# DESCRIPTION OF THE NEW HIRE COMPONENT

The New Hire (W-4) component of the NDNH is a database of all
newly-hired employees as reported from the SDNHs and directly from
Federal agencies.[^1] This data consists of six data elements found on
the Department of Treasury, Internal Revenue Service, W-4 form,
"Employee's Withholding Allowance Certificate", in addition to other
optional information states and Federal agencies may submit.

## Legislation

Section 453A(a)(1) of the Social Security Act (the Act) requires states
to develop an SDNH that meets Federal requirements by either October 1,
1997, or October 1, 1998, depending on whether a state had a new hire
reporting law in effect on August 22, 1996. Section 453(i) of the Act
requires the Department of Health and Human Services (HHS) to develop an
NDNH by October 1, 1997.

Section 453(n) of the Act requires Federal agencies to report new hire
and quarterly wage data as of October 1, 1997. In addition, the law
requires maintenance at the national level of information on multistate
employers who choose to report W-4 data to one state in which the
employer has employees pursuant to Section 453A(b)(1)(B) of the Act.
Refer to section 9.3, "Multistate Employer", for more detailed
information regarding W-4 reporting options for multistate employers.

Appendix A, "Federal Law", contains portions of the Social Security Act
that are specific to the NDNH.

## Timeframes

There are timeframes associated with the reporting of W-4 data, the
performance of matches, and reporting by the NDNH. Some of the
timeframes are required by the Social Security Act and other timeframes
are functions of the NDNH System processing. Chart 8-1, "W-4
Timeframes," shows the activities associated with W-4 reporting and the
corresponding timeframes.

  ------------------------ ----------------------------------------------
  CHART 8-1: W-4           
  TIMEFRAMES               

  Activity                 Timeframe

  Employers report W-4     Such report shall be made not later than 20
  data to the SDNH         days after the date the employer hires the
                           employee; or in the case of an employer
                           transmitting reports magnetically or
                           electronically, by 2 monthly transmissions (if
                           necessary) not less than 12 days nor more than
                           16 days apart.

  Enter W-4 data received  Within 5 business days of receiving reports
  from employers into SDNH from employers, the SDNH must enter the new
                           hire reports into its database.

  SDNHs transmit W-4 data  Within 3 business days after the new hire data
  to the NDNH              is entered into the SDNH, new hire data must
                           be furnished to the NDNH.

  Federal agencies         Such report shall be made not later than 20
  transmit W-4 data to the days after the date the employer hires the
  NDNH                     employee.

  Enter W-4 data from      W-4 data must be entered into the NDNH within
  Federal agencies and     two business days of the system receiving the
  SDNHs into the NDNH      data.

  Return summary and       The NDNH sends transmittal, summary, and error
  transmittal data,        data to the submitting Federal agency and SDNH
  including error          within four business days of the system
  reporting, to the        receiving the data.
  submitter                

  Management information   The NDNH produces reports on a periodic basis.
  delineating and          
  summarizing each Federal 
  agency's and SDNH's      
  submittal data           

  Compare NDNH and Federal NDNH data and FCR data must be cross-matched
  Case Registry (FCR) data not less than every two business days.

  Report matches from the  The FCR must report NDNH and FCR matching
  NDNH and FCR comparison  information to the IV-D agency within two
  to the Child Support     business days of the match.
  Enforcement IV-D Agency  
  ------------------------ ----------------------------------------------

## State Directory of New Hires

The provisions of PRWORA require each state to establish an SDNH. States
that did not have a new hire reporting law as of the date of the PRWORA
(August 22, 1996) must establish an SDNH and be able to receive and
transmit data to the NDNH as of October 1, 1997.

Those states that had a law for new hire reporting as of the enactment
of PRWORA must report this data to the NDNH as of October 1, 1997. These
states have until October 1, 1998 to comply with the remaining
requirements of Section 453A of the Act.

States may determine where to house the SDNH (e.g. Child Support
Enforcement IV-D agency), State Workforce Agency (SWA), revenue
department, private vendor under contract with the state, or local child
support enforcement agency. Section 453A of the Act does not specify
that the state locate the SDNH in a specific agency. Each state decides
where to house its SDNH based on the advantages and disadvantages of
each location and selects the place that best meets its operational
needs.

Though there are various options concerning where to house the SDNH,
each state must have only one site for the collection of new hire data
and only one transmission point of connection to the SSA's transmission
system and the NDNH.

# W-4 DATA REQUIREMENTS

The SDNHs and Federal agencies collect new hire data and forward this
information to the NDNH. Federal law mandates the collection and
submission of data elements that are on the Department of Treasury,
Internal Revenue Service, W-4 form, "Employee's Withholding Allowance
Certificate". In addition to the collection and submission of mandated
data, the NDNH System stores optional information that is not on a W-4,
specifically the Employee Date of Birth, Employee Date of Hire, the
State of Hire, and a second Employer Address. These optional data fields
improve states' fraud detection efforts, assist with the administration
of programs, increase the effectiveness in identifying the location of
persons in Child Support Enforcement IV-D cases, and assist in the
prompt implementation of wage withholding for non-custodial parents who
owe child support. Even though additional data is optional under federal
law, a state may require information that is more extensive. However,
any state requirement that employers report information beyond the six
federally-mandated data elements must be made under the authority of
state law. If a state chooses to require additional information, it may
necessitate the filing of a separate report by employers. The Federal
law gives employers the option of complying with the Federally-mandated
requirements by submitting a W-4 form or, at the option of the employer,
an equivalent form. Employers are given the choice to define an
"equivalent form".

## Data Requirements

Federal agencies and SDNHs collect and transmit information regarding
employees and employers to the NDNH. With the exception of the four
optional data elements listed above, this information is found on the
W-4 form that is completed by an employee at the time of hire. Refer to
the Appendix E, "W-4 Form", for a copy of the W-4 form. Refer to Section
10.0, "W-4 Transmission", for record layouts and specifications.

####### Mandatory Data Elements {#mandatory-data-elements .unnumbered}

Federal law requires collection of the following six data elements from
the W-4 form:

1.  Employee Name,

2.  Employee SSN,

3.  Employee Address,

4.  Employer Name,

5.  Employer Address, and

6.  Federal Employer Identification Number (FEIN).

States without new hire laws in existence on August 22, 1996 must comply
with the mandatory data elements by October 1, 1997.

States with existing new hire laws prior to August 22, 1996 have until
October 1, 1998 to fully comply with the mandatory data requirements. As
of October 1, 1998, all W-4 records submitted must contain the mandatory
data elements. Prior to October 1, 1998, the NDNH System will
accommodate records that contain at the minimum:

1.  Employee Name,

2.  Employee SSN, and

3.  Either the Employee Address, or the Employer Address. (If the record
    is missing both addresses, but contains an FEIN, the system searches
    the Employer Identification File (EIF) to attempt to derive an
    Employer Address. If an employer address is not found on the EIF,
    then the record does not meet the minimum requirements and is
    rejected.)

####### Optional Data Elements {#optional-data-elements .unnumbered}

Federal law does not require the collection of the following four data
elements; they are not on the W-4 form. However, states may choose to
require employers to transmit these data elements to the SDNH, which
will then transmit the data to the NDNH. The following are the optional
data elements:

1.  Employer Optional Address (for wage withholding purposes),

2.  Employee Date of Birth,

3.  Employee Date of Hire, and

4.  Employee State of Hire.

####### Description of the Data Elements {#description-of-the-data-elements .unnumbered}

**Employee Name:** This element is in box #1 of the W-4 form. This is
the employee's first name, middle name or initial, and last name.

**Employee SSN:** This element is in box #2 of the W-4 form. SSA assigns
this 9-digit number to an individual.

**Employee Address:** This element is in the un-numbered box below box
#1 of the W-4 form. This is the number, street name or rural route,
city, state, and zip code where an individual resides. This may be a
foreign address.

**Employer Name:** This element is in box #8 of the W-4 form. This is
the name of the entity that hires the individual.

**Employer Address:** This element is in box #8 of the W-4 form. This is
the number, street name or rural route, city, state, and zip code of the
entity that hires the individual. This should be the address the
employer reports to the IRS. This may be a foreign address.

**FEIN:** This element is in box #10 of the W-4. The IRS assigns this
9-digit number to an employer.

**Employee Date of Birth:** The W-4 does not contain this optional
element. This is the century, year, month, and day the employee was
born.

**Employee Date of Hire:** The W-4 does not contain this optional
element. This is the date (Century, Year, Month and Day) the individual
was hired.

The date of hire is the first day in which a person performs services
for pay (that is the first day of work). This is also the date that the
employer recognizes as the first day for income tax withholding.

> For additional description of how to determine the Employee Date of
> Hire, consult OCSE's "Frequently Asked Questions" at:

http://www.acf.hhs.gov/programs/cse/newhire/employer/faq/faq.htm

**Employee State of Hire:** The W-4 does not contain this optional
element. This is the two-character state abbreviation where an
individual's wages are reported to the State Workforce Agency (SWA).

**Employer Optional Address:** This is an optional element and is the
number, street name or: rural route, city, state, and zip code of an
entity that hires an individual. This is the address where an employer
receives child support wage withholding orders.

## SDNH Collection Methods and Processes

Federal law requires each state to have an SDNH that receives reports
from employers on either a W-4 form or, at the option of the employer,
an equivalent form. The SDNH must be able to accept W-4 data
electronically, magnetically or by first class mail. The SDNH can
significantly increase the likelihood of employer compliance by offering
employers several other methods for submitting W-4 data, in addition to
the methods mandated by Federal law. The following are examples of
methods for W-4 data collection.

**ELECTRONICALLY AND MAGNETICALLY:** Federal law permits employers to
submit data by electronic and magnetic means. The following are some of
the methods an SDNH may use to collect data electronically or
magnetically:

1.  An SDNH establishes and disseminates an **Internet E-Mail Address**
    that allows an employer to submit data either by creating and
    sending an e-mail or by scanning and sending a W-4 or equivalent
    form.

2.  An SDNH creates an interactive **World Wide Web** site that prompts
    an employer to key in W-4 data and then submit the data. The site
    address is:

<http://www.acf.hhs.gov/programs/cse/newhire/employer/contacts/nh_matrix.htm>

3.  An employer sends an SDNH a Floppy Disk, Magnetic Tape, Cartridge
    Cassette Tape, Compact Disk, DVD, FTP, or EFT that contains the
    data.

Employers are not required by Federal law to transmit W-4 data
electronically or magnetically in the same record layout format as
required of SDNHs for transmission to the NDNH. However, a state may
choose to make that layout a requirement for the employers that report
electronically to their SDNH.

**PAPER:** Federal law requires that an SDNH accept data by first class
mail. The SDNH can implement additional paper submission methods for an
employer to submit information. The following are some of the other
methods of collecting data on paper:

1.  An employer **Mails** a copy of the W-4 or equivalent form to the
    SDNH by private mail service (such as Federal Express).

2.  An employer sends a copy of the W-4 or equivalent form to the SDNH
    using a **Facsimile Machine**.

3.  An employer **Hand Delivers** a copy of the W-4 or equivalent form
    to the SDNH.

**TELEPHONE:** An SDNH can set up a process whereby an employer can use
the telephone to submit data on newly-hired employees. This accommodates
small employers who may not have an electronic means to forward the
information. There are several ways to collect data by telephone:

1.  An **Operator** receives the call from an employer. The employer
    speaks directly to the operator and the operator records the data.

