401 Handbook

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Benefits Timeliness and Quality Review System

401 Handbook

OMB: 1205-0359

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UI REPORTS HANDBOOK NO. 401
ETA 9050 First Payment Time Lapse
CONTENTS
A.
B.
C.
D.
E.

Facsimile of Form .........................................................................................V-1-2
Purpose ........................................................................................................ V-1-4
Due Date and Transmittal .............................................................................V-1-4
General Reporting Instructions ...................................................................V-1-4
Definitions......................................................................................................V-1-5
1. Payment for First Compensable Week....................................................V-1-5
2. First Payment Time Lapse ......................................................................V-1-7
3. Mail Date .................................................................................................V-1-7
4. Joint Claims.............................................................................................V-1-8
5. Partial/Part-Total Payments ....................................................................V-1-8
6. Total Payments .......................................................................................V-1-8
7. State Unemployment Insurance (UI) .......................................................V-1-8
8. Unemployment Compensation for Federal Employees (UCFE) ..............V-1-8
9. Unemployment Compensation for Ex-Servicemembers (UCX)...............V-1-8
10. Workshare (Short-Time Compensation (STC) Program).........................V-1-8
Item by Item Instructions............................................................................. V-1-9
1. All Intrastate First Payments ...................................................................V-1-9
2. All Interstate First Payments ...................................................................V-1-9
3. Intrastate Partial/Part-Total First Payments Only ....................................V-1-10
4. Interstate Partial/Part-Total Payments Only ............................................V-1-10
5. Workshare First Payments ......................................................................V-1-11
6. Comments...............................................................................................V-1-11

V-1-1
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9050 First Payment Time Lapse
A.

Facsimile of Form
ETA 9050 - TIME LAPSE OF ALL FIRST PAYMENTS EXCEPT WORKSHARE
STATE

Time
Lapse
(Days)

REGION

REPORT FOR PERIOD ENDING

Intra-State
Total

UCFE

Inter-State
UCX

Total

UCFE

UCX

Total
<=7
8-14
15-21
22-28
29-35
36-42
43-49
50-56
57-63
64-70
>70

ETA 9050 - TIME LAPSE OF PARTIAL/PART TOTAL FIRST PAYMENTS
STATE

Time
Lapse
(Days)

REGION

REPORT FOR PERIOD ENDING

Intra-State
Total

UCFE

Inter-State
UCX

Total
<=7
8-14
15-21
22-28
29-35
36-42
43-49
50-56
57-63
64-70

V-1-2
4/2007

Total

UCFE

UCX

UI REPORTS HANDBOOK NO. 401
ETA 9050 First Payment Time Lapse
>70

ETA 9050 - FIRST PAYMENT TIME LAPSE (WORKSHARE)
STATE

REGION

REPORT FOR PERIOD ENDING

Time Lapse (Days)

Workshare Claims

Total
0-7
8-14
15-21
22-28
29-35
36-42
43-49
50-56
57-63
64-70
>70

Comments:
OMB
No.:
1205-0359
OMB
Expiration
Date:
11/30/2007
OMB
Burden
Hours:
30
Minutes
O M B Burden Statement: These reporting instructions have been approved under the Paperwork reduction Act of 1995. Persons
are not required to respond to this collection of information unless it displays a valid OMB control number. Public reporting burden for
this collection of information includes the time for reviewing instructions, searching existing data sources, gathering and maintaining
the data needed, and completing and reviewing the collection of information. Submission is mandatory under SSA 303(a)(6). 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, Office of Workforce Security, Room S-4231, 200 Constitution Ave., NW, Washington, DC,
20210.

V-1-3
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9050 First Payment Time Lapse
B.

Purpose
The ETA 9050 report contains monthly information on first payment time lapse.
This report concerns the time it takes states to pay benefits to claimants for the first
compensable week of unemployment. Similar time lapse data was formerly
reported in Section C of the ETA 5159 report. That data addressed first payment
time lapse for total unemployment only. This report contains monthly time lapse
data for all first payments, i.e., total, partial/part-total. A separate section of this
report is reserved for Workshare (Short-Time Compensation) first payments only.
Workshare will be reported separately and is excluded from that part of the report
for "ALL" first payments.

Due Date and Transmittal
The report is due in the ETA National Office on the 20th of the month following the
month to which the data relates. This report will be transmitted electronically.

General Reporting Instructions
The First Payment Time Lapse measure requires that the state computer read the
universe of all first payment records. These counts are categorized by Intrastate
and Interstate claims payments and, within those categories, the number that are
under the state UI program, Unemployment Compensation for Federal Employees
(UCFE), and Unemployment Compensation for Ex-Servicemembers (UCX). While
included under the “All” category the sub-category of partial/part-total first payment
time lapse will also be reported using a separate entry screen. These categories
are further broken out by the number of first payments by program type and time
lapse at seven day intervals.
Workshare will be reported separately and is excluded from that part of the report
for "ALL" first payments.
•

Includes total, partial/part-total first payments for new, additional and
transitional claims.

•

Includes combined wage claims first payments reported in the appropriate
category determined by the nature of the base period wages.

•

Includes offsets and intercepts.

•

Excludes episodic claims programs such as Extended Benefits, Disaster
Unemployment Assistance, and Trade Readjustment Allowances.

•

Excludes retroactive payment for a compensable waiting period.

•

Workshare will be reported separately and therefore is excluded from that part
of the report for "ALL" first payments.
V-1-4
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9050 First Payment Time Lapse
Edit checks can be found in Handbook 402, Unemployment Insurance Required
Reports User’s Manual, Appendix C.

Definitions
Definitions, unless otherwise specified in these instructions, will follow the
definitions for the ETA 5159 found elsewhere in this handbook.
1.

Payment for First Compensable Week. To be a first payment recorded on this
report, it must be the payment for the earliest compensable week in the benefit
year. Such a payment must simultaneously conform to the definitions for a
payment, a compensable week, and first compensable week. It is not
automatically the first week paid; some benefit years will not have a payment
for the first compensable week.
a. Payments. Benefit payments include total, partial and part-total payments,
full or partial offsets to satisfy and outstanding overpayment, a child
support intercept order or a food stamp over-issuance, waiting weeks
waived by a governor under a state law and compensated because of a
legally recognized disaster, and payments resulting from the reversal of a
single or multi-claimant adjudication by a lower or higher authority appeal
decision or by a court decision.
b. Compensable Week. Claimants who are monetarily eligible or who have a
pending monetary determination may claim--submit for payment or waitingweek credit—a week of unemployment for which they believe they meet
the state’s weekly eligibility conditions. A week with excessive earnings—
enough to reduce the weekly benefit amount payment to zero—is
considered a week of employment and not unemployment and thus is not a
“week claimed.”
Most states require a week to be served as a waiting period week prior to
receiving a first payment. Claimants are required to meet all of the
eligibility criteria to receive a benefit payment but the week is not a payable
week. Some states will retroactively compensate the waiting week after the
claimant has received payment for a number of weeks.
c. First Compensable Week. The first compensable week is the earliest
compensable week claimed in the benefit year.
1)

This will normally be the first week in the claims series in non-waiting
week states and the second week in the claims series in waiting week
states.

If two or more weeks of benefits at the beginning of the claims series
are paid at the same time (whether by separate checks or by one
check), then the earliest week-ending date in the benefit year is the
starting date for measuring the timeliness of the first payment.
V-1-5
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9050 First Payment Time Lapse
3)

The normal situation in (1) will not occur if the claimant is disqualified
by nonmonetary denial or penalty for what would have been the
waiting week or the usual first compensable week. In either of these
situations, no payment for a first compensable week is reported on the
9050 report; instead, the first week paid is a continued week and
reported on the 9051 report.

If the waiting-week denial is later reversed on appeal, it may be either
paid (if the claimant had already served a waiting week) or used for
waiting week credit. If it is paid, it becomes a payment for the first
compensable week.

In summary, in waiting week states, if the first week in the series is
credited as a waiting week, the second week is the first compensable
week. If any other week is credited as a waiting week, the very first
week in the claim series becomes the first compensable week unless
the claimant had excessive earnings.

The table below provides instructions for determining which weeks would be
reported as first compensable weeks (for first payment time lapse) and continued
weeks (for continued weeks time lapse) under some common scenarios in waiting
week and non-waiting week states.

1
2

Scenarios for Waiting Week States
Scenarios
Claimed Weeks
Scenarios for reporting
paid weeks time lapse.
Payments for weeks
reversed on appeal
shown in parenthesis
No Issue
Week 1 denied; not
appealed. No first
compensable week will
ever be reported.
Week 1 denied; reversed
on appeal after claimant
served waiting week in
week 2. Week 1 reported
as first compensable
week after initial denial is
reversed.
All 4 weeks denied; no
weeks allowed. Claimant
returned to work in week
5 before receiving any
payments. Denials later
reversed on appeal.
Week 1 is ww; week 2 is
first compensable.
Week 1 not considered a
week claimed because
claimant had excess

Week 1

Week 2

Week 3

Week 4

Week 5

P-9050

P-9051

D (r-9050)

P-9051

D (r-WW)

D (r-9050)

D (r-9051)

No WC;
ex-earn

P-9050

P-9051

V-1-6
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9050 First Payment Time Lapse
earnings. Claims series
begins in week 2.

