Select the screen for which results you want to add comments from the
Choose Function drop-down menu and click on Go.
For adding comments to wage item validation results, select View Wage
Item Validation from the Other Validations box on the Tax Selection
Criteria screen and click View.
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3
Click on the Add Comments button.
In the Report Validation screen, the Add Comments button is located at
the bottom of the screen.
In the Sample Validation screen, the Add Comments button is displayed
at the top and bottom of the screen. Click on either one.
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In both the Data Element Sorts and the Wage Item Validation screens,
only available in Tax, the Add Comments button is displayed at the
bottom of the screen.
Click on the Add Comment button to bring up the comment box.
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4
Write your comments in the comment box and click Save. You have a limit
of 512 characters. Only saved comments will be transmitted.
5
Close the comments window by clicking on the X located on the top right
corner of the window.
The Clear button at the bottom of the Comments screen will erase the
contents of the comment box. The Reset button will erase any additional
comments written after the comments were last saved.
Transmitting Population Results
After you complete RV and DEV, you can transmit the results to DOL with or
without comments. Only completed and conclusive sample investigations can be
transmitted. Results are transmitted jointly for RV and DEV samples.
You may choose not to submit the results of a validation exercise, but
keep in mind that any results resident in the software for a given
population will be lost when a new extract file for that population is
imported it overwrites the prior data.
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When you transmit results to DOL, only summary information and
comments are transmitted. Detailed information from individual
records is not transmitted to DOL. This means that sensitive
information, such as SSNs, stays at the state level.
You can forward RV and DEV results to DOL using the Transmit button at the
bottom of the Population Scores screen. Submissions are transferred to DOL
overnight, so they will be received the next day. To submit results along with
comments saved, if any, follow the next steps.
1
From the Benefits or Tax Selection Criteria screen select the Population
for which you want to submit results.
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2
Select View Population Scores from the Choose Function drop-down
menu and click on Go.
The Population Scores screen can also be accessed from the Report
Validation, Sample Validation or Data Element Sorts (Tax only) screens by
clicking on the View Population Scores button.
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In Benefits, the Population Scores screen displays scores for the RV and
all the random samples, and an overall score for the population. It also
displays the date when results for the population were last transmitted to
the National Office.
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In Tax, he Population Scores screen displays scores for the RV, minimum
sample, and sorts, and an overall score for the population. It also displays
the date when results for the population were last transmitted to the
National Office.
3
Click on the Transmit button located at the bottom of the screen.
88
Unemployment Insurance Data Validation Operations Guide
You can only transmit results if you have completed DEV. If you haven’t,
you will get the following message.
Click OK and complete all samples and sorts (if applicable). After you
complete all DEV return to the Population Scores screen. Click on the
Transmit button to submit your results.
4
Click OK on the pop up window if you want to transmit the results. Click
Cancel if you don’t.
You will get a message confirming that your results were submitted. Click
OK.
89
Unemployment Insurance Data Validation Operations Guide
In the Population Scores of Benefits or Tax Selection Criteria screens, the
Last Transmitted date should reflect the date when you last transmitted
results for the population. If you have never submitted results the field
would display “Never”.
90
Unemployment Insurance Data Validation Operations Guide
Transmitting Wage Item Validation Results
You submit wage item validation results to DOL using the Transmit button at the
bottom of the Wage Item Validation screen. To transmit wage item validation
results follow the next steps.
1
Click on the Transmit button. The Transmit button is located at the
bottom of the Wage Item Validation screen.
Clicking the transmit button multiple times or closing the
application before the submission process is complete could
cause problems with your submission. Click only one time and
wait until you get the window saying “Wage Item Validation has
been submitted”.
91
Unemployment Insurance Data Validation Operations Guide
2
Click OK on the pop up window if you want to transmit the results. Click
Cancel if you don’t.
You will get a pop up window confirming your action. Click OK.
When you return to the Tax Selection Criteria screen, the Last Transmitted
field at the bottom of the Other Validations box will be updated.
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Unemployment Insurance Data Validation Operations Guide
APPENDIX A
Unemployment Insurance Data Validation Operations Guide
EXPLANATION OF UI BENEFITS DATA FORMATS
There are five types of data formats referred to in Appendix A.
1. Required. These fields cannot be blank. They may be mandatory dates and
dollar values.
2. Text. These fields have text values that must be entered, such as UI, partial,
voluntary quit, etc. All of the allowable generic text values for each field are
listed in the record layout. The generic text values must be followed by a
dash and the corresponding state-specific value.
3. Optional (these fields are gray in Appendix A). The software does not
look at these fields at all. Any values can be entered or they can be left
blank.
4. Must be blank. These are text or date fields where the presence of data
indicates an error. Therefore, they must be left blank (such as monetary date
where the subpopulation is 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 where the presence of data
other than “0” indicates an error.
Some values are abbreviated in the record layouts (Appendix A) but are shown in
the report validation specifications (Appendix A) in their entirety for informational
purposes.
Notes:
For most steps referenced in Appendix A column headers, Rule 1 is the indicator
in the state system. However, if a state does not maintain the indicator specified
in Rule 1, then the state programmer must review the other rules in that step in
order to develop the required validation logic.
Unique ID is required for populations 2, 4, 6, 7, 8, 9, 10, and 11 and optional for
populations 5, 12, 13, and 14 because not all states maintain the indicators for
these four populations. There is no unique ID field for populations 1 and 3.
Federal Wages are required in certain situations. In population 4, for Joint
UI/Federal payments UCFE amount and/or UCX amount is required. In
population 4 for UCFE or UCFE/UCX payments, UCX amount is only required for
joint UCFE and UCX claims. In populations 12, 13 and 14 federal amount is
required for UI overpayments when there are also federal wages.
A-1
Unemployment Insurance Data Validation Operations Guide
BENEFITS RECORD LAYOUT FOR POPULATION 1
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 UI Program Type is 01, then the data format would be UI-01.
No.
Field Name
1
OBS
2
Claim Weekending Date
3
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
State assigned sequential unique
identifier for each record in the
extract file.
Number - 00000000
(Required)
INTEGER
NOT NULL
Step 1A - Rule 2
The week-ending date of the
week claimed.
Date - MM/DD/YYYY
(Required)
DATE
NOT NULL
SSN
Step 1A - Rule 1
Social Security Number
Number - 000000000
(Required)
CHAR (9)
NOT NULL
4
Type of UI
Program
Regular UI: Step 2A - Rule 1
Regular UI claim.
Text - Regular UI
(Required)
CHAR (20)
NOT NULL
5
Program Type
UI: Step 4A - Rule 1
UCFE: Step 4B - Rule 1
UCX: Step 4C - Rule 1
UI, UCFE, or UCX.
Text - UI
UCFE
UCX
(Required)
CHAR (30)
NOT NULL
6
Intrastate/
Interstate
Intrastate: Step 5A - Rules 1
and 2
Interstate Received as Liable
State: Step 5B - Rules 1 and 2
Interstate Filed From Agent
State: Step 5D - Rules 1
and 2
Intrastate, Interstate received as
liable state, or Interstate filed
from agent state.
Text - Intrastate
Interstate liable
Interstate agent
(Required)
CHAR (30)
NOT NULL
7
Date Week
Claimed
Step 11 - Rule 1
The date the week was claimed.
Date - MM/DD/YYYY
(Required)
DATE
NOT NULL
APPENDIX A
RECORD LAYOUT
A-2
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
8
Monetarily Eligible
or Pending
Step 11 - Rule 2
Claimant is monetarily eligible for
benefits when the week was
claimed if: benefits have not
been exhausted or monetary
eligibility is pending, i.e. eligibility
has not been finally determined.
Text – Eligible
Pending
(Optional)
CHAR (30)
9
Earnings
Step 11 - Rule 3
Earnings for the week claimed
except for interstate filed from
agent state claims.
Number - 0000000.00
(Required except optional for
Interstate filed from agent state
claims)
DECIMAL (9,2)
10
WBA
Step 11 - Rule 3
Weekly benefit allowance
Number - 0000000.00
(Required)
DECIMAL (9,2)
11
User
User defined field. Can be used
for any additional data element.
Not mandatory.
Text
(Optional)
CHAR (100)
APPENDIX A
Constraint
NOT NULL
RECORD LAYOUT
A-3
Unemployment Insurance Data Validation Operations Guide
BENEFITS RECORD LAYOUT FOR POPULATION 2
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 UCFE is 5, then the data format would be UCFE-5.
No.
Field Name
1
OBS
2
SSN
3
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
Sequential number, start at 1.
Provides for a unique identifier
for each record in the extract
file.
Number - 00000000
(Required)
INTEGER
NOT NULL
Step 1C - Rule 1
Social Security Number
Number - 000000000
(Required)
CHAR (9)
NOT NULL
Check Number
Unique ID
Step 1C - Rule 2
The check number or other
unique ID.
Number - 0000000000
(Required)
CHAR (30)
NOT NULL
4
Type of UI
Program
Regular UI: Step 2A - Rule 1
Regular UI claim.
Text - Regular UI
(Required)
CHAR (20)
NOT NULL
5
Program Type
UI: Step 4A - Rule 1
UCFE: Step 4B - Rule 1
UCX: Step 4C - Rule 1
UI, UCFE or UCX.
Text - UI
UCFE
UCX
(Required)
CHAR (30)
NOT NULL
6
MBA
Step 9A and 9B - Rule 1
The maximum benefit
allowance.
Number - 0000000.00
(Required)
DECIMAL (9,2)
NOT NULL
7
WBA
Step 7 - Rules 1 and 2
The weekly benefit allowance.
Number - 0000000.00
(Required)
DECIMAL (9,2)
NOT NULL
8
Actual Weeks of
Duration
Step 9A - Rules 1 and 2
The number of actual weeks of
duration of the claim.
Number - 00
(Required except optional for
UCFE and UCX claims)
INTEGER
APPENDIX A
RECORD LAYOUT
A-4
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
9
Maximum Weeks
of Duration
Steps 9B and 9C - Rule 1
The number of actual weeks of
duration at the maximum or
not.
Text - Y
N
(Required except optional for
UCFE and UCX claims)
CHAR (20)
10
Mail Date of Final
Payment
Step 10C - Rule 3
The mail date of the final
payment.
Date - MM/DD/YYYY
(Required)
DATE
NOT NULL
11
Balance
Step 10C - Rule 2
The balance left on the claim
at the time of the final
payment.
Number 0000000.00(Required)
DECIMAL (9,2)
NOT NULL
12
User
User defined field. Can be
used for any additional data
element. Not mandatory.
Text
(Optional)
CHAR (100)
APPENDIX A
RECORD LAYOUT
A-5
Unemployment Insurance Data Validation Operations Guide
BENEFITS RECORD LAYOUT FOR POPULATION 3
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 Transitional claim is T, then the data format would be TRANSITIONAL-5.
No.
Field Name
1
OBS
2
SSN
3
4
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
State assigned sequential
unique identifier for each
record in the extract file.
Number - 00000000
(Required)
INTEGER
NOT NULL
Step 1B - Rule 1
Social Security Number
Number - 000000000
(Required)
CHAR (9)
NOT NULL
Date Claim
Filed/IB-4 Sent
Step 3A - Rules 1 and 6
Step 3C - Rule 1
The date the claim was filed in
person, by mail or telephone,
or by other means.
Date - MM/DD/YYYY
(Required)
DATE
NOT NULL
Type of UI
Program
Regular UI: Step 2A - Rule 1
Regular UI claim.
Text - Regular UI
(Required)
CHAR (20)
NOT NULL
APPENDIX A
RECORD LAYOUT
A-6
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
5
Type of Claim
New: Step 3A - Rule 2
Transitional: Step 3C Rule 2
Entering SelfEmployment: Step 3D Rule 2
Additional: Step 3B Rule 2
Reopened: Step 3B Rule 7
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
New claim, Transitional
claim, Entering selfemployment, Additional
claim, Reopened claim,
New CWC claim, New CWC
claim filed in a prior quarter,
or New claim filed in a prior
quarter.