2.  A **Voice Mail** system receives the call and allows the employer to
    leave a verbal message containing the data.

3.  A **Voice Response System** receives the call and prompts the
    employer to verbally input the data at certain points in the
    program.

4.  A **Touch-tone Data Input** system receives the call and prompts the
    employer to key in the data using the telephone's touch-tone keypad.

Once an employer submits W-4 data, the SDNH can process the information
into the system using several different means. Some methods of
collection, such as receipt of paper copies, require manual entry of
data by keying or scanning. Other methods, such as magnetic submission,
may only require that an SDNH establish a prescribed format for the
records and then process the data directly into its system.

## Multistate Employer

Multistate employers are employers that have employees in two or more
states. Federal law gives multistate employers two options for reporting
their new hire W-4 data:

1.  A multistate employer may choose to report data on each newly-hired
    employee to the state in which the employee works. This option
    allows the employer to submit data via any of the methods accepted
    by a state; or

2.  A multistate employer may choose to report data on all newly-hired
    employees to one of the states in which the employer has employees.
    If a multistate employer chooses this option, the employer must
    comply with two requirements of the Federal law:

-   Multistate employers must transmit W-4 data electronically or
    magnetically, and

-   Multistate employers must notify the Secretary of Health and Human
    Services in writing as to which state they are reporting all newly
    hired employees.

When submitting written notification to the Secretary about the
designation of the single state for new hire reporting, an employer
should include the following information:

1.  Federal Employer Identification Number (FEIN),

2.  Employer's name, address, telephone number related to the FEIN,

3.  State selected for reporting purposes,

4.  Other states in which the company has employees, and

5.  Corporate point of contact.

If the company will be reporting new hires on behalf of subsidiaries who
operate under different names and FEINs, the employer should also list
the names, FEINs, states and zip codes where they have employees
working.

An employer can notify the Secretary of HHS in one of three ways:

1.  Notify the Secretary in writing at the following address:

    Department of Health and Human Services

    Administration for Children and Families

    Office of Child Support Enforcement

    Multistate Employer Notification

    P.O. Box 509

    Randallstown, MD 21133

2.  Notify the Secretary in writing by facsimile:

    Department of Health and Human Services

    Administration for Children and Families

    Office of Child Support Enforcement

    Multistate Employer Notification

    1-410-277-9325

3.  Notify the Secretary via online Internet registration by accessing
    the Multistate Employer Notification Form for New Hire Reporting on
    the OCSE FPLS Website. The internet address is:

> http://www.acf.hhs.gov/programs/cse/newhire/employer/publication/publication.htm

A copy of the Multistate Employer Notification Form for New Hire
Reporting (optional form) appears on the following pages as Figure 9-1.
The multistate employer can complete this form on the Internet and send
it electronically to the Secretary, or they may send it by U.S. mail or
facsimile to the Secretary at the above address or facsimile number.

If a multistate employer has questions regarding the reporting of new
hires to one state, they can contact the Multistate Employer Hotline at:
1-410-277-9470.

Federal law requires the Secretary of HHS to maintain within the NDNH a
list of employers who have chosen to report new hires to one state and
the state that each employer has so designated to receive their new hire
W-4 data. OCSE maintains this list to assist in identifying employer
compliance with W-4 new hire reporting requirements.

####### INTERNET USERS ONLY: {#internet-users-only .unnumbered}

1.  Before you sign on to the Internet, we suggest that you fill out the
    sample form, which follows this section, as a reference.

2.  To register your company via the Internet, sign on to:

<http://151.196.108.21/ocse/>

3.  Follow the instructions at the Internet website.

4.  If you have any questions or if you experience trouble, please call
    1-410-277-9470.

![](media/image1.jpeg){width="6.502083333333333in"
height="8.498611111111112in"}

![](media/image2.jpeg){width="6.468055555555556in"
height="8.45486111111111in"}

![](media/image3.jpeg){width="6.468055555555556in"
height="8.477083333333333in"}

# W-4 TRANSMISSION

Designated Federal agencies and the SDNHs transmit W-4 records via SSA's
closed-line CONNECT:Direct system. Each transmission must contain three
types of records in the following order:

1.  W-4 Transmitter Header Record -- This record precedes the W-4 data
    records and contains information about the submitter.

2.  W-4 Data Records -- These records contain the actual W-4 data.

3.  W-4 Total Record -- This record follows the W-4 data records and is
    a summary of the transmission.

## Federal Agency Alternate Transmission Method

Some Federal agencies do not have access to CONNECT:Direct software. The
agencies that do not have CONNECT:Direct access may send their data via
an alternative transmission method. The transmission method is via Vital
Information Systems Network (VISN) PC-to- PC.

####### TRANSMISSION INSTRUCTIONS FOR AGENCIES THAT DO NOT HAVE connect:Direct {#transmission-instructions-for-agencies-that-do-not-have-connectdirect .unnumbered}

######## Hardware and Software Requirements for VISN PC-to-PC Transmission {#hardware-and-software-requirements-for-visn-pc-to-pc-transmission .unnumbered}

**Hardware** -- PC minimum 486, 25 MHz running Windows (3.1 or higher)
14.4 Kbps Modem

**Software** -- Communications Software (ProComm Plus recommended)
PCCrypto Encryption Software by McAfee

######## VISN PC-to-PC Transmission {#visn-pc-to-pc-transmission .unnumbered}

VISN utilizes Pro-Comm Plus to exchange data to and from a site to SSA.
It is designed as an alternative method to File Transfer Management
System for data exchange. The SSA site is maintained as a host,
permitting agencies to dial-in to upload their files and to download SSA
output files.

######## The Welcome Screen {#the-welcome-screen .unnumbered}

The VISN welcome screen asks the caller to provide a first name, last
name and password prior to accepting a logon.

First Name = 3 character Organization Code (Organization codes are
listed below.)

Last Name = NHD (constant)

Password = Maximum of 8 characters (Each agency designates their own
password.)

Example: For Bureau of the Census

> First Name = BOC
>
> Last Name = NHD
>
> Password = (*alphanumeric password, between 4 and 8 characters, chosen
> by each agency)*

Following acceptance into the system, a menu is offered that allows the
caller to select the action they wish to perform. Callers are permitted
to choose the protocol they wish.

  ------------------------------ ------ --------------------------- ------
  CHART 10-1: VISN PC-TO-PC                                         
  TRANSMISSION -- ORGANIZATION                                      
  CODES                                                             

  Organization                   Code   Organization                Code

  Administrative Office of the   AOU    House of Representatives    HOR
  U.S. Courts                                                       

  AgFirst Farm Credit Bank       AGF    Office of Thrift            OTS
                                        Supervision                 

  Bonneville Power               BPA    Supreme Court of the United CUS
  Administration                        States                      

  Bureau of the Census           BOC    Tennessee Valley Authority  TVA

  Environmental Protection       EPA    United States Senate        USS
  Agency                                                            

  Federal Reserve Board          FRB                                
  ------------------------------ ------ --------------------------- ------

######## To Upload a File {#to-upload-a-file .unnumbered}

1.  Select 'U' from the menu.

2.  Select the protocol to be used.

3.  Identify the file. (See "Dataset Naming Convention Standards"
    below.)

4.  Provide a file description.

5.  Begin the file transfer.

The system will alert you to successful completion or ABEND.

*Note: The maximum file size that the VISN system will handle is 5 MB.
If you have a file larger than 5 MB, you should divide the file into
multiple files and send them individually.*

######## To Check Availability of Files to Download {#to-check-availability-of-files-to-download .unnumbered}

1.  Initiate a ProComm session.

2.  Select 'F' from the menu to search for files to be downloaded.

3.  Enter XXX\*.\* to identify files that are available for your agency.
    Place your 3-character Organization Code in the 'XXX'.

    Example: For Bureau of the Census

    BOC\*.\*

4.  Identify which files should be downloaded. Files to be downloaded
    are identified as follows:

> XXXMMDD.EXE

XXX = 3 character Organization Code

MM = Month

DD = Day

> Example: For Bureau of the Census

BOC0909.EXE

######## To Download Files {#to-download-files .unnumbered}

1.  After identifying your file(s) to download, select 'D' to download
    the appropriate file(s) with the extension ".EXE".

    Example: BOC0909.EXE

2.  Select the protocol to be used.

3.  Type the full name of the file to be downloaded.

    Example: BOC0909.EXE

4.  Type the 3-character Organization Code followed by "\*.EXE" to
    download all files for your agency.

    Example: BOC\*.EXE

5.  Decrypt and uncompress the file after the download is complete.

> *Note: The file will be downloaded to the default download directory
> of your communications software program. Check the setup menu to find
> this directory.*

######## To Leave Mail for the System Operator {#to-leave-mail-for-the-system-operator .unnumbered}

Select 'L' from the menu.

######## To Page the System Operator {#to-page-the-system-operator .unnumbered}

Select 'C' from the menu

######## Dial-up Lines for PC Transmissions {#dial-up-lines-for-pc-transmissions .unnumbered}

\(410\) 966-0454

\(410\) 966-0459

######## System Operator's Phone Number {#system-operators-phone-number .unnumbered}

\(410\) 966-0461 (24 hour operations)

######## Instructions for Using PCCrypto {#instructions-for-using-pccrypto .unnumbered}

Use PCCrypto to encrypt the data sent to the NDNH. Follow these steps
for encryption:

1.  Create properly formatted file

2.  Name file using the following naming convention:

> xxxMMDDs.NHD

xxx = Organization Code

MM = Month file was created

DD = Day file was created

> s = The segment, a number from 0-9, which instructs the NDNH how to
> put together a file if the size of the file necessitates using more
> than one diskette (should be '0' if sending only one diskette).

3.  Encrypt the file using PCCrypto:

-   Open PCCrypto and compress the file by selecting the "compress" box
    before encrypting the file.

-   Save the encrypted file as a self-extracting executable file with an
    ".EXE' extension. The original file will still have an ".NHD"
    extension, but the encrypted file needs to be a self-extracting
    executable with an ".EXE" extension.

######## Downloading PCCrypto Files {#downloading-pccrypto-files .unnumbered}

PCCrypto will also be used to compress and encrypt return files. The
file will be a self-extracting executable. The requesting site need only
download the executable and provide the pre-determined password to
uncompress and decrypt the return file(s).

1.  At the DOS prompt, change the directory to the location of the
    downloaded file and type the filename without the ".EXE".

2.  Enter the password when prompted.

3.  The downloaded file will be decrypted and uncompressed into the
    final output file(s).

> *Note: The file with the ".EXE" extension will remain on your hard
> drive. Normal maintenance should be applied.*

######## Recommended Dataset Naming Convention Standards {#recommended-dataset-naming-convention-standards .unnumbered}

INCOMING -- Files transmitted to VISN for processing

XXXMMDD#.NHD

XXX = 3 character Organization Code

MM = Month

DD = Day

\# = Sequence number if sending more than one file per day from the same
site

NHD = New Hire Data

OUTPUT FILES -- Report files made available for download.

XXXMMDD.NHD

XXX = 3 character Organization Code

MM = Month

DD = Day

NHD = New Hire Data

## W-4 Record Layouts

The Federal agencies and SDNHs must transmit the W-4 information
according to the specified record layouts. The general rules that apply
to all the record formats are shown below:

1.  All data must be in EBCDIC format.

2.  All alphabetic data must be upper case.

3.  All alphabetic and alphanumeric data must be left justified.

4.  All numeric data must be right justified and zero filled.

5.  All dates must be in the Year 2000-compliant format of CCYYMMDD.

-   CC represents the century.