Scenarios for Non-Waiting Week States
Scenarios
Claimed Weeks

1
2

Scenarios for reporting
paid weeks time lapse.
Payments for weeks
reversed on appeal
shown in parenthesis
No issue
Week 1 denied; not
appealed. No first
compensable week will
ever be reported.
Week 1 denied; reversed
on appeal. Week 1
reported as first
compensable week after
initial denial is reversed.
All 4 weeks denied; no
weeks allowed. Claimant
returned to work in week
5 before receiving any
payments. Denials later
reversed on appeal.
Week 1 is first
compensable.
Week 1 not considered a
week claimed because
claimant had excess
earnings. Claims series
begins in week 2.

Week 1

Week 2

Week 3

Week 4

Week 5

P-9050

P-9051

D (r-9050)

P-9051

D (r-9050)

D (r-9051)

No WC;
ex-earn

P-9050

P-9051

Above Tables Legend
WW
WC
P
D
R
NC

Waiting Week
Week Claimed
Paid Week
Denied Week because of Nonmonetary Issue
Week Reversed on Appeal
Not Claimed

First Payment Time Lapse. A measurement of the number of days from the
week ending date of the first compensable week in the benefit year to the date
the payment is made in person, mailed or offset or intercept is applied on the
claim.

Mail Date. The mail date is the date the State Workforce Agency (SWA)
actually mails the first payment to the claimant. SWAs determine the mail date
and provide DOL with its procedure(s) to derive it.
When multiple weeks are paid at the same time, the earliest week is reported
as the first payment.
V-1-7
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9050 First Payment Time Lapse
4.

Joint Claims. Claims involving (1) a combination of state unemployment trust
funds and Federal program funds or (2) a combination of Federal program
funds.
Includes claims with state UI in combination with UCFE and/or UCX
employment and wages (UI/UCFE/UCX, UI/UCFE, or UI/UCX) and UCFE
claims in combination with UCX employment and wages (UCFE/UCX).
Excludes claims that do not include a combination of state UI and UCFE
and/or UCX employment and wages or a combination of UCFE and UCX
employment and wages.

Partial/Part-Total Payments. Payments that are reduced from the claimant's
weekly benefit amount as a result of wages, commissions, bonuses, tips or
gratuities, back-pay awards, odd jobs or self-employment income.

Total Payments. Payments for weeks of total unemployment in which the
claimant received a full weekly benefit check that is not reduced as a result of
wages, commissions, bonuses, tips or gratuities, back-pay awards, odd jobs or
self-employment income.

State Unemployment Insurance (UI). A state program that provides benefits to
individuals financed (1) wholly from state trust funds (UI) or (2) partially from
state trust funds and partially from UCFE and/or UCX program funds (joint
UI/UCFE, UI/UCX, UI/UCFE/UCX claim).

Unemployment Compensation for Federal Employees (UCFE). A Federal
program that provides benefits to individuals based on Federal civilian service.
Includes claims based (1) wholly on Federal civilian service (UCFE, no UI) or
(2) partially on Federal civilian service and partially on Federal military service
(UCFE/UCX) claim.
Excludes claims funded partially from state trust funds.

Unemployment Compensation for Ex-Servicemembers (UCX). A Federal
program that provides benefits to individuals based on Federal military service.
Includes claims based wholly on Federal military service (UCX only).
Excludes claims funded partially from state trust funds and/or Federal civilian
service.

10. Workshare (Short-Time Compensation (STC) Program). A state program
which is an alternative to employee layoffs, whereby a group of workers simply
work shorter work weeks and are compensated for their lost work time with
partial benefits. Such benefits are payable to these individuals as a
percentage of their weekly benefit amount equivalent to the percentage of
V-1-8
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9050 First Payment Time Lapse
work hours reduced. Benefits would not be payable to these workers under a
state's normal partial benefits formula. To participate in the Workshare or STC
program employers must submit their plans to the state agency for approval.

Item by Item Instructions
Enter in each column and time lapse interval all first payments made during the
report period for Intrastate and Interstate claims. Workshare first payments are
reported separately.
1.

All Intrastate First Payments. (Includes Total and Partial/Part-Total Payments)
a. Column 1, Total Intrastate First Payments. Enter under column 1 the total
number of all Intrastate first payments and individual totals for each time
lapse interval. Each total reported in this column equals the sum of
columns 2, 3, and 4.
b. Column 2, UI Intrastate First Payments. Enter under column 2 the total
number of all state UI Intrastate first payments and individual totals for
each time lapse interval. These payments represent state UI only and
state UI in combination with UCFE and/or UCX (joint claims).
c. Column 3, UCFE Intrastate First Payments. Enter under column 3 the total
number of all UCFE Intrastate first payments and individual totals for each
time lapse interval. These payments represent UCFE only and UCFE in
combination with UCX (joint claims).
d. Column 4, UCX Intrastate First Payments. Enter under column 4 the total
number of all UCX Intrastate first payments and individual totals for each
time lapse interval. These payments represent UCX only.

All Interstate First Payments. (Includes Total and Partial/Part-Total Payments)
a. Column 1, Total Interstate First Payments. Enter under column 1 the total
number of all Interstate first payments and individual totals for each time
lapse interval. Each total reported in this column equals the sum of
columns 2, 3, and 4.
b. Column 2, UI Interstate First Payments. Enter under column 2 the total
number of all state UI Interstate first payments and individual totals for
each time lapse interval. These payments represent state UI only and
state UI in combination with UCFE and/or UCX (joint claims).
c. Column 3, UCFE Interstate First Payments. Enter under column 3 the total
number of all UCFE Interstate first payments and individual totals for each
time lapse interval. These payments represent UCFE only and UCFE in
combination with UCX (joint claims).
d. Column 4, UCX Interstate First Payments. Enter under column 4 the total
V-1-9
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9050 First Payment Time Lapse
number of all UCX Interstate first payments and individual totals for each
time lapse interval. These payments represent UCX only.
3.

Intrastate Partial/Part-Total First Payments Only.
a. Column 1, Total Intrastate Partial/Part-Total First Payments. Enter under
column 1 the total number of all Intrastate partial/part-total first payments
and individual totals for each time lapse interval. Each total reported in this
column equals the sum of columns 2, 3, and 4.
b. Column 2, UI Intrastate Partial/Part-Total First Payments. Enter under
column 2 the total number of all state UI Intrastate partial/part-total first
payments and individual totals for each time lapse interval. These
payments represent state UI only and state UI in combination with UCFE
and/or UCX (joint claims).
c. Column 3, UCFE Intrastate Partial/Part-Total First Payments. Enter under
column 3 the total number of all UCFE Intrastate partial/part-total first
payments and individual totals for each time lapse interval. These
payments represent UCFE only and UCFE in combination with UCX (joint
claims).
d. Column 4, UCX Intrastate Partial/Part-Total First Payments. Enter under
column 4 the total number of all UCX Intrastate partial/part-total first
payments and individual totals for each time lapse interval. These
payments represent UCX only.

Interstate Partial/Part-Total First Payments Only.
a. Column 1, Total Interstate Partial/Part-Total First Payments. Enter under
column 1 the total number of all Interstate partial/part-total first payments
and individual totals for each time lapse interval. Each total reported in this
column equals the sum of columns 2, 3, and 4.
b. Column 2, UI Interstate Partial/Part-Total First Payments. Enter under
column 2 the total number of all state UI Interstate partial/part-total first
payments and individual totals for each time lapse interval. These
payments represent state UI only and state UI in combination with UCFE
and/or UCX (joint claims).
c. Column 3, UCFE Interstate Partial/Part-Total First Payments. Enter under
column 3 the total number of all UCFE Interstate partial/part-total first
payments and individual totals for each time lapse interval. These
payments represent UCFE only and UCFE in combination with UCX (joint
claims).
d. Column 4, UCX Interstate Partial/Part-Total First Payments. Enter under
column 4 the total number of all UCX Interstate partial/part-total first
payments and individual totals for each time lapse interval. These
V-1-10
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9050 First Payment Time Lapse
payments represent UCX only.
5.

Workshare First Payments.
a. First Payments. Enter the total number of all Workshare first payments and
individual totals for each time lapse interval.

Comments. Explain in the comments area significant variations in time lapse
in benefit payments from levels in the prior period or the same period one year
ago.
a. Administrative Factors. Describe administrative factors, such as changes
in operating procedures, issuance of rules and regulations, and staff
turnover. These may affect data reported in such a way that they cannot
be compared with data from prior reports or with current reports from other
state agencies.
b. Legal Factors. Describe legal factors, such as new laws or policies. These
may affect data reported in such a way that they cannot be compared with
data from prior reports or on current reports from other state agencies.
c. Economic Factors. Describe economic factors which may affect data
reported in such a way that conditions will be reflected in any of the
tabulations. Cover such factors affecting benefit payment time lapse, e.g.,
mass layoffs and seasonal fluctuations in employment.

V-1-11
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9051 Continued Weeks Compensated Time Lapse
CONTENTS
A.
B.
C.
D.
E.

