ETA Home   Regions & States>   Reg05>   documents>    

 

 

May 2, 2006

REGION 5 ETA WORKFORCE DEVELOPMENT LETTER NO. 005-06

TO:              STATE WORKFORCE AGENCY ADMINISTRATORS

FROM:         Byron Zuidema
                  BYRON ZUIDEMA
                  Regional Administrator

SUBJECT:   Unemployment Insurance Data Validation

1.  Purpose.  This Workforce Development Letter provides the status of the Unemployment Insurance (UI) Data Validation (DV) program and informs the States of  ETA’s decision to suspend submission of validation results during the period May 11, 2006, through March 31, 2007.  It explains the reasons for our decision and outlines DV activities during the period between now and March 31, 2007.  We ask you to convey this information immediately to your DV coordinators and to the State validation staff in your region

2.   References.  Unemployment Insurance Program Letter 22-05, April 28, 2005.

3.  Links.  This Letter is in the Region 5 website archive at: http://doleta.gov/regions/reg05/pages/libraryissuances.cfm

4.   Background. In June 2005, ETA released new software for States to use to operate their UI DV programs. This software, which runs on the Sun-UNIX computer supplied by the Department to every State for UI reporting and other related purposes, replaces PC-based software developed by Mathematica Policy Research, Inc. (MPR), the DV technical support contractor.  In accordance with policies articulated in Unemployment Insurance Program Letter (UIPL) 22-05, States were to validate reports (1) within the scope of the validation program that either had not been validated for the period ending March 31, 2005, or that did not pass validation, or (2) that must be validated annually because they are used for Government Performance and Results Act (GPRA) measures.  The submission mechanism is the same as used for UI required reports.  Attachment 1 provides a detailed list of all submissions received using the Sun-based software.  As State validators began using the software in regular validation activities and to transmit results to the National Office (NO), various deficiencies became apparent.  These involve the software itself, the data transmission, and the structure of the database used to house DV summary results from which the NO determines compliance.  We have identified over 40 software bugs (Attachment 2) and another 11 critical enhancements (Attachment 3) that would greatly facilitate validators’ use of the software and our ability to administer the DV program.  All these changes will be incorporated into Version 1.1, which we expect to release later this calendar year.

The bugs listed in Attachment 2 span nearly the full range of validation activities.  The problems found compromise the accuracy of DV results for specific populations and raise questions about the accuracy of a significant portion of results.  Hence to ensure States are provided with a reliable tool to conduct data validation we have decided to suspend software-related validation activities for Validation Year (VY) 2007, i.e., validations of UI reports for periods April 1, 2006, through March 31, 2007.  This will provide time to develop and thoroughly test the next software release, which will correct all listed bugs and thus produce accurate DV findings.  It will also incorporate critical enhancements that will improve software performance and make it more user-friendly.

5. Action.    The following summarizes the actions the Department will take and requirements for Validation Years 2006 and 2007.

 

·        For the current Validation Year, VY 2006 (that is, validations of UI reports for periods April 1, 2005, through March 31, 2006):

 

ü      For VY 2006 States are required to:

Ø      Submit wage item validations using the DV software.

Ø      Submit results from the validation of Tax Performance System (TPS) and Benefits Timeliness and Quality (BTQ) samples in Word documents as e-mail attachments sent to dvrpts@doleta.gov using the attached template (Attachment 4).

Ø      Address failures to implement DV by building extract files for all populations or to submit Benefits Timeliness and Quality (BTQ) and Tax Performance System (TPS) validations through the 2007 State Quality Service Plan.

 

ü      States may, at their option:

Ø      Complete and submit by May 10, 2006 any validations underway or those they have planned to submit for this Validation Year.

ü      DOL Will:

Ø      DOL will place on the 3-year validation schedule to be revalidated for VY 2009 all complete population submissions received by May 10, 2006, that pass validation.  The next reports for these populations needing to be revalidated will be for the period April 1, 2008, through March 31, 2009.  This excludes the populations containing GPRA data elements; these must be validated annually.

Ø      Because of the risk that it may have been affected by a software problem, a population that failed validation need not be addressed in the State Quality Service Plan (SQSP).

 

·        For VY 2007:

ü      States are required to:

Ø      Refrain from submitting any validations of populations using the DV software for this period of refinement.

Ø      As in VY 2006, submit results from the validation of TPS and BTQ samples in Word documents as e-mail attachments sent to dvrpts@doleta.gov using the attached template (Attachment 4).

Ø      In lieu of submitting validation results during this period, position themselves to resume full-scale validation activities beginning April 1, 2007, by doing the following:

Ø      Develop extract files in accordance with the revised record layouts for all DV populations.  Populations which have not been validated, or which have failed validation, should receive special attention.

Ø      Conduct Independent Validation and Verification (IV&V) activities if FY 2005 SBR funds were received for them.

Ø      Update Module 3 data and submit this information to the National Office.

Ø      Obtain DV procedural training as needed from MPR and/or software training from the Minnesota Training Center.

Ø      When Version 1.1 of the software is released, validators should begin using it immediately to familiarize themselves with it, ready themselves to resume validation of reports for the validation year beginning April 1, 2007, and inform the NO of any functionality problems.

 

ü      DOL will:

Ø      Perform extensive testing of the revised DV software.  Program and technical staff at the NO will review and alpha test new and corrected functions in the DV software.  Alpha testing at the NO will be supplemented by testing at a State site involving MPR, and then by Beta testing in a few States.  Identified problems will be corrected and re-tested before the software is released to the States. 

Ø      Revise both the UI DV Handbook and software users’ guides to conform to the revised software.

Ø      Update the electronic versions of the State-specific Module 3 for both Benefits and Tax Handbooks and reissue them to each State.

 

For VY 2008, States will be required to resume validation activity using software version DV WS 1.1.  This includes validations that were due for VY 2006 and were not done because of the software problem or other reasons, as well as populations that otherwise would have been due for validation in VY 2007.  These are due in 2008 instead of 2007.  The suspension of validation submissions for VY 2007 does not affect the timing of validations that are due for validation year 2008, e.g., validation populations due to be submitted in 2008 because they passed in 2005 are still due for 2008.

 

As soon as possible, ETA will issue a UIPL that formalizes these instructions for the States and also clarifies or amends UIPL 22-05 policy guidance.  The policy clarifications and amendments concern procedures for determining pass and fail in populations that contain more than one random sample and instructions for submitting validation results.