-   YY represents the year.

-   MM represents the month and must be a number greater than 00, but
    less than 13.

-   DD represents the day of the month and must be a valid number for
    the designated month (e.g., 01-31 for months 01, 03, 05, 07, 08, 10
    or 12; 01-30 for months 04, 06, 09, or 11; and 01-29 for the month
    02).

6.  Name fields cannot include suffixes, such as "Jr.", "Sr.", or "III".

7.  With the exception of the Employer Name, Employee First Name,
    Employee Last Name and city names, all data must consist of the
    characters A-Z and numbers 0-9. The hyphen is the only special
    character allowed and is only allowed in the Employer Name, Employee
    Name and City Name fields.

8.  All state and territory abbreviations in addresses must be valid
    U.S. Postal Service abbreviations. See Appendix C for a complete
    list.

9.  All foreign country codes in addresses must be the two-letter FIPS
    codes assigned to foreign countries. Refer to the Appendix D or to
    the U.S. Department of Commerce FIPS Code Manual, National Institute
    of Standards and Technology, FIPS PUB 10-4 (April 1995) to derive
    this code. In addition, FIPS codes may be found on the Internet at:

    <http://earth-info.nga.mil/gns/html/fips10-4.html>

10. If an address is less than 40 characters per line, do not
    concatenate into one line.

####### W-4 Transmitter Header Record {#w-4-transmitter-header-record .unnumbered}

System processing requires the completion of all fields in the W-4
Header Record.

+---------------+----+---+---+----------------------------------------+
| CHART 10-2:   |    |   |   |                                        |
| W-4           |    |   |   |                                        |
| TRANSMITTER   |    |   |   |                                        |
| HEADER RECORD |    |   |   |                                        |
|               |    |   |   |                                        |
| OMB Control   |    |   |   |                                        |
| nO: 0970-0166 |    |   |   |                                        |
| expiration    |    |   |   |                                        |
| date:         |    |   |   |                                        |
| 04/30/2007    |    |   |   |                                        |
+===============+====+===+===+========================================+
| Field Name    | Lo | L | A | Comments                               |
|               | ca | e | / |                                        |
|               | ti | n | N |                                        |
|               | on | g |   |                                        |
|               |    | t |   |                                        |
|               |    | h |   |                                        |
+---------------+----+---+---+----------------------------------------+
| Record        | 1  | 2 | A | **Required**                           |
| Identifier    | -2 |   | / |                                        |
|               |    |   | N | This must contain the characters 'H4'. |
+---------------+----+---+---+----------------------------------------+
| Transmitter   | 3  | 2 | A | **Required for states and              |
| State Code    | -4 |   | / | territories**                          |
|               |    |   | N |                                        |
|               |    |   |   | This must contain the two-digit        |
|               |    |   |   | numeric FIPS code of the state or      |
|               |    |   |   | territory that is transmitting data to |
|               |    |   |   | the NDNH. Refer to the Appendix C of   |
|               |    |   |   | this *Guide* or to the Department of   |
|               |    |   |   | Commerce FIPS Code Manual, National    |
|               |    |   |   | Institute of Standards and Technology  |
|               |    |   |   | FIPS PUB 5-2 (April 1995) for a list   |
|               |    |   |   | of these codes. In addition, FIPS      |
|               |    |   |   | codes may be found on the Internet at  |
|               |    |   |   | <http:/                                |
|               |    |   |   | /www.itl.nist.gov/fipspubs/fip5-2.htm> |
|               |    |   |   | Federal agencies leave this field      |
|               |    |   |   | blank.                                 |
+---------------+----+---+---+----------------------------------------+
| Transmitter   | 5- | 9 | A | **Required for Federal agencies**      |
| Agency Code   | 13 |   | / |                                        |
|               |    |   | N | This must contain the nine-character   |
|               |    |   |   | Federal Employer Identification Number |
|               |    |   |   | (FEIN) or the letter 'A' followed by   |
|               |    |   |   | the FIPS code of the Federal agency.   |
|               |    |   |   | SDNHs leave this field blank.          |
+---------------+----+---+---+----------------------------------------+
| Transmission  | 1  | 2 | A | **Required**                           |
| Type          | 4- |   | / |                                        |
|               | 15 |   | N | This must contain the characters 'W4'. |
+---------------+----+---+---+----------------------------------------+
| Department of | 16 | 1 | A | **Required for DoD only**              |
| Defense Code  |    |   |   |                                        |
|               |    |   |   | This must contain one of the following |
|               |    |   |   | characters:                            |
|               |    |   |   |                                        |
|               |    |   |   | A = Active duty employees              |
|               |    |   |   |                                        |
|               |    |   |   | C = Civilian employees                 |
|               |    |   |   |                                        |
|               |    |   |   | R = Reserve employees                  |
|               |    |   |   |                                        |
|               |    |   |   | SDNHs and Federal agencies, other than |
|               |    |   |   | the DoD, leave this field blank.       |
+---------------+----+---+---+----------------------------------------+
| Version       | 1  | 2 | A | **Required**                           |
| Control       | 7- |   | / |                                        |
| Number        | 18 |   | N | This must contain the numbers '01'.    |
|               |    |   |   | OCSE will notify the SDNHs and Federal |
|               |    |   |   | agencies when this field changes.      |
+---------------+----+---+---+----------------------------------------+
| Date Stamp    | 1  | 8 | N | **Required**                           |
|               | 9- |   |   |                                        |
|               | 26 |   |   | This must contain the transmission     |
|               |    |   |   | date of the W-4 data to the NDNH. This |
|               |    |   |   | must be in the Year 2000-compliant     |
|               |    |   |   | format of CCYYMMDD.                    |
+---------------+----+---+---+----------------------------------------+
| Batch Number  | 2  | 6 | N | **Required**                           |
|               | 7- |   |   |                                        |
|               | 32 |   |   | This should be a sequential number     |
|               |    |   |   | generated by the transmitting Federal  |
|               |    |   |   | agency or SDNH. Do not repeat batch    |
|               |    |   |   | numbers.                               |
+---------------+----+---+---+----------------------------------------+
| Filler        | 33 | 7 | A | **Required**                           |
|               | -8 | 6 | / |                                        |
|               | 01 | 9 | N | This will be used in future versions.  |
|               |    |   |   | For the current version, this should   |
|               |    |   |   | be all spaces.                         |
+---------------+----+---+---+----------------------------------------+

#######  W-4 Data Record {#w-4-data-record .unnumbered}

Although it is desirable to include all data elements in the W-4 Data
Record, it is recognized that this may not be possible initially. The
intent of the system is to provide information for locating persons in
response to requests from Child Support Enforcement IV-D agencies and to
that end, the minimum number of data elements required are those which
together constitute a meaningful locate record. A W-4 Data Record must
include an Employee First Name, Employee Last Name, Employee SSN and an
address. The address may be the Employee Address or the Employer
Address. The employer's address may be represented by a valid FEIN,
i.e., one that is held on the system's EIF and therefore has an
associated address already in the system.

System processing requires the completion of the Record Identifier field
of the W-4 Data Record.