Facsimile of Form .........................................................................................V-2-2
Purpose ........................................................................................................ V-2-4
Due Date and Transmittal .............................................................................V-2-4
General Reporting Instructions ...................................................................V-2-4
Definitions......................................................................................................V-2-5
1. First Payment ..........................................................................................V-2-5
2. First Payment Time Lapse ......................................................................V-2-5
Item by Item Instructions............................................................................. V-2-5
1. All Intrastate Continued Weeks Compensated........................................V-2-5
2. All Interstate Continued Weeks Compensated........................................V-1-6
3. Intrastate Partial/Part-Total Continued Weeks Compensated Only.........V-2-6
4. Interstate Partial/Part-Total Continued Weeks Compensated Only.........V-2-7
5. Workshare Continued Weeks Compensated ..........................................V-2-7
6. Comments...............................................................................................V-2-7

V-2-1
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9051 Continued Weeks Compensated Time Lapse
A.

Facsimile of Form
ETA 9051 - TIME LAPSE COUNTS FOR ALL CONTINUED WEEKS COMPENSATED
STATE

Time
Lapse
(Days)

REGION

REPORT FOR PERIOD ENDING

Intra-State
Total

UCFE

Inter-State
UCX

Total

UCFE

UCX

Total
<=7
8-14
15-21
22-28
29-35
36-42
43-49
50-56
57-63
64-70
>70

ETA 9051 - TIME LAPSE FOR CONTINUED WEEKS: PARTIAL/PART TOTAL PAYMENTS
STATE

Time
Lapse
(Days)

REGION

REPORT FOR PERIOD ENDING

Intra-State
Total

UCFE

Inter-State
UCX

Total
<=7
8-14
15-21
22-28
29-35
36-42
43-49
50-56
57-63
64-70

>70

V-2-2
4/2007

Total

UCFE

UCX

UI REPORTS HANDBOOK NO. 401
ETA 9051 Continued Weeks Compensated Time Lapse
ETA 9051 - CONTINUED CLAIMS TIME LAPSE (WORKSHARE)
STATE

REGION

REPORT FOR PERIOD ENDING

Time Lapse (Days)

Workshare Claims

Total
0-7
8-14
15-21
22-28
29-35
36-42
43-49
50-56
57-63
64-70
>70

Comments:
OMB
No.:
1205-0359
OMB
Expiration
Date:
11/30/2007
OMB
Burden
Hours:
30
Minutes
O M B Burden Statement: These reporting instructions have been approved under the Paperwork reduction Act of 1995. Persons
are not required to respond to this collection of information unless it displays a valid OMB control number. Public reporting burden
for this collection of information includes the time for reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection of information. Submission is mandatory under SSA
303(a)(6). 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, Office of Workforce Security, Room S-4231, 200 Constitution
Ave., NW, Washington, DC, 20210.

V-2-3
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9051 Continued Weeks Compensated Time Lapse
B.

Purpose
The ETA 9051 report contains monthly information on continued weeks
compensated time lapse. This report concerns the time it takes states to pay
benefits to claimants for compensable weeks of unemployment other than the "first
payment." Continued weeks compensated time lapse data was not formerly
reported. This report contains monthly time lapse data for all continued weeks
compensated, i.e., total, partial/part-total. A separate entry screen will be used for
a breakout of partial/part-total continued weeks compensated. Workshare (ShortTime Compensation) continued weeks compensated will be reported on a third
entry screen. Workshare continued weeks compensated are not reported in the
total count of "All" continued weeks compensated.

Due Date and Transmittal
The report is due in the ETA National Office on the 20th of the month following the
month to which the data relate. This report will be transmitted electronically.

General Reporting Instructions
The Continued Weeks Compensated Time Lapse measure requires that the state
computer read the universe of all weeks compensated records and exclude first
payments. These counts are categorized by Intrastate and Interstate claims and,
within those categories, the number that are compensated under the state UI
program, Unemployment Compensation for Federal Employees (UCFE), and
Unemployment Compensation for Ex-Servicemembers (UCX). While included
under the “All” category the sub-category of partial/part-total continued weeks
compensated will also be reported. These categories are further broken out by the
number of continued weeks compensated by program type and time lapse at
seven-day intervals.
•

Includes total, partial/part-total continued weeks compensated.

•

Includes combined wage claims continued weeks compensated reported in the
appropriate category determined by the nature of the base-period wages.

•

Includes offsets and intercepts.

•

Excludes retroactive payment for a compensable waiting period.

•

Excludes episodic compensation programs such as Extended Benefits,
Disaster Unemployment Assistance, and Trade Readjustment Allowances.

•

Excludes adjustments.

•

Excludes workshare claims. Workshare will be reported separately and is
excluded from that part of the report for "ALL" continued weeks compensated.
V-2-4
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9051 Continued Weeks Compensated Time Lapse
Edit checks can be found in Handbook 402, Unemployment Insurance Required
Reports Users Manual, Appendix C.

Definitions
Definitions, unless otherwise specified in these instructions, will follow the
definitions for the ETA 5159 and the ETA 9050 found elsewhere in this handbook.
1.

Continued Weeks Compensated.
For purposes of this report, these are
payments for weeks of unemployment subsequent to the payment for the first
compensable week in a benefit year.
Includes total, partial/part-total payments, full or partial offsets to satisfy an
outstanding overpayment, a child support intercept order or a food stamp
overissuance, and payments resulting from the reversal of a single or multiclaimant adjudication by a lower or higher authority appeal decision or by a
court decision.
Excludes all adjustment payments for a previously paid week. For discussion
of determining the first compensable week, see 9050, E.1, page V-1-5.

Continued Weeks Compensated Time Lapse. The number of days from the
end of the continued week to the date the payment is made in-person, mailed
or offset or an intercept is applied on a claim.

Item by Item Instructions
Enter in each column and time lapse interval all continued weeks compensated
made during the report period for Intrastate and Interstate claims. Workshare
continued weeks compensated are reported separately.
1.

All Intrastate Continued Weeks
Partial/Part-Total Payments)

Compensated.

(Includes

Total

and

a. Column 1, Total Intrastate Continued Weeks Compensated. Enter under
column 1 the total number of all Intrastate continued weeks compensated
and individual totals for each time lapse interval. Each total reported in
this column equals the sum of columns 2, 3, and 4.
b. Column 2, UI Intrastate Continued Weeks Compensated. Enter under
column 2 the total number of all state UI Intrastate continued weeks
compensated and individual totals for each time lapse interval. These
payments represent state UI only and state UI in combination with UCFE
and/or UCX (joint claims).
c. Column 3, UCFE Intrastate Continued Weeks Compensated. Enter under
column 3 the total number of all UCFE Intrastate continued weeks
compensated and individual totals for each time lapse interval. These
V-2-5
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9051 Continued Weeks Compensated Time Lapse
payments represent UCFE only and UCFE in combination with UCX (joint
claims).
d. Column 4, UCX Intrastate Continued Weeks Compensated. Enter under
column 4 the total number of all UCX Intrastate continued weeks
compensated and individual totals for each time lapse interval. These
payments represent UCX only.
2.

All Interstate Continued Weeks
Partial/Part-Total Payments)

Compensated.

(Includes

Total

and

Column 1, Total Interstate Continued Weeks Compensated. Enter under
column 1 the total number of all Interstate continued weeks
compensated and individual totals for each time lapse interval. Each
total reported in this column equals the sum of columns 2, 3, and 4.

Column 2, UI Interstate Continued Weeks Compensated. Enter under
column 2 the total number of all state UI Interstate continued weeks
compensated and individual totals for each time lapse interval. These
payments represent state UI only and state UI in combination with UCFE
and/or UCX (joint claims).

Column 3, UCFE Interstate Continued Weeks Compensated. Enter
under column 3 the total number of all UCFE Interstate continued weeks
compensated and individual totals for each time lapse interval. These
payments represent UCFE only and UCFE in combination with UCX
(joint claims).

Column 4, UCX Interstate Continued Weeks Compensated. Enter under
column 4 the total number of all UCX Interstate continued weeks
compensated and individual totals for each time lapse interval. These
payments represent UCX only.

Intrastate Partial/Part-Total Continued Weeks Compensated Only.
a. Column 1, Total Intrastate Partial/Part-Total Continued Weeks
Compensated. Enter under column 1 the total number of all Intrastate
partial/part-total continued weeks compensated and individual totals for
each time lapse interval. Each total reported in this column equals the
sum of columns 2, 3, and 4.
b. Column 2, UI Intrastate Partial/Part-Total Continued Weeks
Compensated. Enter under column 2 the total number of all State UI
Intrastate partial/part-total continued weeks compensated and individual
totals for each time lapse interval. These payments represent State UI
only and State UI in combination with UCFE and/or UCX (joint claims).

V-2-6
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9051 Continued Weeks Compensated Time Lapse
c. Column 3, UCFE Intrastate Partial/Part-Total Continued Weeks
Compensated. Enter under column 3 the total number of all UCFE
Intrastate partial/part-total continued weeks compensated and individual
totals for each time lapse interval. These payments represent UCFE only
and UCFE in combination with UCX (joint claims).
d. Column 4, UCX Intrastate Partial/Part-Total Continued Weeks
Compensated. Enter under column 4 the total number of all UCX
Intrastate partial/part-total continued weeks compensated and individual
totals for each time lapse interval. These payments represent UCX only.
4.