Text - New
Transitional
Entering Self-Employment
Additional
Reopened
CWC New
Prior Qtr New CWC
Prior Qtr New Claim
(Required)
CHAR (30)
6
Program Type
UI: Step 4A - Rule 1
UCFE: Step 4B - Rule 1
UCX: Step 4C - Rule 1
UI, UCFE or UCX.
Text - UI
UCFE
UCX
(Required except optional for CWC and
entering self-employment program claims)
CHAR (30)
APPENDIX A
Constraint
NOT NULL
RECORD LAYOUT
A-7
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
7
Intrastate/
Interstate
Intrastate: Step 5A Rules 1 and 2
Interstate Received as Liable
State: Step 5B Rules 1 and 2
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
Interstate CWC: Step 5F Rules 1 through 4
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)
CHAR (30)
8
Date of Original
Monetary
Step 6A - Rules 1 and 2
Step 6B - Rule 1
Date the original determination
was made on whether the
claimant has sufficient baseperiod wages and/or
employment to establish a
benefit year.
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)
DATE
APPENDIX A
Constraint
RECORD LAYOUT
A-8
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
9
Sufficient/
Insufficient/
Combined
Wages
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
No New CWC Wages:
Step 6D - Rules 2 and 3
The status of the new UI or
CWC claim at the time the 218
report was run: Sufficient-new
benefit year established;
Sufficient-no new benefit year
established; Insufficient;
Sufficient-new CWC benefit
year established.
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 selfemployment program claims)
CHAR (30)
10
WBA
Step 7 - Rules 1 and 2
Weekly benefit allowance is
the maximum or less than
maximum.
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 selfemployment program claims)
CHAR (30)
Constraint
(States should include the
WBA after the dash which
follows the generic federal
value.)
APPENDIX A
RECORD LAYOUT
A-9
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
11
MBA
Steps 8A and 8B - Rule 1
Maximum benefit allowance
Number - 0000000.00
(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)
DECIMAL (9,2)
12
Potential Weeks
of Duration
Step 8A - Rule 1
The number of full weeks of
benefits for which a claimant is
determined to be eligible within
a benefit year.
Number - 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)
INTEGER
APPENDIX A
Constraint
RECORD LAYOUT
A-10
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
13
Potential
Weeks
Maximum
Duration
14
User
Module 3 Reference
Step 8B - Rules 1 and 2
Field Description
Data Format
Data Type
The duration of the benefit
year is or is not the maximum
for the State.
Text - Y
N
(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)
CHAR (20)
User defined field. Can be
used for any additional data
element. Not mandatory.
Text
(Optional)
CHAR (100)
APPENDIX A
Constraint
RECORD LAYOUT
A-11
Unemployment Insurance Data Validation Operations Guide
BENEFITS RECORD LAYOUT FOR POPULATION 3a
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 Additional Claim is A, then the data format would be ADDITIONAL-A.
No.
Field Name
1
OBS
2
SSN
3
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
State assigned sequential
unique identifier for each
record in the extract file.
Number - 00000000
(Required)
INTEGER
NOT NULL
Step 1B - Rule 1
Social Security Number
Number - 000000000
(Required)
CHAR (9)
NOT NULL
Date Claim Filed
Step 3B - Rule 1
The date the claim was filed in
person, by mail or telephone.
Date - MM/DD/YYYY
(Required)
DATE
NOT NULL
4
Type of UI
Program
Regular UI: Step 2A - Rule 1
Regular UI claim.
Text - Regular UI
(Required)
CHAR (20)
NOT NULL
5
Type of Claim
Additional: Step 3B - Rule 2
Additional claim.
Text - Additional
(Required)
CHAR (20)
NOT NULL
6
Program Type
UI: Step 4A - Rule 1
UCFE: Step 4B - Rule 1
UCX: Step 4C - Rule 1
Program type is UI, UCFE or
UCX.
Text - UI
UCFE
UCX
(Required)
CHAR (30)
NOT NULL
7
Intrastate/
Interstate
Intrastate: Step 5A - Rules 1
and 2
Interstate Received as Liable
State: Step 5B - Rules 1 and 2
Claim is intrastate, or interstate
received as liable.
Text - Intrastate
Interstate liable
(Required)
CHAR (30)
NOT NULL
APPENDIX A
RECORD LAYOUT
A-12
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
8
Unclaimed Week
Step 3B - Rule 3
The week-ending date of the
unclaimed week prior to the
additional claim.
Date - MM/DD/YYYY
(Optional)
DATE
9
Separation Date
Step 3B - Rule 4
The date of separation from an
employer since the last claim
was filed.
Date - MM/DD/YYYY(Required)
DATE
NOT NULL
10
Last Employer
Step 3B - Rule 5
The name of the separating
employer.
Text
(Required)
CHAR (50)
NOT NULL
11
Separation
Reason
Step 3B - Rule 6
The reason for separation.
Text
(Required)
CHAR (30)
NOT NULL
12
User
User defined field. Can be used
for any additional data element.
Not mandatory.
Text
(Optional)
CHAR (100)
APPENDIX A
RECORD LAYOUT
A-13
Unemployment Insurance Data Validation Operations Guide
BENEFITS RECORD LAYOUT FOR POPULATION 4
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 Adjustment payment is 13, then the data format would be ADJUSTMENT-13.
No.
Field Name
1
OBS
2
SSN
3
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
State assigned sequential
unique identifier for each record
in the extract file.
Number - 00000000
(Required)
INTEGER
NOT NULL
Step 1C - Rule 1
Social Security Number
Number - 000000000
(Required)
CHAR (9)
NOT NULL
Check Number
Unique ID
Step 1C - Rule 2
The check number ID or other
unique check ID. For offsets
assign a unique ID number.
Number - 0000000000
(Required)
CHAR (30)
NOT NULL
4
Type of UI
Program
Regular UI: Step 2A - Rule 1
Regular UI claim.
Text - Regular UI
(Required)
CHAR (20)
NOT NULL
5
Program Type
UI: Step 4A - Rule 1
UCFE: Step 4B - Rule 1
UCX Only: Step 4C - Rule 1
UI/Federal: Step 4D - Rule 1
Self-Employment:
Step 4E - Rule 1
Type of Program is UI only,
UCFE, UCFE/UCX, UCX only,
Joint UI/Federal, or SelfEmployment.
Text - UI Only
UCFE Only
UCFE/UCX
UCX Only
Joint UI/Federal
Self-employ
(Required except optional for
CWC payments)
CHAR (30)
APPENDIX A
RECORD LAYOUT
A-14
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
6
Intrastate/
Interstate
Intrastate: Step 5A - Rule
1Interstate Received as Liable
State: Step 5B - Rule
1Intrastate CWC:Step 5E - Rule
1Interstate CWC:Step 5F Rule 1
Intrastate, Interstate, Intrastate
CWC, or Interstate CWC claim.
Text InterstateIntrastateIntrastate
CWC Interstate CWC(Required
except optional for UCFE only,
UCFE/UCX, and UCX only
adjustments)
CHAR (30)
7
Type of
Compensation
First: Step 10A - Rule 1
Continued: Step 10B - Rule 1
Adjustment: Step 10F - Rule 1
Prior Weeks Compensated:
Step 10G - Rule 1
First Payment, Continued
Payment, Adjustment, SelfEmployment, Prior Weeks
Compensated.
Text - First Payment
Continued Payment
Adjustment
Self-Employment
Prior Weeks Compensated
(Required)
CHAR (50)
8
Partial/Total
Weeks of
Unemployment
Partial: Step 10D - Rule 1
Total: Step 10E - Rule 1
Week of partial or total
unemployment.
Text - Partial
Total
(Required except optional for
UCFE only, UCFE/UCX, and
UCX only adjustments, and for
self-employment and CWC
payments)
CHAR (20)
9
Earnings
Step 10D - Rule 2
Step 10E - Rule 2
The earnings for the week
claimed.
Number - 0000000.00
(Required except optional for
UCFE only, UCFE/UCX, and
UCX only adjustments, and selfemployment and CWC
payments)
DECIMAL (9,2)
APPENDIX A
Constraint
NOT NULL
RECORD LAYOUT
A-15
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
10
WBA
Step 10D - Rule 3
Step 10E - Rule 3
The weekly benefit allowance.
Number - 0000000.00
(Required except optional for
UCFE only, UCFE/UCX, and
UCX only adjustments, and selfemployment and CWC
payments)
DECIMAL (9,2)
11
UI Amount
Step 12A - Rule 1
The amount of benefits paid
from State Unemployment
Funds.
Number - 0000000.00
(Required except must be blank
or 0 for UCFE only, UCFE/UCX,
UCX only, self-employment,
and CWC payments)
DECIMAL (9,2)
12
UCFE Amount
Step 12B - Rule 1
The amount of benefits paid
from Federal Funds.
Number - 0000000.00
(Required for UCFE only, Joint
UI/Federal, and UCFE/UCX
payments; must be blank or 0
for all other payment types)
DECIMAL (9,2)
13
UCX Amount
Step 12C - Rule 1
The amount of benefits paid
from military funds.
Number - 0000000.00
(Required for UCX only, Joint
UI/Federal, and UCFE/UCX
payments; must be blank or 0
for all other payment types)
DECIMAL (9,2)
APPENDIX A
Constraint
RECORD LAYOUT
A-16
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
14
CWC Amount
Step 12D - Rule 1
The amount of benefits paid for
a combined wage claim
payment.
Number - 0000000.00
(Required for all CWC
payments; must be blank or 0
for all other payment types)
DECIMAL (9,2)
15
Self-Employ
Amount
Step 12E - Rule 1
The total dollars paid under the
SEA program.
Number - 0000000.00
(Required for self-employment
payments; must be blank or 0
for all other payment types)
DECIMAL (9,2)
16
Week End Date
Step 13 - Rule 1
The week-ending date of the
week compensated.
Date - MM/DD/YYYY
(Required except optional for
adjustment, self-employment,
and all CWC payments with the
exception of CWC first
payments)
DATE
17
Mail Date
Step 14 - Rule 1
The date on which the payment
is actually mailed to the
claimant.
Date - MM/DD/YYYY
(Required)
DATE
18
User
User defined field. Can be used
for any additional data element.
Not mandatory.
Text
(Optional)
CHAR (100)
APPENDIX A
Constraint
NOT NULL
RECORD LAYOUT
A-17
Unemployment Insurance Data Validation Operations Guide
BENEFITS RECORD LAYOUT FOR POPULATION 5
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 UI Program Type is 01, then the data format would be UI-01
No.
Field Name
1
OBS
2
SSN
3
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
State assigned sequential
unique identifier for each
record in the extract file.
Number - 00000000
(Required)
INTEGER
NOT NULL
Step 1D - Rule 1
Social Security Number
Number - 000000000
(Required)
CHAR (9)
NOT NULL
Issue Number
(Unique ID)
Step 1D - Rule 2
The unique issue number or
other unique number assigned
to the nonmonetary
determination.
Number - 000000
(Required if State maintains a
unique ID)
CHAR (50)
4
Type of UI
Program
Regular UI: Step 2A - Rule 1
Workshare: Step 2B - Rule 1
Regular UI claim or Workshare
claim.
Text - Regular UI
Workshare
(Required)
CHAR (20)
5
Program Type
UI: Step 4A - Rule 1
UCFE: Step 4B - Rule 1
UCX: Step 4C - Rule 1
UI, UCFE, or UCX.
