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Preprocessing and Audit Validations

WCIRB Connect® conducts a number of unit statistical report (USR) submission preprocessing validations to ensure that submitted USR data is formatted consistent with WCSTAT specifications. 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 USRs.

A Processing Error by Transaction (PET) report detailing each error is available on WCIRB Connect. For descriptions and samples of these reports, see USR 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 USR Preprocessing Error List detailing the preprocessing edits that are applied to all USR 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 WCSTAT-required 250 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 WCSTAT submission rejections
     
  2. Permissions. Permissions errors are triggered when one or more USRs 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 WCSTAT 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 WCSTAT submission rejections.
     
  3. Critical. Critical errors are caused by conditions that prevent the WCIRB system from processing an individual USR.   If a submission contains one or some USRs with critical errors and some with no errors or with non-critical errors, the submission may be partially processed (subject to review). USRs with critical errors are rejected while USRs 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 WCSTAT submission rejections.
     
  4. Non-Critical. Non-critical error conditions do not prevent a USR from being processed.  In most cases, after the USR is processed, non-critical error conditions result in USR audit error correspondence to the data reporter, who is expected to submit a USR correction report revising the data or provide an explanation as to why the data is correct as reported. Individual USRs 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 unit statistical reporting in the WCSTAT format. The WCSTAT 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 WCSTAT submission. To correct ETR errors, please refer to the WCIO's Electronic Transmittal Record Specification (ETR), located on the WCIO website. If you use BEEP to create submission files, BEEP creates the ETR for you. If you are unsure how to modify the ETR in BEEP, please contact a WCIRB data submission analyst at [email protected].

USR Audit Errors

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