Interstate Partial/Part-Total Continued Weeks Compensated Only.
a. Column 1, Total Interstate Partial/Part-Total Continued Weeks
Compensated. Enter under column 1 the total number of all Interstate
partial/part-total continued weeks compensated and individual totals for
each time lapse interval. Each total reported in this column equals the
sum of columns 2, 3, and 4.
b. Column 2, UI Interstate Partial/Part-Total Continued Weeks
Compensated. Enter under column 2 the total number of all State UI
Interstate partial/part-total continued weeks compensated and individual
totals for each time lapse interval. These payments represent state UI
only and state UI in combination with UCFE and/or UCX (joint claims).
c. Column 3, UCFE Interstate Partial/Part-Total Continued Weeks
Compensated. Enter under column 3 the total number of all UCFE
Interstate partial/part-total continued weeks compensated and individual
totals for each time lapse interval. These payments represent UCFE only
and UCFE in combination with UCX (joint claims).
d. Column 4, UCX Interstate Partial/Part-Total Continued Weeks
Compensated. Enter under column 4 the total number of all UCX Interstate
partial/part-total continued weeks compensated and individual totals for
each time lapse interval. These payments represent UCX only.

Workshare Continued Weeks Compensated. Enter the total number of all
Workshare continued weeks compensated and individual totals for each time
lapse interval.

UI REPORTS HANDBOOK NO. 401
ETA 9051 Continued Weeks Compensated Time Lapse
be compared with data from prior reports or with current reports from other
State agencies.
b. Legal Factors. Describe legal factors, such as new laws or policies. These
may affect data reported in such a way that they cannot be compared with
data from prior reports or on current reports from other State agencies.
c. Economic Factors. Describe economic factors which may affect data
reported in such a way that conditions will be reflected in any of the
tabulations. Cover such factors affecting benefit payment time lapse, e.g.,
mass layoffs and seasonal fluctuations in employment.

V-2-8
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9052 Nonmonetary Determination Time Lapse, Detection Date
CONTENTS
A.
B.
C.
D.
E.

Facsimile of Form .........................................................................................V-3-2
Purpose .........................................................................................................V-3-5
Due Date and Transmittal .............................................................................V-3-5
General Reporting Instructions ...................................................................V-3-5
Definitions......................................................................................................V-3-5
1. Nonmonetary Determination Time Lapse................................................V-3-5
2. Issue Detection Date...............................................................................V-3-6
3. Date of Determination .............................................................................V-3-7
Item by Item Instructions..............................................................................V-3-7
1. All Intrastate Single Claimant Separations ..............................................V-3-7
2. All Interstate Single Claimant Separations ..............................................V-3-8
3. All Intrastate Single Claimant Nonseparations ........................................V-3-8
4. All Interstate Single Claimant Nonseparations ........................................V-3-9
5. All Multi-claimant Determinations ............................................................V-3-9
6. Comments...............................................................................................V-3-10
Checking the Report .....................................................................................V-3-10
1. Single Claimant Determinations ..............................................................V-3-10
2. Multi-claimant Determinations .................................................................V-3-10

V-3-1
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9052 Nonmonetary Determination Time Lapse, Detection Date
A.

Facsimile of Form
ETA 9052 - NONMONETARY DETERMINATION TIME LAPSE DETECTION DATE
STATE

REGION

REPORT FOR PERIOD ENDING

SECTION A. SEPARATION ISSUES
Time
Lapse
(Days)

Intra-State
Total
(1)

UI
(2)

UCFE
(3)

Inter-State
UCX
(4)

Total
(1)

UI
(2)

UCFE
(3)

UCX
(4)

Total

<=7

8-14

15-21

22-28

29-35

36-42

43-49

50-56

57-63

64-70

>70

SECTION B. NON-SEPARATION ISSUES
Time
Lapse
(Days)

Intra-State
Total
(1)

UI
(2)

UCFE
(3)

Inter-State
UCX
(4)

Total

<=7

8-14

V-3-2
4/2007

Total
(1)

UI
(2)

UCFE
(3)

UCX
(4)

UI REPORTS HANDBOOK NO. 401
ETA 9052 Nonmonetary Determination Time Lapse, Detection Date
15-21

22-28

29-35

36-42

43-49

50-56

57-63

64-70

>70

SECTION C. MULTI-CLAIMANT ISSUES
Time
Lapse
(Days)

Multi-claimant
Labor Disputes
(2)

Total
(1)

Total

<=7

8-14

15-21

22-28

29-35

36-42

43-49

50-56

57-63

64-70

V-3-3
4/2007

Multi-claimant
"Other"
(3)

UI REPORTS HANDBOOK NO. 401
ETA 9052 Nonmonetary Determination Time Lapse, Detection Date
>70

Comments:
OMB
No.:
1205-0359
OMB
Expiration
Date:
11/30/2007
OMB
Burden
Hours:
60
Minutes
O M B Burden Statement: These reporting instructions have been approved under the Paperwork reduction Act of 1995. Persons
are not required to respond to this collection of information unless it displays a valid OMB control number. Public reporting burden for
this collection of information includes the time for reviewing instructions, searching existing data sources, gathering and maintaining
the data needed, and completing and reviewing the collection of information. Submission is mandatory under SSA 303(a)(6). 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, Office of Workforce Security, Room S-4231, 200 Constitution Ave., NW, Washington, DC,
20210.

V-3-4
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9052 Nonmonetary Determination Time Lapse, Detection Date
B.

Purpose
The ETA 9052 report contains monthly information on the time it take states to
issue nonmonetary determinations from the date the issues are first detected by the
agency. Single-claimant and multi-claimant nonmonetary determinations are
included in the report. Nonmonetary determinations made by organizational units
such as Benefits Accuracy Measurement (BAM) and Benefit Payment Control
(BPC) are also included in the report. Note: Overpayment notices on uncontested
earnings detected by any method (e.g., crossmatch) should not be included. A
separate section of this report is reserved for multi-claimant determinations only.

Due Date and Transmittal
The report is due in the ETA National Office on the 20th of the month following the
month to which the data relates. This report will be transmitted electronically.

General Reporting Instructions
The Nonmonetary Determination Time Lapse measure requires that the state
computer read the universe of all nonmonetary determination records. These
counts are categorized by Intrastate and Interstate Nonmonetary Determinations
and, within those categories, by the number that are under the state UI program,
the Unemployment Compensation for Federal Employees (UCFE) program, and
Unemployment Compensation for Ex-servicemembers (UCX) program. These
categories are further divided by nonmonetary determination time lapse for singleclaimant separation and nonseparation issues versus multi-claimant issues. These
figures will be equivalent to those reported on the ETA 207 respectively.

Excludes overpayment notices on uncontested earnings detected by any
method (e.g., crossmatch).

Excludes episodic claims programs such as Extended Benefits, Disaster
Unemployment Assistance, and Trade Readjustment Allowances.

Excludes Nonmonetary Redeterminations.

Other exclusions are described in HB 401, ETA 207, Nonmonetary
Determination Activities (see E.b).

Definitions
Definitions, unless otherwise specified in these instructions, will be the same
definitions used for the ETA 207 and ETA 9050 found elsewhere in this handbook.
1.

Nonmonetary Determinations Time Lapse. The number of days from the
date an issue is first detected on a claim to the date on the determination.

V-3-5
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9052 Nonmonetary Determination Time Lapse, Detection Date
2.

Issue Detection Date. The earliest date that the agency, including
organizational units such as BAM, BPC and any department that works on
behalf of UI, is in possession of information indicating the existence of a
nonmonetary issue.
a. New, Additional, or Reopened Claims.
The issue detection date is the date the new, additional, or reopened claim
is filed. If no issue exists at the time a claim is filed but information is later
received that presents an issue, then the issue detection date is the date
this information is received by the agency.
The exception to the above is a case where the claimant fails to file a
timely certification and the state has a policy of waiting for a week to be
claimed prior to making a determination. In such cases, the detection date
for the original unresolved issue(s) is the date the claimant subsequently
files an additional or reopened claim.
In either case described above, if the adjudicator establishes that no issue
exists, there is no reportable nonmonetary determination.
b. Continued Weeks Claimed. Examples of issue detection date:
1)

Continued claims filed by mail are optically scanned or processed by
a voice response unit (VRU). A claimant reports that he/she was not
able and available for work during the week for which he/she is
claiming benefits. The optical scanner or voice response unit flags
the claim with an issue. An adjudicator confirms the issue. If the
certification is scanned or processed by the VRU during normal
business hours, the date the continued week claim is flagged is the
issue detection date. If the certification is scanned or processed by
the VRU after normal business hours, the next business day is the
issue detection date. If the adjudicator establishes that no issue
actually exists, there is no reportable determination.

Same situation as in example 1 except that the claimant answers all
weekly certification questions in a manner that does not raise an
issue. However, the claimant adds information that is read by the
agency's optical scanner or recognized by the VRU as an exception
to normal processing. The claim is flagged and referred to an
adjudicator. The adjudicator confirms that there is an issue and the
week(s) to which it applies. If the certification is scanned or
processed by the VRU during normal business hours, the date the
continued claim is flagged is the issue detection date. If the
certification is scanned or processed by the VRU after normal
business hours, the next business day is the issue detection date. If
the adjudicator establishes that no issue exists, there is no reportable
determination.
V-3-6
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9052 Nonmonetary Determination Time Lapse, Detection Date

The claimant is in a continuous weekly/biweekly filing status and the
agency receives information that presents an issue by letter or
telephone call (other than VRU). The date the agency received the
information is the issue detection date. The agency should keep a
record of the date and time of call and include such information in the
claim file for quality and data validation purposes.