Text - UI
UCFE
UCX
(Required except optional for
multi-claimants)
CHAR (30)
APPENDIX A
NOT NULL
RECORD LAYOUT
A-18
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
6
Intrastate/ Interstate
Intrastate: Step 5A - Rule 1
Interstate Received as Liable State:
Step 5B - Rule 1
Intrastate or interstate.
Text - Intrastate
Interstate
(Required except optional for
multi-claimants)
CHAR (30)
7
Determination/
Redetermination
Step 16A - Rule 1Step 16B - Rule 1
The decision made by the
authority on an issue was
a determination or
redetermination.
Text - Determination
Redetermination
(Required)
CHAR (30)
NOT NULL
8
Type of Determination
Step 17A - Rules 1 and 2
Step 17B - Rule 1
The determination was
based upon facts related
to an individual situation
or to groups of similarly
situated individuals.
Text - Single
Multi
(Required)
CHAR (20)
NOT NULL
APPENDIX A
RECORD LAYOUT
A-19
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
9
Issue Types
VL: Step 18A - Rule 1
MC: Step 18B - Rule 1
Sep/Other: Step 18C - Rule 1
A & A: Step 18D - Rule 1
Ded. Income: Step 18E - Rule
1
Suitable Work: Step 18F - Rule
1
Reporting: Step 18G - Rule 1
Profiling: Step 18H - Rule 1
Other/Nonsep: Step 18I - Rule 1
Labor Dispute: Step 18J - Rule
1
Other Multiclaimaint Issues:
Step 18K - Rule 1
The separating issue was
voluntary leaving,
misconduct, or other separation
issue. The nonseparation issue
was
able and available for work,
deductible income, suitable
work refusal, reporting
requirements, profiling,
other nonseparation issue, or
labor dispute or other multiclaimant issue.
Text - VL
MC
Sep/Other
A&A
Ded. Income
Suitable Work
Reporting
Profiling
Other Nonsep
Labor Dispute
Other Multiclaimant
(Required)
CHAR (50)
10
First Week
Affected
Step 19 - Rules 1 and 2
The week-ending date of the
first week in a claim series to
which a notice of nonmonetary
determination applies.
Date - MM/DD/YYYY
(Required except optional for
redeterminations)
DATE
11
Detection Date
Step 20 - Rule 1
The earliest date that the
agency is in possession of
information indicating the
existence of a nonmonetary
issue.
Date - MM/DD/YYYY
(Required except optional for
redeterminations)
DATE
APPENDIX A
Constraint
NOT NULL
RECORD LAYOUT
A-20
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
12
Notice Date
Step 21 - Rule 1
The date the determination
notice is mailed or, if no notice
is required, the date payment is
authorized, waiting week credit
is given, or an offset is applied.
Date - MM/DD/YYYY
(Required)
DATE
NOT NULL
13
Allow or Deny
Step 23A - Rules 1 and 2
Step 23B - Rules 1 and 2
The outcome of the
nonmonetary determination was
an allow or a deny.
Text - Allow
Deny
(Required)
CHAR (20)
NOT NULL
14
User
User defined field. Can be used
for any additional data element.
Not mandatory.
Text
(Optional)
CHAR (100)
APPENDIX A
RECORD LAYOUT
A-21
Unemployment Insurance Data Validation Operations Guide
BENEFITS RECORD LAYOUT FOR POPULATION 6
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 Single Claimant is N, then the data format would be S-N.
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
2
SSN
Step 1E - Rule 1
Social Security Number
Number - 000000000
(Required)
CHAR (9)
NOT NULL
3
Docket Number
Unique ID
Step 1E - Rule 2
The Docket Number of the
lower authority appeal.
Number - 0000000000
(Required)
CHAR (30)
NOT NULL
4
Appeal Level
Step 24A - Rule 1
The appeal type was a lower
authority appeal.
Text - Lower
(Required)
CHAR (20)
NOT NULL
5
Type of Appeal
(Single or
Multiclaimant)
Single: Step 25A - Rule 1
Multi: Step 25B - Rule 1
The appeals case involves one
or more than one claimant.
Text - S
M
(Required)
CHAR (20)
NOT NULL
1
OBS
State assigned sequential
unique identifier for each
record in the extract file.
APPENDIX A
Number - 00000000
(Required)
INTEGER
NOT NULL
RECORD LAYOUT
A-22
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
6
Number of
Claimants
Step 25B - Rules 3 and 5
The number of claimants in a
multiclaimant appeal.If the State
stores a single record for a
multi-claimant appeal with a
field for the number of
claimants, insert the number in
this field. If the State stores a
record for each claimant
involved in a multi-claimant
appeal, include all of the
records in the file and insert a '1'
in this field.
Number => 1(Required for
mutiple claimant appeals;
optional for single claimant
appeals)
INTEGER
7
Filed Date
Step 32 - Rule 1
The date on which the appeal
was filed.
Date - MM/DD/YYYY
(Required)
DATE
8
User
User defined field. Can be used
for any additional data element.
Not mandatory.
Text
(Optional)
CHAR (100)
APPENDIX A
Constraint
NOT NULL
RECORD LAYOUT
A-23
Unemployment Insurance Data Validation Operations Guide
BENEFITS RECORD LAYOUT FOR POPULATION 7
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 Higher Authority Appeal is B, then the data format would be Higher-B.
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
2
SSN
Step 1F - Rule 1
Social Security Number
Number - 000000000
(Required)
CHAR (9)
NOT NULL
3
Docket Number
Unique ID
Step 1F - Rule 2
The Docket Number of the
higher authority appeal.
Number - 0000000000
(Required)
CHAR (30)
NOT NULL
4
Appeal Level
Step 24B - Rule 1
The appeal type was a higher
authority appeal.
Text - Higher
(Required)
CHAR (20)
NOT NULL
5
Type of Appeal
(Single or
Multiclaimant)
Single: Step 25A - Rule 1
Multi: Step 25B - Rule 1
The appeals case involves one
or more than one claimant.
Text - S
M
(Required)
CHAR (20)
NOT NULL
1
OBS
State assigned sequential
unique identifier for each
record in the extract file.
APPENDIX A
Number - 00000000
(Required)
INTEGER
NOT NULL
RECORD LAYOUT
A-24
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
6
Number of
Claimants
Step 25B - Rules 3 and 5
The number of claimants in a
multiclaimant appeal. If the
State stores a single record for
a multi-claimant appeal with a
field for the number of
claimants, insert the number in
this field. If the State stores a
record for each claimant
involved in a multi-claimant
appeal, include all of the records
in the file and insert a '1' in this
field.
Number => 1(Required for
multiple claimant appeals;
optional for single claimant
appeals)
INTEGER
7
Filed Date
Step 32 - Rule 1
The date on which the appeal
was filed.
Date - MM/DD/YYYY
(Required)
DATE
8
User
User defined field. Can be used
for any additional data element.
Not mandatory.
Text
(Optional)
CHAR (100)
APPENDIX A
Constraint
NOT NULL
RECORD LAYOUT
A-25
Unemployment Insurance Data Validation Operations Guide
BENEFITS RECORD LAYOUT FOR POPULATION 8
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 UI Program Type is 01, then the data format would be UI-01.
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
2
SSN
Step 1E - Rule 1
Social Security Number
Number - 000000000
(Required)
CHAR (9)
NOT NULL
3
Docket Number
Unique ID
Step 1E - Rule 2
The Docket Number or other unique ID
assigned to the appeal.
Number - 0000000000
(Required)
CHAR (30)
NOT NULL
4
Type of UI
Program
Regular UI: Step 2A - Rule 1
Workshare: Step 2B - Rule 1
Regular UI claim or Workshare claim.
Text - Regular UI
Workshare
(Required)
CHAR (20)
NOT NULL
5
Program Type
UI: Step 4A - Rule 1
UCFE: Step 4B - Rule 1
UCX: Step 4C - Rule 1
UI, UCFE, or UCX.
Text - UI
UCFE
UCX
(Required)
CHAR (20)
NOT NULL
6
Intrastate/
Interstate
Intrastate: Step 5A Rules 1 and 2
Interstate Received as Liable
State: Step 5B - Rules 1 and 2
Intrastate or Interstate.
Text - Intrastate
Interstate
(Required)
CHAR (30)
NOT NULL
7
Appeal Level
Step 24A - Rule 1
The appeal type is a lower authority
appeal.
Text - Lower
(Required)
CHAR (20)
NOT NULL
1
OBS
State assigned sequential unique
identifier for each record in the extract
file.
APPENDIX A
Number - 00000000
(Required)
INTEGER
NOT NULL
RECORD LAYOUT
A-26
Unemployment Insurance Data Validation Operations Guide
No.
8
Field Name
Type of Appeal
(Single or
Multiclaimant)
Module 3 Reference
Single: Step 25A – Rule 1
Multi: Step 25B - Rule 1
Field Description
The determination is based upon facts
related to an individual situation or to groups
of similarly situated individuals.
States which maintain a single record for
multi-claimant appeals with a field for the
number of claimants involved should insert a
text prefix of 'M-1' for a multi-claimant
appeal with only one record for the whole
appeal.
Data Format
Text - S
M-1
M-Lead
M-Nonlead
(Required)
Data Type
CHAR (20)
Constraint
NOT NULL
States which maintain multiple records (one
for each claimant) for a multi-claimant appeal
should designate one of the records as the
lead claimant. States should insert a text
prefix of 'M-Lead’ in this field for the lead
claimant record. Both of these types of
records will be assigned to subpopulations
8.45 to 8.52 (lower) or 9.13 to 9.20 (higher).
States which maintain multiple records
should insert a prefix of 'M-Nonlead' in the
multi-claimant field for the non-lead
claimants. These records will be assigned to
subpopulations 8.53 (lower) or 9.21 (higher).
APPENDIX A
RECORD LAYOUT
A-27
Unemployment Insurance Data Validation Operations Guide
9
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
Number of
Claimants in
Multiclaimant
Appeal
Step 25B - Rules 3 and 5
The number of claimants involved in a
multiclaimant appeal (could be one if separate
records are provided for each participating
claimant)
Number => 1
(Required for multiple
claimant appeals; must be
blank or 0 for single
claimant appeals)
INTEGER
10
Appellant
Claimant: Step 26A - Rule
1
Employer: Step 26B Rule 1
Other: Step 26C - Rule 1
The appellant is the claimant, employer, or
other than claimant or employer.
Text - Claimant
Employer
Other
(Required except optional
for UCFE, UCX, and nonlead multi-claimant claims)
CHAR (20)
11
In Favor of
Appellant
In Favor: Step 27A - Rule
1
Not in Favor: Step 27B Rule 1
The decision was or was not in favor of the
appellant.
Text - Y
N
(Required except optional
for UCFE, UCX, and nonlead multi-claimant claims)
CHAR (20)
12
Filed Date
Step 32 - Rule 1
The date on which the appeal was filed.
DATE
NOT NULL
13
Decision Date
Step 28 - Rule 1
DATE
NOT NULL
14
Disposed of by
Decision
By Decision: Step 30A Rule 1
Not by Decision: Step 30B
Rule 1
The date the decision was mailed to the
interested parties concerned.
The appeals case was disposed of by a written
ruling.
Date - MM/DD/YYYY
(Required)
Date - MM/DD/YYYY
(Required)
Text - Y
N
(Optional)
APPENDIX A
CHAR (20)
RECORD LAYOUT
A-28
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
15
Issue Code
16
User
Module 3 Reference
VL: Step 31A - Rule 1
MC: Step 31B - Rule 1
Suit: Step 31C - Rule 1
A&A: Step 31D - Rule 1
Other: Step 31E - Rule 1
Labor Disp: Step 31F - Rule 1
Field Description
Data Format
Data Type
The issue code of the appeal was voluntary
leaving, misconduct, refusal
of suitable work, able and available to work,
other issues, or labor dispute.