+---------------+----+---+---+----------------------------------------+
| CHART 10-3:   |    |   |   |                                        |
| W-4 Data      |    |   |   |                                        |
| Record        |    |   |   |                                        |
|               |    |   |   |                                        |
| OMB Control   |    |   |   |                                        |
| nO: 0970-0166 |    |   |   |                                        |
| expiration    |    |   |   |                                        |
| date:         |    |   |   |                                        |
| 04/30/2007    |    |   |   |                                        |
+===============+====+===+===+========================================+
| Field Name    | Lo | L | A | Comments                               |
|               | ca | e | / |                                        |
|               | ti | n | N |                                        |
|               | on | g |   |                                        |
|               |    | t |   |                                        |
|               |    | h |   |                                        |
+---------------+----+---+---+----------------------------------------+
| Record        | 1  | 2 | A | **Required**                           |
| Identifier    | -2 |   | / |                                        |
|               |    |   | N | This must contain the characters 'W4'. |
+---------------+----+---+---+----------------------------------------+
| Employee SSN  | 3- | 9 | N | **Required**                           |
|               | 11 |   |   |                                        |
|               |    |   |   | This must contain a nine-digit SSN.    |
|               |    |   |   |                                        |
|               |    |   |   | If this field is blank or contains any |
|               |    |   |   | alphabetic characters, the system      |
|               |    |   |   | rejects the record.                    |
+---------------+----+---+---+----------------------------------------+
| Employee Name | 1  | 1 | A | **Required: At least one character in  |
|               | 2- | 6 |   | the First Name and one character in    |
| First Name    | 27 |   | A | the Last Name**                        |
|               |    | 1 |   |                                        |
| Middle Name   | 2  | 6 | A | If either the first or last name is    |
|               | 8- |   |   | blank, the system rejects the record.  |
| Last Name     | 43 | 3 |   |                                        |
|               |    | 0 |   | No special characters, except hyphens, |
|               | 4  |   |   | are allowed.                           |
|               | 4- |   |   |                                        |
|               | 73 |   |   |                                        |
+---------------+----+---+---+----------------------------------------+
| Employee      | 74 | 4 | A | **Required: Line (1), if the FEIN and  |
| Street        | -1 | 0 | / | Employer Address are missing**         |
| Address       | 13 |   | N |                                        |
|               |    | 4 |   | If an address is less than 40          |
| Line (1)      | 1  | 0 | A | characters per line, do not            |
|               | 14 |   | / | concatenate into one line.             |
| Line (2)      | -1 | 4 | N |                                        |
|               | 53 | 0 |   | Use Line (3) for a military            |
| Line (3)      |    |   | A | designation or Canadian Province Code. |
|               | 1  |   | / |                                        |
|               | 54 |   | N |                                        |
|               | -1 |   |   |                                        |
|               | 93 |   |   |                                        |
+---------------+----+---+---+----------------------------------------+
| Employee City | 1  | 2 | A | **Required: If the FEIN and Employer   |
|               | 94 | 5 |   | Address are missing**                  |
|               | -2 |   |   |                                        |
|               | 18 |   |   | This must have at least two            |
|               |    |   |   | characters. No special characters,     |
|               |    |   |   | except hyphens, are allowed.           |
+---------------+----+---+---+----------------------------------------+
| Employee      | 2  | 2 | A | **Required: If the FEIN and Employer   |
| State         | 19 |   |   | Address are missing**                  |
|               | -2 |   |   |                                        |
|               | 20 |   |   | This must be a valid two-letter U.S.   |
|               |    |   |   | Postal Service abbreviation of a state |
|               |    |   |   | or territory. Refer to the Appendix C  |
|               |    |   |   | for state and territory abbreviations. |
+---------------+----+---+---+----------------------------------------+
| Employee Zip  | 2  | 5 | A | **Required: First five-digits, if the  |
| Code          | 21 |   | / | FEIN, Employer Address and Foreign Zip |
|               | -2 | 4 | N | Code are missing**                     |
| > Zip Code    | 25 |   |   |                                        |
| > (1)         |    |   | A | This must be a five-digit U.S. Postal  |
| >             | 2  |   | / | Service Zip Code.                      |
| > Zip Code    | 26 |   | N |                                        |
| > (2)         | -2 |   |   | The Zip Code (2) must be either all    |
|               | 29 |   |   | spaces or all numeric.                 |
+---------------+----+---+---+----------------------------------------+
| Employee      | 2  | 2 | A | **Required: If the FEIN and Employer   |
| Foreign       | 30 |   | / | Address are missing and the employee's |
| Address       | -2 | 2 | N | address is a foreign country, the      |
|               | 31 | 5 |   | Foreign Country Code is required.**    |
| Foreign       |    |   | A |                                        |
| Country Code  | 2  | 1 | / | Refer to the Appendix D or to the U.S. |
|               | 32 | 5 | N | Department of Commerce FIPS Code       |
| Foreign       | -2 |   |   | Manual, National Institute of          |
| Country Name  | 56 |   | A | Standards and Technology, FIPS PUB     |
|               |    |   | / | 10-4 (April 1995) to derive this code. |
| Foreign Zip   | 2  |   | N | In addition, FIPS codes may be found   |
| Code          | 57 |   |   | on the Internet at                     |
|               | -2 |   |   | <http://earth                          |
|               | 71 |   |   | -info.nga.mil/gns/html/fips10-4.html>. |
|               |    |   |   |                                        |
|               |    |   |   | The Foreign Country Name and Zip Code  |
|               |    |   |   | are optional.                          |
|               |    |   |   |                                        |
|               |    |   |   | The Foreign Country Name, if present,  |
|               |    |   |   | must be at least two characters.       |
|               |    |   |   |                                        |
|               |    |   |   | Include military designation or        |
|               |    |   |   | Canadian Province Code.                |
+---------------+----+---+---+----------------------------------------+
| Employee Date | 2  | 8 | A | This must be in the Year-2000 format   |
| of Birth      | 72 |   | / | of CCYYMMDD, if present.               |
|               | -2 |   | N |                                        |
|               | 79 |   |   | This must be either all spaces or all  |
|               |    |   |   | numeric.                               |
+---------------+----+---+---+----------------------------------------+
| Employee Date | 2  | 8 | A | This must be in the Year-2000 format   |
| of Hire       | 80 |   | / | of CCYYMMDD, if present.               |
|               | -2 |   | N |                                        |
|               | 87 |   |   | This must be either all spaces or all  |
|               |    |   |   | numeric.                               |
|               |    |   |   |                                        |
|               |    |   |   | The date of hire is the first day in   |
|               |    |   |   | which a person performs services for   |
|               |    |   |   | pay (that is, the first day of work).  |
|               |    |   |   | This is also the date the employer     |
|               |    |   |   | recognizes as the first day for income |
|               |    |   |   | tax withholding.                       |
|               |    |   |   |                                        |
|               |    |   |   | For additional description of how to   |
|               |    |   |   | determine the Employee Date of Hire,   |
|               |    |   |   | consult OCSE's "Frequently Asked       |
|               |    |   |   | Questions" at:                         |
|               |    |   |   |                                        |
|               |    |   |   | http://www.acf.hhs.gov/pro             |
|               |    |   |   | grams/cse/newhire/employer/faq/faq.htm |
+---------------+----+---+---+----------------------------------------+
| Employee      | 2  | 2 | A | This must be a valid two-letter U.S.   |
| State of Hire | 88 |   |   | Postal Service abbreviation of a state |
|               | -2 |   |   | or territory, if present. Refer to the |
|               | 89 |   |   | Appendix C for state and territory     |
|               |    |   |   | abbreviations.                         |
+---------------+----+---+---+----------------------------------------+
| Federal EIN   | 2  | 9 | N | **Required: If the Employee Address    |
|               | 90 |   |   | and the Employer Address are missing** |
|               | -2 |   |   |                                        |
|               | 98 |   |   | This is the Federal Employer           |
|               |    |   |   | Identification Number (FEIN) the IRS   |
|               |    |   |   | assigns to an employer.                |
+---------------+----+---+---+----------------------------------------+
| State EIN     | 2  | 1 | A | This is a number a state may assign an |
|               | 99 | 2 | / | employer.                              |
|               | -3 |   | N |                                        |
|               | 10 |   |   |                                        |
+---------------+----+---+---+----------------------------------------+
| Employer Name | 3  | 4 | A | This must be at least two characters,  |
|               | 11 | 5 | / | if present. No special characters      |
|               | -3 |   | N | except hyphens are allowed.            |
|               | 55 |   |   |                                        |
+---------------+----+---+---+----------------------------------------+
| Employer      | 3  | 4 | A | **Required: If the Employee Address    |
| Street        | 56 | 0 | / | and the FEIN are missing**             |
| Address       | -3 |   | N |                                        |
|               | 95 | 4 |   | This must be at least 2 characters, if |
| Line (1)      |    | 0 | A | present.                               |
|               | 3  |   | / |                                        |
| Line (2)      | 96 | 4 | N | If an address is less than 40          |
|               | -4 | 0 |   | characters per line, do not            |
| Line (3)      | 35 |   | A | concatenate into one line.             |
|               |    |   | / |                                        |
|               | 4  |   | N | Use Line (3) for a military            |
|               | 36 |   |   | designation or Canadian Province Code. |
|               | -4 |   |   |                                        |
|               | 75 |   |   |                                        |
+---------------+----+---+---+----------------------------------------+
| Employer City | 4  | 2 | A | **Required: If the Employee Address    |
|               | 76 | 5 |   | and the FEIN are missing**             |
|               | -5 |   |   |                                        |
|               | 00 |   |   | This must be at least two characters,  |
|               |    |   |   | if present.                            |
|               |    |   |   |                                        |
|               |    |   |   | No special characters, except hyphens, |
|               |    |   |   | are allowed.                           |
+---------------+----+---+---+----------------------------------------+
| Employer      | 5  | 2 | A | **Required: If the Employee Address    |
| State         | 01 |   |   | and the FEIN are missing**             |
|               | -5 |   |   |                                        |
|               | 02 |   |   | This must be a valid two-letter U.S.   |
|               |    |   |   | Postal Service abbreviation of a state |
|               |    |   |   | or territory, if present. Refer to the |
|               |    |   |   | Appendix C for state and territory     |
|               |    |   |   | abbreviations.                         |
+---------------+----+---+---+----------------------------------------+
| Employer Zip  | 5  | 5 | A | **Required: If the Employee Address,   |
| Code          | 03 |   | / | FEIN, and Foreign Zip Code are         |
|               | -5 | 4 | N | missing**                              |
| Zip Code (1)  | 07 |   |   |                                        |
|               |    |   | A | This is the five-digit U.S. Postal     |
| Zip Code (2)  | 5  |   | / | Service Zip Code associated with the   |
|               | 08 |   | N | employer's address.                    |
|               | -5 |   |   |                                        |
|               | 11 |   |   | The Zip Code (2) must be either all    |
|               |    |   |   | spaces or all numeric.                 |
+---------------+----+---+---+----------------------------------------+
| Employer      | 5  | 2 | A | **Required: If the FEIN and Employee   |
| Foreign       | 12 |   | / | Address are missing** **and the        |
| Address       | -5 | 2 | N | employer's address is a foreign        |
|               | 13 | 5 |   | country, the Foreign Country Code is   |
| Foreign       |    |   | A | required.**                            |
| Country Code  | 5  | 1 | / |                                        |
|               | 14 | 5 | N | Refer to the Appendix D or to the U.S. |
| Foreign       | -5 |   |   | Department of Commerce FIPS Code       |
| Country Name  | 38 |   | A | Manual, National Institute of          |
|               |    |   | / | Standards and Technology, FIPS PUB     |
| Foreign Zip   | 5  |   | N | 10-4 (April 1995) to derive this code. |
| Code          | 39 |   |   | In addition, FIPS codes may be found   |
|               | -5 |   |   | on the Internet at                     |
|               | 53 |   |   | <http://earth                          |
|               |    |   |   | -info.nga.mil/gns/html/fips10-4.html>. |
|               |    |   |   | The Foreign Country Name and Zip Code  |
|               |    |   |   | are optional.                          |
|               |    |   |   |                                        |
|               |    |   |   | The Foreign Country Name, if present,  |
|               |    |   |   | must be at least two characters.       |
|               |    |   |   |                                        |
|               |    |   |   | Include military designation or        |
|               |    |   |   | Canadian Province Code.                |
+---------------+----+---+---+----------------------------------------+
| Employer      | 5  | 4 | A | This is the employer's street address  |
| Optional      | 54 | 0 | / | where a child support wage withholding |
| Street        | -5 |   | N | order should be sent.                  |
| Address       | 93 | 4 |   |                                        |
|               |    | 0 | A | If an address is less than 40          |
| Line (1)      | 5  |   | / | characters per line, do not            |
|               | 94 | 4 | N | concatenate into one line.             |
| Line (2)      | -6 | 0 |   |                                        |
|               | 33 |   | A | Use Line (3) for a military            |
| Line (3)      |    |   | / | designation or Canadian Province Code. |
|               | 6  |   | N |                                        |
|               | 34 |   |   |                                        |
|               | -6 |   |   |                                        |
|               | 73 |   |   |                                        |
+---------------+----+---+---+----------------------------------------+
| Employer      | 6  | 2 | A | No special characters, except hyphens, |
| Optional City | 74 | 5 |   | are allowed.                           |
|               | -6 |   |   |                                        |
|               | 98 |   |   |                                        |
+---------------+----+---+---+----------------------------------------+
| Employer      | 6  | 2 | A | This must be a valid two-letter U.S.   |
| Optional      | 99 |   |   | Postal Service abbreviation of a state |
| State         | -7 |   |   | or territory, if present. Refer to the |
|               | 00 |   |   | Appendix C for state and territory     |
|               |    |   |   | abbreviations.                         |
+---------------+----+---+---+----------------------------------------+
| Employer      | 7  | 5 | A | This must be either all spaces or all  |
| Optional Zip  | 01 |   | / | numeric.                               |
| Code          | -7 | 4 | N |                                        |
|               | 05 |   |   |                                        |
| Zip Code (1)  |    |   | A |                                        |
|               | 7  |   | / |                                        |
| Zip Code (2)  | 06 |   | N |                                        |
|               | -7 |   |   |                                        |
|               | 09 |   |   |                                        |
+---------------+----+---+---+----------------------------------------+
| Employer      | 7  | 2 | A | Foreign Country Code: Refer to the     |
| Optional      | 10 |   | / | Appendix D or to the U.S. Department   |
| Foreign       | -7 | 2 | N | of Commerce FIPS Code Manual, National |
| Address       | 11 | 5 |   | Institute of Standards and Technology, |
|               |    |   | A | FIPS PUB 10-4 (April 1995) to derive   |
| Foreign       | 7  | 1 | / | this code. In addition, FIPS codes may |
| Country Code  | 12 | 5 | N | be found on the Internet at            |
|               | -7 |   |   |                                        |
| Foreign       | 36 |   | A | <http://earth                          |
| Country Name  |    |   | / | -info.nga.mil/gns/html/fips10-4.html>. |
|               | 7  |   | N |                                        |
| Foreign Zip   | 37 |   |   | The Foreign Country Name must be at    |
| Code          | -7 |   |   | least two characters, if present.      |
|               | 51 |   |   |                                        |
|               |    |   |   | Include military designation or        |
|               |    |   |   | Canadian Province Code.                |
+---------------+----+---+---+----------------------------------------+
| Filler        | 7  | 5 | A | This will be used in future versions.  |
|               | 52 | 0 | / | For the current version, this should   |
|               | -8 |   | N | be all spaces.                         |
|               | 01 |   |   |                                        |
+---------------+----+---+---+----------------------------------------+

#######  W-4 Total Record {#w-4-total-record .unnumbered}

System processing requires the completion of all fields in the W-4 Total
Record.