 

6. Contact. Comments or questions concerning the UI Data Validation may be directed to Raymond Koch on 312.596.5440. Comments or questions about the format of this Letter may be directed to Tom Coyne on 312.596.5435

 

7.  Expiration Date. March 31, 2007

8.   Attachments.

1.    Listing of Sun-based software DV submissions.

2.    Listing of Bugs

3.    Listing of Enhancements

4.    Template for reporting results of TPS and BTQ sample reviews

 


Attachment 1

 

Validation Submissions Received as of March 24, 2006

 

Benefits Report Validation Submissions as of 3-24-2006

 

State

  Pop  Type    ID  Received   Reporting Period  Groups* Failures* Score*

AZ

   1   Counts  160  12/08/2005 09/01/2005 09/30/2005  3 0  PASS

   2   Counts  150  11/29/2005 07/01/2005 09/30/2005  2 0  PASS

   12  Counts  167  12/21/2005 07/01/2005 09/30/2005  3 0  PASS

   12  Dollars 168  12/21/2005 07/01/2005 09/30/2005  2 0  PASS

   14  Dollars 196  02/09/2006 10/01/2005 12/31/2005  3 0  PASS

   Total Submissions by AZ: 5

CT

   2   Counts  212  01/26/2006 10/01/2005 12/31/2005  2 0  PASS

   6   Counts  214  01/26/2006 12/01/2005 12/31/2005  1 0  PASS

   7   Counts  216  01/26/2006 12/01/2005 12/31/2005  1 0  PASS

   7   Counts  217  01/26/2006 12/01/2005 12/31/2005  1 0  PASS

   Total Submissions by CT: 4

FL

   1   Counts  127  08/17/2005 06/01/2005 06/30/2005  3 0  PASS

   2   Counts  141  09/20/2005 04/01/2005 06/30/2005  2 0  PASS

   3   Counts  133  09/19/2005 04/01/2005 06/30/2005  9 0  PASS

   4   Counts  108  08/03/2005 04/01/2005 06/30/2005  9 0  PASS

   4   Dollars 109  08/03/2005 04/01/2005 06/30/2005  4 0  PASS

   5   Counts  176  12/21/2005 07/01/2005 09/30/2005 12 1  FAIL

   Total Submissions by FL: 6

ID

   6   Counts  141  03/13/2006 11/01/2005 11/30/2005  1 0  PASS

   8   Counts  147  03/17/2006 11/01/2005 11/30/2005  6 2  FAIL

   10  Counts  132  02/03/2006 11/01/2005 11/30/2005  1 0  PASS

   11  Counts  133  02/03/2006 11/01/2005 11/30/2005  1 0  PASS

   Total Submissions by ID: 4

ME

   2   Counts  206  02/22/2006 10/01/2005 12/31/2005  2 0  PASS

   7   Counts  207  02/23/2006 12/01/2005 12/31/2005  1 0  PASS

   12  Counts  204  02/22/2006 10/01/2005 12/31/2005  3 0  PASS

   12  Dollars 205  02/22/2006 10/01/2005 12/31/2005  2 0  PASS

   Total Submissions by ME: 4

MN

   1   Counts  157  09/20/2005 06/01/2005 06/30/2005  3 1  FAIL

   2   Counts  160  10/25/2005 04/02/2005 07/01/2005  2 0  PASS

   Total Submissions by MN: 2

MO

   6   Counts  362  11/09/2005 09/01/2005 09/30/2005  1 0  PASS

   7   Counts  364  11/09/2005 09/01/2005 09/30/2005  1 0  PASS

   13  Dollars 115  08/29/2005 10/01/2004 12/31/2004  5 0  PASS

   Total Submissions by MO: 3

NH

   3   Counts  105  08/09/2005 04/01/2005 06/30/2005  9 5  FAIL

   3a  Counts  112  08/09/2005 04/01/2005 06/30/2005  1 0  PASS

   3a  Counts  114  09/06/2005 04/01/2005 06/30/2005  1 0  PASS

   4   Dollars 152  01/25/2006 10/01/2005 12/31/2005  4 2  FAIL

   4   Counts  153  01/25/2006 10/01/2005 12/31/2005  9 7  FAIL

   Total Submissions by NH: 5

 

 

 

 

Page 2

State

  Pop  Type    ID  Received   Reporting Period  Groups* Failures* Score*

NY

   1   Counts  242  03/14/2006 09/01/2005 09/30/2005  3 2  FAIL

   2   Counts  218  01/20/2006 10/01/2005 12/31/2005  2 2  FAIL

   3a  Counts  245  03/23/2006 10/01/2005 12/31/2005  1 0  PASS

   12  Counts  211  01/06/2006 07/01/2005 09/30/2005  3 0  PASS

   12  Dollars 212  01/06/2006 07/01/2005 09/30/2005  2 0  PASS

   Total Submissions by NY: 5

TN

   6   Counts  133  12/07/2005 09/01/2005 09/30/2005  1 0  PASS

   8   Counts  141  01/17/2006 09/01/2005 09/30/2005  6 1  FAIL

   Total Submissions by TN: 2

TX

   1   Counts  199  07/28/2005 04/01/2005 06/30/2005  3 1  FAIL

   1   Counts  371  03/15/2006 10/01/2005 12/31/2005  3 2  FAIL

   2   Counts  188  07/22/2005 04/01/2005 06/30/2005  2 0  PASS

   3   Counts  189  07/22/2005 04/01/2005 06/30/2005  9 9  FAIL

   3   Counts  216  07/29/2005 04/01/2005 06/30/2005  9 6  FAIL

   3a  Counts  196  07/28/2005 04/01/2005 06/30/2005  1 0  PASS

   4   Dollars 190  07/22/2005 04/01/2005 06/30/2005  4 0  PASS

   4   Dollars 217  08/01/2005 04/01/2005 06/30/2005  4 0  PASS

   4   Dollars 277  08/30/2005 04/01/2005 06/30/2005  4 0  PASS

   4   Counts  342  01/25/2006 10/01/2005 12/31/2005  9 2  FAIL

   4   Dollars 368  03/08/2006 10/01/2005 12/31/2005  4 0  PASS

   4   Dollars 369  03/08/2006 10/01/2005 12/31/2005  4 0  PASS

   5   Counts  120  07/15/2005 04/01/2005 06/30/2005 12 2  FAIL

   12  Dollars 191  07/26/2005 04/01/2005 06/30/2005  2 0  PASS

   12  Counts  346  01/25/2006 10/01/2005 12/31/2005  3 0  PASS

   12  Dollars 347  01/25/2006 10/01/2005 12/31/2005  2 0  PASS

   13  Dollars 192  07/26/2005 04/01/2005 06/30/2005  5 2  FAIL

   13  Dollars 344  01/25/2006 10/01/2005 12/31/2005  5 2  FAIL

   14  Dollars 193  07/26/2005 04/01/2005 06/30/2005  3 3  FAIL

   14  Dollars 238  08/02/2005 04/01/2005 06/30/2005  3 3  FAIL

   14  Dollars 241  08/02/2005 04/01/2005 06/30/2005  3 3  FAIL

   14  Dollars 243  08/02/2005 04/01/2005 06/30/2005  3 3  FAIL

   14  Dollars 245  08/02/2005 04/01/2005 06/30/2005  3 3  FAIL

   14  Dollars 349  01/25/2006 10/01/2005 12/31/2005  3 2  FAIL

   Total Submissions by TX:  24

VA

   3a  Counts  203  02/28/2006 10/01/2005 12/31/2005  1 0  PASS

   4   Counts  139  09/30/2005 04/01/2005 06/30/2005  9 6  FAIL

   4   Dollars 150  09/30/2005 04/01/2005 06/30/2005  4 3  FAIL

   5   Counts  119  08/17/2005 04/01/2005 06/30/2005 12 0  PASS

   10  Counts  182  12/21/2005 11/01/2005 11/30/2005  1 0  PASS

   13  Dollars 135  09/29/2005 04/01/2005 06/30/2005  5 4  FAIL

   14  Dollars 130  09/16/2005 04/01/2005 06/30/2005  3 3  FAIL

   Total Submissions by VA: 7

WY

   2   Counts  172  01/19/2006 07/01/2005 09/30/2005  2 0  PASS

   6   Counts  175  01/19/2006 09/01/2005 09/30/2005  1 0  PASS

   7   Counts  174  01/19/2006 09/01/2005 09/30/2005  1 1  FAIL

   7   Counts  176  01/19/2006 09/01/2005 09/30/2005  1 1  FAIL

   7   Counts  208  02/14/2006 09/01/2005 09/30/2005  1 0  PASS

   8   Counts  185  02/01/2006 09/01/2005 09/30/2005  6 1  FAIL

   9   Counts  173  01/19/2006 09/01/2005 09/30/2005  5 0  PASS

   10  Counts  197  02/10/2006 09/01/2005 09/30/2005  1 0  PASS

   11  Counts  201  02/10/2006 09/01/2005 09/30/2005  1 0  PASS

   Total Submissions by WY: 9

Total Benefits RV Submissions from All US:  80

*Values calculated at National Office

Page 3

 

