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USR Validation: Preprocessing and Audit Edits

The WCIRB employs a variety of approaches toward ensuring that timely, complete and accurate Unit Statistical Report (USR) data is used in experience modifications, advisory pure premium rates and research. Two of the primary approaches are the validation of USR data to identify the most critical data reporting errors and anomalies, and the WCIRB Unit Statistical Data Quality Program (USDQP). These approaches, coupled with data reporting educational materials and active partnerships with insurer data reporters, align with the WCIRB’s objective of maintaining high standards of data quality while minimizing the manual touchpoints associated with the data exchange process. 

USR data validations or “edits” occur at two stages once data is received in WCIRB Connect®:  preprocessing and audit. Lists of both sets of edits appear below.

USR Preprocessing Edits

Preprocessing edits are applied at the point of initial receipt of the USR data submission into WCIRB Connect. These edits check for basic WCSTAT compliance. USR transactions1 with data reporting deficiencies resulting in critical preprocessing edit failures are rejected and the submitter must correct the errors and resubmit the transactions.

Below is a link to the current list of preprocessing edits that are applied to all USR data submissions. Insurers and other data submitters should review this list to ensure that submissions are consistent with the indicated requirements.

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 Specifications (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 Edits

Audit edits are applied once USR data passes preprocessing validation after the USR data is matched to a policy in WCIRB Connect, after the USR data is matched to a policy and the USR data has been processed into WCIRB Connect®. These edits are more complex than preprocessing edits and may be relational, comparing incoming data to prior report levels or to policy data.

The audit edit process distinguishes between two types of edit failures, each of which is handled in a different way:

  1. Transactional errors directly impact a policyholder’s experience rating or have a primary impact on ratemaking. They must be corrected (or otherwise explained) on an individual basis.
  2. Data quality errors are anomalies that do not directly impact a policyholder’s experience rating but may reflect systemic issues potentially affecting the overall quality of data used for ratemaking. These are monitored programmatically (primarily in USDQP) and no individual responses or corrections are required. 

Below is the list of USR audit edits:

 1 A USR transaction is a single unit statistical report or a correction to a unit statistical report submitted as a set of records that are connected together by data elements reported identically in each record within the transaction (“link data”).  In general terms, the link data defines a USR transaction as the combination of USR report level number and, if applicable, correction sequence number for a particular policy.