+---------------+----+---+---+----------------------------------------+
| CHART 10-4:   |    |   |   |                                        |
| W-4 TOTAL     |    |   |   |                                        |
| RECORD        |    |   |   |                                        |
|               |    |   |   |                                        |
| OMB Control   |    |   |   |                                        |
| nO: 0970-0166 |    |   |   |                                        |
| expiration    |    |   |   |                                        |
| date:         |    |   |   |                                        |
| 04/30/2007    |    |   |   |                                        |
+===============+====+===+===+========================================+
| Field Name    | Lo | L | A | Comments                               |
|               | ca | e | / |                                        |
|               | ti | n | N |                                        |
|               | on | g |   |                                        |
|               |    | t |   |                                        |
|               |    | h |   |                                        |
+---------------+----+---+---+----------------------------------------+
| Record        | 1  | 2 | A | **Required**                           |
| Identifier    | -2 |   | / |                                        |
|               |    |   | N | This must contain the characters 'T4'. |
+---------------+----+---+---+----------------------------------------+
| Data Record   | 3- | 1 | N | **Required**                           |
| Count         | 13 | 1 |   |                                        |
|               |    |   |   | This must be the number of records in  |
|               |    |   |   | the transmission, including the header |
|               |    |   |   | and trailer records.                   |
+---------------+----+---+---+----------------------------------------+
| Filler        | 14 | 7 | A | **Required**                           |
|               | -8 | 8 | / |                                        |
|               | 01 | 8 | N | This will be used in future versions.  |
|               |    |   |   | For the current version, this should   |
|               |    |   |   | be all spaces.                         |
+---------------+----+---+---+----------------------------------------+

## Pre-Transmission Editing

Prior to submitting W-4 data to the NDNH, Federal agencies and SDNHs
should perform edits on the data to ensure compliance with the
requirements as outlined in the record layouts. This ensures that the
data meets the requirements for acceptance to the NDNH and that the NDNH
has accurate and complete information. All submitters must meet the
mandatory data requirements.

## Frequency of Transmission

Federal law requires the SDNHs to enter W-4 data on their system within
five business days of receipt of the data from employers. The SDNHs must
then transmit the data to the NDNH within three business days from
entering it into their system.

Federal agencies transmit W-4 data directly to the NDNH. Such report
shall be made not later than 20 days after the date the agency hires the
employee; or in the case of an agency transmitting reports magnetically
or electronically, by 2 monthly transmissions (if necessary) not less
than 12 days nor more than 16 days part.

## Transmission Errors

When transmitting W-4 data, there are errors that can occur at the
transmission level. Depending upon the type of error, the system: 1)
rejects the entire transmission, 2) rejects part of the transmission, or
3) accepts the transmission, but returns a warning code to the
submitting agency. If a Federal agency or SDNH receives notice of
rejection due to transmission error (#1 and #2 above), they must correct
the information and resubmit the data. The following table lists the
error codes at the transmission level. Refer to the Section 11.0 "W-4
Data Validation and Verification", for a list and explanation of W-4
record errors.

+------+---------------------------------------------------------------+
| C    |                                                               |
| HART |                                                               |
| 1    |                                                               |
| 0-5: |                                                               |
| W-4  |                                                               |
| Tran |                                                               |
| smis |                                                               |
| sion |                                                               |
| E    |                                                               |
| rror |                                                               |
| and  |                                                               |
| War  |                                                               |
| ning |                                                               |
| C    |                                                               |
| odes |                                                               |
| T    |                                                               |
| able |                                                               |
+======+===============================================================+
| Code | Error Message and Description                                 |
+------+---------------------------------------------------------------+
| TRAN |                                                               |
| SMIS |                                                               |
| SION |                                                               |
| E    |                                                               |
| RROR |                                                               |
| C    |                                                               |
| ODES |                                                               |
| --   |                                                               |
| Full |                                                               |
| Tran |                                                               |
| smis |                                                               |
| sion |                                                               |
| Reje |                                                               |
| cted |                                                               |
+------+---------------------------------------------------------------+
| 5000 | The Transmitter Header record is required.                    |
|      |                                                               |
|      | The Transmission Header Record must be present at the         |
|      | beginning of each transmission file.                          |
+------+---------------------------------------------------------------+
| 5001 | The Transmitter Header Record does not contain the            |
|      | Transmitter State Code or Transmitter Agency Code.            |
+------+---------------------------------------------------------------+
| 5002 | The Transmitter Header Record does not contain the Version    |
|      | Control Number or has an invalid Version Control Number.      |
|      | Version Control Number must equal '01'.                       |
+------+---------------------------------------------------------------+
| 5003 | The Transmitter Header Record contains a non-numeric Batch    |
|      | Number. The Transmission Header Record must contain a numeric |
|      | Batch Number.                                                 |
+------+---------------------------------------------------------------+
| 5004 | The Transmitter Header Record contains a Batch Number that is |
|      | a duplicate of a previously received Batch Number. The        |
|      | Transmission Header Record must not contain a Batch Number    |
|      | that is a duplicate of a Batch Number received in a previous  |
|      | transmission from the state or Federal Agency within the same |
|      | calendar year.                                                |
+------+---------------------------------------------------------------+
| TRAN |                                                               |
| SMIS |                                                               |
| SION |                                                               |
| E    |                                                               |
| RROR |                                                               |
| C    |                                                               |
| ODES |                                                               |
| --   |                                                               |
| Part |                                                               |
| of   |                                                               |
| the  |                                                               |
| Tran |                                                               |
| smis |                                                               |
| sion |                                                               |
| Reje |                                                               |
| cted |                                                               |
+------+---------------------------------------------------------------+
| 5005 | The Transmitter Header Record is not the first record. All    |
|      | records are rejected until a Transmitter Header Record is     |
|      | found.                                                        |
+------+---------------------------------------------------------------+
| TRAN |                                                               |
| SMIS |                                                               |
| SION |                                                               |
| WAR  |                                                               |
| NING |                                                               |
| C    |                                                               |
| ODES |                                                               |
| --   |                                                               |
| Tran |                                                               |
| smis |                                                               |
| sion |                                                               |
| A    |                                                               |
| ccep |                                                               |
| ted, |                                                               |
| Warn |                                                               |
| ings |                                                               |
| Is   |                                                               |
| sued |                                                               |
+------+---------------------------------------------------------------+
| 5006 | The Transmission Type in the Transmitter Header Record must   |
|      | equal 'W4'.                                                   |
+------+---------------------------------------------------------------+
| 5007 | The Transmitter Header Record does not contain the Date Stamp |
|      | or the Date Stamp is an invalid date.                         |
+------+---------------------------------------------------------------+
| 5008 | The Total Record is missing.                                  |
+------+---------------------------------------------------------------+
| 5009 | The Data Record Count is non-numeric.                         |
+------+---------------------------------------------------------------+
| 5010 | The Data Record Count does not equal the count of the records |
|      | received.                                                     |
+------+---------------------------------------------------------------+

## Resubmittal Process

The resubmittal process is identical to the standard submittal process.
Federal agencies and SDNHs resubmit all corrected records and
transmissions in the standard formats and via C:D or via the alternative
transmission method for designated agencies. When resubmitting a
corrected transmission, the submitter should submit the corrected full
transmission. When resubmitting corrected records, only the corrected
records. Submitters that are unable to correct the records or identify
the transmission problems can contact technical support for assistance.
Refer to Section 3.0, "Technical Support", for a list of the available
technical support options.

# W-4 DATA VALIDATION AND VERIFICATION

Accurate data is essential to ensure the integrity of the NDNH database.
W-4 data transmitted by a Federal agency or state undergoes various
validation and verification processes. Submitters receive information
regarding validation and verification within four business days. Refer
to Section 13.0, "W-4 Output to Submitters", for more detail regarding
return data.

## Validation Process

NDNH edits incoming data at the various levels from file transmission to
the individual record.

### TRANSMISSION LEVEL EDITING

When a file is received by the NDNH, the Node ID in the dataset name for
states and Federal agencies is verified to determine if the submission
is from a valid user. If the Node ID is not valid, the file will be
suspended and the submitter will be contacted.

After the Node ID has been validated, the Submitter ID in the Header
Record is evaluated against a Master Table to determine the authenticity
of the submission. If the Submitter ID is not registered in the Master
Table, the batch will be suspended and the submitter will be contacted.

### Batch EDITING

All files that pass the transmission level editing are evaluated to
ensure that the required records and data values in the header and file
are present. If the required elements or records are missing, the
transmission will be rejected. The edits will allow part of or the
entire transmission to be processed if minor errors occur. Chart 11-1,
"W-4 Batch Editing", describes the types of edits performed and the
output at the submission level.

  -----------------------------------------------------------------------
  CHART 11-1: W-4 Batch Editing       
  ----------------------------------- -----------------------------------
  Edit                                Processing

  Check for a Transmission Header     The transmission is rejected and an
  Records in the file. If the         error code is returned to the
  Transmitter Header Record is        submitter.
  missing, the file is rejected.      

  The Transmitter Header Record does  The transmission is rejected and an
  not contain a valid Transmitter     error code is returned to the
  State or Federal Agency Code.       submitter.

  The Transmitter Header Record does  The transmission is rejected and an
  not contain the Version Number or   error code is returned to the
  has an invalid Version Number.      submitter.

  The Transmitter Header Record       The transmission is rejected and an
  contains a non-numeric Batch        error code is returned to the
  Number.                             submitter.

  The Transmitter Header Record       The transmission is rejected and an
  contains a Batch Number that is a   error code is returned to the
  duplicate of a Batch Number that    submitter.
  was previously received from the    
  submitter within the Calendar Year. 

  The Transmitter Header Record is    All records prior to the Header
  not the first record in the file.   Record are rejected and all records
                                      after the Header Record are
                                      processed. A warning code is
                                      returned to the submitter.

  The Transmission Type in the        All records are processed and a
  Transmitter Header Record is not    warning code is returned to the
  equal to 'W-4'.                     submitter.

  The Date Stamp is missing or        All records are processed and a
  invalid in the Transmitter Header   warning code is returned to the
  Record.                             submitter.

  The Total Record is missing.        All records are processed and a
                                      warning code is returned to the
                                      submitter.

  The Data Record Count is            All records are processed and a
  non-numeric.                        warning code is returned to the
                                      submitter.

  The Data Record Count does not      All records are processed and a
  equal the count of the records      warning code is returned to the
  received.                           submitter.
  -----------------------------------------------------------------------

If a W-4 submitter receives notice of rejection, the submitter should
correct the information and resubmit the data via CONNECT: Direct or the
designated alternative transmission method. If the submitter receives a
warning notification, they should investigate the warning. If records
were not processed because of the warning, the submitter should correct
the issue and resubmit the data.

### rECORD LEVEL EDITING

The NDNH edits each record to ensure that all of the required data
elements are present, that key values are valid, and that data conforms
to the system standards before it is accepted.

#### SSN/Name Verification

The NDNH System performs edits on the SSN and Name entries and sends
SSN/Name combinations that appear to be valid to SSA for verification.
Section 5.0, "Social Security Number Verification", outlines the SSN
verification processes and errors. Chart 11-2, "W-4 SSN/Name
Verification", describes the types of SSN edits performed on each W-4
record.