 

Benefits Data Element Val. Submissions as of 3-24-2006

 

St Pop Samp Type   ID  Recvd      Reporting Period   Univ Size Cases Errs Score

AZ

1   100 Random     161 12/08/2005 09/01/2005 09/30/2005  100491 200  60   0 Pass

1   120 Minimum    162 12/08/2005 09/01/2005 09/30/2005   12569   2   6   0

1   110 Random     166 12/20/2005 09/01/2005 09/30/2005    5384 100  30   0 Pass

2   200 Random     151 11/29/2005 07/01/2005 09/30/2005    9715 100  30   0 Pass

12 1200 Random     169 12/21/2005 07/01/2005 09/30/2005    4074 200  60   0 Pass

12 1210 Missing    170 12/21/2005 07/01/2005 09/30/2005    4074   1   2   0

12 1220 Outliers   171 12/21/2005 07/01/2005 09/30/2005    4074  10  10   0

14 1400 Random     197 02/09/2006 10/01/2005 12/31/2005   22802 100  30   0 Pass

14 1410 Outliers   198 02/09/2006 10/01/2005 12/31/2005   22802  10  10   0

14 1420 Missing    199 02/09/2006 10/01/2005 12/31/2005   22802   1   6   0

   Total Submissions by AZ:     10

CT

2   200 Random     213 01/26/2006 10/01/2005 12/31/2005    9628 100  30   0 Pass

6   600 Minimum    215 01/26/2006 12/01/2005 12/31/2005    1485   2   2   0

7   700 Minimum    218 01/26/2006 12/01/2005 12/31/2005     149   2   2   0

   Total Submissions by CT:      3

FL

1   100 Random     128 08/17/2005 06/01/2005 06/30/2005  351826 200 200   0 Pass

1   110 Random     129 08/17/2005 06/01/2005 06/30/2005   14698 100  30   0 Pass

1   120 Minimum    130 08/17/2005 06/01/2005 06/30/2005   26632   2  24   0

2   200 Random     142 09/20/2005 04/01/2005 06/30/2005   28396 100  30   0 Pass

2   200 Random     143 09/20/2005 04/01/2005 06/30/2005   28396 100  30   0 Pass

3   300 Random     134 09/19/2005 04/01/2005 06/30/2005  103492 200  60   0 Pass

3   301 Missing    135 09/19/2005 04/01/2005 06/30/2005  103492   1   3   0

3   305 Minimum    136 09/19/2005 04/01/2005 06/30/2005    4290   2   6   0

3   310 Minimum    137 09/19/2005 04/01/2005 06/30/2005    3163   2   6   0

3   315 Random     138 09/19/2005 04/01/2005 06/30/2005    3123 100  30   0 Pass

3   320 Random     139 09/19/2005 04/01/2005 06/30/2005    9368 100  30   0 Pass

4   400 Random     110 08/03/2005 04/01/2005 06/30/2005   60286 200  60   0 Pass

4   405 Missing    111 08/03/2005 04/01/2005 06/30/2005   60286   1   8   0

4   410 Outliers   112 08/03/2005 04/01/2005 06/30/2005   58599  10  10   0

4   415 Outliers   113 08/03/2005 04/01/2005 06/30/2005  797109  10  10   0

4   420 Random     114 08/03/2005 04/01/2005 06/30/2005   27998 100  30   0 Pass

4   425 Outliers   115 08/03/2005 04/01/2005 06/30/2005     956  10  10   0

4   435 Random     116 08/03/2005 04/01/2005 06/30/2005    2147 100  30   0 Pass

4   440 Minimum    117 08/03/2005 04/01/2005 06/30/2005   21102   2   4   0

4   445 Minimum    118 08/03/2005 04/01/2005 06/30/2005     191   2   4   0

5   500 Random     177 12/21/2005 07/01/2005 09/30/2005   77928 100 100   2 Pass

5   501 Missing    178 12/21/2005 07/01/2005 09/30/2005   77928   1  36   0

5   505 Outliers   179 12/21/2005 07/01/2005 09/30/2005   77928  10  10   0

5   510 Minimum    180 12/21/2005 07/01/2005 09/30/2005        7   2   3   0

5   520 Random     181 12/21/2005 07/01/2005 09/30/2005     451 100  30   0 Pass

5   500 Random     182 12/21/2005 07/01/2005 09/30/2005   77928 100 100   2 Pass

5   501 Missing    183 12/21/2005 07/01/2005 09/30/2005   77928   1  36   0

5   505 Outliers   184 12/21/2005 07/01/2005 09/30/2005   77928  10  10   0

5   510 Minimum    185 12/21/2005 07/01/2005 09/30/2005       7   2   3   0

5   520 Random     186 12/21/2005 07/01/2005 09/30/2005     451 100  30   0 Pass

    Total Submissions by FL:     30

MD

5   520 Random     107 02/08/2006 10/01/2005 12/31/2005      55 100  30   5 Fail

   Total Submissions by MD:      1


Page 4

 