Text - VL
MC
Suit
A&A
Other
Labor Disp
(Required except optional
for UCFE and UCX claims)
CHAR (30)
User defined field. Can be used for any
additional data element. Not mandatory.
Text
(Optional)
CHAR (100)
APPENDIX A
RECORD LAYOUT
A-29
Constraint
Unemployment Insurance Data Validation Operations Guide
BENEFITS RECORD LAYOUT FOR POPULATION 9
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 In Favor Of is F, then the data format would be Y-F.
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
2
SSN
Step 1F - Rule 1
Social Security Number
Number - 000000000
(Required)
CHAR (9)
NOT NULL
3
Docket Number
Unique ID
Step 1F - Rule 2
The Docket ID or other unique number
assigned to the appeal.
Number - 0000000000
(Required)
CHAR(30)
NOT NULL
4
Type of UI
Program
Regular UI: Step 2A - Rule 1
Workshare: Step 2B - Rule 1
Regular UI claim or Workshare claim.
Text - Regular UI
Workshare
(Required)
CHAR(20)
NOT NULL
5
Program Type
UI: Step 4A - Rule 1
UCFE: Step 4B - Rule 1
UCX: Step 4C - Rule 1
UI, UCFE, or UCX.
Text - UI
UCFE
UCX
(Required)
CHAR (20)
NOT NULL
6
Intrastate/
Interstate
Intrastate: Step 5A - Rules 1 and
2
Interstate Received as Liable
State: Step 5B - Rules 1 and 2
Intrastate or interstate.
Text - Intrastate
Interstate
(Required except optional
for non-lead claimant
multi-claimant appeals)
CHAR (20)
7
Appeal Level
Step 24B - Rule 1
The appeal is a higher authority appeal.
Text - Higher
(Required)
CHAR (20)
1
OBS
State assigned sequential unique
identifier for each record in the extract
file.
APPENDIX A
Number - 00000000
(Required)
INTEGER
NOT NULL
NOT NULL
RECORD LAYOUT
A-30
Unemployment Insurance Data Validation Operations Guide
No.
8
Field Name
Type of Appeal
(Single or
Multiclaimant)
Module 3 Reference
Single: Step 25A - Rule 1Multi:
Step 25B - Rule1
Field Description
The determination is based upon facts
related to an individual situation or to
groups of similarly situated individuals.
Data Format
Text - SM-1M-LeadMNonlead (Required)
Data Type
CHAR (20)
Constraint
NOT NULL
States which maintain a single record
for multi-claimant appeals with a field
for the number of claimants involved
should insert a text prefix of 'M-1' for a
multi-claimant appeal with only one
record for the whole appeal.
States which maintain multiple records
(one for each claimant) for a multiclaimant appeal should designate one
of the records as the lead claimant.
States should insert a text prefix of 'MLead’ in this field for the lead claimant
record. Both of these types of records
will be assigned to subpopulations 8.45
to 8.52 (lower) or 9.13 to 9.20 (higher).
States which maintain multiple records
should insert a prefix of 'M-Nonlead' in
the multi-claimant field for the non-lead
claimants. These records will be
assigned to subpopulations 8.53
(lower) or 9.21 (higher).
APPENDIX A
RECORD LAYOUT
A-31
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
9
Number of
Claimants in
Multiclaimant
Appeal
Step 25B - Rules 3 and 5
The number of claimants involved in a
multiclaimant appeal (could be one if
separate records are provided for each
participating claimant)
Number => 1
(Required for multiple
claimant appeals; must
be blank or 0 for single
claimant appeals)
INTEGER
10
Appellant
Claimant: Step 26A - Rule 1
Employer: Step 26B - Rule 1
Other: Step 26C - Rule 1
The appellant is the claimant,
employer, or other than claimant or
employer.
Text - Claimant
Employer
Other
(Required except optional
for UCFE and UCX
claims, and non-lead
multi-claimant appeals)
CHAR (30)
11
In Favor of
Appellant
In Favor: Step 27A - Rule 1
Not in Favor: Step 27B Rule 1
The decision was or was not in favor of
the appellant.
Text - Y
N
(Required except optional
for UCFE and UCX
claims, and non-lead
multi-claimant appeals)
CHAR (20)
12
Filed Date
Step 32 - Rule 1
The date on which the appeal was filed.
Date - MM/DD/YYYY
(Required)
DATE
NOT NULL
13
Decision Date
Step 28 - Rule 1
The date the decision was mailed to the
interested parties concerned.
Date - MM/DD/YYYY
(Required)
DATE
NOT NULL
14
Disposed of by
Decision
By Decision: Step 30A Rule 1
Not by Decision: Step 30B Rule 1
The appeals case was disposed of by a
written ruling.
Text - Y
N
(Optional)
CHAR (20)
APPENDIX A
RECORD LAYOUT
A-32
Unemployment Insurance Data Validation Operations Guide
No.
15
Field Name
User
Module 3 Reference
Field Description
User defined field. Can be used for any
additional data element. Not
mandatory.
APPENDIX A
Data Format
Text
(Optional)
Data Type
CHAR (100)
Constraint
RECORD LAYOUT
A-33
Unemployment Insurance Data Validation Operations Guide
BENEFITS RECORD LAYOUT FOR POPULATION 10
This record layout provides the format for the validation extract file. The extract file type must be ASCII, comma delimited columns. Data
must be in the order listed in the record layout. The data Format column indicates the generic values for text fields. These must be
followed by a dash and the state-specific value. The Module 3 reference indicates the step where the state-specific values are
documented.
Example: If the state-specific code for Lower Authority Appeal is 100, then the data format would be LOWER-100.
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
2
SSN
Step 1E - Rule1
Social Security Number
Number - 000000000
(Required)
CHAR (9)
NOT NULL
3
Docket Number
Unique ID
Step 1E - Rule 2
The Docket Number or other
unique number assigned to the
appeal.
Number - 0000000000
(Required)
CHAR (30)
NOT NULL
4
Appeal Level
Step 24A - Rule 1
The appeal was a lower
authority appeal.
Text - Lower
(Required)
CHAR (20)
NOT NULL
5
Appeal Pending
Step 30B - Rule 1
No decision has been made on
an appeal.
Text - No Decision
(Optional)
CHAR (30)
6
Filed Date
Step 32 - Rule 1
The date on which the appeal
was filed.
Date - MM/DD/YYYY
(Required)
DATE
7
User
User defined field. Can be used
for any additional data element.
Not mandatory.
Text
(Optional)
CHAR (100)
1
OBS
State assigned sequential
unique identifier for each record
in the extract file.
APPENDIX A
Number - 00000000
(Required)
INTEGER
NOT NULL
NOT NULL
RECORD LAYOUT
A-34
Unemployment Insurance Data Validation Operations Guide
BENEFITS RECORD LAYOUT FOR POPULATION 11
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 Higher Authority Appeal is 200, then the data format would be Higher-200.
No.
Field Name
1
OBS
2
SSN
3
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
State assigned sequential
unique identifier for each record
in the extract file.
Number - 00000000
(Required)
INTEGER
NOT NULL
Step 1F - Rule 1
Social Security Number
Number - 000000000
(Required)
CHAR (9)
NOT NULL
Docket Number
Unique ID
Step 1F - Rule 2
The Docket Number or other
unique number assigned to the
appeal.
Number - 0000000000
(Required)
CHAR (30)
NOT NULL
4
Appeal Level
Step 24B - Rule 1
The appeal was a higher
authority appeal.
Text - Higher
(Required)
CHAR (20)
NOT NULL
5
Appeal Pending
Step 30B - Rule 1
No decision has been made on
an appeal.
Text - No Decision
(Optional)
CHAR (30)
6
Filed Date
Step 32 - Rule 1
The date on which the appeal
was filed.
Date - MM/DD/YYYY
(Required)
DATE
7
User
User defined field. Can be used
for any additional data element.
Not mandatory.
Text
(Optional)
CHAR (100)
APPENDIX A
NOT NULL
RECORD LAYOUT
A-35
Unemployment Insurance Data Validation Operations Guide
BENEFITS RECORD LAYOUT FOR POPULATION 12
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 Fraud is F, then the data format would be FRAUD-F.
No.
Field Name
1
OBS
2
SSN
3
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
State assigned sequential
unique identifier for each
record in the extract file.
Number - 00000000
(Required)
INTEGER
NOT NULL
Step 1G - Rule 1
Social Security Number
Number - 000000000
(Required)
CHAR (9)
NOT NULL
Unique ID
Step 1G - Rule 2
The unique ID of the
overpayment.
Number - 0000000000
(Required if State maintains a
unique ID)
CHAR (30)
4
Program Type
UI: Step 4A - Rule 1
UCFE: Step 4B - Rule 1
UCX: Step 4C - Rule 1
EB: Step 4F – Rule 1
Type of program is UI, UCFE,
or UCX or EB.
Text – UI, UCFE, UCX, EB
(Required)
CHAR (30)
NOT NULL
5
Type of
Overpayment
Fraud: Step 33A - Rule 1
Nonfraud: Step 33B - Rule 1
Penalty: Step 33C - Rule 1
The type of overpayment is
Fraud, Nonfraud or Penalty.
Text - Fraud
Nonfraud
Penalty
(Required)
CHAR (20)
NOT NULL
APPENDIX A
RECORD LAYOUT
A-36
Unemployment Insurance Data Validation Operations Guide
No.
6
Cause of Overpayment
Field Name
Multi Claimant Scheme:
Step 34A - Rule 1
Single Claimant: Step 34H – Rule 1
Agency Employee Benefit Fraud:
Step 34I – Rule 1
Reversal (JAVA): Step 34B – Rule
1
State Agency: Step 34C – Rule 1
Employer: Step 34D – Rule 1
Claimant: Step 34E – Rule 1
Other: Step 34F – Rule 1 and 3
Penalty: Step 34G – Rule 1
Module 3 Reference
The cause of the overpayment was
a fraud committed by Multi Claimant
Scheme, Single Claimant, or Agency
Employee; or a nonfraud by
Reversals, State Agency Errors,
Employer Errors, Claimant Errors, or
Other cause.
Field Description
Text – Multiclaimant; Single
Claimant; Agency
Employee; Reversals; State
Agency; Employer;
Claimant; Other
(Required except optional
for penalties)
CHAR (30)
Data Type
Constraint
7
Date Established
Step 36 - Rule 1
The date that the overpayment was
established.
Date - MM/DD/YYYY
(Required)
DATE
NOT NULL
8
UI Amount
Step 37A - Rule 1
The amount of benefits paid from
State Unemployment Funds.
Number - 0000000.00
(Required for UI claims;
must be blank or 0 for UCFE
or UCX or EB claims)
DECIMAL
(9,2)
9
Federal Amount
Step 37B - Rule 1
The amount of benefits paid from
Federal Funds.
Number - 0000000.00
(Required for UCFE, UCX,
or joint claims; must be
blank or 0 for UI or EB
claims)
DECIMAL
(9,2)
10
EB Amount
Step 37C – Rule 1
The amount of benefits paid through
the permanent Extended Benefits
(EB) program.
Number – 000000000.00
(Required for EB claims;
must be blank or 0 for UI or
UCFE or UCX claims)
CHAR (100)
APPENDIX A
Data Format
RECORD LAYOUT
A-37
Unemployment Insurance Data Validation Operations Guide
No.
11
Accumulated UI
Amount
Field Name
Step 45A
Module 3 Reference
The UI fraud or nonfraud overpayment
amount that the UI claim has
accumulated from previous quarters and
that is used to calculate a High Dollar
Overpayment. If in the previous quarter
the claim was classified as a High Dollar
Overpayment, then the accumulated
amount is reset to 0.
