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Preprocessing and Audit Validations

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Preprocessing and Audit Validations

WCIRB Connect® conducts a number of policy data submission preprocessing validations to ensure that submitted policy data is formatted consistent with WCPOLS. Preprocessing errors are logged as fatal, permissions, critical or non-critical. If a submission contains any fatal, permissions or critical preprocessing errors, the submission is either rejected or only partially processed, and the submitter must correct the error(s) and resubmit the policy transaction(s).

A Processing Error by Transaction (PET) report detailing each error is available on WCIRB Connect. For descriptions and samples of these reports, see Policy Submission Reports. The status of a submission is also available anytime on WCIRB Connect under Submission Manager.

Below is a link to the current version of the Policy Data Preprocessing Error List detailing the preprocessing edits that are applied to all policy data submissions. Insurers and other data submitters should review this list to ensure that submissions are consistent with the indicated requirements.

WCIRB Connect has four categories of preprocessing error severities:

  1. Fatal. Fatal errors are caused by conditions that prevent the WCIRB system from processing the entire submission; for example, records longer or shorter than the WCPOLS-required 300 bytes, or a Data Receiver Code for a jurisdiction other than California. If a submission has a fatal error, the entire submission is rejected, and the insurer must correct the submission and resubmit it. WCIRB Connect users can subscribe to receive an email notification when a file has fatal errors by going into Submission Manager, selecting Email Notify in the top ribbon, and subscribing to email notifications of WCPOLS submission rejections.
     
  2. Permissions. Permissions errors are triggered when one or more policy transactions in the submission have an invalid insurer code, are submitted by an insurer not part of the same NAIC group, or are submitted by a third party entity (TPE) that is not authorized to submit WCPOLS files on behalf of that insurer. If a submission has a permissions error, the entire submission is rejected. WCIRB Connect users can subscribe to receive an email notification when a file has permissions errors by going into Submission Manager, selecting Email Notify in the top ribbon, and subscribing to email notifications of WCPOLS submission rejections.
     
  3. Critical. Critical errors are caused by conditions that prevent the WCIRB system from processing an individual policy transaction. If a submission contains one or some policy transactions with critical errors and some with no errors or with non-critical errors, the submission may be partially processed (subject to review). Policy transactions with critical errors are rejected while policy transactions with no errors or with non-critical errors are accepted. WCIRB Connect users can subscribe to receive an email notification when a file contains rejected transactions by going into Submission Manager, selecting Email Notify in the top ribbon, and subscribing to email notifications of WCPOLS submission rejections.
     
  4. Non-Critical. Non-critical error conditions do not prevent a policy transaction from being processed. In most cases, after the policy transaction is processed, non-critical error conditions result in policy audit error correspondence to the data reporter, who is expected to submit a corrected policy transaction report revising the data or provide an explanation as to why the data is correct as reported. Individual policy transactions with non-critical errors may be accepted and processed into the WCIRB system (subject to review).
     
    All of the preprocessing criteria are based on the WCIO specifications for policy transaction reporting in the WCPOLS format. The WCPOLS specifications are located on the WCIO website.
     
    Some of the preprocessing edits relate to the Electronic Transmittal Record, known as the ETR. This is the first record in any WCPOLS submission. To correct ETR errors, please refer to the WCIO's Electronic Transmittal Record Specifications (ETR) located on the WCIO website, Universal Electronic Transmittal section. If you use PEEP to create submission files, PEEP creates the ETR for you. If you are unsure how to modify the ETR in PEEP, please contact a WCIRB data submission analyst at [email protected].

Policy Audit Errors

After being processed into the WCIRB system, each policy is subject to a number of audit validations. Below is a listing of the policy audit error descriptions that is the basis for WCIRB policy correspondence.