  -----------------------------------------------------------------------
  CHART 11-2: W-4 SSN/Name            
  Verification                        
  ----------------------------------- -----------------------------------
  Edit                                Processing

  The SSN is spaces.                  The record is rejected with an
                                      error code and is returned to the
                                      submitter.

  The SSN is non-numeric.             The record is rejected with an
                                      error code and is returned to the
                                      submitter.

  The SSN is not greater than zeros.  The record is rejected with an
                                      error code and is returned to the
                                      submitter.

  The first 5 digits of the SSN have  The record is rejected with an
  not been issued by SSA.             error code and is returned to the
                                      submitter.

  The Employee Name is missing.       The record is rejected with an
                                      error code and is returned to the
                                      submitter.

  The SSN and name do not match with  The record is rejected with an
  SSA's records, or the SSN is not    error code and is returned to the
  found at SSA.                       submitter. This is returned after
                                      all attempts to verify the SSN and
                                      name fail.

  Verification of SSN and name        The record is passed to the next
  failed, the First Name and Last     level of verification. The record
  Name were transposed, and the SSN   is assigned a warning code and is
  and transposed name combination was returned to the submitter.
  verified.                           
  -----------------------------------------------------------------------

Any records that do not pass the SSN or SSN/Name verification process
are dropped from the system. All records passing the SSN or SSN/Name
verification process will continue through the record edits.

#### Minimal Data Validation

Each W-4 data is validated to ensure that it contains an:

-   Employee Address,

-   Employer Address, or

-   FEIN.

If the record does not an Employee Address, Employer Address or FEIN; it
is rejected with an error code and returned to the submitter.

#### General Validation

General Validation edits are performed on all records passing the
SSN/Name and Minimal Data Validation. These edits will determine the
validity of the data provided or identify missing data that would be
beneficial to NDNH users. General validation will only create warning
codes for the W-4 record. These warning codes will not keep records from
being posted to the NDNH.

The employee data is checked for a first and last name. If the first or
last name is missing a warning code is returned to the submitter.

The date of birth and date of hire are checked to ensure that they are
numeric and contain valid dates. If the dates contain an invalid day,
month, or year; a warning code is returned to the submitter.

The employee and employer address data are analyzed to determine the
validity of the data provided. Chart 11-3, "W-4 General Validation",
describes how the analysis is performed:

  -----------------------------------------------------------------------
  CHART 11-3: W-4 General Validation  
  ----------------------------------- -----------------------------------
  Edit                                Processing

  The Employee or Employer Zip Code   A warning code is returned to the
  is missing or non-numeric.          submitter.

  The Employee or Employer Zip Code   A warning code is returned to the
  does not match the City.            submitter.

  The FEIN is non-numeric.            A warning code is returned to the
                                      submitter.

  The FEIN is blank or zeros.         A warning code is returned to the
                                      submitter.

  The Employee or Employer State is   A warning code is returned to the
  missing.                            submitter.

  The Employee or Employer State is   A warning code is returned to the
  invalid (not a valid 2 character    submitter.
  USPS abbreviation).                 

  The Employee or Employer Name is    A warning code is returned to the
  blank.                              submitter.

  The Employee or Employer Address    A warning code is returned to the
  Line 1, 2 and 3 are all blanks.     submitter.

  The Employee or Employer City is    A warning code is returned to the
  blank.                              submitter.

  The Employee or Employer Foreign    A warning code is returned to the
  City is blank and the Employer Zip  submitter.
  Code is blank.                      
  -----------------------------------------------------------------------

## Error Codes and Explanations

The following Chart 11-4, "W-4 Error and Warning Codes", outlines the
W-4 record error and warning codes:

  -------------------------------------------------------------------------
  CHART      
  11-4: W-4  
  Error and  
  Warning    
  Codes      
  ---------- --------------------------------------------------------------
  Code       Error Description

  ERROR      
  CODES --   
  RECORD     
  REJECTED   
  AND NOT    
  ADDED TO   
  NDNH       

  0001       SSN and name do not match.

  0002       SSN is invalid or out of range.

  0011       SSN is non-numeric.

  0015       SSN is missing or is not greater than zeroes.

  0016       Employee Name is missing.

  0017       Employee Address and Employer Address are missing (and
             Employer Address cannot be derived from the FEIN).

  WARNING    
  CODES --   
  RECORD     
  ACCEPTED   
  AND ADDED  
  TO NDNH    

  0004       W-4 SSN verified by transposing First Name and Last name.

  0005       W-4 SSN has been corrected.

  0020       Employee Zip Code is missing or non-numeric; format must be a
             five-digit U.S. Postal Service Zip Code.

  0021       Employee Zip Code does not match City.

  0022       Employee State abbreviation is missing.

  0023       Employee State abbreviation is invalid; format should be two
             letter state or territory abbreviation.

  0024       Employee First Name is missing.

  0025       Employee Last Name is missing.

  0027       Employee Street Address Lines are missing.

  0028       Employee City is missing.

  0029       Employee Date of Birth is an invalid date; format should be
             CCYYMMDD.

  0030       Employee Date of Hire is an invalid date; format should be
             CCYYMMDD.

  0031       Employee State of Hire is invalid; format should be two-letter
             state or territory abbreviation.

  0032       Employee Address is incomplete.

  0040       Employer Zip Code is missing or non-numeric.

  0041       Employer Zip Code does not match City.

  0042       FEIN is non-numeric.

  0043       FEIN is missing or is zero.

  0044       Employer State abbreviation is missing.

  0045       Employer State abbreviation is invalid; format should be
             two-letter state or territory abbreviation.

  0046       Employer Name is missing.

  0047       Employer Street Address Lines are missing.

  0048       Employer City is missing.

  0049       Employer Foreign Address is incomplete.
  -------------------------------------------------------------------------

# W-4 NDNH UPDATE

The NDNH System stores verified records in the NDNH W-4 File. The W-4
records in the NDNH W-4 File are the records the system uses for
proactive matching with the FCR and for locate searches in response to a
locate request.

## Duplicates

If a Federal agency or SDNH submits a duplicate record or records within
a transmission, the NDNH System processes the first of such records and
ignores the duplicate W-4 record(s). Two W-4 records are considered
duplicates of each other only if the contents of each field matches the
contents of the corresponding field on the other record. If an SDNH or
Federal agency submits a duplicate record in a subsequent transmission,
the NDNH stores the duplicate W-4 record, as the system does not compare
new W-4 records to previously- submitted records.

# W-4 OUTPUT TO SUBMITTERS

The NDNH System returns information regarding W-4 data to the submitter.
The NDNH

System returns the following:

1.  The number of records received in a transmission, including the
    Transmitter Header Record and the Total Record;

2.  The number of rejected records;

3.  The number of records in a transmission with errors or warnings
    regardless of the return error suppression matrix choices;

4.  The number of records accepted and written to the NDNH file;

5.  Transmission error codes;

6.  Each W-4 record that has errors or warnings along with up to five
    error or warning codes; and

7.  Each W-4 record that has a corrected SSN along with the correct SSN.

In addition to receiving return data about W-4 records, SDNHs receive an
MI summary report on a regularly scheduled basis. Refer to Section 14.0,
"W-4 Management Information", for details and information on MI reports.

## Output Record Layouts

The NDNH returns W-4 record transmission and error information via SSA's
closed-line C:D system to:

1.  all states, and

2.  Federal agencies that submit data by C:D.

Federal agencies that submit data via VISN PC-to-PC method obtain their
W-4 transmission and error information via VISN.

A trailer or total record is not returned to the submitting state or
Federal agency in response to W-4 transmissions. Each transmission
contains two types of records in the following order:

1.  [W-4 Transmission Control Record]{.underline} -- This record
    precedes the returning W-4 records and contains information about
    the submitter's transmission.

2.  [W-4 Data Records]{.underline} -- These records contain the actual
    W-4 data, associated errors or warnings and the corrected SSN (when
    applicable).

The NDNH transmits the returning W-4 information according to specified
record layouts. There are some general rules that apply to the record
formats. The following are the general rules:

1.  All data are in EBCDIC format.

2.  All alphabetic data are upper case.

3.  All alphabetic and alphanumeric data are left justified.

4.  All numeric data are right justified and zero filled.

5.  All dates are in the Year 2000-compliant formatting of CCYYMMDD.

-   CC represents the century.

-   YY represents the year.

-   MM represents the month and must be a number greater than 00, but
    less than 13.

-   DD represents the day of the month and must be a valid number for
    the designated month (that is, 01-31 for month 01, 03, 05, 07, 08,
    10, and 12; 01-30 for month 04, 06, 09, and 11; and 01-29 for month
    02).

6.  There are no special characters with the exception of Employer Name,
    Employee First Name, Employee Last Name and City, which may have the
    special character hyphen only.

7.  All state and territory abbreviations in addresses are valid U.S.
    Postal Service abbreviations. See Appendix C for listing.

8.  All foreign country code abbreviations in addresses are the 2-digit
    FIPS code assigned to a foreign country. Refer to Appendix D,
    "Foreign Country FIPS Codes", in this Guide, or to the U.S.
    Department of Commerce FIPS Code Manual, National Institute of
    Standards and Technology, FIPS PUB 10-4 (April 1995), to derive this
    code. In addition, FIPS codes may be found on the Internet at
    <http://earth-info.nga.mil/gns/html/fips10-4.html>.

+-------------------------+---------------+------+--------------------+
| CHART 13-1: W-4         |               |      |                    |
| Transmission Control    |               |      |                    |
| Record                  |               |      |                    |
|                         |               |      |                    |
| OMB Control nO:         |               |      |                    |
| 0970-0166 expiration    |               |      |                    |
| date: 04/30/2007        |               |      |                    |
+=========================+===============+======+====================+
| Field Name              | Location      | Le   | Alpha/Numeric      |
|                         |               | ngth |                    |
+-------------------------+---------------+------+--------------------+
| Record Identifier       | 1-2           | 2    | A/N                |
+-------------------------+---------------+------+--------------------+
| Transmitter State Code  | 3-4           | 2    | A/N                |
+-------------------------+---------------+------+--------------------+
| Transmitter Agency Code | 5-13          | 9    | A/N                |
+-------------------------+---------------+------+--------------------+
| Transmission Type       | 14-15         | 2    | A/N                |
+-------------------------+---------------+------+--------------------+
| Department of Defense   | 16            | 1    | A                  |
| Code                    |               |      |                    |
+-------------------------+---------------+------+--------------------+
| Version Control Number  | 17-18         | 2    | A/N                |
+-------------------------+---------------+------+--------------------+
| Date Stamp              | 19-26         | 8    | N                  |
+-------------------------+---------------+------+--------------------+
| Batch Number            | 27-32         | 6    | N                  |
+-------------------------+---------------+------+--------------------+
| Records Received        | 33-43         | 11   | N                  |
+-------------------------+---------------+------+--------------------+
| Records Rejected        | 44-54         | 11   | N                  |
+-------------------------+---------------+------+--------------------+
| Error Records Returned  | 55-65         | 11   | N                  |
+-------------------------+---------------+------+--------------------+
| Records Posted to NDNH  | 66-76         | 11   | N                  |
+-------------------------+---------------+------+--------------------+
| Filler                  | 77-87         | 11   | A/N                |
+-------------------------+---------------+------+--------------------+
| Error Code 1            | 88-91         | 4    | A/N                |
+-------------------------+---------------+------+--------------------+
| Error Code 2            | 92-95         | 4    | A/N                |
+-------------------------+---------------+------+--------------------+
| Error Code 3            | 96-99         | 4    | A/N                |
+-------------------------+---------------+------+--------------------+
| Error Code 4            | 100-103       | 4    | A/N                |
+-------------------------+---------------+------+--------------------+
| Error Code 5            | 104-107       | 4    | A/N                |
+-------------------------+---------------+------+--------------------+
| Filler                  | 108-831       | 724  | A/N                |
+-------------------------+---------------+------+--------------------+

Data in the W-4 Transmission Control Record is a duplicate of the
information submitted by the Federal agency or SDNH, with the exception
of the following:

**Record Identifier:** This is the character and number 'R4' identifying
the record as the header record containing returning W-4 data.

