Title: The ETA 227 Report: What It Is, How It
1The ETA 227 Report What It Is, How Its Used,
How Its Validated
- Scott Gibbons
- Burman Skrable
2What and Why of the 227 Report
3Why Burden You with the ETA 227?
- Federal oversight of proper and efficient
administration includes program integrity - Performance Measures
- Analysis
- Workload and Planning
- Economic Indicators
- Government-wide promotion of integrity
4How Is the ETA 227 Used?
- Monitoring of BPC by ETA staff
- Construction of Key Performance Measures
- Government Performance and Results Act
- UI Performs Core measure
- Integrity measuring by OMB, Department of Labor
CFO and OIG - Benefit-Cost and similar Analyses
- Legislative and Program Development
- NDNH, Tax-offset programs
5ETA 227 Content
- Detection Establishment of Overpayments
- Who or what caused the OPs
- How they were detected
- Recovery and other Reconciliation Activities
- Criminal Civil Recovery Actions
- Age of Overpayment Receivables
6Section A, Overpayments Established by Cause
7Section B, Overpayments Establishedby Mode of
Detection
8Section C, Recovery/Reconciliation
9Section D, Criminal/Civil Actions
10Section E, Aging of OP Accounts
11227 and the Reporting Process
12 Generating the ETA 227
- All data on the ETA 227 should be traceable to
data in the states financial accounting system. - Entries must be made for all items.
- Amended reports - (send any changes to the ETA
227 electronically). - Have 3 years to amend a report.
13Reasons for Inaccurate Reporting
- Poor coordination between program offices and
reporting teams - Lack of accountability in the reports process
- The three Is and Handbook 401
- Incorrect guidance
- Incomplete guidance
- Imprecise guidance
14Weighing Accuracy vs. Timeliness
- Accuracy is ALWAYS more important than timeliness
- If issues arise, contact us and well work with
you to help solve the issues
15ETA 227 Quarterly Due Dates
-
- Quarter ending March 31 is due May 1
- Quarter ending June 30 is due August 1
- Quarter ending September 30 is due November 1
- Quarter ending December 31 is due February 1
16Reporting Systems and Data Integrity
- Rules on data that can be submitted
- Basic QA/QC sits on the front end of the
reporting process - Comes in two forms Warnings and Errors
- Transmittal depends on content
17ETA 227 Reporting Examples of Reporting Edits
18Troubleshooting ETA 227 Transmittal
- It is critical that the report be reviewed by BPC
staff before transmittal - The report will not transmit with empty cells
- Please make sure that you have up-to-date changes
in the edits for the report
19 Troubleshooting ETA 227 Transmittal
- Please make sure you are using the current
version of the ETA 227 (See 401 Handbook, 4th
Edition, April 2007). - http//wdr.doleta.gov/directives/attach/ETAH/ETHa
nd401_4th_s04.pdf (see IV-3-1) - Data edits are found in appendix C of Handbook
402 http//wdr.doleta.gov/directives/attach/ETAH/
ETHand402_5th_Att12.pdf (see C-13) - Make sure the report is actually transmitted
- Make certain that errors are addressed
- Warnings are for your information
20Data Validation and the 227
21How We Validate UI Reported Counts
- We independently reconstruct the counts we want
to validate - This involves building a record for each
transaction that goes into those counts - The result is an audit trail
- We compare the reported counts with reconstructed
counts - Reported counts are valid if within a tolerance
22Validation Process
- Decide what must be validated
- Design appropriate record for each type of
transaction or status (Population) - Build file
- Test file
- Compare counts from tested file with reported
counts
23Validation Concepts Population
- Population is the name DV gives to a group of
the same type of transaction or status - Example Overpayments Established
- Validation activity is organized by Population
- Its more focused and more efficient
- Often the same type of transaction or status
appears in more than one report - Many UI reports combine multiple types of
transactions/statuses - E.g., the 227 has overpayments established,
overpayments reconciled, overpayment balances at
end of quarter, criminal or civil actions
24Validation Concepts Population
- Benefits DV defines 15 distinct populations
- These are used to validate 13 UI reports
- DV uses three populations to validate the 227
report - Tax DV defines 5 populations
- These are all used to validate parts of the ETA
581 report
25Example Validating the Clue Fest
- The Great National Clue-Fest, hundreds of teams
from throughout the U.S. play Clue to determine - Who murdered John Boddy?
- Col Mustard, Prof. Plum, Mr. Green, Mrs. Peacock,
Miss Scarlet, or Mrs. White? - What were the circumstances of his death?
- What was the weapon?
- In what room was he killed?
26Validating the Clue Fest (continued)
- Monthly reporting by all teams
- Counts on 288 (6x6x8) possible outcomes
- Teams are told to retain for possible validation
- Game sheets containing result, date of game, team
name - You must validate
27Validating the Clue Fest (continued)
- You design the Clue Data Record
- Team name/ID
- Date of game
- Murderer
- Weapon
- Room
- You select teams to code individual results into
your record - You spot-check some records against game sheets
- You enter results into Clue-DV software
- DV software compares validation counts against
reported counts
28Validating the 227
- What should be validated?