Field Description
Number – 0000000.00
(Required for UI claims; must be blank
or 0 for UCFE or UCX or EB claims)
DECIMAL
(9.2)
Data Type
Constraint
12
Accumulated
Federal Amount
Step 45B
The Federal fraud or nonfraud
overpayment amount that the UCFE,
UCX or joint claim has accumulated from
previous quarters and that is used to
calculate a High Dollar Overpayment. If
in previous quarter the claim was
classified as a High Dollar Overpayment,
then the accumulated amount is reset to
0.
Number – 0000000.00
(Required for UCFE, UCX, or joint
claims; must be blank or 0 for UI or EB
claims)
DECIMAL
(9.2)
NOT NULL
13
Accumulated EB
Amount
Step 45C
The EB fraud or nonfraud overpayment
amount that the EB claim has
accumulated from previous quarters and
that is used to calculate a High Dollar
Overpayment. If in previous quarter the
claim was classified as a High Dollar
Overpayment, then the accumulated
amount is reset to 0.
Number - 000000000.00
(Required for EB claims; must be blank
or 0 for UI or UCFE or UCX claims)
DECIMAL
(9,2)
14
Date of Original
Monetary
Step 6A – Rules 1 and 3
Step 6B – Rule 1
Date the original determination was
made on whether the claimant has
sufficient base-period wages and/or
employment to establish a benefit year.
Date – MM/DD/YYYY
(Required)
DATE
APPENDIX A
Data Format
RECORD LAYOUT
A-38
NOT NULL
Unemployment Insurance Data Validation Operations Guide
No.
15
Field Name
User
Module 3 Reference
Field Description
User defined field. Can be used for
any additional data element. Not
mandatory.
APPENDIX A
Data Format
CHAR (100)
Text
(Optional)
Data Type
Constraint
RECORD LAYOUT
A-39
Unemployment Insurance Data Validation Operations Guide
BENEFITS RECORD LAYOUT FOR POPULATION 13
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 Recovered Cash is C, then the data format would be CASH-C.
1
No.
Field Name
OBS
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
State assigned sequential unique
identifier for each record in the
extract file.
Number - 00000000
(Required)
INTEGER
NOT NULL
NOT NULL
2
SSN
Step 1H - Rule 1
Social Security Number
Number - 000000000
(Required)
CHAR (9)
3
Unique ID
Step 1H - Rule 2
The unique ID of the overpayment.
Number - 0000000000
(Required if State maintains a
unique ID)
CHAR (30)
4
Program Type
UI: Step 4A - Rule 1
UCFE: Step 4B - Rule 1
UCX: Step 4C - Rule 1
EB: Step 4F – Rule 1
The program type is UI, UCFE, UCX
or EB.
Text - UI
UCFE
UCX
EB
(Required)
CHAR (30)
NOT NULL
5
Type of
Overpayments
Fraud: Step 33A - Rule 1
Nonfraud: Step 33B - Rule 1
The type of overpayment is Fraud or
Nonfraud.
Text - Fraud
Nonfraud
(Required)
CHAR (20)
NOT NULL
APPENDIX A
RECORD LAYOUT
A-40
Unemployment Insurance Data Validation Operations Guide
6
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
Type of
Reconciliation
Activity
Recovered Cash: Step 38A Rule 1
Recovered Offset: Step 38B Rule 1
State Income Tax Offset:
Step 38C - Rule 1
By Other State: Step 38D Rule 1
Write-Off: Step 38G - Rule 1
Waived: Step 38F - Rule 1
Additions: Step 38H - Rule 1
Subtractions: Step 38I - Rule
1
Other: Step 38E - Rule 1
Federal Income Tax Offset:
Step 38J – Rule 1
The reconciliation activity was
cash, benefit offset, state
income tax offset, Federal
Income tax offset, other
states, write-off, waived
addition, or subtraction.
Text - Cash
Benefit Offset
State Tax Offset
Federal Tax Offset
By Other State
Write-off
Waived
Addition
Subtraction
Other
(Required)
CHAR (30)
NOT NULL
7
Date of
Reconciliation
Activity
Step 39 - Rule 1
Indicate the date of the
Overpayment Activity.
Date - MM/DD/YYYY
(Required)
DATE
NOT NULL
8
UI Reconciliation
Amount
Step 40A - Rule 1
The reconciled amount of
State Unemployment Funds.
Number - 0000000.00
(Required for UI claims;
must be blank or 0 for UCFE
or UCX claims)
DECIMAL (9,2)
9
Federal
Reconciliation
Amount
Step 40B - Rule 1
The reconciled amount of
Federal Funds.
Number - 0000000.00
(Required for UCFE, UCX,
or joint claims; must be
blank or 0 for UI claims)
DECIMAL (9,2)
APPENDIX A
RECORD LAYOUT
A-41
Unemployment Insurance Data Validation Operations Guide
No
.
Field Name
10
EB Reconciliation
Amount
11
User
Module 3 Reference
Step 40C – Rule 1
Field Description
Data Format
Data Type
The reconciled amount of
Extended benefits funds.
Number – 0000000.00
(Required for EB)
DECIMAL
(9.2)
User defined field. Can be used
for any additional data element.
Not mandatory.
Text
(Optional)
CHAR (100)
APPENDIX A
Constraint
RECORD LAYOUT
A-42
Unemployment Insurance Data Validation Operations Guide
BENEFITS RECORD LAYOUT FOR POPULATION 14
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 Nonfraud is NF, then the data format would be NONFRUAD-NF.
No.
Field Name
1
OBS
2
SSN
3
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
State assigned sequential
unique identifier for each record
in the extract file.
Number - 00000000
(Required)
INTEGER
NOT NULL
Step 1G - Rule 1
Social Security Number
Number - 000000000
(Required)
CHAR (9)
NOT NULL
Unique ID
Step 1G - Rule 2
The unique ID of the
overpayment.
Number - 0000000000
(Required if State maintains a
unique ID)
CHAR (30)
4
Date Established
Step 36 - Rule 1
The date the overpayment was
established
Date - MM/DD/YYYY
(Required)
DATE
NOT NULL
5
Program Type
UI: Step 4A - Rule 1
UCFE: Step 4B - Rule 1
UCX: Step 4C - Rule 1
EB: Step 4F – Rule 1
The program type is UI, UCFE,
UCX or EB.
Text - UI
UCFE
UCX
EB
(Required)
CHAR (30)
NOT NULL
APPENDIX A
RECORD LAYOUT
A-43
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
6
Active Collection
Yes or blank: Step 44A Rule 1
No: Step 44B - Rule 1
Dropped: Step 44C - Rule
1
Indicate Y if overpayment is in
process of recovery; use N if
overpayment is no longer in
process of recovery; use D if
the established date is more
than nine (9) quarters prior to
the report quarter and the
overpayment was in process
of recovery in the quarter
before the report quarter but
recovery was dropped in the
report quarter.
Text – Y; N; D
(Required for overpayments with
balances more than 450 days past
due; optional for other overpayment
balances)
CHAR (20)
7
Type of
Overpayments
Fraud: Step 33A - Rule 1
Nonfraud: Step 33B - Rule
1
The type of overpayment is
Fraud or Nonfraud.
Text - Fraud
Nonfraud
(Required for overpayments with
balances more than 8 quarters past
due; optional for other overpayment
balances)
CHAR (20)
8
UI Balance at End of
Qtr
Step 42A - Rule 1
The State Unemployment
funds overpayment balance at
the end of the quarter.
Number - 0000000.00
(Required for UI claims; must be
blank or 0 for UCFE and UCX
claims)
DECIMAL (9,2)
9
Federal Balance at
the End of Qtr
Step 42B - Rule 1
The Federal funds
overpayment balance at the
end of the quarter.
Number - 0000000.00
(Required for UCFE, UCX, and joint
claims; must be blank or 0 for UI
claims)
DECIMAL (9,2)
APPENDIX A
Constraint
RECORD LAYOUT
A-44
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
10
EB Balance at the
End of Qtr
11
User
Module 3 Reference
Step 42C – Rule 1
Field Description
Data Format
Data Type
The EB funds overpayment
balance at the end of the
quarter.
Number – 000000000.00
(Required for EB; must be blank
or 0 for UI, UCFE, UCX and
joint claims)
DECIMAL
(9.2)
User defined field. Can be used
for any additional data element.
Not mandatory.
Text
(Optional)
CHAR (100)
APPENDIX A
Constraint
RECORD LAYOUT
A-45
Unemployment Insurance Data Validation Operations Guide
BENEFITS RECORD LAYOUT FOR POPULATION 15
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 Nonfraud is NF, then the data format would be NONFRUAD-NF.
No.
Field Name
1
OBS
2
SSN
3
4
No.
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
State assigned sequential
unique identifier for each record
in the extract file.
Number - 00000000
(Required)
INTEGER
NOT NULL
Step 1G - Rule 1
Social Security Number
Number - 000000000
(Required)
CHAR (9)
NOT NULL
Unique ID
Step 1G - Rule 2
The unique ID of the
overpayment.
Number - 0000000000
(Required if State maintains a
unique ID)
CHAR (30)
Type of
Overpayments
Fraud: Step 33A – Rule 1
Nonfraud: Step 33B – Rule 1
The type of overpayment is
Fraud or Nonfraud
Text – Fraud; Nonfraud
Must be blank if investigation
establishes no overpayment
(Required)
CHAR (20)
Field Name
Module 3 Reference
Field Description
APPENDIX A
Data Format
Data Type
Constraint
RECORD LAYOUT
A-46
Unemployment Insurance Data Validation Operations Guide
5
Detection Method
Wage/Benefit Crossmatch: Step
35A – Rule 1
IB Crossmatch: Step 35B – Rule
1
National Directory of New Hires:
Step 35H – Rule 1
State Directory of New Hires:
Step 35C – Rule 1
Multi-Claimant Scheme
Systems: Step 35D – Rule 1
Special Project: Step 35E –
Rule 1
Other Controllable: Step 35F –
Rule 1
Noncontrollable: Step 35G –
Rule 1
The Detection Method used to
establish the overpayment was
Wage/Benefit Crossmatch, IB
Crossmatch, National Directory
of New Hires (NDNH), State
Directory of New Hires (SDNH),
Multi-Claimant Scheme
Systems, Special Project, Other
Controllable, and
Noncontrollable activity.
Text – Wage Crossmatch; IB
Crossmatch; NDNH; SDNH;
Multi-Claimant; Special; Other
Controllable; Noncontrollable
(Required)
CHAR (30)
NOT NULL
6
Date Established
Step 36 – Rule 1
The date the investigation was
concluded or overpayment was
established.
Date – MM/DD/YYYY
(Required)
DATE
NOT NULL
7
Overpayment
Amount
Step 37A – Rule 1
Step 37B – Rule 1
The amount of benefits paid
from State and Federal
Unemployment Funds
Number – 000000000.00
DECIMAL
(9.2)
8
Overpayment
Established by
Investigation
Step 46 – Rule 1
Whether a completed
investigation established an
overpayment.
Text – Y, N
(Optional for Other Controllable
and Noncontrollable)
CHAR (20)
9
User
User defined field. Can be used
for any additional data element.
Not mandatory.
Text
(Optional)
CHAR (100)
APPENDIX A
Conditionally
Required
RECORD LAYOUT
A-47
Unemployment Insurance Data Validation Operations Guide
APPENDIX B
B-1
Unemployment Insurance Data Validation Operations Guide
EXPLANATION OF UI TAX DATA FORMATS
There are 6 types of data formats referred to in Appendix B.
1. Required. These fields cannot be blank. They may be mandatory codes,
dates or dollar values. Required cells in Appendix A tables indicate the
required code, date, or dollar value parameters, or display the word
“Required.”
Required text fields have code values that must be entered, such as A, C, R,
etc. All of the allowable generic values for each field are listed in the Data
Type/Format column on the record layout. The generic values must be
followed by a dash and the corresponding state-specific value.
