ETA-9057 Lower Authority Appeals Quality Review

UI REPORTS HANDBOOK NO. 401
ETA 9057 Lower Authority Appeals Quality Review

CONTENTS
A.
B.
C.
D.

Facsimile of Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Due Date and Transmittal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
General Reporting Instructions . . . . . . . . . . . . . . . . . . . . . . . . . .

E.

Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Item by Item Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1. Case ID Number . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2. Docket Number . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3. Hearing Officer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4. Evaluator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5. Total Points Scored (Optional) . . . . . . . . . . . . . . . . . . . . . . . . . .
6. Intent of Decision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
7. Effect on Appealed Determination . . . . . . . . . . . . . . . . . . . . . . .
8. Date Decision Issued . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
9. Date Decision Implemented . . . . . . . . . . . . . . . . . . . . . . . . . . . .
10. Case Material Status . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
11. Time Required for Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . .
Checking the Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F.

G.

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UI REPORTS HANDBOOK NO. 401
ETA 9057 Lower Authority Appeals Quality Review

A.

Facsimile of Form

Case ID#

ETA 9057, LOWER AUTHORITY APPEALS QUALITY REVIEW
STATE EVALUATION SCORE SHEET
Docket #
Hearing Officer
Evaluator

1. EXPLANATION

G-6

F-3

U-0

2. OPENING STATEMENT

G-6

F-3

U-0

D-6

3. EXHIBITS

G-6

F-3

U-0

D-6

4. WITNESS ORDER

G-6

F-3

U-0

D-6

5. ORDER OF WITNESSES' TESTIMONY

G-3

F-1

U-0

6. QUESTION OWN WITNESS

G-9

F-3

U-0

U=UNSAT.; D = DID NOT OCCUR

7. CLEAR LANGUAGE BY H.O.

G-6

F-3

U-0

G-6

F-3

U-0

9. CLARIFIED TESTIMONY

G-6

F-3

U-0

D-6

G-9

11. CROSS-EXAMINATION

G-9

U-0

D-9

F-3

U-0

D-9

12. REPETITIVE TESTIMONY

G-3

F-1

U-0

13. LEADING QUESTIONS

G-6

F-3

U-0

14. INTERRUPTIONS

G-6

F-3

U-0

D-6

15. "OFF THE RECORD"

G-6

F-3

U-0

D-6

16. INTERPRETERS

G-6

F-3

U-0

D-6

17. CONTINUANCE

G-3

F-1

U-0

D-3

18. CONCLUSION OF HEARING

G-6

F-3

U-0

19. WITHIN SCOPE OF NOTICE

G-9

20. GRATUITOUS COMMENTS

G-6

F-3

U-0

21. ATTITUDE

G-6

F-3

U-0

22. BIAS AND PREJUDICE

G-9

F-3

U-0

23. OBTAIN AVAILABLE EVIDENCE

G-9

F-3

U-0

COMMENTS

D-9

8. COMPOUND QUESTIONS
10. CONFRONTATION

G = GOOD; F= FAIR;

U-0

24. ISSUE STATEMENT

G-3

U-0

25. FINDINGS SUPPORTED BY EVIDENCE

G-9

U-0

26. FINDINGS OF FACT

G-9

27. NECESSARY CONCLUSIONS INCLUDED

G-6

28. LOGICAL REASONING

G-6

F-3

U-0

29. FORM AND STYLE

G-3

F-1

U-0

30. DECISION STATES LEGAL EFFECT

G-3

F-1

U-0

31. UNDERSTANDABLE DECISION

G-6

F-3

U-0

F-3

U-0
U-0

32. TOTAL POINTS SCORED (OPTIONAL)
33. INTENT OF DECISION

A - ALLOW; D - DENY

34. EFFECT ON APPEALED DETER.

A - AFFIRM; R - REVERSE; M - MODIFY

35. DATE OF DECISION (MMDDYYYY)
36. DATE IMPLEMENTED (MMDDYYYY)
37. CASE MAT. STATUS: OK; TI(TAPE INAUD.); TM(TAPE MISSING.); DM(DOCS)
MISS.), IM(INAUD.&DOCS.MISSING), MM(TAPE&DOCS.MISSING)
38. TIME REQUIRED FOR EVALUATION OF CASE IN MINUTES.