The claimant is in a continuous weekly/biweekly filing status and an
issue is raised in-person by the claimant or another party. The date
the issue is raised (in-person) is the issue detection date.

A unit of the agency (BPC, BAM, Appeals, etc.) discovers an issue
during the course of its work and refers the issue to the adjudication
unit or to some other unit for action. The issue detection date is the
date the unit discovered the issue and not the date the other unit
within the agency receives the referred issue.

Date of Determination. The date printed on the determination notice, or, if no
notice is required, the date payment is authorized, waiting week credit is
given, or an offset is applied.

Item by Item Instructions
Enter in each column and time lapse interval the number of nonmonetary
determinations made during the report period representing the number of days
from the date an issue is first detected on a claim to the date on the determination.
1.

All Intrastate Single Claimant Separations.
a. Column 1, Total Intrastate Single Claimant Separations. Enter under
column 1 the total number of all Intrastate single claimant separation
determinations and individual totals for each time lapse interval. Each
total reported in this column equals the sum of columns 2, 3, and 4.
b. Column 2, UI Intrastate Single Claimant Separations. Enter under column
2 the total number of all state UI Intrastate single claimant separation
determinations and individual totals for each time lapse interval. These
determinations represent state UI only and state UI in combination with
UCFE and/or UCX (joint claims).
c. Column 3, UCFE Intrastate Single Claimant Separations. Enter under
column 3 the total number of all UCFE Intrastate single claimant
separation determinations and individual totals for each time lapse
interval. These determinations represent UCFE only and UCFE in
combination with UCX (joint claims).
V-3-7
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9052 Nonmonetary Determination Time Lapse, Detection Date
d. Column 4, UCX Intrastate Single Claimant Separations. Enter under
column 4 the total number of all UCX Intrastate single claimant separation
determinations and individual totals for each time lapse interval. These
determinations represent UCX only.
2.

All Interstate Single Claimant Separations.
a. Column 1, Total Interstate Single Claimant Separations. Enter under
column 1 the total number of all Interstate single claimant separation
determinations and individual totals for each time lapse interval. Each
total reported in this column equals the sum of columns 2, 3, and 4.
b. Column 2, UI Interstate Single Claimant Separations. Enter under column
2 the total number of all state UI Interstate single claimant separation
determinations and individual totals for each time lapse interval. These
determinations represent state UI only and state UI in combination with
UCFE and/or UCX (joint claims).
c. Column 3, UCFE Interstate Single Claimant Separations. Enter under
column 3 the total number of all UCFE Interstate single claimant
separation determinations and individual totals for each time lapse
interval. These determinations represent UCFE only and UCFE in
combination with UCX (joint claims).
d. Column 4, UCX Interstate Single Claimant Separations. Enter under
column 4 the total number of all UCX Interstate single claimant separation
determinations and individual totals for each time lapse interval. These
determinations represent UCX only.

All Intrastate Single Claimant Nonseparations.
a. Column 1, Total Intrastate Single Claimant Nonseparations. Enter under
column 1 the total number of all Intrastate single claimant nonseparation
determinations and individual totals for each time lapse interval. Each
total reported in this column equals the sum of columns 2, 3, and 4.
b. Column 2, UI Intrastate Single Claimant Nonseparations. Enter under
column 2 the total number of all state UI Intrastate single claimant
nonseparation determinations and individual totals for each time lapse
interval. These determinations represent state UI only and state UI in
combination with UCFE and/or UCX (joint claims).
c. Column 3, UCFE Intrastate Single Claimant Nonseparations. Enter under
column 3 the total number of all UCFE Intrastate single claimant
nonseparation determinations and individual totals for each time lapse
V-3-8
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9052 Nonmonetary Determination Time Lapse, Detection Date
interval. These determinations represent UCFE only and UCFE in
combination with UCX (joint claims).
d. Column 4, UCX Intrastate Single Claimant Nonseparations. Enter under
column 4 the total number of all UCX Intrastate single claimant
nonseparation determinations and individual totals for each time lapse
interval. These determinations represent UCX only.
4.

All Interstate Single Claimant Nonseparations.
a. Column 1, Total Interstate Single Claimant Nonseparations. Enter under
column 1 the total number of all Interstate single claimant nonseparation
determinations and individual totals for each time lapse interval. Each
total reported in this column equals the sum of columns 2, 3, and 4.
b. Column 2, UI Interstate Single Claimant Nonseparations. Enter under
column 2 the total number of all state UI Interstate single claimant
nonseparation determinations and individual totals for each time lapse
interval. These determinations represent state UI only and state UI in
combination with UCFE and/or UCX (joint claims).
c. Column 3, UCFE Interstate Single Claimant Nonseparations. Enter under
column 3 the total number of all UCFE Interstate single claimant
nonseparation determinations and individual totals for each time lapse
interval. These determinations represent UCFE only and UCFE in
combination with UCX (joint claims).
d. Column 4, UCX Interstate Single Claimant Nonseparations. Enter under
column 4 the total number of all UCX Interstate single claimant
nonseparation determinations and individual totals for each time lapse
interval. These determinations represent UCX only.

All Multi-claimant Determinations.
Report only one multi-claimant
determination based on a single set of facts which apply to two or more
similarly situated individuals and which may result in the issuance of one or
more notices, depending upon the number of individual claimants involved.
a. Column 1, Total Multi-claimant Determinations. Enter under column 1 the
total number of all multi-claimant determinations and individual totals for
each time lapse interval. Each total reported in this column equals the
sum of columns 2 and 3.
b. Column 2, Labor Dispute. Enter under column 2 the total number of all
multi-claimant determinations resulting from labor disputes and individual
totals for each time lapse interval.
V-3-9
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9052 Nonmonetary Determination Time Lapse, Detection Date
c. Column 3, Other Multi-claimant Determinations. Enter under column 3 the
total number of all other multi-claimant determinations not involving labor
disputes and individual totals for each time lapse interval.
6.

Comments. Explain in the comments area significant variations in time lapse
in nonmonetary determinations from levels in the prior period or the same
period one year ago.
a. Administrative Factors. Describe administrative factors, such as changes
in operating procedures, issuance of rules and regulations, and staff
turnover. These may affect data reported in such a way that they cannot
be compared with data from prior reports or with current reports from other
state agencies.
b. Legal Factors. Describe legal factors, such as new laws or policies.
These may affect data reported in such a way that they cannot be
compared with data from prior reports or on current reports from other
state agencies.
c. Economic Factors. Describe economic factors which may affect data
reported in such a way that conditions will be reflected in any of the
tabulations. Cover such factors affecting nonmonetary determinations
time lapse, e.g., mass or prolonged unemployment.

Checking the Report
1.

Single Claimant Determinations.
a. The total for each column should equal the sum of all time lapse intervals
within the column.
b. Column 1 should equal the sum of columns 2, 3 and 4.

Multi-claimant Determinations.
a. The total for each column should equal the sum of all time lapse intervals
within the column.
b. Column 1 should equal the sum of columns 2 and 3.

V-3-10
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9054 Appeals Time Lapse
CONTENTS
A.
B.
C.
D.

Facsimile of Form .........................................................................................V-4-2
Purpose ........................................................................................................ V-4-3
Due Date and Transmittal .............................................................................V-4-3
General Reporting Instructions ...................................................................V-4-3
1. Lower Authority Appeals Time Lapse......................................................V-4-3
2. Higher Authority Appeals Time Lapse.................................................... V-4-3
Definitions......................................................................................................V-4-3
1. Date Appeal Filed....................................................................................V-4-4
2. Decision Date..........................................................................................V-4-4
Item by Item Instructions............................................................................. V-4-4
1. All Intrastate/Interstate Lower Authority Appeals Time Lapse .................V-4-4
2. All Intrastate/Interstate Higher Authority Appeals Time Lapse ................V-4-4
3. Comments...............................................................................................V-4-5

V-4-1
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9054 Appeals Time Lapse
A.

Facsimile of Form
ETA 9054L - LOWER AUTHORITY APPEALS TIME LAPSE
STATE

REGION

Time Lapse (Days)

REPORT FOR PERIOD ENDING

Total

Intrastate

Interstate

Total
<=30
31-45
45-60
61-75
76-90
91-120
>120

ETA 9054H - HIGHER AUTHORITY APPEALS TIME LAPSE
Time Lapse (Days)

Total

Intrastate

Interstate

Total
<=45
46-60
61-75
76-90
91-120
121-150
151-180
181-210
211-240
241-270
271-300
301-330
331-360
>360
Comments:
OMB
No.:
1205-0359
OMB
Expiration
Date:
11/30/2007
OMB
Burden
Hours:
30
Minutes
O M B Burden Statement: These reporting instructions have been approved under the Paperwork reduction Act of 1995. Persons
are not required to respond to this collection of information unless it displays a valid OMB control number. Public reporting burden
for this collection of information includes the time for reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection of information. Submission is mandatory under SSA
303(a)(6). 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, Office of Workforce Security, Room S-4231, 200 Constitution
Ave., NW, Washington, DC, 20210.

V-4-2
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9054 Appeals Time Lapse
B.

