III. PREPARING FOR THE REVIEW

The information provided in this chapter outlines the SESA activities required in preparation for conducting the quality reviews. The activities include identifying the appropriate sample frames from which the sample is drawn, validating the sample for compliance with the sample selection criteria, and assigning the cases to the tripartite quality review team.

SAMPLING METHODOLOGY

The sample frame, sample size, and sampling frequency for conducting nonmonetary determination quality reviews are summarized in this chapter. Appendix A provides detailed procedures for selecting nonmonetary determination samples.

A. Sampling Frequency.

The nonmonetary determination quality samples are drawn quarterly, as soon as possible after the close of the quarter to be reviewed. To assure timely completion of quality reviews, SESAs are encouraged to draw their samples on the first business day of the first month following the end of the review quarter. All reviews are to be completed and entered into the UIRR database by the 20th of the second month following the review quarter.

B. Sample Frames.

Two populations of nonmonetary determinations comprise the respective sample frames from which nonmonetary determination samples are drawn. The first sample frame consists of all Intrastate and Interstate separation determinations reported for time lapse for the quarter. The second sample frame consists of all Intrastate and Interstate nonseparation determinations reported for time lapse for the same quarter.

C. Sample Sizes.

Sample sizes are set annually and depend on the volume of nonmonetary determinations reported to the Department on the ETA 9052 reports for the prior calendar year. States are classified as large or small based on this caseload. Large States are those that issued 100,000 or more nonmonetary determinations in the prior calendar year. Small States are those that issued fewer than 100,000 nonmonetary determinations in the prior calendar year.

Large States will draw a minimum sample of 100 determinations per quarter for review. Small States will draw a minimum sample of 60 determinations per quarter for review. Fifty percent must be separation determinations and fifty percent must be nonseparation determinations. The minimum quarterly sample size will remain constant for four quarters.

D. Sample Size Flexibility.

States must select and review their respective minimum sample size. However, to provide a higher degree of confidence in the results, States may, at their own discretion, increase the sample size above the minimum required. If the sample size is increased, reviews of all determinations selected must be completed and entered into the UIRR database. Another option is to pull and review a totally separate sample for State use.

E. Selecting and Identifying the Sampled Determinations.

Basic information or "skeleton" data that uniquely identifies each determination selected must be entered via the SESA's SUNsparc machine into the UIRR database by the 15th of the first month following the end of the review quarter. Skeleton data will either be automatically loaded into the database as part of the SESA's sample selection program or will be manually entered by a data entry operator. Once all the skeleton information is entered for all determinations in the sample, the SESA will invoke a sample validation computer program, as described below, to verify that the determinations selected meet the parameters of a valid sample.

F. Validating the Sample.

Once the State draws its sample, all required skeleton fields must be filled in order to complete the validation process prior to quality review of the determinations. The validation program compares the SESA's sample size against the caseload the SESA reported based on the prior calendar year's ETA 9052 reports. The program also determines if the sample selected is based on nonmonetary determinations made during the review quarter. If the minimum sample size does not correspond to the reported annual caseload or if the determinations selected are not from the review quarter, the sample fails validation and an error report is generated. The State must correct the errors in its sampling process and rerun the sample.

For a sample to be valid, it must meet the following criteria:

1. Nonmonetary determinations must fall within the quarter sampled;

2. Sample sizes must not fall below the minimum number prescribed depending on State size; and

3. There cannot be duplicate identification numbers for the sample determinations in the same quarter.

The SESA must correct the sampling program errors and rerun or reenter the corrected sample until it passes validation.

Once the skeleton data passes sample validation, the SESA will invoke a program to freeze or "lock" the data. Once locked, the skeleton data cannot be modified without National Office intervention. After this process is complete, each case can be updated with the quality results as soon as the review is completed and the official outcome is established.

G. Assembling the Case Review File.

A case review file must be assembled for each determination selected for review in the sample. The case file, depending on the issue adjudicated, should contain a copy of:

1. Initial/additional claim, if applicable;

2. A separation notice, if applicable;

3. The formal written determination, when required;

4. All factfinding documentation, and other relevant documentation such as doctor's certificate, notice of refusal of suitable work or referral to work from either the Employment Service (ES) or an employer, pension information, alien verification documentation from INS, etc.;

5. Printout of claim history record, and the Data Collection Instrument (DCI) on which the data will be recorded.

HINT: SESAs may wish to request ADP units to automatically generate copies of all relevant screens as a time saving measure.