St Pop Samp Type   ID  Recvd      Reporting Period   Univ Size Cases Errs Score

MN

1   100 Random     158 09/22/2005 06/01/2005 06/30/2005  151911 200 200   6 Pass

2   200 Random     159 10/25/2005 04/02/2005 07/01/2005   12460 100  30   0 Pass

   Total Submissions by MN:      2

MO

6   600 Minimum    361 11/09/2005 09/01/2005 09/30/2005    2547   2   2   0

7   700 Minimum    363 11/09/2005 09/01/2005 09/30/2005     361   2   2   0

13 1300 Random     112 08/29/2005 10/01/2004 12/31/2004   18042 100  30   0 Pass

13 1310 Missing    113 08/29/2005 10/01/2004 12/31/2004   18042   1  16   0

13 1320 Outliers   114 08/29/2005 10/01/2004 12/31/2004   18042  10  10   5

   Total Submissions by MO:      5

NH

3   300 Random     106 08/09/2005 04/01/2005 06/30/2005    8202 200  60   0 Pass

3   301 Missing    107 08/09/2005 04/01/2005 06/30/2005    8202   1   2   0

3   305 Minimum    108 08/09/2005 04/01/2005 06/30/2005     908   2   6   0

3   310 Minimum    109 08/09/2005 04/01/2005 06/30/2005     209   2   5   0

3   315 Random     110 08/09/2005 04/01/2005 06/30/2005     194 100  30   0 Pass

3   320 Random     111 08/09/2005 04/01/2005 06/30/2005     516 100  30  30 Fail

3a  360 Minimum    113 08/09/2005 04/01/2005 06/30/2005     119   2   4   0

3a  350 Random     115 09/06/2005 04/01/2005 06/30/2005    2863 200 200   1 Pass

4   400 Random     143 01/18/2006 10/01/2005 12/31/2005    4173 200 200   1 Pass

4   435 Random     144 01/18/2006 10/01/2005 12/31/2005      75 100  30   5 Fail

4   410 Outliers   145 01/25/2006 10/01/2005 12/31/2005    3968  10  10   0

4   425 Outliers   146 01/25/2006 10/01/2005 12/31/2005     153  10  10   0

4   415 Outliers   147 01/25/2006 10/01/2005 12/31/2005   45453  10  10   0

4   440 Minimum    148 01/25/2006 10/01/2005 12/31/2005     831   2   4   0

4   450 Minimum    149 01/25/2006 10/01/2005 12/31/2005      18   2   2   0

4   450 Minimum    150 01/25/2006 10/01/2005 12/31/2005      18   2   2   0

4   445 Minimum    151 01/25/2006 10/01/2005 12/31/2005       8   2   2   0

4   405 Missing    157 02/01/2006 10/01/2005 12/31/2005    4173   1   6   1    

4   420 Random     164 02/07/2006 10/01/2005 12/31/2005    4936 100 100   6 Pass

4   435 Random     165 02/21/2006 10/01/2005 12/31/2005      75 100  30   0 Pass

8   800 Random     166 03/16/2006 10/01/2005 12/31/2005     779 200  60   8 Fail

8   810 Missing    167 03/16/2006 10/01/2005 12/31/2005     187   1   3   0

8   820 Outliers   168 03/16/2006 10/01/2005 12/31/2005     779  10  10   1    

12 1200 Random     127 11/08/2005 07/01/2005 09/30/2005     750 200  60   8 Fail

12 1200 Random     128 11/08/2005 07/01/2005 09/30/2005     750 200  60   8 Fail

12 1210 Missing    129 11/08/2005 07/01/2005 09/30/2005     750   1   2   0

12 1220 Outliers   130 11/08/2005 07/01/2005 09/30/2005     750  10  10   1    

12 1210 Missing    131 11/08/2005 07/01/2005 09/30/2005     750   1   2   0

13 1300 Random     132 11/16/2005 07/01/2005 09/30/2005     446 100  30   5 Fail

13 1310 Missing    133 11/16/2005 07/01/2005 09/30/2005     446   1   3   1    

13 1320 Outliers   134 11/16/2005 07/01/2005 09/30/2005     446  10  10   6    

14 1400 Random     137 11/30/2005 07/01/2005 09/30/2005    2942 100 100  23 Fail

14 1410 Outliers   138 11/30/2005 07/01/2005 09/30/2005    2942  10  10   2    

14 1420 Missing    139 11/30/2005 07/01/2005 09/30/2005    2942   1   2   0

14 1400 Random     154 01/25/2006 07/01/2005 09/30/2005    2942 100 100  23 Fail

14 1410 Outliers   155 01/25/2006 07/01/2005 09/30/2005    2942  10  10   2    

14 1420 Missing    156 01/25/2006 07/01/2005 09/30/2005    2942   1   2   0

   Total Submissions by NH:     37

NY

3a  350 Random     246 03/23/2006 10/01/2005 12/31/2005  119464 200  60   8 Fail

3a  360 Minimum    247 03/23/2006 10/01/2005 12/31/2005    2515   2   6   3    

12 1200 Random     213 01/06/2006 07/01/2005 09/30/2005   15624 200  60   0 Pass

12 1210 Missing    214 01/06/2006 07/01/2005 09/30/2005   15624   1   4   0

12 1220 Outliers   215 01/06/2006 07/01/2005 09/30/2005   15624  10  10   3

   Total Submissions by NY:      5

 

 


Page 5

 

