10 initial record selection process
Initial Record Selection Process
The initial selection-for-processing procedure is designed to be used with both the estimation and the editing programs. In other words, the first level of record selection will either permit or disallow all types of processing, even though other factors will enter into the account’s eventual disposition. Certain exceptions exist between the two programs. These will be described as they are encountered.
Before other bypass logic, the reporting unit is checked for a 5-digit numeric value. If the micro record has a non-numeric reporting unit, it is considered an invalid record, since there is no way within EXPO for such an account to reside on the Micro File. It is not only bypassed from processing, but is also deleted from the file. An error message will appear among the display messages to note the account’s removal, but this is not considered to be a “hard halt” condition; processing will continue with the next record on the Micro File.
The first exclusion is a pre-solicitation worksite (with a pending status and MEEI code of ‘4’ for a non-zero reporting unit number). Although these worksites can contain partially-reported data, estimates are disallowed for the delinquent portions for two reasons: a) they are not yet active worksites, and b) they are not processed through the edits, multi-balance checks, etc., so do not require special additional processing. When these presolicitation worksites are found, they are skipped over, with processing continuing with the next available micro record.
The next check is for an out-of-range set of estimation quarters. The estimates can be run either for the future/current or the current/prior quarter pairs; however, only the newer quarter will be actually estimated. Since all batch jobs that call the MI02 program have these quarters “hard-coded” into the processing through program ES2UT19’s organization of program parameters from job parameters, there shouldn’t be any out-of-range quarter selections within EXPO. This check acts only as a safeguard to prevent excessive unnecessary processing time for inestimable quarters.
The program then performs a status code check to make sure the account is active. An inactive account will not be processed in the estimates, since they obviously require none. Both of the processed quarters’ status codes are checked; if either quarter is active, processing can proceed; otherwise the next Micro File record will be read and processed. Inactive accounts will also be exempt from micro edit processing unless they had either high terminal employment (in their last active quarter) or show non-zero reported data in one of the months of employment or in the total wages. Such combinations will automatically flag the account for review (once it reaches the micro edits), since any account that is not active should also have no employment or wages reported, and should not have been huge at its terminus. In addition, the edit selection will pick an account showing an invalid status code, since this is a crucial-level error.
The final preliminary step in account estimation pre-selection revolves around the account selection parameters (i.e., singles-only or multi-families-only). Single accounts in both of the processed quarters (not changing to or from a master account) are skipped in the remainder of estimation processing. On the flip side, worksites and master accounts (not changing to or from single-account status between the quarters) are bypassed if the singles-only parameter setting is in place. All remaining selection steps listed below are split out between the individual quarters processed. In other words, the prior quarter’s selection from here on out is independent of the current quarter’s selection.
A special selection for the worksites of a multi-family is enacted whenever a master account is located. This process involves a minimal balance check of the multi family’s wage data, using the data supplied on the worksite sum by the ES2UT01 program. If the taxable wages are out of balance by at least the State minimum for small family wage balance (specified by Lookup File parameter PK037 (see Appendix E for details)), and if the taxable wages are more than twice as far out of balance as the total wages, then the taxable wages and contributions fields are flagged for reproration. If, on the other hand, the taxable wages are considered to be in balance, but the contributions are out of balance by more than the minimal tolerance (which is the PK037 wage tolerance times the contribution percentage value of PK040—see Appendix E for details), the contributions are flagged for redistribution, but the taxable wages will be untouched. This is only a preliminary acceptance, since additional selection criteria will be examined.
One area for which the estimation and edit programs are interrelated is with respect to delinquent account processing. Normally, delinquent accounts cannot go through the edit process (program ES2MI28). However, if the estimation (ES2MI02) program parameters say that delinquent accounts are to be estimated, then they are automatically eligible for editing as well. This brings about one side-effect, though, since failed estimates on delinquents (such as for insufficient historical data) will not exempt that employer from the edit processing. So an employer without applicable estimates may appear to have severe drops in employment and wage data in the edited quarter.
Many steps and phases are involved in the estimation selection and implementation processes. These specific steps are described in the pages that follow.
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