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SEE HANDBOOK NO. 382, 2ND
EDITION, FOR CALCULATING
PERCENTAGE SCORE.

UI REPORTS HANDBOOK NO. 401
ETA 9057 Lower Authority Appeals Quality Review

B.

Purpose
The ETA 9057 report provides quarterly information on the quality of State agencies'
single and two party lower authority appeals hearings and decisions in the report
period.

C.

Due Date and Transmittal
The report is due in the ETA National Office on the 20th of the second month
following the quarter to which the data relates. This report will be transmitted
electronically.

D.

General Reporting Instructions
Each State will select a sample of lower authority appeals hearings for a quarter.
(See Appendix A.) Basic, or skeleton, information about each hearing will be entered
into the system. Each one of these hearings will then be evaluated according to
instructions provided in ETA Handbook 382, 2nd Editon. The results of the evaluation
will be entered into the system along with the skeleton data. The system will
compute scores when all cases are completed.

E.

`

Includes single and two party appeal hearings.

`

Excludes withdrawals, dismissals, and episodic claims programs such as
Extended Benefits, Disaster Unemployment Assistance, and Trade
Readjustment Allowances.

Definitions
Definitions, unless otherwise specified in these instructions, will follow the definitions
for the ETA 5130 report found elsewhere in this handbook and in ETA Handbook
382, 2nd Edition.

F.

Item by Item Instructions
Instructions are given below only to the extent necessary. Specific instructions on the
case evaluation criteria are in Handbook 382, Second Edition. For items 1 through
31 on the State Evaluation Score Sheet, enter the appropriate score marked by the
evaluator.
1.

Case ID Number. This is a unique 5 digit number, beginning with 00001,
assigned by the State to identify the appeals hearing selected for review by
State random selection software. This is a skeleton data item.
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UI REPORTS HANDBOOK NO. 401
ETA 9057 Lower Authority Appeals Quality Review

2.

Docket Number. Enter the State designation for a case. Twelve characters are
provided. If State designations are larger than this, then some truncation,
abbreviation or other alteration must be made, as long as the designation is
unique. This is a skeleton data item.

3.

Hearing Officer. Enter an ID number or other designation for the hearing
officer.

4.

Evaluator. Enter an ID number or other designation for the individual who did
the evaluation.

5.

Item 32, Total Points Scored (Optional). If desired, enter the sum of the points
scored in the column. This can then be compared to the scores calculated by
the computer to assure proper data entry.

6.

Item 33, Intent of Decision. From the evaluation sheet, enter the appropriate
code to indicate the intent of the decision to allow or deny benefits.

7.

Item 34, Effect on Appealed Determination. From the evaluation sheet, enter
the appropriate code indicating the effect the decision had on the prior status
of the nonmonetary determination that was appealed.

8.

Item 35, Date Decision Issued. From the evaluation sheet, enter the date the
decision was mailed using a mm/dd/yyyy format. This is a skeleton data item.

9.

Item 36, Date Decision Implemented. Enter the date the decision was
implemented using a mm/dd/yyyy format.

10. Item 37, Case Material Status. Enter the status of case materials as indicated
on the State Evaluation Score Sheet.
11. Item 38, Time Required for Evaluation. Enter the time required to evaluate the
case in minutes format.

G.

Checking the Report
The electronic reporting system will edit the data at three different stages: 1) If
possible, each element or field in the report is validated before data entry can
proceed to the next, 2) saving the report for each sampled case invokes the system's
Review-Edit program which compares each element against any conditions it is
required to meet including any arithmetic operations. The program will list any errors
or warnings generated. The user is advised to resolve "Errors" before saving the
data, if possible because, 3) prior to transmitting the data, the system will run the
same Review-Edit program. The saved Errors will prevent transmission to the
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UI REPORTS HANDBOOK NO. 401
ETA 9057 Lower Authority Appeals Quality Review

National Office.
The Transmission function will generate an exception report identifying the case and
the items that failed the edit(s). All cases failing the review edit must be corrected
by the report date to allow their transmission to the National Office. All cases must
pass the review edit before transmission. Otherwise, case transmission will not
occur.
Edit checks can be found in HB 402, Unemployment Insurance Required Reports
User’s Manual, Appendix C.

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