2. Conditionally required. Data are included in these fields if the data are
present in the state’s system. Applies to date and wages fields.
3. Optional. These fields are gray in Appendix B and the word “Optional” is
displayed. The software does not look at these fields at all. Any values can
be entered or they can be left blank.
4. Must be blank. These are text or date fields where the presence of data
indicates an error. Therefore, they must be left blank (such as population 4
transaction date for balance subpopulations 4.7, 4.8, 4.15, and 4.16).
5. Must be blank or 0. These are numeric fields where the presence of data
other than 0 indicates an error. In tax these are primarily wages fields in
populations 4 and 5.
6. System generated. These fields are generated by the DV software and
data should not be placed in these fields in the extract files. These fields are
primarily time lapse and age fields.
Notes:
For most steps referenced in Appendix B column headers, Rule 1 is the indicator
in the state system. However, if a state does not maintain the indicator specified
in Rule 1, then the state programmer must review the other rules in that step in
order to develop the required validation logic.
The extract file type is ASCII, comma delimited. Data must be in the order listed
in the record layouts.
B-2
Unemployment Insurance Data Validation Operations Guide
TAX RECORD LAYOUT FOR POPULATION 1
The 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 an Active Employer is 01, then the data format would be A-01.
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
Assign to each record.
Use sequential numbers
starting at 1.
Number - 00000000
(Required)
INTEGER
NOT NULL
1
OBS
2
EAN
Step 1A
Employer Account
Number
Number - 000000000
(Required)
CHAR (20)
NOT NULL
3
Employer Status Indicator
Step 3A
Indicate that the employer
is an active employer.
Text - A
(Required)
CHAR (20)
NOT NULL
4
Employer Type
Step 2A
Step 2B
Indicate whether the
employer type is
contributory or
reimbursable.
Text – C
R
(Required)
CHAR (20)
NOT NULL
5
Liability Date (Met
Threshold)
Step 14
Indicate the most recent
date on which the
employing unit met the
State law definition of a
newly established or
successor employer.
Date - MM/DD/YYYY
(Required)
DATE
NOT NULL
APPENDIX B
RECORD LAYOUT
B-3
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
6
Reactivation Processing
Date
Step 16
Indicate the date on
which an employer
account was updated on
the State's system to
reflect the reactivation of
a previously inactivated or
terminated employer.
Date - MM/DD/YYYY
DATE
7
Inactive/Terminated "as of"
Date
Step 5
Indicate the effective date
for the termination or
inactivation status of the
employer.
Date - MM/DD/YYYY
DATE
8
Activation Processing Date
Step 15
Indicate the date on
which an account was
established on the State’s
system for an 'employer,'
under the State
unemployment
compensation law.
Date - MM/DD/YYYY
(Required)
DATE
APPENDIX B
Constraint
NOT NULL
RECORD LAYOUT
B-4
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
9
Number of Liable Quarters
Step 7B
Indicate the number of
consecutive quarters
between the date the
employer was activated
or reactivated on the
State’s system and the
quarter prior to the report
quarter being validated. If
the number of liable
quarters is eight or more,
the value should be
reported as eight. If the
employer was activated
or reactivated during the
report quarter, then the
number of liable quarters
is zero.
Number – 0
1
2
3
4
5
6
7
8
(Required)
INTEGER
NOT NULL
10
Wages in Quarter 1
Step 7A
Total wages for the
employer in the quarter
prior to the report quarter.
Enter 0.00 for either zero
wage reports or reports
that weren't filed.
Number0000000000000.00
(Conditionally Required)
DECIMAL (15,2)
11
Wages in Quarter 2
Step 7A
Total wages for the
employer in the second
quarter prior to the report
quarter. Enter 0.00 for
either zero wage reports
or reports that weren't
filed.
Number0000000000000.00
(Conditionally Required)
DECIMAL (15,2)
APPENDIX B
RECORD LAYOUT
B-5
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
12
Wages in Quarter 3
Step 7A
Total wages for the
employer in the third
quarter prior to the report
quarter. Enter 0.00 for
either zero wage reports
or reports that weren't
filed.
Number 0000000000000.00
(Conditionally Required)
DECIMAL (15,2)
13
Wages in Quarter 4
Step 7A
Total wages for the
employer in the fourth
quarter prior to the report
quarter. Enter 0.00 for
either zero wage reports
or reports that weren't
filed.
Number 0000000000000.00
(Conditionally Required)
DECIMAL (15,2)
14
Wages in Quarter 5
Step 7A
Total wages for the
employer in the fifth
quarter prior to the report
quarter. Enter 0.00 for
either zero wage reports
or reports that weren't
filed.
Number 0000000000000.00
(Conditionally Required)
DECIMAL (15,2)
15
Wages in Quarter 6
Step 7A
Total wages for the
employer in the sixth
quarter prior to the report
quarter. Enter 0.00 for
either zero wage reports
or reports that weren't
filed.
Number 0000000000000.00
(Conditionally Required)
DECIMAL (15,2)
APPENDIX B
Constraint
RECORD LAYOUT
B-6
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
16
Wages in Quarter 7
Step 7A
Total wages for the
employer in the seventh
quarter prior to the report
quarter. Enter 0.00 for
either zero wage reports
or reports that weren't
filed.
Number 0000000000000.00
(Conditionally Required)
DECIMAL (15,2)
17
Wages in Quarter 8
Step 7A
Total wages for the
employer in the eighth
quarter prior to the report
quarter. Enter 0.00 for
either zero wage reports
or reports that weren't
filed.
Number 0000000000000.00
(Conditionally Required)
DECIMAL (15,2)
18
User Field
User defined field. Can be
used for any additional
data element.
Text
(Optional)
CHAR (100)
APPENDIX B
Constraint
RECORD LAYOUT
B-7
Unemployment Insurance Data Validation Operations Guide
TAX RECORD LAYOUT FOR POPULATION 2
The 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 Contributory Employer Type is A, then the data format would be C-A.
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
Sequential number, start at
1
Number - 00000000
(Required)
INTEGER
NOT NULL
1
OBS
2
EAN
Step 1B
Employer Account Number
Number - 000000000
(Required)
CHAR (20)
NOT NULL
3
Employer Report Quarter
(ERQ)
Step 1B
Indicate the calendar quarter
of business activity covered
by an employer’s
contributions report.
Number - YYYYQQ
(Required)
CHAR (6)
NOT NULL
4
Employer Type
Step 2A
Step 2B
Indicate whether the
employer type is contributory
or reimbursable.
Text – C
R
(Required)
CHAR (20)
NOT NULL
5
Received Date
Step 9
Indicate the date of receipt
by the agency of the
contributions report from a
subject employer.
Date - MM/DD/YYYY
(Conditionally Required)
DATE
6
Final Assessment Date
Step 10
Indicate the date a final
assessment becomes legally
due and collectible.
Date - MM/DD/YYYY
(Conditionally Required)
DATE
APPENDIX B
RECORD LAYOUT
B-8
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
7
Liability Date (Initial or
Reopen)
Step 4A
Step 4B
Indicate the date on which
an employing unit meets the
State’s legal definition of an
employer and is registered
and required to file reports.
Date - MM/DD/YYYY
(Conditionally Required)
DATE
8
Liability Date
(Met Threshold)
Step 14
Indicate the most recent
date on which the employing
unit met the State law
definition of a newly
established or successor
employer.
Date - MM/DD/YYYY
(Conditionally Required)
DATE
9
Inactive/
Terminated "as of" Date
Step 5
Indicate the effective date
for termination or
inactivation status of the
employer.
Date - MM/DD/YYYY
(Conditionally Required)
DATE
10
Suspended "as of" Quarter
Step 5
Indicate the specific ERQ for
which the State has
suspended the employer’s
report filing requirement.
Number - YYYYQQ
CHAR (6)
11
Inactivation
/Termination
Processing Date
Step 6A
Step 6B
Step 6C
Indicate the processing date
for the inactivation or
termination status of the
employer.
Date - MM/DD/YYYY
(Conditionally Required)
DATE
12
User Field
User defined field. Can be
used for any additional data
element.
Text
(Optional)
CHAR (100)
APPENDIX B
Constraint
RECORD LAYOUT
B-9
Unemployment Insurance Data Validation Operations Guide
TAX RECORD LAYOUT FOR POPULATION 3
The 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 New Status Determination is NEW, then the data format would be N-NEW.
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
Sequential number, start at
1
Number - 00000000
(Required)
INTEGER
NOT NULL
1
OBS
2
EAN
Step 1C
Employer Account Number
Number - 000000000
(Required)
CHAR (20)
NOT NULL
3
Employer Type
Step 2A
Step 2B
Indicate whether the
employer type is contributory
or reimbursable.
Text – C
R
(Required)
CHAR (20)
NOT NULL
4
Status Determination Type
Indicator
Step 11A
Step 11B
Step 11C
Step 11D
Indicate status determination
type by New, Successor,
Inactivation or Termination.
CHAR (10)
NOT NULL
5
Time Lapse
Step 12
Place a zero (0) in this field.
(Software generates the
time lapse)
Text – N
S
I
T
(Required)
Number – 0
APPENDIX B
INTEGER
RECORD LAYOUT
B-10
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
6
Status Determination Date
Step 13
Indicate the date of any
recorded administrative
action that establishes,
modifies, changes,
inactivates, or terminates an
employing unit’s liability as
an employer.
Date - MM/DD/YYYY
(Required)
DATE
NOT NULL
7
Liability Date
(Met Threshold)
Step 14
Indicate the most recent
date on which the employing
unit met the State law
definition of a newly
established or successor
employer.
Date - MM/DD/YYYY
(Required)
DATE
NOT NULL
8
End of Liable Quarter
Step 14
Indicate the last day of the
quarter in which the
employing unit met the State
law definition of a newly
established or successor
employer. States that do not
have this should leave the
field blank; the value will
then be calculated by the
software.
Date - MM/DD/YYYY
(Conditionally Required)
DATE
9
Activation Processing Date
Step 15
Indicate the date on which
an account was established
on the State’s system for an
'employer,' under the State
unemployment
compensation law.
Date - MM/DD/YYYY
DATE
APPENDIX B
RECORD LAYOUT
B-11
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
10
Reactivation Processing
Date
Step 16
Indicate the date on which
an employer account was
updated on the State’s
system to reflect the
reactivation of a previously
inactivated or terminated
employer.
Date - MM/DD/YYYY
DATE
11
Successorship Processing
Date
Step 17
Indicate the date on which
an employer account was
established or updated to
reflect an acquisition by the
employer which met the
State law definition of
successorship.
Date - MM/DD/YYYY
DATE
12
Predecessor Account
Number
Step 18
Indicate the account number
for an employing unit that
has been acquired by
another employer.
Number - 000000000
CHAR (20)
13
Inactivation Processing Date
Step 6A or
Step 6B
Indicate the processing date
for the inactivation status of
the employer.
Date - MM/DD/YYYY
DATE
14
Termination Processing
Date
Step 6A or
Step 6C
Indicate the processing date
for the termination status of
the employer.
Date - MM/DD/YYYY
DATE
APPENDIX B
Constraint
RECORD LAYOUT
B-12
Unemployment Insurance Data Validation Operations Guide
No.
15
Field Name
User Field
Module 3 Reference
Field Description
Data Format
Data Type
User defined field. Can be
used for any additional data
element.
Text
(Optional)
CHAR (100)
APPENDIX B
Constraint
RECORD LAYOUT
B-13
Unemployment Insurance Data Validation Operations Guide
TAX RECORD LAYOUT FOR POPULATION 4
The 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 Receivables Established is R, then the data format would be E-R.