St Pop Samp Type   ID  Recvd      Reporting Period   Univ Size Cases Errs Score

PR

12 1210 Missing    175 02/10/2006 10/01/2005 12/31/2005    2024   1   2   0

14 1400 Random     176 02/10/2006 10/01/2005 12/31/2005   10416 100  30   0 Pass

14 1410 Outliers   177 02/10/2006 10/01/2005 12/31/2005   10416  10  10   0

14 1420 Missing    178 02/10/2006 10/01/2005 12/31/2005   10416   1   5   0

   Total Submissions by PR:      4

TN

6   600 Minimum    134 12/07/2005 09/01/2005 09/30/2005    1586   2   2   0

8   810 Missing    138 01/12/2006 09/01/2005 09/30/2005     129   1   3   0

8   820 Outliers   139 01/12/2006 09/01/2005 09/30/2005    1734  10  10   1    

8   820 Outliers   140 01/12/2006 09/01/2005 09/30/2005    1734  10  10   1    

8   810 Missing    142 01/17/2006 09/01/2005 09/30/2005     129   1   3   0

8   810 Missing    143 01/17/2006 09/01/2005 09/30/2005     129   1   3   0

8   820 Outliers   144 01/17/2006 09/01/2005 09/30/2005    1734  10  10   1

   Total Submissions by TN:      7

TX

1   120 Minimum    372 03/22/2006 10/01/2005 12/31/2005  516440   2   6   6    

1   110 Random     373 03/23/2006 10/01/2005 12/31/2005   31913 100  30   0 Pass

2   200 Random     278 09/01/2005 04/01/2005 06/30/2005   36789 100  30   0 Pass

3   321 Missing    330 12/08/2005 04/01/2005 06/30/2005    7190   1   1   0

3   300 Random     331 12/09/2005 04/01/2005 06/30/2005  159813 200  60  16 Fail

3   301 Missing    332 12/09/2005 04/01/2005 06/30/2005  159813   1   4   3    

3   305 Minimum    333 12/09/2005 04/01/2005 06/30/2005    3219   2   6   1    

3   310 Minimum    334 12/09/2005 04/01/2005 06/30/2005    3686   2   6   4    

3   321 Missing    335 12/09/2005 04/01/2005 06/30/2005    7190   1   1   0

3a  350 Random     280 09/02/2005 04/01/2005 06/30/2005   40347 200  23   0

3a  360 Minimum    281 09/02/2005 04/01/2005 06/30/2005    1306   2   6   1    

3a  350 Random     339 01/23/2006 04/01/2005 06/30/2005   40347 200  23   0

3a  360 Minimum    340 01/23/2006 04/01/2005 06/30/2005    1306   2   6   1     

4   400 Random     374 03/23/2006 10/01/2005 12/31/2005   94923 200  60   0 Pass

4   405 Missing    375 03/23/2006 10/01/2005 12/31/2005   94923   1   9   0

4   410 Outliers   376 03/23/2006 10/01/2005 12/31/2005   91977  10  10   2    

4   425 Outliers   377 03/24/2006 10/01/2005 12/31/2005     334  10  10   0

4   425 Outliers   379 03/24/2006 10/01/2005 12/31/2005     334  10  10   0

5   500 Random     308 10/27/2005 04/01/2005 06/30/2005  126567 100  30   5 Fail

5   501 Missing    311 11/01/2005 04/01/2005 06/30/2005  126567   1  39  14    

5   505 Outliers   312 11/01/2005 04/01/2005 06/30/2005  126567  10  10   5    

5   520 Random     336 01/12/2006 04/01/2005 06/30/2005      10 100  10   0

6   600 Minimum    321 11/18/2005 06/01/2005 06/30/2005    9604   2   2   0

7   700 Minimum    329 11/23/2005 06/01/2005 06/30/2005    1550   2   2   2    

8   800 Random     322 11/23/2005 06/01/2005 06/30/2005   10628 200  60   0 Pass

8   810 Missing    323 11/23/2005 06/01/2005 06/30/2005    2334   1   7   0

8   820 Outliers   324 11/23/2005 06/01/2005 06/30/2005   10628  10  10   0

9   900 Random     325 11/23/2005 04/01/2005 06/30/2005    4568 100  30   0 Pass

9   920 Outliers   326 11/23/2005 04/01/2005 06/30/2005    4568  10  10   0

10 1000 Outliers   328 11/23/2005 06/01/2005 06/30/2005    7859  10  10   3    

11 1100 Outliers   327 11/23/2005 06/01/2005 06/30/2005    1576  10  10   1    

12 1200 Random     246 08/08/2005 04/01/2005 06/30/2005   27105 200  60  10 Fail

12 1210 Missing    247 08/08/2005 04/01/2005 06/30/2005   27105   1   3   0

12 1200 Random     361 03/01/2006 10/01/2005 12/31/2005   20845 200  60   0 Pass

12 1210 Missing    362 03/01/2006 10/01/2005 12/31/2005   20845   1   3   0

12 1220 Outliers   363 03/01/2006 10/01/2005 12/31/2005   20845  10  10   1    

13 1320 Outliers   309 10/28/2005 04/01/2005 06/30/2005   67680  10  10   5    

13 1310 Missing    310 10/28/2005 04/01/2005 06/30/2005   67680   1   4   2

    Total Submissions by TX:     38

 

 


Page 6

 

St Pop Samp Type   ID  Recvd      Reporting Period   Univ Size Cases Errs Score

VA

3a  350 Random     204 02/28/2006 10/01/2005 12/31/2005   22585 200  60  13 Fail

3a  360 Minimum    205 02/28/2006 10/01/2005 12/31/2005     864   2   6   0

4   400 Random     140 09/30/2005 04/01/2005 06/30/2005   24821 200  60  11 Fail

4   405 Missing    141 09/30/2005 04/01/2005 06/30/2005   24821   1   6   3    

4   410 Outliers   142 09/30/2005 04/01/2005 06/30/2005   22956  10  10   3    

4   415 Outliers   143 09/30/2005 04/01/2005 06/30/2005  273047  10  10   0

4   420 Random     144 09/30/2005 04/01/2005 06/30/2005   56973 100  30  26 Fail

4   425 Outliers   145 09/30/2005 04/01/2005 06/30/2005    1110  10  10  10    

4   435 Random     146 09/30/2005 04/01/2005 06/30/2005    1380 100  30  12 Fail

4   440 Minimum    147 09/30/2005 04/01/2005 06/30/2005   12593   2   4   4    

4   445 Minimum    148 09/30/2005 04/01/2005 06/30/2005      66   2   4   4    

4   450 Minimum    149 09/30/2005 04/01/2005 06/30/2005     260   2   4   4    

5   500 Random     120 08/17/2005 04/01/2005 06/30/2005   24587 100  30   0 Pass

5   501 Missing    121 08/17/2005 04/01/2005 06/30/2005   24587   1  35   3    

5   505 Outliers   122 08/17/2005 04/01/2005 06/30/2005   24587  10  10   0

10 1000 Outliers   183 12/21/2005 11/01/2005 11/30/2005    1880  10  10   0

13 1300 Random     136 09/29/2005 04/01/2005 06/30/2005   17667 100  30   7 Fail

13 1310 Missing    137 09/29/2005 04/01/2005 06/30/2005   17667   1  14   5    

13 1320 Outliers   138 09/29/2005 04/01/2005 06/30/2005   17667  10  10   7    

14 1400 Random     131 09/16/2005 04/01/2005 06/30/2005   22168 100  30  30 Fail

14 1410 Outliers   132 09/16/2005 04/01/2005 06/30/2005   22168  10  10  10    

14 1420 Missing    133 09/16/2005 04/01/2005 06/30/2005   22168   1   6   6    

14 1410 Outliers   134 09/16/2005 04/01/2005 06/30/2005   22168  10  10  10

   Total Submissions by VA:     23

WY

1   100 Random     186 02/03/2006 09/01/2005 09/30/2005    5898 200  60   0 Pass

1   110 Random     187 02/03/2006 09/01/2005 09/30/2005     677 100  30   0 Pass

2   200 Random     167 01/19/2006 07/01/2005 09/30/2005     633 100  30   0 Pass

6   600 Minimum    168 01/19/2006 09/01/2005 09/30/2005      96   2   2   0

7   700 Minimum    171 01/19/2006 09/01/2005 09/30/2005       8   2   2   0

7   700 Minimum    207 02/14/2006 09/01/2005 09/30/2005       7   2   2   0

8   800 Random     183 02/01/2006 09/01/2005 09/30/2005      92 200  60   0 Pass

8   820 Outliers   184 02/01/2006 09/01/2005 09/30/2005      92  10  10   0

9   900 Random     169 01/19/2006 09/01/2005 09/30/2005      10 100  10   0

9   920 Outliers   170 01/19/2006 09/01/2005 09/30/2005      10  10  10   1    

10 1000 Outliers   198 02/10/2006 09/01/2005 09/30/2005      87  10  10   0

11 1100 Outliers   200 02/10/2006 09/01/2005 09/30/2005       6  10   6   0

   Total Submissions by WY:     12

   Total Benefits DEV Submissions from All US:    177


Page 7

 

 

Tax Report Validation Submissions as of 3-24-2006

State

 Pop    Type  ID   Received                     Items   Failures  Score

CT

 5  Counts    114 08/22/2005 01/01/2005 03/31/2005     3  0 PASS

 5  Dollars   115 08/22/2005 01/01/2005 03/31/2005     8  0 PASS

   Total Submissions by CT:  2

FL

 5  Counts    193 02/01/2006 07/01/2005 09/30/2005     3  0 PASS

 5  Dollars   194 02/01/2006 07/01/2005 09/30/2005     8  0 PASS

   Total Submissions by FL:  2

NY

 5  Counts    233 02/17/2006 04/01/2005 06/30/2005     3  1 FAIL

   Total Submissions by NY:  1

TX

 1  Counts    272 08/23/2005 04/01/2005 06/30/2005     3  0 PASS

 2  Counts    237 08/02/2005 04/01/2005 06/30/2005     7  0 PASS

 2  Counts    256 08/10/2005 01/01/2005 03/31/2005     7  3 FAIL

 2  Counts    259 08/22/2005 01/01/2005 03/31/2005     7  0 PASS

 3  Counts    273 08/23/2005 04/01/2005 06/30/2005     8  5 FAIL

 3  Counts    274 08/23/2005 04/01/2005 06/30/2005     8  5 FAIL

 4  Dollars   266 08/22/2005 04/01/2005 06/30/2005    10  9 FAIL

 4  Dollars   267 08/22/2005 04/01/2005 06/30/2005    10  9 FAIL

 4  Dollars   271 08/23/2005 04/01/2005 06/30/2005    10  2 FAIL

 4  Dollars   366 03/01/2006 10/01/2005 12/31/2005    10  1 FAIL

 5  Counts    305 09/29/2005 04/01/2005 06/30/2005     3  1 FAIL

 5  Dollars   306 09/29/2005 04/01/2005 06/30/2005     8  0 PASS

 5  Counts    319 11/18/2005 04/01/2005 06/30/2005     3  0 PASS

 5  Dollars   320 11/18/2005 04/01/2005 06/30/2005     8  0 PASS

   Total Submissions by TX:     14

 