Purpose
The ETA 9054 report contains monthly information on the time it take states to
issue lower authority and higher authority appeals decisions from the date the
request for a lower authority hearing or a higher authority appeal is filed to the date
on the decision.

Due Date and Transmittal
The report is due in the ETA National Office on the 20th of the month following the
month to which the data relates. This report will be transmitted electronically.

General Reporting Instructions
Appeals Time Lapse measures require that the state report the universe of all
appeals to derive counts of the number of records for both Intrastate and Interstate
claims. Edit checks can be found in Handbook 402, Unemployment Insurance
Required Reports User’s Manual, Appendix C.
1.

Lower Authority Appeals Time Lapse
a. Includes remanded and reopened cases. If a case is remanded from
higher authority appeals for a new hearing and decision by the lower
authority, time lapse begins on the date the case is remanded from the
higher authority.
b. Excludes episodic claims programs such as Extended Benefits, Disaster
Unemployment Assistance, and Trade Readjustment Allowances.

Higher Authority Appeals Time Lapse
a.

Includes remanded and reopened cases. If a case is remanded or
reopened to the lower authority for additional evidence and will be
returned to the higher authority for a decision, the higher authority time
lapse measurement continues without interruption.
If a case is
remanded to the lower authority for a new hearing and decision, the
higher authority time lapse stops at that point because it is considered a
decision.

Excludes episodic claims programs such as Extended Benefits, Disaster
Unemployment Assistance, and Trade Readjustment Allowances.

Definitions
Definitions, unless otherwise specified in these instructions, will follow the
definitions for the ETA 5130 found elsewhere in this handbook.
V-4-3
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9054 Appeals Time Lapse

Date Appeal Filed. Generally, this will be date on which an appeal was filed
by mail or in person. State law may consider a dated postmark or dated
private postal meter to be the date of filing. However, a dated postmark is
frequently not available. In this case, a date on the appeal request should be
used. If this is also not available, then the date one day prior to receipt by the
agency may be used. The agency authorized to accept appeals may be the
local office, the lower or higher authority appeals unit, or any other agency or
person authorized to accept appeals on behalf of the appeals authority.

Decision Date. The date the decision was mailed to the interested parties
concerned.

Item by Item Instructions
Enter the total number of lower authority and higher authority appeals decisions
issued for the report period in the appropriate Intrastate or Interstate column and
individual totals for each time lapse interval.
1.

All Intrastate/Interstate Lower Authority Appeals Time Lapse.
a. Column 1, Total Decisions. Enter under column 1 the total number of all
Intrastate and Interstate lower authority appeals decisions and individual
totals for each time lapse interval. Each total reported in this column
equals the sum of columns 2 and 3.
b. Column 2, Intrastate Decisions. Enter under column 2 the total number of
all Intrastate lower authority appeals decisions and individual totals for
each time lapse interval.
c. Column 3, Interstate Decisions. Enter under column 3 the total number of
all Interstate lower authority appeals decisions and individual totals for
each time lapse interval.

All Intrastate/Interstate Higher Authority Appeals Time Lapse.
a. Column 1, Total Decisions. Enter under column 1 the total number of all
Intrastate and Interstate higher authority appeals decisions and individual
totals for each time lapse interval. Each total reported in this column
equals the sum of columns 2 and 3.
b. Column 2, Intrastate Decisions. Enter under column 2 the total number of
all Intrastate higher authority appeals decisions and individual totals for
each time lapse interval.
c. Column 3, Interstate Decisions. Enter under column 3 the total number of
V-4-4
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9054 Appeals Time Lapse
all Interstate higher authority appeals decisions and individual totals for
each time lapse interval.
3.

Comments. Explain in the comments area significant variations in time lapse
in lower and higher authority appeals decisions from levels in the prior period
or the same period one year ago.
a. Administrative Factors. Describe administrative factors, such as changes
in operating procedures, issuance of rules and regulations, staff turnover,
change in administrative policies, precedent decisions, and increase or
decrease in initial determinations, which may affect data reported in such
a way that they will lack comparability with the data on prior reports or on
current reports submitted by other state agencies.
b. Legal Factors. Describe legal factors, such as new laws or amendments
or change in interpretation of existing laws, which may affect the data
reported in such a way that they cannot be compared with data from prior
reports or on current reports from other state agencies.
c. Economic Factors.
reported.

Describe economic factors which may affect data

V-4-5
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9055 Appeals Case Aging
CONTENTS
A.
B.
C.
D.

Facsimile of Form .........................................................................................V-5-2
Purpose ........................................................................................................ V-5-3
Due Date and Transmittal .............................................................................V-5-3
General Reporting Instructions ...................................................................V-5-3
1. Pending Lower Authority Single Claimant Appeals Case Aging..............V-5-3
2. Pending Higher Authority Single Claimant Appeals Case Aging ............ V-5-3
Definitions......................................................................................................V-5-4
1. Pending Single Claimant Appeals Case Age ..........................................V-5-4
2. Average Age of Pending Single Claimant Appeals Cases ......................V-5-4
3. Median Age of Pending Single Claimant Appeals Cases ........................V-5-4
Item by Item Instructions............................................................................. V-5-4
1. Age of Pending Lower Authority Single Claimant Appeals Cases...........V-5-4
2. Age of Pending Higher Authority Single Claimant Appeals Cases ..........V-5-4
3. Comments...............................................................................................V-5-4

V-5-1
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9055 Appeals Case Aging
A.

Facsimile of Form
ETA 9055L - LOWER AUTHORITY APPEALS, CASE AGING
STATE

REGION

REPORT FOR PERIOD ENDING

Time Lapse Days

Appeals

Total Pending Cases
<=25
26-40
41-90
91-120
121-180
181-360
>360
Time Lapse (Days)
Average Age
Median Age
Comments:

ETA 9055H - HIGHER AUTHORITY APPEALS, CASE AGING
STATE

REGION

REPORT FOR PERIOD ENDING

Time Lapse Days

Appeals

Total Pending Cases
<=40
41-70
71-120
121-180
181-360
>360
Time Lapse (Days)
Average Age
Median Age
Comments:
OMB
No.:
1205-0359
OMB
Expiration
Date:
11/30/2007
OMB
Burden
Hours:
60
Minutes
O M B Burden Statement: These reporting instructions have been approved under the Paperwork reduction Act of 1995. Persons
are not required to respond to this collection of information unless it displays a valid OMB control number. Public reporting burden
for this collection of information includes the time for reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection of information. Submission is mandatory under SSA
303(a)(6). 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, Office of Workforce Security, Room S-4231, 200 Constitution
Ave., NW, Washington, DC, 20210.

V-5-2
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9055 Appeals Case Aging
B.

Purpose
The ETA 9055 report gathers monthly information on the inventory of lower
authority and higher authority single claimant appeals cases that have been filed
but not decided. Appeals case aging provides information about the number of
days from the date an appeal was filed through the end of the month covered by
the report. Also included are the average and median ages of the pending single
claimant appeals cases.

Due Date and Transmittal
The report is due in the ETA National Office on the 20th of the month following the
month to which the data relates. This report will be transmitted electronically.

General Reporting Instructions
Appeals Case Aging measures require states to report data on the universe of all
single claimant appeals cases that have not been decided prior to the end of the
reporting period. Edit checks can be found in Handbook 402, Unemployment
Insurance Required Reports User’s Manual, Appendix C.
1.

Pending Lower Authority Single Claimant Appeals Case Aging.
a. Includes all lower authority single claimant appeals cases, including those
remanded by the higher authority for a hearing and decision and reopened
appeals cases not decided at the end of the month.
b. Excludes episodic claims programs such as Extended Benefits, Disaster
Unemployment Assistance, and Trade Readjustment Allowances. Also
excludes pending multi-claimant appeals cases (See F.3.d. below for
further instructions about pending multi-claimant appeals cases).

Pending Higher Authority Single Claimant Appeals Case Aging.
a. Includes all higher authority single claimant appeals cases, including
remanded and reopened appeals cases, not decided at the end of the
month. An appeals case that has been remanded to the lower authority
for additional evidence and will be returned to the higher authority for a
decision is reported in this inventory. An appeals case that has been
remanded to the lower authority for a new hearing and decision, is not a
pending higher authority appeals case and should not be counted as such.
b. Excludes episodic claims programs such as Extended Benefits, Disaster
Unemployment Assistance, and Trade Readjustment Allowances. Also
excludes pending multi-claimant appeals cases (See F.3.d. below for
further instructions about pending multi-claimant appeals cases).

V-5-3
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9055 Appeals Case Aging
E.

Definitions
Definitions, unless otherwise specified in these instructions, will follow the
definitions for the ETA 5130 found elsewhere in this handbook.
1.

Pending Single Claimant Appeals Case Age.
The age of an appeals case is the date of the last day of the month being
reported minus the date the appeal was filed.

Average Age of Pending Single Claimant Appeals Cases.
The total age of all pending appeals cases (lower or higher authority) divided
by the total number of pending lower or higher authority appeals cases.

Median Age of Pending Single Claimant Appeals Cases.
If all of the pending appeals cases (lower or higher authority) are ranked from
the lowest to the highest age, the median is the age of the case at the
midpoint of the ranked cases. If there are an odd number of cases (n), the
median is the age of the [(n+1)/2]th case. If there are an even number of
cases (n), the median is the value midway between the age of the (n/2)th
case and the [(n/2)+1]th case.