**Records Received:** This is the total number of records received in
the transmission, including the header and trailer records.

**Records Rejected:** This is the total number of records rejected in
the transmission.

**Error Records Returned:** This is the total number of W-4 records with
errors or warnings returned in the transmission.

**Records Posted to NDNH:** This is the total number of W-4 records in
the transmission that were accepted and posted to the NDNH W-4 File.

**Error Code 1**: \*This is an error at the transmission level.

**Error Code 2**: \*This is an error at the transmission level.

**Error Code 3**: \*This is an error at the transmission level.

**Error Code 4**: \*This is an error at the transmission level.

**Error Code 5**: \*This is an error at the transmission level.

**Filler:** This field is all spaces.

\*Refer to the "W-4 Transmission Error and Warning Codes Table" in
section 10.5, "Transmission Errors", for the transmission level error
and warning codes and their explanation.

+-------------------------+---------------+------+--------------------+
| CHART 13-2: W-4 DATA    |               |      |                    |
| RECORD (RETURNED TO     |               |      |                    |
| SUBMITTER)              |               |      |                    |
|                         |               |      |                    |
| OMB Control nO:         |               |      |                    |
| 0970-0166 expiration    |               |      |                    |
| date: 04/30/2007        |               |      |                    |
+=========================+===============+======+====================+
| Field Name              | Location      | Le   | Alpha/Numeric      |
|                         |               | ngth |                    |
+-------------------------+---------------+------+--------------------+
| Record Identifier       | 1-2           | 2    | A/N                |
+-------------------------+---------------+------+--------------------+
| Employee SSN            | 3-11          | 9    | N                  |
+-------------------------+---------------+------+--------------------+
| Employee Name           | 12-27         | 16   | A                  |
|                         |               |      |                    |
| First Name              | 28-43         | 16   | A                  |
|                         |               |      |                    |
| Middle Name             | 44-73         | 30   | A                  |
|                         |               |      |                    |
| Last Name               |               |      |                    |
+-------------------------+---------------+------+--------------------+
| Employee Street Address | 74-113        | 40   | A/N                |
|                         |               |      |                    |
| Line (1)                | 114-153       | 40   | A/N                |
|                         |               |      |                    |
| Line (2)                | 154-193       | 40   | A/N                |
|                         |               |      |                    |
| Line (3)                |               |      |                    |
+-------------------------+---------------+------+--------------------+
| Employee City           | 194-218       | 25   | A                  |
+-------------------------+---------------+------+--------------------+
| Employee State          | 219-220       | 2    | A                  |
+-------------------------+---------------+------+--------------------+
| Employee Zip Code       | 221-225       | 5    | A/N                |
|                         |               |      |                    |
| Zip Code (1)            | 226-229       | 4    | A/N                |
|                         |               |      |                    |
| Zip Code (2)            |               |      |                    |
+-------------------------+---------------+------+--------------------+
| Employee Foreign        | 230-231       | 2    | A/N                |
| Address                 |               |      |                    |
|                         | 232-256       | 25   | A/N                |
| Foreign Country Code    |               |      |                    |
|                         | 257-271       | 15   | A/N                |
| Foreign Country Name    |               |      |                    |
|                         |               |      |                    |
| Foreign Zip Code        |               |      |                    |
+-------------------------+---------------+------+--------------------+
| Employee Date of Birth  | 272-279       | 8    | A/N                |
+-------------------------+---------------+------+--------------------+
| Employee Date of Hire   | 280-287       | 8    | A/N                |
+-------------------------+---------------+------+--------------------+
| Employee State of Hire  | 288-289       | 2    | A                  |
+-------------------------+---------------+------+--------------------+
| Federal EIN             | 290-298       | 9    | N                  |
+-------------------------+---------------+------+--------------------+
| State EIN               | 299-310       | 12   | A/N                |
+-------------------------+---------------+------+--------------------+
| Employer Name           | 311-355       | 45   | A/N                |
+-------------------------+---------------+------+--------------------+
| Employer Street Address | 356-395       | 40   | A/N                |
|                         |               |      |                    |
| Line (1)                | 396-435       | 40   | A/N                |
|                         |               |      |                    |
| Line (2)                | 436-475       | 40   | A/N                |
|                         |               |      |                    |
| Line (3)                |               |      |                    |
+-------------------------+---------------+------+--------------------+
| Employer City           | 476-500       | 25   | A                  |
+-------------------------+---------------+------+--------------------+
| Employer State          | 501-502       | 2    | A                  |
+-------------------------+---------------+------+--------------------+
| Employer Zip Code       | 503-507       | 5    | A/N                |
|                         |               |      |                    |
| Zip Code (1)            | 508-511       | 4    | A/N                |
|                         |               |      |                    |
| Zip Code (2)            |               |      |                    |
+-------------------------+---------------+------+--------------------+
| Employer Foreign        | 512-513       | 2    | A/N                |
| Address                 |               |      |                    |
|                         | 514-538       | 25   | A/N                |
| Foreign Country Code    |               |      |                    |
|                         | 539-553       | 15   | A/N                |
| Foreign Country Name    |               |      |                    |
|                         |               |      |                    |
| Foreign Zip Code        |               |      |                    |
+-------------------------+---------------+------+--------------------+
| Employer Optional       | 554-593       | 40   | A/N                |
| Street Address          |               |      |                    |
|                         | 594-633       | 40   | A/N                |
| Line (1)                |               |      |                    |
|                         | 634-673       | 40   | A/N                |
| Line (2)                |               |      |                    |
|                         |               |      |                    |
| Line (3)                |               |      |                    |
+-------------------------+---------------+------+--------------------+
| Employer Optional City  | 674-698       | 25   | A                  |
+-------------------------+---------------+------+--------------------+
| Employer Optional State | 699-700       | 2    | A                  |
+-------------------------+---------------+------+--------------------+
| Employer Optional Zip   | 701-705       | 5    | A/N                |
| Code                    |               |      |                    |
|                         | 706-709       | 4    | A/N                |
| Zip Code (1)            |               |      |                    |
|                         |               |      |                    |
| Zip Code (2)            |               |      |                    |
+-------------------------+---------------+------+--------------------+
| Employer Optional       | 710-711       | 2    | A/N                |
| Foreign Address         |               |      |                    |
|                         | 712-736       | 25   | A/N                |
| Foreign Country Code    |               |      |                    |
|                         | 737-751       | 15   | A/N                |
| Foreign Country Name    |               |      |                    |
|                         |               |      |                    |
| Foreign Zip Code        |               |      |                    |
+-------------------------+---------------+------+--------------------+
| Filler                  | 752-801       | 50   | A/N                |
+-------------------------+---------------+------+--------------------+
| Error Code 1            | 802-805       | 4    | A/N                |
+-------------------------+---------------+------+--------------------+
| Error Code 2            | 806-809       | 4    | A/N                |
+-------------------------+---------------+------+--------------------+
| Error Code 3            | 810-813       | 4    | A/N                |
+-------------------------+---------------+------+--------------------+
| Error Code 4            | 814-817       | 4    | A/N                |
+-------------------------+---------------+------+--------------------+
| Error Code 5            | 818-821       | 4    | A/N                |
+-------------------------+---------------+------+--------------------+
| SSN Correction          | 822           | 1    | A/N                |
| Indicator               |               |      |                    |
+-------------------------+---------------+------+--------------------+
| Corrected SSN           | 823-831       | 9    | A/N                |
+-------------------------+---------------+------+--------------------+

All returning W-4 data records are duplicates of the information
submitted by the SDNH or Federal agency, with the exception of the
following:

**Record Identifier:** Contains the characters 'WO' identifying the
record as containing returning W-4 employee and employer data.

**Error Code 1:** \*This is an error on the W-4 record.

**Error Code 2:** \*This is an error on the W-4 record.

**Error Code 3:** \*This is an error on the W-4 record.

**Error Code 4:** \*This is an error on the W-4 record.

**Error Code 5:** \*This is an error on the W-4 record.

**SSN Correction Indicator:** If an SSN has been corrected, this is 'C'.
If the record does not contain a corrected SSN, this field is blank.

**Corrected SSN:** If an SSN has been corrected, this is the corrected
SSN.

\* Refer to Chart 11-4, "W-4 Error and Warning Codes".

## Output Mode

The NDNH returns W-4 data via SSA's closed-line CONNECT:Direct system,
or via the alternate transmission method, if used by a Federal agency.
Each Federal agency or SDNH receives return data on a daily basis, as
scheduled by SSA. The NDNH does not return any data by hard copy.

## Output Control Matrix

During the processing of W-4 records, the system may detect errors or
identify abnormal conditions that can cause the return of a record to
the submitter with error or warning messages. The NDNH Output Control
Matrix determines which W-4 records with errors, warnings, or
information codes are returned to each submitter. This form cannot be
used to suppress transmission or submission-level errors. Submission of
the form is optional; the default is to return all records with error,
warning or information codes.

Federal agencies may not use the Output Control Matrix to suppress the
output of response records that have SSN verification codes.

Each state or Federal agency can set some of the report parameters of
the Output Control Matrix based on their requirements and needs for
returned information by completing the form. This gives the submitter
the ability to restrict some of the returned data that they receive from
the NDNH System.

If a state or Federal agency chooses to set the parameters, they must
complete the W-4 Output Control Matrix Registration Form and the Output
Suppression Options and send it to OCSE. A state or a Federal agency can
change the parameters by notifying OCSE at the address that appears on
the form.

For a complete description of W-4 errors and warnings refer to section
11.2, "Error Codes and Explanations".

A copy of the W-4 Output Control Matrix Registration Form is shown on
the following page as Figure 13-1.