   Total Tax RV Submissions from All US:     19

 

Tax Data Element Validation Submissions as of 3-24-2006

State

 Pop ID Sample Received  Reporting Period  Cases Errors % Error*  Score*

FL

 5  175  10400 12/19/2005 07/01/2005 09/30/2005   8   0  0.0% PASS

 5  195  10400 02/01/2006 07/01/2005 09/30/2005   8   0  0.0% PASS

   Total Submissions by FL:   2

NY

 5  234  10400 02/17/2006 04/01/2005 06/30/2005   8   0  0.0% PASS

   Total Submissions by NY:   1

PR

 1  142  10000 12/15/2005 04/01/2005 06/30/2005   4   0  0.0% PASS

   Total Submissions by PR:   1

TX

 1  355  10000 02/17/2006 04/01/2005 06/30/2005   4   1 25.0% FAIL

 2  356  10100 02/17/2006 01/01/2005 03/31/2005  20   0  0.0% PASS

 3  337  10200 01/12/2006 04/01/2005 06/30/2005   8   0  0.0% PASS

 3  357  10200 02/17/2006 04/01/2005 06/30/2005   8   0  0.0% PASS

 4  359  10300 02/17/2006 04/01/2005 06/30/2005  24   6 25.0% FAIL

 5  358  10400 02/17/2006 04/01/2005 06/30/2005   8   0  0.0% PASS

 

   Total Submissions by TX:   6

 

 

   Total Tax DEV Submissions from All US:  10

 

* Calculated by National Office.


 

Attachment 2

 

Benefits Software Bugs and Fixes

 

Population

Description of Problem

Effect

Comment/Fix

1

All

Comments received from States arrive garbled at DOL

 

Increase size of the field and ensure that comments display properly.

2

1, 3, 9, 14

Errors/typos in Extract File layouts available off the Population link

 

Correct errors & typos.

3

1, 2, 3, 3a, 4, 5, 8, 9, 12, 13, 14

In random samples,  when user saves the second tier if he/she has not completed entering results for at least one whole row, two errors occur:

1.  all entered “fails” in tier 2 get added to tier 1 summary and results are calculated for tier 1

2.  the software displays the screen for tier 1 instead of tier 2 as it should

Could cause inadvertent failure, or lock user out of Stage 2 sample, forcing him to start over with sample entry/review.

Validators will be able to view status of sample (including Pass/Fail) by using SAVE; when Tier 1 is complete, validator will have choice of submitting or going to Tier 2 without hitting SUBMIT.  Once in Tier 2, Tier 1 records are frozen until validator selects to return to Tier 1 of sample.  No results from incomplete rows will be added to totals (all samples will be made to work this way.)

4

1, 2, 3, 3a, 4, 5, 8, 9, 12, 13, 14

At present the software changes all fields to “pass” when the “Check Row” box is checked, and double-clicking “Check All” box clears all data in sample.

Could cause inadvertent sample pass if rows with errors are cleared and replaced with passes before sample is submitted.

“Check Row” and “Check All” buttons replaced by “Pass” and “Pass All” buttons.   “Pass” button changes only blank fields to pass.  Separate “Clear” and “Clear All” buttons with warning to user.  When user is in Tier 2, “Clear All” button only clears data in that Tier.

5

3

Software rejecting Prior Qtr transactions (3.38-3.45--CWC Prior Quarter claims and UI New Claims filed in Prior Quarter)

Will cause RV failure if these transactions are present.

Change edit to allow Prior Quarter dates for CWC Prior Quarter and UI New Claims filed in Prior Quarter.

6

3

Software is placing sub population 3.31 in validation count for line 102-6 (UCFE Transitional), instead of Line 101-6 (UI transitional).  This error causes an undercount for line 101-6 and an over count for line 102-6. 

Will cause RV failure if these transactions are present.

Count for 5159 101-6 will be changed to be sum of subpops 3.25-3.31; count for 102-6 will be changed to be 3.32 only.

7

3

Software is rejecting CWC Insufficient Monetary transactions if date of original monetary is missing

Will cause RV failure if these transactions are present.

Software will allow Null or None for this date field; by definition there is no CWC monetary.  Handbook changed to make this clear.

8

3a

Import Messages for this pop do not appear automatically; user must select “Get More Messages.”

 

Functionality will be made comparable to other Populations

9

4

Attempting to select Sample 425 (Outlier sample:  adjusted pmts.)  results in error message, “An unexpected error occurred…”

Sample cannot be completed (compliance not affected:  not a random sample)

Function will be fixed.

10

4

Extract File for population 4 will be reconfigured to include three months of quarterly data, but only the most recent month of monthly data.  This should result in extract file size for pop 4 which the software can handle.

This would affect ability of New York and California to validate Population 4.  Smaller States not affected; Texas successfully validated Population 4 with file of 1.3 million records.

We will follow the MPR handbook and software procedure.  Software will pick up the last month’s counts in the quarter for the 5159, 9050, and 9051 reports for the quarter used for the 586.  This way the latest data will be validated.  Three months worth of data are only needed to validate the 586 report.   This should reduce file sizes in California to a manageable 2 million records or fewer.

 

11

4

Software is rejecting as duplicates some adjustments and transactions that have same SSN, WE Date, total $ amount for columns 10-14, and mail date.

 

For all Benefits and Tax Populations, implement duplicate detection criteria worked out with MPR and forwarded on 1/27/2006.  See # 3 in General Operational Issues, below.

12

5

Duplicate detection criteria refers to SSN and Issue ID.  Because Issue ID is not mandatory, software cannot sometimes identify duplicate nonmon records.

 

Software will implement alternative duplicate detection criteria.  The new process will allow validator to assess potential duplicates and reenter legitimate nonmons.

13

5

Some States have nonmon unique ID of > 20 characters (FL’s is 35-characters).  Software allows only 20.  Results in truncation/ duplicates.

 

Implement MPR recommended field characteristics, which include 50 characters for this unique ID field.

14

5

Software counts number of multi-claimant determinations instead of # claimants involved in Multiclaimant determinations. MPR software had same problem. 

Cannot validate 207 lines 101 and 102, col. 4, 5, 6.

Because resolving this would involve changing State extract file, and because MPR software also had this deficiency, it is considered a long-term enhancement.  Steps will be taken to ensure that no State fails Population 5 because of this problem.