Item by Item Instructions
Enter the number of single claimant appeals cases that fall within each category.
1.

Age of Pending Lower Authority Single Claimant Appeals Cases.
a. Total Pending Lower Authority Single Claimant Appeals Cases. Enter in
the “Total” column of Section A, the total number of pending lower
authority single claimant appeals cases and the individual totals for each
pending appeals case age interval.

Age of Pending Higher Authority Single Claimant Appeals Cases.
a. Total Pending Higher Authority Single Claimant Appeals Cases. Enter in
the “Total” column of Section B, the total number of pending higher
authority single claimant appeals cases and the individual totals for each
pending appeals case age interval.

Comments. Explain in the comments area significant variations in case aging
in lower and higher authority appeals cases not decided from levels in the
prior period or the same period one year ago. In response to Item d. below,
describe in the “Comments” section the inventory, if any, of pending multiclaimant appeals cases at the end of the reporting period. Pending multiclaimant appeals cases should not be reported in Section A or B.
V-5-4
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9055 Appeals Case Aging
a. Administrative Factors. Describe administrative factors, such as changes
in operating procedures, issuance of rules and regulations, staff turnover,
change in administrative policies, and increase or decrease in initial
determinations, which may affect data reported in such a way that they will
lack comparability with the data on prior reports or on current reports
submitted by other state agencies.
b. Legal Factors. Describe legal factors, such as new laws or amendments
or change in interpretation of existing laws, which may affect the data
reported in such a way that they cannot be compared with data from prior
reports or on current reports from other state agencies.
c. Economic Factors. Describe economic factors which may affect data
reported.
d. Pending Multi-Claimant Appeals Cases.
Describe the inventory of
pending lower and higher authority multi-claimant appeals cases.
For example:
At lower authority there are 3 groups of multi-claimant appeals cases
pending; in one group, there are 150 claimants, in a second group, there
are 40 claimants, and in a third group, there are 500 claimants. At higher
authority, there is one group of multi-claimant appeals cases pending, and
in that group, there are 250 claimants.

V-5-5
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9056 Nonmonetary Determination Quality Review
CONTENTS
A.
B.
C.
D.
E.
F.
G.

Facsimile of Form .........................................................................................V-6-2
Purpose ........................................................................................................ V-6-4
Due Date and Transmittal .............................................................................V-6-4
General Reporting Instructions ...................................................................V-6-4
Definitions......................................................................................................V-6-5
Data Collection Elements ............................................................................ V-6-5
Checking the Report .................................................................................... V-6-6

V-6-1
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9056 Nonmonetary Determination Quality Review
A.

Facsimile of Form

ETA 9056 - NONMONETARY DETERMINATION QUALITY DATA COLLECTION INSTRUMENT
1. IDENTIFICATION # 00000 (5-digit sample sequence) (skeleton field)
2. ISSUE CODE (2-digit code) (skeleton field)
3. CASE MATERIAL FOUND? (Y/N) (If “N”, remaining elements are left blank)
4. DATE ON DETERMINATION: (mmddyyyy) (skeleton field)
5. CORRECT DATE ON DETERMINATION? (Y/N)
6. CORRECTED DATE ON DETERMINATION:
7. CORRECT ISSUE CODE?

(mmddyyyy)

(Y/N) (If “Y”, then item 8 is blank)

8. IF ITEM 7 IS “N”, ENTER THE CORRECT CODE FROM BELOW.
(If no issue existed, enter “00”; if a nonmonetary redetermination, enter “01”)
SEPARATION
10 Quit
20 Discharge (MC)

NON-SEPARATIONS
30 Able/Available
31 Reporting Requirements
40 Work Search
50 Disq/Ded. Income
60 Refusal of Work; Failure to
Apply/Accept Referral
70 JS Registration
73 Profiling

MULTI-CLAIMANT

80 School Employee
81 Alien
82 Athlete
83 Unemployment Status
84 Seasonality
85 Removal of DQ
86 Fraud Administrative
Penalty

90 Labor Dispute
99 Multi-Claimant (Other)

9. INTRASTATE CLAIM? (Y/N)
10. PROGRAM TYPE:

UCFE

UCX

11. NONMONETARY DETERMINATION OUTCOME:

ALLOWED

DENIED

12. OUTCOME REPORTED CORRECTLY? (Y/N)
13. SWA USE ONLY
14. W/E DATE OF FIRST WEEK AFFECTED BY DETERMINATION: (mmddyyyy) (skeleton field)
15. CORRECT WEEK ENDING DATE? (Y/N)
16. CORRECTED WEEK ENDING DATE (blank if item 15 is “Y”):
17. ISSUE DETECTION DATE:

(mmddyyyy)

18. CORRECT ISSUE DETECTION DATE? (Y/N)
19. CORRECTED ISSUE DETECTION DATE (blank if item 18 is “Y”): (mmddyyyy)
20. CLAIMANT INFORMATION:

Adequate=15, Inadequate=10, Not Obtained=0

21. EMPLOYER INFORMATION:

Adequate=15, Inadequate=10, Not Obtained=0, NA(X)=15

22. INFO/FACTS FROM OTHERS:

Adequate=15, Inadequate=10, Not Obtained=0, NA(X)=15

23. LAW/POLICY:

Meets=45, Questionable=30, Does not meet (W)=0

24. WRITTEN DETERMINATION: Adequate=10, Inadequate=5, Wrong (W)=0 (If “W” then #23 cannot be “M”)
Comments:

OMB

No.:

1205-0359

OMB

Expiration

Date:

11/30/2007

V-6-2
4/2007

OMB

Burden

Hours:

Minutes

UI REPORTS HANDBOOK NO. 401
ETA 9056 Nonmonetary Determination Quality Review
O M B Burden Statement: These reporting instructions have been approved under the Paperwork reduction Act of 1995. Persons
are not required to respond to this collection of information unless it displays a valid OMB control number. Public reporting burden
for this collection of information includes the time for reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection of information. Submission is mandatory under SSA
303(a)(6). 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, Office of Workforce Security, Room S-4231, 200 Constitution
Ave., NW, Washington, DC, 20210.

Purpose
V-6-3
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9056 Nonmonetary Determination Quality Review
The ETA 9056 report provides quarterly information on the quality of nonmonetary
determinations that state agencies issue to claimants and employers in the report
period. Intrastate and Interstate single-claimant and multi-claimant separation and
nonseparation nonmonetary determinations are included in the report.
Nonmonetary determinations made by organizational units such as Benefits
Accuracy Measurement (BAM) and Benefit Payment Control (BPC) are also
included in the report. Notices of overpayments on uncontested earnings detected
by any method (e.g., crossmatch) are excluded from the report.

Due Date and Transmittal
The report is due in the ETA National Office on the 20th of the month following the
month to which the data relates. This report will be transmitted electronically.

General Reporting Instructions
Each state will select a sample (see ETA Handbook 301, Benefits Timeliness and
Quality (BTQ) Nonmonetary Determinations Quality Review (revised July, 2005),
Appendix A) of nonmonetary determinations from the nonmonetary determinations
time lapse universe for the preceding quarter. The sample universe is based on the
time lapse data reported on the ETA 9052 for each month in the review quarter.
Basic information or “skeleton” data that uniquely identifies each determination
selected must be entered via the state’s Sun machine into the UIRR data base by
the 15th of the first month following the end of the review quarter. Skeleton data
will either be automatically loaded as part of the state’s sample selection program
or will be manually entered into the database. Once all skeleton data is entered,
the state will invoke a sample validation program to verify that the determinations
selected meet the parameters of a valid sample. If the selected sample meets
validation, each nonmonetary determination will then be evaluated according to the
instructions provided in ETA Handbook 301. After the quality evaluation is
complete, the official results will be entered into the database. The system will
automatically compute the quality scores when all data has been entered.
Nonmonetary determinations from the following categories are included in
the quality review:
1. Intrastate UI, Unemployment Compensation for Federal Employees
(UCFE), Unemployment Compensation for Ex-Servicemen (UCX),
Combined Wage Claims (CWC)
2. Interstate UI, UCFE, UCX, CWC claims
3. Multi-claimant Labor Dispute Determinations
4. Multi-claimant "Other" Determinations, i.e., determinations which do not
involve a labor dispute but affect a class of claimants from the same
employer with a common issue
V-6-4
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9056 Nonmonetary Determination Quality Review
5. BPC/BAM generated determinations
6. Other inclusions are described in HB 401, ETA 207, Nonmonetary
Determination Activities (See E. 1(a) and 3(a) – (l))
The following categories are excluded from the quality review:
1. Excludes overpayment notices on uncontested earnings detected by any
method (e.g., crossmatch).
2. Excludes episodic claims programs such as Extended Benefits (EB),
Disaster Unemployment Assistance (DUA), and Trade Readjustment
Allowances (TRA).
3. Excludes Nonmonetary Redeterminations.
4. Other exclusions are described in HB 401, ETA 207, Nonmonetary
Determination Activities (see E.b)

Definitions
Definitions, unless otherwise specified in these instructions, are the same
definitions used for the ETA 207, ETA 9050 and ETA 9052 reports found
elsewhere in this Handbook and in ETA Handbook 301.

