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Data Reporting

Preprocessing and Audit Validations

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

The submitter will be notified of any rejected policy transactions or submissions via an email from the Data Submission Analysts. The email will include an attached Preprocessing Error by Transaction (SHR - PET) report detailing each error.  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 will be 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.

Click here to view the Policy Preprocessing Errors.

WCIRB Connect has four categories of preprocessing error severities:

  1. Fatal. Fatal errors are caused by conditions that prevent our 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 will be rejected, and the insurer must correct the submission and resubmit it. The submitting insurer’s data reporting contact will receive an email advising of the reason(s) for the rejection.
     
  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 for that insurer. If a submission has a permissions error, the entire submission will be rejected. The submitting insurer’s data reporting contact will receive an email advising of the reason(s) for the rejection.
     
  3. Critical. Critical errors are caused by conditions that prevent our system from processing an individual policy transaction. If a submission contains some policy transactions with critical errors and some with no errors or non-critical errors, the submission may be partially processed (subject to review). Policy transactions with critical errors will be rejected. Policy transactions with no errors or non-critical errors will be accepted. The submitting insurer’s data reporting contact will receive an email advising which individual policy transactions were rejected and the reason(s) for the rejection.
     
  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 being sent 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 our system (subject to review).

All of the preprocessing criteria are based on the existing WCIO specifications for policy transaction reporting in the WCPOLS format. You can  learn about WCPOLS 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 the Data Submission Analysts at [email protected].

Policy Audit Errors

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

 

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