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
Sequential number, start at
1
Number - 00000000
(Required)
INTEGER
NOT NULL
1
OBS
2
EAN
Step 1D
Employer Account Number
Number - 000000000
(Required)
CHAR (20)
NOT NULL
3
Employer Type
Step 2A
Step 2B
Indicate whether the
employer type is
contributory or reimbursable.
Text – C
R
(Required)
CHAR (20)
NOT NULL
4
Transaction Date
Step 19A
Indicate the date that a
transaction was entered into
the system.
Date - MM/DD/YYYY
DATE
5
Established Q/Date
Step 19B
Indicate the date that a past
due contribution was
entered into the system.
Date - MM/DD/YYYY
(Required)
DATE
6
Employer Report Quarter
(ERQ)
Step 1D
Indicate the calendar quarter
of business activity covered
by an employer’s
contributions report.
Number - YYYYQQ
CHAR (6)
7
Due Date
Step 20
Indicate the date after which
the State imposes interest
and penalty for late
payment.
Date - MM/DD/YYYY
DATE
APPENDIX B
NOT NULL
RECORD LAYOUT
B-14
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
8
Transaction Type/Indicator
Step 21A
Step 21B
Step 21C
Indicate the transaction type
code for receivables
established, liquidated,
declared uncollectible or
removed. Use a code of B
for records of account
balances at the end of the
RQ.
Text – E
L
U
R
B
(Required)
CHAR (20)
NOT NULL
9
Amount Established in RQ
Step 22
Indicate the amount of
contributions or payments
determined to be past due
during the report quarter.
Number 0000000000000.00
DECIMAL (15,2)
10
Amount Liquidated
Step 23
Indicate the amount of
receivables liquidated during
the report quarter.
Number 0000000000000.00
DECIMAL (15,2)
11
Amount Uncollectible
Step 24
Indicate the amount of
receivables declared
uncollectible during the
report quarter.
Number 0000000000000.00
DECIMAL (15,2)
12
Amount Removed
Step 25
Indicate the amount of
receivables removed during
the report quarter.
Number 0000000000000.00
DECIMAL (15,2)
APPENDIX B
RECORD LAYOUT
B-15
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
13
Balance at End of RQ
Step 26
Indicate the total amount of
past due contributions as of
the last day of the report
quarter being validated. For
aging, States should capture
a separate record for each
employer report quarter that
has a balance, rather than
an aggregate balance.
Number 0000000000000.00
DECIMAL (15,2)
14
Age of Receivable
Step 27A
Step 27B
Indicate the age of
receivable in days for
receivable balances at the
end of the report quarter.
Number – 0000000000000
(Optional)
INTEGER
15
User Field
User defined field. Can be
used for any additional data
element.
Text
(Optional)
CHAR (100)
APPENDIX B
Constraint
RECORD LAYOUT
B-16
Unemployment Insurance Data Validation Operations Guide
TAX RECORD LAYOUT FOR POPULATION 5
The 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 a Large Employer is Y, then the data format would be L-Y.
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
Sequential number, start at
1
Number - 00000000
(Required)
INTEGER
NOT NULL
1
OBS
2
EAN
Step 1E
Employer Account Number
Number - 000000000
(Required)
CHAR (20)
NOT NULL
3
Audit ID #
Step 1E
Indicate the audit
identification number.
Number - 00000000
(Required)
CHAR (20)
NOT NULL
4
Employer Size
Step 28A
Step 28B
Indicate whether the
employer size is large or
small.
Text – L
S
(Required)
CHAR (20)
NOT NULL
5
Change Audit
Step 29A
Step 29B
Indicate whether an audit
resulted in a discovery of
wages, contributions or
employees not previously
reported.
Text – Y
N
(If field is blank, software will
determine if record has
value not equal to 0 in any
one of record layout fields 9,
10, 14, 15, 19, 20. Software
will then place a Y-DVWS in
field.)
CHAR (20)
6
Audit Completion Date
Step 30
Indicate the date the audit
was completed and
recorded or posted as such.
Date - MM/DD/YYYY
(Required)
DATE
APPENDIX B
NOT NULL
RECORD LAYOUT
B-17
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
Constraint
7
Total Wages Pre-Audit
Step 31A
Indicate the full amount of
pre-audit total wages
reported for quarters
audited.
Number 0000000000000.00
(Required)
DECIMAL (15,2)
NOT NULL
8
Total Wages Post-Audit
Step 31B
Indicate the full amount of
total wages recorded in
audit summaries for audited
quarters.
Number 0000000000000.00
(Required)
DECIMAL (15,2)
NOT NULL
9
Total Wages UnderReported
Step 31C
Indicate the full amount of
under reported total wages
discovered as a result of the
audit.
Number 0000000000000.00
DECIMAL (15,2)
10
Total Wages Over-Reported
Step 31D
Indicate the full amount of
over reported total wages
discovered as a result of the
audit.
Number 0000000000000.00
DECIMAL (15,2)
11
Total Wages Reconciliation
Amount
Step 31E
Place a zero (0) in this field.
(Software generates
amount)
Number – 0
DECIMAL (15,2)
12
Taxable Wages
Pre-Audit
Step 32A
Indicate the full amount of
pre-audit taxable wages
reported for quarters
audited.
Number 0000000000000.00
(Optional)
DECIMAL (15,2)
13
Taxable Wages
Post-Audit
Step 32B
Indicate the full amount of
post-audit taxable wages for
quarters audited.
Number 0000000000000.00
(Optional)
DECIMAL (15,2)
14
Taxable Wages
Under-Reported
Step 32C
Indicate the full amount of
under reported taxable
wages discovered as a
result of the audit.
Number 0000000000000.00
DECIMAL (15,2)
APPENDIX B
RECORD LAYOUT
B-18
Unemployment Insurance Data Validation Operations Guide
No.
Field Name
Module 3 Reference
Field Description
Data Format
Data Type
15
Taxable Wages
Over-Reported
Step 32D
Indicate the full amount of
over reported taxable wages
discovered as a result of the
audit.
Number 0000000000000.00
DECIMAL (15,2)
16
Taxable Wages
Reconciliation Amount
Step 32E
Place a zero (0) in this field.
(Software generates
amount)
Number – 0
DECIMAL (15,2)
17
Contributions
Pre-Audit
Step 33A
Indicate the full amount of
pre-audit contributions
reported for quarters
audited.
Number 0000000000000.00
(Optional)
DECIMAL (15,2)
18
Contributions
Post-Audit
Step 33B
Indicate the full amount of
post-audit contributions
reported for quarters
audited.
Number 0000000000000.00
(Optional)
DECIMAL (15,2)
19
Contributions
Under-Reported
Step 33C
Indicate the full amount of
under reported contributions
discovered as a result of the
audit.
Number 0000000000000.00
DECIMAL (15,2)
20
Contributions
Over-Reported
Step 33D
Indicate the full amount of
over reported contributions
discovered as a result of the
audit.
Number 0000000000000.00
DECIMAL (15,2)
21
Contributions Reconciliation
Amount
Step 33E
Place a zero (0) in this field.
(Software generates
amount)
Number – 0
DECIMAL (15,2)
22
User Field
User defined field. Can be
used for any additional data
element.
Text
(Optional)
CHAR (100)
APPENDIX B
Constraint
RECORD LAYOUT
B-19
Unemployment Insurance Data Validation Operations Guide
APPENDIX C
C-1
Unemployment Insurance Data Validation Operations Guide
BENEFITS DUPLICATE DETECTION CRITERIA
Relevant Data Elements
from Extract file
Duplicate Detection
Criteria
Population
Reporting Rule
1.
Weeks Claimed
The same week of
unemployment can only be
claimed once.
SSN, Claim Week-Ending
Date (Field 2)
Remove as duplicates all
multiple records with the
same SSN and Claim Week
Ending Date.
2.
Final Payments
A Benefit Year normally
has only one final payment,
unless wages were
added/returned after initial
exhaustion.
SSN, Mail Date, Check
#/Unique ID
Remove as duplicates all
multiple records with the
same SSN, check
number/unique ID and mail
date.
APPENDIX C
Comments
The mail date criterion would falsely
reject the unlikely but legitimate case of
two Final Payments for separate claims
that exhaust on the same day. In such
a case, the validator can append an
extra unique character to the Unique ID
field value (e.g. -1, -2, -3) to each of the
valid records, so that the software will
not reject them.
DUPLICATE DETECTION CRITERIA
C-2
Unemployment Insurance Data Validation Operations Guide
Population
Reporting Rule
Relevant Data Elements
from Extract file
APPENDIX C
Duplicate Detection
Criteria
Comments
DUPLICATE DETECTION CRITERIA
C-3
Unemployment Insurance Data Validation Operations Guide
3.
Claims
Report each legitimate
claim once. Most claim
types will be reportable only
once in a quarter. Multiple
UI New or Transitional
claims may be legitimate;
however, there can be only
one claim with a sufficient
monetary per SSN within
the same quarter, unless a
claim with a sufficient
monetary that does not
establish a benefit year
(BY) is followed by one that
does establish a benefit
year. Although there can
be more than one with an
insufficient monetary, none
may follow a claim with a
sufficient monetary.
SSN (Field 2);
Date Claim Filed, (Field 3);
Program Type (Field 6);
Claim Type, (Field 5);
Sufficient / Insufficient”
(Field 9)
1. For all Claim Type and
Program Type
combinations:
Remove as duplicates
all multiple records with
the same SSN, Date
Claim Filed, and Claim
Type.
2. For UI New and
Transitional Claims:
Remove as duplicates
APPENDIX C
•
all multiple records
for which SSN and
Claim Type are the
same for multiple
records where Field 9
= Sufficient New BY
or Sufficient No BY
but the same filed
date; and
•
all multiple records
for which SSN and
Claim Type are the
same for multiple
records where Field 9
for one record =
Sufficient New BY
and another with a
later filed date has
Field 9 = Sufficient
No BY; and
•
all records for the
same SSN and Claim
type with Field 9 =
Insufficient with a
Claim Filed Date later
than the same SSN
and Claim Type with
Field 9 = Sufficient.
The duplicate detection function in
Population 3 must distinguish (a)
multiple claims that may be legitimately
counted from (b) multiple instances of
claims that may be counted only once
(true duplicates). Situation (a) arises
mostly for UI New and Transitional
claims. To define legitimate UI New and
Transitional claims, the decision was
made to allow only one Sufficient
determination that establishes a BY in
the same quarter for the same claim
type and not to allow an Insufficient
claim to follow a Sufficient claim for the
same SSN and claim type. Two claims
with sufficient monetary determinations
may occur in the same quarter as long
as the claim that does not establish a
BY precedes the one that does
establish a BY.
DUPLICATE DETECTION CRITERIA
C-4
Unemployment Insurance Data Validation Operations Guide
3.a
Population
Reporting Rule
Additional Claims
Every additional claim is
associated with a week of
unemployment and
involves at least a 1-week
break in the claims series
due to intervening
employment and separation
from an employer.
Relevant Data Elements
from Extract file
SSN, Date Claim Filed,
Separation Date
APPENDIX C
Duplicate Detection
Criteria
Comments
Remove as duplicates all
multiple records with the
same SSN, Date Claim
Filed, and Separation Date.
SSN plus Separation Date represent
“hard” or definitive criteria for duplicates.
SSN and Date Claim Filed could be
used as “soft” duplicate detection
criteria that identify potential instances
of duplication. If used, the validator
must manually determine which claims
are countable, taking a sample of all
records of multiple instances of the
same SSN and Date Claim Filed if the
number of cases is considerably large.
DUPLICATE DETECTION CRITERIA
C-5
Unemployment Insurance Data Validation Operations Guide
Population
4.
Payments
Reporting Rule
There can only be one
countable regular week
compensated for a given
week. Where there is a
CWC payment, there is a
separate count of one CWC
payment per week. There
is no rule limiting the
number of adjustment
checks.