- Section A (Numbers and Dollars of Overpayments
established, by Cause) - Population 12, Overpayments Established
- At some point may include B. Mode of Detection
- Section C (Recovery/Reconciliation)
- Population 13, Overpayment Reconciliation
Activities - Section E (Aging of Overpayment Accounts)
- Population 14, Age of Overpayments
29Validating the 227
- Designing the extract file
- The file is to have a record for every countable
transaction or status for the report cells
validated - To classify each record into one of the report
cells, that data record must have a field for
each classifying dimension - Its like the game of Clue
30Validating the 227
- Population 12 Extract File Record
- Individual ID (SSN, each OPs unique ID)
- Program Type
- Type of OP (Fraud, Non-fraud)
- OP Cause (Multi-claimant schemes, Claimant,
Employer, SESA, Reversals, Other) - Detection Type
- Date Established
- UI Amount
- Federal Amount
31Validating the 227
- Population 13 Extract File Record
- Individual OP ID (SSN, each OPs unique ID)
- Program Type (UI or UCFE or UCX)
- OP Type (Fraud, Non-fraud)
- Type of Reconciliation Activity (Cash, Benefit
Offset, etc.) - Date of Reconciliation Activity
- UI Amount
- Federal Amount
32Validating the 227
- Population 14 Extract File Record
- Individual OP ID (SSN, each OPs unique ID)
- Program Type (UI or UCFE or UCX)
- Date Established
- Outstanding Overpayment
- Active Collection (Yes or No or Dropped)
- Type of Overpayment (Fraud or Non-fraud)
- UI Balance at End of Quarter
- Federal Balance at End of Quarter
33Database Elements, Subpopulations, and Report Cells Validated Populations 12, 13, 14 Database Elements, Subpopulations, and Report Cells Validated Populations 12, 13, 14 Database Elements, Subpopulations, and Report Cells Validated Populations 12, 13, 14 Database Elements, Subpopulations, and Report Cells Validated Populations 12, 13, 14 Database Elements, Subpopulations, and Report Cells Validated Populations 12, 13, 14
Population Population Number of Number of Number of
No. Type of Transaction/Status State Database Elements in Extract Record Subpop-ulations Rpt Cells Validated
12 Overpayments Established 9 16 30
13 Overpayments Reconciliation 8 34 34
14 Age of Overpayments 9 16 16
34Validating the 227
- Build the extract file
- Update Module 3
- Follow File Layouts
- Population link off Benefits software
- DV Users Guide
- Use Module 3 definitions and Rules as guide to
database screens and database locations for
correct elements
35Validating the 227
- Test the Extract File
- Ensure it captures all relevant transactions
- Examine records rejected as errors
- Fix incorrectly-built but countable transactions
- Eliminate uncountable transactions from file
- Investigate samples
- Does record use elements that are consistent with
correct reporting? - If random sample fails, must rebuild file or
correct database
36Validating the 227
- The extract file is the standard for judging
reported counts when - All random samples pass
- Validators and programmers are confident that it
includes all transactions - When these conditions are met, go to RV
comparison - Results cannot be transmitted unless random
samples are completed
37Validating the 227
- Compare Validation with Reported Counts
- Every reported count is validated
- Pass and Fail are only judged at group level
- All Groups must pass for Population to pass
38Validating the 227
- Status of Validating Overpayment Populations
39Validating the 227
- Percentage Distribution of Submissions, Passes
Fails
40227 and Performance Measures
- How Accurate is the Detection of Overpayments
Ratio? - FY 2009 Reported Rate 53.1
- Mean Error in Failed Validations 10
- Failed or Not Validated 77
- Estimated true D/O ratio 49.0
41227 Data Analysis
- Cost-benefit calculations of BPC activity
42227 Reporting Issues
- Coordination between BPC staff and reporting
staff - Where do errors predominate?
- Penalty Reporting
- State practice and definitional issues
43227 Reporting Issues
- Fields where reporting errors predominate
- Population 12 (125 errors in 480 cases)
- Overpayment cause 29
- Date Established - 26
- Detection Type -- 19
- Amount -- 16
44227 Reporting Issues
- Fields where reporting errors predominate
- Population 13 (79 errors in 360 cases)
- Type of Reconciliation Activity 52
- Amount Errors -- 18
- Type of Overpayment -- 17
- Date of Reconciliation Activity 11
45227 Reporting Issues
- Fields where reporting errors predominate
- Population 14 (50 errors out of 160 cases)
- UI Amount 34
- Date Established 32
- Active Collection Status 18
- Outstanding Overpayment 12
46227 Reporting Issues
- Penalty Reporting
- In case of fraud, some states assess as penalty
future weeks claimed - Claimant must claim and serve the weeks as
otherwise eligible but is not paid - Reporting
- Overpayments Established, when served, report on
line 109 of Section A, Penalty - Reconciliation Report in Columns 13 or 14,
Nonfraudbut in no specific section - Eight States reported Penalty in 2007, 2008, 2009
47227 Reporting Issues
- Conditional overpayments
- State makes payments while issue is pending
- Adjudication hearing
- Claimant fails to appear
- OP establishedReported as Established
- OP reversed on redetermination
- State reports as Subtraction even if
establishment, reversal are within same quarter - Result very high Detection of Overpayments Ratio
48227 Reporting Issues
- OPs Established and then Subtracted in the same
quarter may be inflating the D/O ratio - Subtracted/ Overpaid in states with
- D/O Ratio over 100 20.3
- D/O Ratio under 100 5.2
49For Further Information
- Scott Gibbons
- (202) 693-3008
- Gibbons.Scott_at_dol.gov
- Burman Skrable
- (202) 693-3197
- Skrable.Burman_at_dol.gov
- DV Web page http//ows.doleta.gov/dv/
50End of Presentation