15

5

View Report Counts for 9052 and 9053 show c193 for Multi-clmt Labor Detection and c194 for MC Other Detection.  Cells should be 194 and 195, respectively.  Labels should read “Multi-Claimant Labor Dispute” and Multi-Claimant Other.”  Software retrieving cells 193 and 194 for 9053 report instead of 194 and 195.

Could cause population to fail if State has this type of determinations.

Change labels to c194 “Multi-Claimant Labor Dispute” and “c195 Multi-Claimant Other.” 

 

Ensure right cells being retrieved in accord with corrected labels.

16

5

Get error message when attempting to select sample 520 (random, single claimant redets) if file contains redets.

Cannot complete compliance requirements for Population 5.

Correct software to select this sample.

17

6

Software rejects multi-claimant appeals for which # claimants = 1. 

Could cause population to fail if State creates one record for each claimant in a multi-claimant appeal.

Follow coding of Pop 7, which does accept multi-claimant appeals for which # claimants =1.

18

6

Software counts # multiclaimant appeals not # claimants, when producing validation count for 5130 line 200-10.

Could cause population to fail if State has many multi-claimant appeals.

Software will sum counts in field 6 for multi-claimant appeals, not count # entries.

19

7

Software counts # multiclaimant appeals not # claimants, when producing validation count for 5130 line 200-11.

Could cause population to fail if State has many multi-claimant appeals.

Software will sum counts in field 6 for multi-claimant appeals, not count # entries.

20

8

Software counts # multiclaimant appeals not # claimants, when producing validation count for 5130 line 210-10.

Could cause population to fail if State has many multi-claimant appeals.

Software will sum counts in field 9 for multi-claimant appeals, not count # entries.

21

8

Software retrieves 9055L cell 2 and 3 (Lower Authority Appeals Pending <= days and pending 26-40 days instead of 9054L cells 2 and 3 (UI Intra Total and UI Inter total) when giving Reported Count.

Could cause population to fail.

Correct code to retrieve correct report count.

22

9

Software counts # multiclaimant appeals not # claimants, when producing validation count for 5130 line 210-11.

Could cause population to fail if State has many multi-claimant appeals.

Software will sum counts in field 9 for multi-claimant appeals, not count # entries.

23

12

Sample 1200 is drawn randomly but the cases presented to the validator for review are arrayed by size of overpayment.  Thus a 60-case Stage 1 sample contains only the 60 lowest overpayment values and does not represent the universe.

Stage 1 sample will not be representative; full sample will be representative.

We will check to ensure that sample is randomly drawn and make sure that cases presented for validator are not arrayed.

24

13

In View Validation Counts, references in ETA Report/Line/Column for all subpops should be to ETA 227C, not ETA 227B; and for subpopulations 13.26-13.34, references should be to column (14) instead of (13)

When you click on each subpopulation for detailed records, heading of table refers to “Overpayments Established” instead of “Overpayment Reconciliation Activities.”

Header that is displayed when the View Reported Dollars Screen prints says “View Reported Counts for Population 13”

 

References will be corrected.

25

14

Software is giving all cases an age of 0 when it creates sample worksheet.

Will cause every sample to fail.

This field will be changed to contain age of the receivable, computed as difference in days between end of report quarter and date overpayment was established (field 4).

26

1, 2, 3, 3a, 4, 5, 8, 9, 12, 13, 14

Revise sampling score algorithm when universe is no more than first- or second-stage random sample.

 

Samples from universes smaller than stated sample size do not get a score.

Software will implement a small-sample algorithm provided by MPR with appropriate pass/fail cut-off values. 

27

1, 2, 3, 3a, 4, 5, 8, 9, 12, 13, 14

Software allows incomplete results to be submitted for random samples. Errors in uncompleted rows get added to total errors and imputed to completed cases.  When errors from uncompleted rows in the second tier get added to completed cases in the first tier, it may result in sample failing at first tier when it shouldn’t.

Could cause unwarranted failure of sample.

The software will contain edits that do not allow users to submit incomplete results for any random or nonrandom samples: i.e., all sampled cases must be completed; all elements in a sample must be checked; and inconclusive results at first stage of random samples must not submit.  Software will save errors from incomplete cases but not add them to totals.  See #3 above.

 


 

 

Tax Software Bugs and Fixes

 

Population

Description of Problem

Effect

 

Comment/Fix

1

Help link

File layout for Pop 3 user gets after clicking on the Population link is wrong.  About half of the columns are taken from Population 1.

Forces validator to go to alternative source (e.g., MPR software guide) for correct layout.

Will be corrected.

2

1

Last 2 columns of records displayed in View Errors listing are blank.  Verified that records in extract file have data.

Forces validator to go to extract file to see correct display of error cases.

Will be corrected.

3

1

FIV samples are 1st two cases appearing in subpops 1.1 and 1.2, not randomly selected.  Depending on how extract file is built, software may display multiple copies of selected case as FIV sample.

May not have adverse effect but should be randomly selected.

FIV cases will be randomly selected and be only two per subpop.  

4

1

Help screen says that reactivation date (field 6) is mandatory, Activation Processing date (field 8) is not.  However, software rejects transactions for which field 8 is blank with an error message.

Could cause cases to be rejected as errors and affect validation results; State must correct the file.

Software will conform to the new layout/Handbook specification that Field 8 is mandatory.  For all employers with liability met date after 12/31/2002, the filter for pending employers requires that date in either field 6 or 8 be on or after liability date (applied to all employers with liability met date after 12/31/2002) so one or the other must be present.  Help screen will be changed.

 

5

2

DEV sorts 2.1 and 2.2 not working properly.  The sorts bring up Population 1 data instead of Population 2.

Invalid results for States where these sorts are applicable.

Will be corrected.

6

3

Columns of records displayed in View Errors file are mixed up:  Predecessor Acct # appears in Reactivation Date field

Forces validator to go to extract file to see correct display of error cases.

Will be corrected.

7

3

Software is allocating no transactions to subpops 3.2, 3.3, 3.5, and 3.6 because it is not calculating time lapse.  Hence, all New and all Successor Determinations get time lapse = 0 and appear in Timely, <181 days, and total categories.

Renders Population RV invalid.

Will be corrected.

8

3

DV WS 1.0 computes the Status Determinations line by summing all seven lines above it, which involves double-counting the time-lapsed counts for New and Successor Determinations.  The MPR software sums only the total counts (lines 586/301-14, 17, 20). 

Total line involves double counting.  Probably of minor significance, if any, as validation counts and reported counts are summed the same way.

Will be corrected to conform to the MPR model.

9

4

When errors occur, View Errors displays amounts in the wrong columns.  It is two columns off.  'Age of Receivable' now shows in the 'Removed' column’; 'Balance at End of RQ' appears in the 'Uncollectible' column. 

Forces validator to go to extract file to see correct display of error cases.

Will be corrected.

10

4

Load aborted when it encountered a row with a blank field that should not have been null, instead of removing transaction to error file and continuing load.

Has required at least one validator to seek assistance from National Office to get an extract file to load.

We will ensure that unusable transactions are removed to the errors instead of causing the load to abort.