Relevant Data Elements
from Extract file
SSN, Intra/Interstate,
Week-End Date (Field 16),
Mail Date (Field 17)
Duplicate Detection
Criteria
Comments
A week compensated cannot be
counted twice for the same week ending
date. Since the week can be counted
both as a regular week and a CWC
week, the software performs the check
separately for both groups. Because
states may issue multiple adjustment
checks as needed to correct a
claimant’s prior benefits, no duplicate
detection is needed for multiple
adjustments.
1. For all but CWC
payments and
adjustments (i.e., for
subpops 4.1-4.32 and
4.43): Remove as
duplicates all multiple
records where SSN,
Intra/Interstate, Mail
Date and Week End
Date are the same.
2. For CWC only: Remove
as duplicates all
multiple records where
SSN and Week End
Date are the same.
3. For Adjustment
Payments:
No duplicate check
APPENDIX C
DUPLICATE DETECTION CRITERIA
C-6
Unemployment Insurance Data Validation Operations Guide
Population
5.
Nonmonetary
Determinations
Reporting Rule
Count every monetary
determination once.
Relevant Data Elements
from Extract file
Duplicate Detection
Criteria
SSN, Unique ID, Issue
Type (Field 9), Notice Data
(Field 12).
Remove as duplicates all
multiple records with the
same SSN, Unique ID,
Issue Code, and Mail Date.
6.
Lower Authority
Appeals Filed
Count every appeal once.
SSN, Docket #/Unique ID
7.
Higher Authority
Appeals Filed
Count every appeal once.
SSN, Docket #/Unique ID
APPENDIX C
Comments
•
When state has Unique
ID, this will definitively
identify duplicate
records.
•
When Unique ID is null,
validator must manually
remove duplicates from
the extract file, assign a
Unique ID (e.g., 1, 2,
and 3) to each
legitimate multiple
transaction in the file,
and then reload it into
the software.
Remove as duplicates all
multiple records with the
same SSN and Docket
Number/Unique ID.
Remove as duplicates all
multiple records with the
same SSN and Docket
Number/Unique ID.
Records with the same SSNs, Issue
Code and Mail Date, but no Unique ID,
should be manually checked to
determine whether they are duplicates.
If the same SSN and docket number
appears more than once only one
record should be included in the extract
file.
If the same SSN and docket number
appears more than once, only one
record should be included in the extract
file.
DUPLICATE DETECTION CRITERIA
C-7
Unemployment Insurance Data Validation Operations Guide
Population
Reporting Rule
Relevant Data Elements
from Extract file
8.
Lower Authority
Appeals Decisions
Count every appeal once.
SSN, Docket #/Unique ID
9.
Higher Authority
Appeals Decisions
Count every appeal once.
SSN, Docket #/Unique ID
10.
Lower Authority
Appeals Case Aging
Count every appeal once.
SSN, Docket #/Unique ID
11.
Higher Authority
Appeals Case Aging
Count every appeal once.
SSN, Docket #/Unique ID
APPENDIX C
Duplicate Detection
Criteria
Remove as duplicates all
multiple records with the
same SSN and Docket
Number/Unique ID.
Remove as duplicates all
multiple records with the
same SSN and Docket
Number/Unique ID.
Remove as duplicates all
multiple records with the
same SSN and Docket
Number/Unique ID.
Remove as duplicates all
multiple records with the
same SSN and Docket
Number/Unique ID.
Comments
If the same SSN and docket number
appears more than once, only one
record should be included in the extract
file.
If the same SSN and docket number
appears more than once, only one
record should be included in the extract
file.
If the same SSN and docket number
appears more than once, only one
record should be included in the extract
file.
If the same SSN and docket number
appears more than once, only one
record should be included in the extract
file.
DUPLICATE DETECTION CRITERIA
C-8
Unemployment Insurance Data Validation Operations Guide
Population
12.
Overpayments
Established
Reporting Rule
Count each overpayment
only once.
Relevant Data Elements
from Extract file
SSN, Date Overpayment
Established, Unique ID
APPENDIX C
Duplicate Detection
Criteria
Comments
Remove as duplicates all
multiple records with the
same SSN, Date
Overpayment Established,
and Unique ID.
Records with the same SSN and Date
Overpayment Established, but no
Unique ID, should be manually checked
to determine whether they are
duplicates.
•
If state has Unique ID
this definitively identifies
duplicates.
•
If Unique ID is null,
validator must manually
remove duplicates from
the extract file, assign a
Unique ID (e.g., 1, 2,
and 3) to each
legitimate multiple
transaction in the file,
and then reload it into
the software.
DUPLICATE DETECTION CRITERIA
C-9
Unemployment Insurance Data Validation Operations Guide
Population
13.
Overpayment
Reconciliation
Reporting Rule
Count each transaction
only once.
Relevant Data Elements
from Extract file
SSN, Unique ID, Activity
Type, Date of Activity
APPENDIX C
Duplicate Detection
Criteria
Comments
Remove as duplicates all
multiple records with the
same SSN, Unique ID,
Date of Activity, and
Activity Type.
Records with the same SSN, Date of
Activity, and Activity Type, but no
Unique ID, should be manually checked
to determine whether they are
duplicates.
•
If state has Unique ID
this definitively identifies
duplicates.
•
If Unique ID is null,
validator must manually
remove duplicates from
the extract file and
assign a Unique ID
(e.g., 1, 2, and 3) to
each legitimate multiple
transaction in the file,
and then reload it into
the software.
DUPLICATE DETECTION CRITERIA
C-10
Unemployment Insurance Data Validation Operations Guide
Population
14.
15.
Overpayments Case
Aging
Overpayments
Established by
Detection Method
Reporting Rule
Count each overpayment
once.
Count each overpayment
once.
Relevant Data Elements
from Extract file
SSN, Unique ID
SSN, Date Established,
Unique ID
Duplicate Detection
Criteria
Comments
Remove as duplicates all
multiple records with the
same SSN and Unique ID.
Records with the same SSN but no
Unique ID should be manually checked
to determine whether they are
duplicates.
•
If state has Unique ID
this definitively identifies
duplicates.
•
If Unique ID is null,
validator must manually
remove duplicates from
the extract file and
assign a Unique ID
(e.g., 1, 2, and 3) to
each legitimate multiple
transaction in the file,
and then reload it into
the software.
Remove as duplicates all
multiple records with the
same SSN, Date
Overpayment Established,
and Unique ID.
Records with the same SSN and Date
Overpayment Established, but no
Unique ID, should be manually checked
to determine whether they are
duplicates.
If state has Unique ID this
definitively identifies
duplicates.
Unique ID is null, validator
must manually remove
duplicates from the extract
file, assign a Unique ID
(e.g., 1, 2, and 3) to each
legitimate multiple
transaction in the file, and
then reload it into the
software.
APPENDIX C
DUPLICATE DETECTION CRITERIA
C-11
Unemployment Insurance Data Validation Operations Guide
APPENDIX D
D-1
Unemployment Insurance Data Validation Operations Guide
TAX DUPLICATE DETECTION CRITERIA
Population
ETA 581 Reporting Rule
Relevant Data
Elements from
Extract File
(by Field Number)
Data Validation
Duplicate Detection Rule
Applied to Extract File
Comments
1. Active
Employers
Count each employer once. Multiunit employers are counted as one
employer.
2. Employer Account
Number (EAN)
If the EAN is identical in two or
more records, all of those
records are rejected.
2. Report Filing
Each employer owes only one
report for each employer report
quarter (ERQ). This report is
counted a maximum of 3 times –
timely, secured, and resolved. If
an employer submits reports for
multiple ERQs at the same time,
only the report for the ERQ
immediately preceding the report
quarter (RQ) is countable as
timely (if applicable) and secured.
Only the report for the ERQ two
quarters prior to the RQ is
countable as resolved. Reports
from multi-unit employers are
counted as one report.
2. EAN
3. Employer Report
Quarter (ERQ)
If the EAN and ERQ are identical
in two or more records, all of
those records are rejected.
APPENDIX D
As long as EANs are only assigned at
the parent level, this should identify
units from the same multi-unit
employer.
As long as EANs are only assigned at
the parent level, this should identify
units from the same multi-unit
employer.
DUPLICATE DETECTION CRITERIA
D-2
Unemployment Insurance Data Validation Operations Guide
Population
3. Status
Determinations
ETA 581 Reporting Rule
Each status determination
transaction should be counted
only once.
Individual EANs may appear more
than once. For example, there
might be two transactions listed for
a single EAN if an employer
acquires two businesses at
different times during the quarter,
resulting in two successorship
determinations.
Relevant Data
Elements from
Extract File
(by Field Number)
2. EAN
4. Status Determination
Type Indicator
6. Status Determination
Date
12. Predecessor
Account Number
Multiple determinations may be
legitimate, as long as they do not
reflect clerical errors.
Data Validation
Duplicate Detection Rule
Applied to Extract File
Comments
If the status determination type
indicator is:
NEW (subpops 3.1 – 3.3), and the
EAN and status determination
date are identical in two or more
records, all of those records are
rejected.
SUCCESSOR (subpops 3.4 –
3.6), and the EAN and status
determination date and
predecessor account number are
identical in two or more records,
all of those records are rejected.
INACTIVATION or
TERMINATION (subpops 3.7
and 3.8), and the EAN and status
determination date are identical
in two or more records, all of
those records are rejected.
APPENDIX D
DUPLICATE DETECTION CRITERIA
D-3
Unemployment Insurance Data Validation Operations Guide
Population
4. Accounts
Receivable
ETA 581 Reporting Rule
No transaction should be listed
more than once.
Relevant Data
Elements from
Extract File
(by Field Number)
Data Validation
Duplicate Detection Rule
Applied to Extract File
Comments
2. EAN
If the transaction type is:
4. Transaction Date
E (subpops 4.1 and 4.9), and the
EAN, transaction date,
established date, ERQ (cont.) or
Due Date (reimb.), and amount
established are identical in two or
more records, all of those
records are rejected.
5. Established Date
6. Employer Report
Quarter (cont.)
7. Due Date (reimb.)
8. Transaction Type
9. Transaction Amount
(established)
10. Transaction Amount
(liquidated)
11. Transaction Amount
(uncollectible)
12. Removed Amount
13. Balance at End of
Report Quarter
APPENDIX D
Currently, the UI Tax DVWS does not
check for duplicates in Population 4.
State IT staff now is responsible for
ensuring that the extract file does not
include duplicate transactions. DVWS
1.1 will be modified to include the new
duplicate detection criteria.
L or U (subpops 4.2-4.4 and
4.10-4.12), and the EAN,
transaction date, ERQ (cont.) or
Due Date (reimb.), transaction
type, and transaction amount are
identical in two or more records,
all of those records are rejected.
R (subpops 4.5-4.6, 4.13-4.14),
and the EAN, ERQ (cont.) or Due
Date (reimb.), and removed
amount are identical in two or
more records, all of those
records are rejected.
B (subpop 4.7-4.8, 4.15-4.16),
and the EAN, ERQ (cont.) or Due
Date (reimb.), and balance are
identical in two or more records,
all of those records are rejected.
DUPLICATE DETECTION CRITERIA
D-4
Unemployment Insurance Data Validation Operations Guide
Population
5. Field Audits
ETA 581 Reporting Rule
Each field audit should be counted
once.
Relevant Data
Elements from
Extract File
(by Field Number)
2. EAN
3. Audit ID Number
APPENDIX D
Data Validation
Duplicate Detection Rule
Applied to Extract File
If the EAN and Audit ID Number
are identical in two or more
records, all of those records are
rejected.
Comments
DUPLICATE DETECTION CRITERIA
D-5
| File Type | application/pdf |
| File Title | Data Validation State Web Software |
| File Modified | 2020-01-30 |
| File Created | 2020-01-30 |