Data Collection Elements
1.

Identification Number. This is a unique 5 digit number, beginning with 00001,
assigned automatically by the state system to identify the nonmonetary
determinations selected for review by state random selection software. This
is a skeleton data item.

Issue Code. Enter the appropriate issue code. This is a skeleton data item.
Code
10
20

Separation Issue
Voluntary Quit
Discharge

Code
30
31
40
50
60
70
73
80

Nonseparation Issue
Able / Available
Reporting Requirements
Work Search
Disqualifying or Deductible Income
Refusal of Suitable Work / Failure to Apply / Accept Referral
Job Service Registration
Worker Profiling and Reemployment Services
School Employee Between / Within Terms
V-6-5
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9056 Nonmonetary Determination Quality Review
81
82
83
84
85
86
90
99

Alien Status
Professional Athlete
Unemployment Status
Seasonality
Removal of All or Part of a Disqualification
Fraud Administrative Penalties
Labor Dispute
Other Multi-claimant

For detailed instructions on data collection items 3 through 24, refer to ETA
Handbook 301, Chapter V.

Checking the Report
The electronic reporting system will edit the data at three different stages: 1) If
possible, each element or field in the report is validated before data entry can
proceed to the next, 2) saving the report for each sampled case invokes the
system's Review-Edit program which compares each element against any
conditions it is required to meet including any arithmetic operations. The program
will list any errors or warnings generated. If possible, the user is advised to resolve
"errors" before saving the data because 3) prior to transmitting the data, the
system will run the same Review-Edit program.
The transmission function will generate an exception report identifying the case
and the items that failed the edit(s). All cases failing the review edit must be
corrected by the report date to allow transmission to the National Office. All cases
must pass the review edit, otherwise, case transmission will not occur.
Detailed instructions on edit checks can be found in Handbook 402,
Unemployment Insurance Required Reports User’s Manual, Appendix C.

V-6-6
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9057 Lower Authority Appeals Quality Review
CONTENTS
A.
B.
C.
D.
E.
F.

Facsimile of Form .........................................................................................V-7-2
Purpose ........................................................................................................ V-7-4
Due Date and Transmittal .............................................................................V-7-4
General Reporting Instructions ...................................................................V-7-4
Definitions......................................................................................................V-7-4
Item by Item Instructions............................................................................. V-7-4
1. Case ID Number .....................................................................................V-7-4
2. Docket Number .......................................................................................V-7-4
3. Hearing Officer ........................................................................................V-7-5
4. Evaluator .................................................................................................V-7-5
5. Total Points Scored (Optional) ................................................................V-7-5
6. Intent of Decision ....................................................................................V-7-5
7. Effect on Appealed Determination...........................................................V-7-5
8. Date Decision Issued ..............................................................................V-7-5
9. Date Decision Implemented ....................................................................V-7-5
10. Case Material Status...............................................................................V-7-5
11. Time Required for Evaluation..................................................................V-7-5
Checking the Report .................................................................................... V-7-5

V-7-1
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9057 Lower Authority Appeals Quality Review
A.

Facsimile of Form
ETA 9057 - LOWER AUTHORITY APPEALS QUALITY REVIEW STATE EVALUATION SCORE SHEET
STATE

REGION

REPORT FOR PERIOD ENDING

Case Identification Number:
Docket Number:
Good

Fair

Unsatisfactory

Did Not Occur
D

Explanation

Opening Statement

Exhibits

Witness Order

Order of Witnesses'Testimony

Question Own Witness*

Clear Language by H.O.

Compound Questions

Clarified Testimony

10. Confrontation*

11. Cross-Examination*

12. Repetitive Testimony

13. Leading Questions

14. Interruptions

15. "Off the Record"

16. Interpreters

17. Continuance

18. Conclusion of Hearing

19. Within Scope of Notice*

20. Gratuitous Comments

21. Attitude

V-7-2
4/2007

Score

UI REPORTS HANDBOOK NO. 401
ETA 9057 Lower Authority Appeals Quality Review
22. Bias and Prejudice*

23. Obtain Available Evidence*

24. Issue Statement

25. Findings Supported by Evidence*

26. Findings of Fact*

27. Necessary Conclusions Included

28. Logical Reasoning

29. Form and Style

30. Decision States Legal Effect

31. Understandable Decision

U
U

32. Percent Score:
33. Intent of Decision

A - Allow

D - Deny

34. Effect on Appealed Determ.

A - Affirm

R - Reverse

OK - OK
TI - Tape Inaudible
TM - Tape Missing

DM - Documents Missing
IM - Tape Inaudible and Documents Missing
MM - Tape and Documents Missing

M - Modify

35. Date of Decision
36. Date Implemented:
37.

38.

Case Material Status

Time Required for Evaluation of Case in Minutes

Comments:
O M B No.: 1205-0359
O M B Expiration Date: 11/30/2007
O M B Burden Hours: 210 Minutes
O M B Burden Statement: These reporting instructions have been approved under the Paperwork reduction Act of 1995. Persons
are not required to respond to this collection of information unless it displays a valid OMB control number. Public reporting burden
for this collection of information includes the time for reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection of information. Submission is mandatory under SSA
303(a)(6). 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, Office of Workforce Security, Room S-4231, 200 Constitution
Ave., NW, Washington, DC, 20210.

V-7-3
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9057 Lower Authority Appeals Quality Review
B.

Purpose
The ETA 9057 report provides quarterly information on the quality of state
agencies' single and two party lower authority appeals hearings and decisions in
the report period.

Due Date and Transmittal
The report is due in the ETA National Office on the 20th of the month following the
month to which the data relates. This report will be transmitted electronically.

General Reporting Instructions
Each State will select a sample of lower authority appeals hearings for a quarter.
(See Appendix A.) Basic, or skeleton, information about each hearing will be
entered into the system. Each one of these hearings will then be evaluated
according to instructions provided in ETA Handbook 382, 2nd Edition. The results
of the evaluation will be entered into the system along with the skeleton data. The
system will compute scores when all cases are completed.

•

Includes single and two party appeal hearings.

•

Excludes withdrawals, dismissals, and episodic claims programs such as
Extended Benefits, Disaster Unemployment Assistance, and Trade
Readjustment Allowances.

Definitions
Definitions, unless otherwise specified in these instructions, will follow the
definitions for the ETA 5130 report found elsewhere in this handbook and in ETA
Handbook 382, 2nd Edition.

Item by Item Instructions
Instructions below are specific to the form. Specific instructions on the case
evaluation criteria are in Handbook 382, Second Edition. For items 1 through 31
on the state Evaluation Score Sheet, enter the appropriate score marked by the
evaluator.
1.

Case ID Number. This is a unique 5 digit number, beginning with 00001,
assigned by the state to identify the appeals hearing selected for review by
state random selection software. This is a skeleton data item.

Docket Number. Enter the state designation for a case. Twelve characters
are provided. If state designations are larger than this, then some truncation,
V-7-4
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9057 Lower Authority Appeals Quality Review
abbreviation or other alteration must be made, as long as the designation is
unique. This is a skeleton data item.
3.

Hearing Officer. Enter an ID number or other designation for the hearing
officer.

Evaluator. Enter an ID number or other designation for the individual who did
the evaluation.

Item 32, Total Points Scored (Optional). If desired, enter the sum of the
points scored in the column. This can then be compared to the scores
calculated by the computer to assure proper data entry.

Item 33, Intent of Decision. From the evaluation sheet, enter the appropriate
code to indicate the intent of the decision to allow or deny benefits.

Item 34, Effect on Appealed Determination. From the evaluation sheet, enter
the appropriate code indicating the effect the decision had on the prior status
of the nonmonetary determination that was appealed.

Item 35, Date Decision Issued. From the evaluation sheet, enter the date the
decision was mailed using a mm/dd/yyyy format. This is a skeleton data item.

Item 36, Date Decision Implemented. Enter the date the decision was
implemented using a mm/dd/yyyy format.

10. Item 37, Case Material Status. Enter the status of case materials as indicated
on the State Evaluation Score Sheet.
11. Item 38, Time Required for Evaluation. Enter the time required to evaluate
the case in minutes format.

Checking the Report
The electronic reporting system will edit the data at three different stages. First, if
possible, each element or field in the report is validated before data entry can
proceed to the next. Second, saving the report for each sampled case invokes the
system's Review-Edit program which compares each element against any
conditions it is required to meet including any arithmetic operations. The program
will list any errors or warnings generated. The user is advised to resolve "Errors"
before saving the data. Thirdly, prior to transmitting the data, the system will run
the same Review-Edit program. If the “Errors” are not resolved, the errors can be
saved but not transmitted to the National Office.

V-7-5
4/2007

UI REPORTS HANDBOOK NO. 401
ETA 9057 Lower Authority Appeals Quality Review
The transmission function will generate an exception report identifying the case
and the items that failed the edit(s). All cases failing the review edit must be
corrected by the report date to allow their transmission to the National Office. All
cases must pass the review edit before transmission. If these steps are not
followed, case transmission will not occur.
Edit checks can be found in HB 402, Unemployment Insurance Required Reports
User’ Manual, Appendix C.

V-7-6
4/2007

File Type	application/pdf
File Title	218 instructions
Author	daustin
File Modified	2007-07-20
File Created	2007-05-24