 

11

5

Software rejects transactions in which the Employer Size (field 4) and Change Audit (field 5) are more than single character.  Some States have secondary codes for these fields

Has required at least one validator to seek assistance from National Office to get an extract file to load.

Software specifications amended to allow larger fields, following model of MPR software.  These are included in revised field specifications for extract files.

 

12

5

for FIV sample:

§         Software picks first two cases in each subpop not at random

§         Employer size field says “null” but field must have value of S or L

§         The pass-fail box next to employer size has “> in it.

Validators cannot validate the S/L field in the FIV samples.

All FIV cases will be selected randomly.  Errors will be corrected.

13

5

Software rejects certain transactions with very large pre- or post-audit total wages with error message “Reconciliation Amount Not Zero.” 

Can cause RV failure by rejecting large employer (Total Wages >$20 million) transactions.

The wage value fields will be defined as double precision instead of float.

 

14

1 – 5

An FIV sampled case with even one cell completed is treated as a complete case.  Software will submit a set of cases as long as each case has at least one entry. 

May permit submission of incomplete samples and allow some FIV samples to pass inadvertently.

Functionality for FIV samples will be made the same as for Benefits minimum samples:  The software will not allow users to submit incomplete results for any samples, i.e., all sampled cases must be completed; all elements in a sample must be checked.  Software will save errors from incomplete cases but not add them to totals.

 


 

General Operational Issues

1

 

Users can be timed out after 30 minutes even if they continue to enter data unless they (a) save results or (b) go to another screen.  Most likely to be a problem when entering data for a Benefits Random sample.

 

The next version of the software will keep a session alive as long as the user is actively using a function on the screen, e.g. entering data, and not necessarily saving or submitting or moving to another screen

 

2

Population loads or sample draws may abort when a row containing a field that does not contain a value required, or encounters a value in a field that must be blank.

The entire application will be reviewed to ensure that encountering an inappropriate transaction does not abort load or sample draw; but simply puts the row into error screen with appropriate error message.

3

MPR has issued revised duplicate detection criteria for most Benefits and Tax Populations worked out in conjunction with UI staff.

For all Benefits and Tax Populations, implement duplicate detection criteria worked out with MPR and forwarded on 1/27/2006, revised on 3/23/2006 (Benefits Population 4).

 


 

Attachment 3

 

Enhancements That Will Be Included In DV WS 1.1

Item #

Type

Population

Validation Type

Enhancement

Comments

1

Benefits and Tax

All

All

Add a load ID to all submissions. The load ID will be used to identify submissions that are coming from the same extract file.

Will enable NO to link RV and DEV results to same extract file (essential for determining whether Tax populations pass)

2

Benefits and Tax

All and Wage Items

All

Add submission date stamp to all submissions. The submission date stamp will be used to distinguish among submissions made or picked up on the same day.

Will enable NO to differentiate multiple submissions on same day and thus to use the last one in preparing results reports.

3

Tax

All

RV, Sorts and FIVs

Tax RV, Sorts and FIVs should be submitted to the National Office as a set. First check that all tests have been completed and then give the user the option to submit the population as a set.

This change enforces the Tax validation logic that an extract file must first pass all DEV tests before being considered reliable for RV.

4

General

All and Wage Items

All

Increase comments size. Provide separate comments for DEV and RV, and Wage Items accessible through the respective screens. Each sample in benefits should have its own comments. All comments should be linked to the set of records to which they pertain.

This change will correct the Benefits Bug #1, garbled comments.

5

Benefits

All

RV

Add numbers to groups in benefits. Each group line should have a group number that should be displayed on the RV screen and stored as a field to be brought to the NO database.

This will simplify preparation of DV results reports for the National Office and clarify RV results for the validators.

6

Tax

1-4

Sorts

Add a N/A check box at the beginning of the row for each sort that the user can check when the sort cannot be performed in the State. When this box is checked the fields "# of Cases" and "# of Errors" for that sort will be disabled and set to null, and the status for that sort will display N/A (see enhancement # 7).

At present there is no way for NO to know whether sorts are required and thus whether passing DEV requires passing sorts or not.  This will convey that information via the DV software.

7

Tax

1-4

Sorts

Display status, i.e. Pass, Fail or N/A, for each sort at the end of the line of each row. The status is "N/A" when the user checks the N/A box (see enhancement # 5), "Pass" when the "Pct of Errors" column is less than or equal to 2, and "Fail" when the "Pct of Errors" column is greater than 2.

This will present all sort information on the screen for the validator.

8

Tax

1-4

Sorts

Software will retrieve values in "# of Cases" column. The value will equal the number of records sorted; it will be set to null when the N/A box is checked (see enhancement # 6).

The validator will no longer have to retrieve and enter the number of transactions sorted; risk of errors is minimized.

9

Tax

Wage Items

 

Display Pass/Fail score for each line

The validator can tell which wage items pass as soon as data are entered.

10

General

 

 

When a population extract file is loading, the software will (a) lock import for other populations and (b) lock other functions for the population being loaded, but not (c) functions other than load for other populations.

 This will reduce the chance of errors, e.g., seeing incomplete validation counts compiled from an incomplete load or the chance of mixed load messages from simultaneous loads.

11

Benefits and Tax

Benefits 4 and 12; Tax 5

RV

Combine Dollars and Counts into one "Report Validation" screen and submit them together when results are submitted.

Because determining compliance requires that all aspects of a report pass RV, this ensures that validator sees entire picture at time of validation and makes sure that NO receives RV results as a set.

 


Attachment 4

Templates for Reporting Results of Validations of Quality Sampling Reviews 

State: 

Nonmonetary Quality Sample (Benefits Pop 5) 

Year/Quarter:  YYYY:Q                                                       

Universe:                      XXX,XXX

9052 Count:                 XXX,XXX

Difference as % of 9052 Count:

Sampling Method:   (Interval or Randomized File)

Problems/Comments: 

State: 

Lower Authority Appeals Quality Sample (Benefits Pop 8) 

Year/Quarter:  YYYY:Q                                                       

Universe:                      XXX,XXX

9054 Count:                 XXX,XXX

Difference as % of 9054 Count:

Sampling Method:   (Interval or Randomized File)

Problems/Comments: 

State: 

New Status Determinations (Tax Pop 3)

Calendar Year:             YYYY                                                           

Universe:                      XXX,XXX

581 Count:                   XXX,XXX

Difference as % of 581 Count:

Sampling Method:   (Interval or Randomized File)

Problems/Comments:   

State: 

Successor Status Determinations (Tax Pop 3)

Calendar Year:             YYYY                                                           

Universe:                      XXX,XXX

581 Count:                   XXX,XXX

Difference as % of 581 Count:

Sampling Method:   (Interval or Randomized File)

Problems/Comments: 

State: 

Terminations/Inactivation Status Determinations (Tax Pop 3)

Calendar Year:             YYYY                                                           

Universe:                      XXX,XXX

581 Count:                   XXX,XXX

Difference as % of 581 Count:

Sampling Method:   (Interval or Randomized File)

Problems/Comments: 

State: 

Field Audit Quality (Tax Population 5)

3 Quarters End:            09:YYYY                                                     

Universe:                      XXX,XXX

581 Count:                   XXX,XXX

Difference as % of 581 Count:

Sampling Method:   (Interval or Randomized File)

Problems/Comments:

 



Top of Page