W-4 OUTPUT CONTROL MATRIX REGISTRATION FORM

To suppress processed W-4 records and associated error, warning, or
information codes, send this registration to:

Department of Health and Human Services

ACF / OCSE / FPLS 2nd Floor

370 L'Enfant Promenade, S.W.

Washington, D.C. 20447

Date:

Submitting Agency:

Requester: Phone number:

Address:

City: State:

[Zip Code:]{.underline}

+------------+-------------------------------------------+-------------+
| OUTPUT     |                                           |             |
| S          |                                           |             |
| UPPRESSION |                                           |             |
| OPTIONS    |                                           |             |
+------------+-------------------------------------------+-------------+
| Error      | Condition Description                     | An 'X'      |
| Codes      |                                           | suppresses  |
|            |                                           | output      |
+------------+-------------------------------------------+-------------+
| RECORDS    |                                           |             |
| REJECTED   |                                           |             |
| AND        |                                           |             |
| RETURNED   |                                           |             |
| WITH ERROR |                                           |             |
| CODES      |                                           |             |
+------------+-------------------------------------------+-------------+
| 0001       | SSN and name do not match.                |             |
+------------+-------------------------------------------+-------------+
| 0002       | SSN is invalid or out of range.           |             |
+------------+-------------------------------------------+-------------+
| 0011       | SSN is non-numeric.                       |             |
+------------+-------------------------------------------+-------------+
| 0015       | SSN is missing or is not greater than     |             |
|            | zeroes.                                   |             |
+------------+-------------------------------------------+-------------+
| 0016       | Employee Name is missing.                 |             |
+------------+-------------------------------------------+-------------+
| 0017       | Employee Address and Employer Address are |             |
|            | missing.                                  |             |
+------------+-------------------------------------------+-------------+
| RECORDS    |                                           |             |
| ACCEPTED   |                                           |             |
| AND        |                                           |             |
| RETURNED   |                                           |             |
| WITH       |                                           |             |
| WARNING    |                                           |             |
| CODES      |                                           |             |
+------------+-------------------------------------------+-------------+
| 0005       | W-4 SSN has been corrected.               |             |
+------------+-------------------------------------------+-------------+
| 0024       | Employee First Name is missing.           |             |
|            |                                           |             |
| 0025       | Employee Last Name is missing.            |             |
+------------+-------------------------------------------+-------------+
| 0020,      | Employee Address contains errors.         |             |
| 0021,      |                                           |             |
| 0022,      |                                           |             |
| 0023,      |                                           |             |
|            |                                           |             |
| 0027,      |                                           |             |
| 0028, 0032 |                                           |             |
+------------+-------------------------------------------+-------------+
| 0029       | Employee Date of Birth is an invalid      |             |
|            | date.                                     |             |
| 0030       |                                           |             |
|            | Employee Date of Hire is an invalid date. |             |
| 0031       |                                           |             |
|            | Employee State of Hire is invalid.        |             |
+------------+-------------------------------------------+-------------+
| 0046       | Employer Name is missing.                 |             |
+------------+-------------------------------------------+-------------+
| 0040,      | Employer Address contains errors.         |             |
| 0041,      |                                           |             |
|            |                                           |             |
| 0044,      |                                           |             |
| 0045,      |                                           |             |
|            |                                           |             |
| 0047,      |                                           |             |
| 0048, 0049 |                                           |             |
+------------+-------------------------------------------+-------------+
| 0042       | FEIN is non-numeric.                      |             |
|            |                                           |             |
| 0043       | FEIN is missing or zero.                  |             |
+------------+-------------------------------------------+-------------+

# W-4 MANAGEMENT INFORMATION

## General Information

The NDNH produces one Management Information (MI) report to assist the
SDNHs and Federal agencies in performing statistical analysis, tracking
data, and analyzing trends.

## MI Report and Explanation

Figure 14-1, "Summary For State/Agency of W-4 Data Processed", is a
sample of the available MI report. This sample report contains contrived
data to clarify the data that is present in an actual report.

####### Report 1 -- Summary for State/Agency of W-4 Data Submitted {#report-1-summary-for-stateagency-of-w-4-data-submitted .unnumbered}

The NDNH produces this report for each Federal agency and state
submitter. For each batch in a given report period (e.g., week, month,
quarter, or year), the report displays:

1.  The Header date,

2.  The Process date,

3.  The batch number;

4.  The number of records in each batch;

5.  The number and percent of those records that were:

-   Posted to the W-4 NDNH file;

-   Rejected with an unverified SSN;

-   Rejected, including the records that are rejected because of
    unverified SSNs; and

-   Duplicate within a batch.

The report displays the totals of all the above counts for the report
period. In addition, the report lists the totals of the same information
for a pre-set prior period, and sums these numbers to create cumulative
totals.

REPORT 1

PAGE: 1 DEPARTMENT OF HEALTH AND HUMAN SERVICES DATE REPORT PRODUCED:
11/12/2003

REPORT: NN008-S ADMINISTRATION FOR CHILDREN AND FAMILIES PERIOD
COVERED-- FROM: 11/01/2003

OFFICE OF CHILD SUPPORT ENFORCEMENT TO: 11/03/2003

NATIONAL DIRECTORY OF NEW HIRES CUMULATIVE SINCE: 09/30/1997

SUMMARY FOR STATE/AGENCY OF W-4 DATA PROCESSED

AGENCY/STATE:

28-MISSISSIPPI

RECORDS POSTED RECORDS REJECTED TOTAL RECORDS REJECTED

HEAD DATE BATCH TOTAL RECORDS TO W-4 NDNH FILE WITH UNVERIFIED SSNs
INCLUDING UNVER SSNs DUPLICATE RECORDS

PROC DATE NUMBER SUBMITTED NUMBER PERCENT NUMBER PERCENT NUMBER PERCENT
NUMBER PERCENT

\-\-\-\-\-\-\-\-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-\-\-\-\-\-\-\--
\-\-\-\-\-\-\-\-\-- \-\-\-\-\-\-\-- \-\-\-\-\-\-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-- \-\-\-\-\-\-\--
\-\-\-\-\-\-\-\-\-- \-\-\-\-\-\-\--

20031031

20031030 01520 1,946 1,855 95.3 % 91 4.6 % 91 4.6 % 0 .0 %

TOT THIS PER. 1,946 1,855 95.3 % 91 4.6 % 91 4.6 % 0 .0 %

TOT PRIOR PER. 5,103,043 4,710,340 92.3 % 388,646 7.6 % 390,044 7.6 %
2,659 .0 %

cuMULATIVE TOT 5,103,043 4,710,340 92.3 % 388,646 7.6 % 390,044 7.6 %
2,659 .0 %

New page for each change of AGENCY/STATE.

Report totals on last page.

AGENCY/STATE:

RECORDS POSTED RECORDS REJECTED TOTAL RECORDS REJECTED

HEAD DATE BATCH TOTAL RECORDS TO W-4 NDNH FILE WITH UNVERIFIED SSNs
INCLUDING UNVER SSNs DUPLICATE RECORDS

PROC DATE NUMBER SUBMITTED NUMBER PERCENT NUMBER PERCENT NUMBER PERCENT
NUMBER PERCENT

\-\-\-\-\-\-\-\-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-\-\-\-\-\-\-\--
\-\-\-\-\-\-\-\-\-- \-\-\-\-\-\-\-- \-\-\-\-\-\-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-- \-\-\-\-\-\-\--
\-\-\-\-\-\-\-\-\-- \-\-\-\-\-\-\--

FINAL THIS PER. 199,502 184,475 92.4 % 14,970 7.5 % 15,001 7.5 % 26 .0 %

FINAL PRIOR PER. 366,271,687 329,396,864 89.9 & 35,866,463 9.7 %
36,109,770 9.8 % 765,053 .2 %

cuMULATIVE FINL 366,471,189 329,581,433 89.9 & 35,881,433 9.7 %
36,124,771 9.8 % 765,079 .2 %

####### NDNH Report 1 Field Descriptions {#ndnh-report-1-field-descriptions .unnumbered}

**Page Number:** This is the page number(s) within the total report
(which includes all Federal agencies and states) on which a Federal
agency's or state's report data is located. The page number on an
individual Federal agency or state report may not begin with the number
one.

**Report Number:** This number is NN008. The first 'N' identifies the
report as an NDNH report. The second 'N' indicates that the report
contains summary data of submitted W-4 data. The numbers distinguish
this report from other W-4 reports.

**State/Agency:** This field contains the name of the Federal agency or
state that submitted the W-4 data.

**Date Report Produced:** This is the date of the report run.

**Period Covered:** These are the inclusive dates for the W-4 data
presented in this report. This "window" is the day, week, month, or
quarter of submission being reported.

**Cumulative Since:** This is 10/1/97, the start date of the NDNH.

**Header Date:** This is the date in the Date Stamp field for a specific
W-4 batch.

**Process Date:** This is the date a specific W-4 batch was processed.

**Batch Number:** This is the unique Batch Number submitted with each
W-4 submission.

**Total Records Submitted:** This is the total number of W-4 data
records submitted. Header and Total records are not counted. This is
expressed for each specific batch in the report period, and as:

1.  a total for the report period,

2.  a total for the prior report period, and

3.  cumulative from the "Cumulative Since" date.

**Records Posted to W-4 NDNH File:** This is the total number and
percent of W-4 records that met validation and SSA verification criteria
and were added to the NDNH W-4 File. This is expressed for each specific
batch in the report period, and as:

1.  a total for the report period,

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```
4.  a total for the prior report period, and

5.  cumulative from the "Cumulative Since" date.

**Records Rejected With Unverified SSNs:** This is the total number and
percent of W-4 records that have unverified SSNs and are rejected by the
NDNH. This is expressed for each specific batch in the report period,
and as:

1.  a total for the report period, and

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```
6.  a total for the prior report period, and

7.  cumulative from the "Cumulative Since" date.

**Total Records Rejected Including Unverified SSNs:** This is the total
number and percent of W-4 records that did not meet the minimum
information requirements or contain an unverified SSN. These records
were not added to the NDNH and were rejected and individually returned
to the submitter at the time of transmission. This information is
expressed for each specific batch in the report period, and as:

1.  a total for the report period,

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```
8.  a total for the prior report period, and

9.  cumulative from the "Cumulative Since" date.

**Duplicate Records:** This is the number and percent of duplicate W-4
data records received within each batch. Duplicate records are not added
to the W-4 NDNH file, but were rejected and individually returned to the
submitter at the time of transmission. This information is expressed for
each specific batch in the report period, and as:

1.  a total for the report period,

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```
10. a total for the prior report period, and

11. cumulative from the "Cumulative Since" date.

**Percents:** The percents are derived by dividing each "number" by the
"Total Number of Records Submitted" for that row.

**Total for This Period:** This line is the sum of all records:

1.  posted to the W-4 NDNH File,

```{=html}
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```
12. rejected with unverified SSNs, and

13. total rejected records, including unverified SSNs,

14. for the report period specified "Period Covered" in the report
    heading.

**Total for Prior Period:** This line is the sum of all records:

1.  posted to the W-4 NDNH File,

```{=html}
<!-- -->
```
15. rejected with unverified SSNs, and

16. total rejected records, including unverified SSNs,

17. for the period from the "Cumulative Since" date to the day prior to
    the "Period Covered" in the report heading.

**Cumulative Total:** This line is the sum of all records:

1.  posted to the W-4 NDNH File,

```{=html}
<!-- -->
```
18. rejected with unverified SSNs, and

19. total rejected records including unverified SSNs,

20. for the entire period from the "Cumulative Since" date up to and
    including the "Period Covered" in the report heading.

# W-4 SUMMARY, CONCLUSION AND RECOMMENDATIONS

Federal agencies and the SDNHs submit information on newly hired
employees to the New Hire (W-4) portion of the NDNH. This *Guide*
provides an overview of the requirements and specifications to assist
the submitters in forwarding the data to the NDNH. Technical support and
help are available to each submitter. We recommend that the Federal
agencies and SDNHs use the support that is available to ensure the
successful transmission of the required information. Refer to the
Section 3.0, "Technical Support", for information on obtaining
assistance with new hire reporting.

There will be changes made to the NDNH as new needs and requirements are
identified, and as user recommendations are received. Future releases of
the NDNH will include updates to this manual.

[^1]: For the purpose of this document, the term 'W-4' reporting is used
    to describe the six Federally-mandated data elements required by the
    new hire reporting provisions pursuant to Section 453A (b)(1)(A) of
    the Social Security Act. Section 453A (c) of the Act states that
    "Each \[new hire\] report shall be made on a W-4 form or, at the
    option of the employer, an equivalent form, and may be transmitted
    by 1^st^ class mail, magnetically, or electronically."