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Annual Report 		           TPS Sampling Case Replacement

There are two scenarios in which Acceptance Sample cases may need to be removed from the review or case replacement may be necessary.

Case Removal

  • The first scenario for case removal involves cases captured in a universe which do not meet universe criteria.

For example: when building the universe of Collection cases, an account receivable with less than $100.00 in unpaid UI tax is inadvertently included.  Since this case does not meet the minimum criteria, the case should be removed from the review.  Do not replace the case but do continue extracting samples.

  • How many cases can be removed from a sample?

If the sample size drops below 53, the tax function cannot be evaluated.  As long as the sample contains a minimum of 53 valid cases (i.e., cases that meet the universe definition), two cases can still fail and the results of the Acceptance Sample will remain consistent with that of 60 case samples.

  • Be sure the case is being removed for the right reasons.

HINT: Remember that the case may be removed due to improper case selection but not for a wrong decision.

For example: if a Status Determination case was originally determined to be a new employer when the correct status was a successor employer, a wrong decision was made; the case should not be removed.  The case should remain in the sample and the error should be reflected in the sample evaluation.
 

  • Advise Regional Office.

Regional Office must be advised of the circumstances that required case removal. The problem, as well as the steps taken to rectify it, should also be described in the Annual Report and within the general comments section of Acceptance Sampling on the DOL Sun System.

  • Notify Data Processing Staff

The TPS Reviewer must also notify State Data Processing staff to be sure that the program logic is modified for future sampling efforts.  The goal is to eliminate improper universe identification and ensure that ALL cases meeting the criteria are included in each universe.

Case Replacement

  • The second scenario for case replacement involves cases that have missing, incomplete, or un-readable case records.   In instances of this type, case replacement is allowed for one and only one lost case.  (This differs from case removal for improper universe building criteria.)
  • Be sure the case needs to be replaced
  • Before considering case replacement, the TPS Reviewer must:

Assure themselves (as far as possible) that the work on the case was actually done.

         Be sure that every effort is made to find the missing information.

         Check all possible places or persons where the missing information could be located.

  • Once the need for case replacement is confirmed, follow the replacement steps in ET Handbook 407.

(Link to ET Handbook-Appendix A-V-1)

  • How many cases can be replaced in a sample?

A second case cannot be replaced when case records cannot be located.  In this instance, the reviewer cannot reach a conclusion on the accuracy of this sample.  The reviewer may, however, select a second Acceptance Sample.

Conclusion

Now that Case Replacement has been explained, continue working through this tutorial for more details.  Click here to link back to the Acceptance Sampling navigational screen.