Report of Responses to the UI Benefits Operations Self-Assessment Tool

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Benefit Payment Control (BPC)

UI
Unemployment Insurance (UI) Benefit Operations
Self-Assessment Tool:

Benefit Payment Control (BPC)

REVIEW PERIOD: Begins

Ends

Unless otherwise noted, all questions are applicable to the review period.

Enter your state’s Overpayment detection and recovery rates for each quarter of the review period.
The detection rate is a Core Measure that is the percentage of detectable, recoverable overpayments
established for recovery. The recovery rate is the percentage of the amount of improper overpayments
recovered, compared to the amount of improper overpayments identified.
Link to UI PERFORMS ALPs/Performance Criteria: Acceptable Level of Performance

1.

UI
 Overpayment Detection Rate
(Acceptable Level of Performance = ≥50% and <95%)
1st Quarter:

2.

% 2nd Quarter:

% 3rd Quarter:

% 4th Quarter:

%

% 3rd Quarter:

% 4th Quarter:

%

UI
 Overpayment Recovery Rate
(Acceptable Level of Performance = 68%)
1st Quarter:

% 2nd Quarter:

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SECTION 1:

Procedures, Policies, and Confidentiality

Resources may include manuals, handbooks, desk aids, computer help screens, training guides, organized
collections of procedures or policies, or other readily accessible instructions which can help staff do their
work correctly. Instructions will normally include general information such as compilations of relevant
laws and regulations, as well as detailed instructions for carrying out individual jobs in the agency.
Reviewers may need to look in many places to examine all relevant instructions.

1.

Does the state have written policies and procedures for conducting BPC activities?
Select Answer
No
Yes

1a. If yes, were the policies and procedures updated or modified during the review period?
1b.

Select Answer
N/A
No
Yes
Under what circumstances will the state update its BPC policies and procedures?
(check all that apply)

Federal or state law changes
Organizational changes
Technology changes
Other (explain)

1c. Do the state policies and procedures detail the investigative process?
Select Answer
No
Yes

1d. Are there policies and procedures for adjudicating issues of fraud and non fraud?
Select Answer
No
Yes

1e. Are there policies and procedures for determining fraud and non fraud overpayments?
Select Answer
No
Yes

1f. If the state has a variable disqualification period for fraud, are there policies and procedures for
determining the length of such disqualification period?
Select Answer
N/A
No
Yes

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1g. Are there policies and procedures that prohibit the state from establishing an overpayment once a

1h.

2.

specified period of time has elapsed from the date of incident to the date of discovery?
Select Answer
N/A
No
Yes
Do the policies and procedures apply to both fraud and non fraud overpayments?
Select Answer
No
Yes

How are policies and procedures for BPC activities made available to staff? (check all that apply)
Online
Hard-copy handbook
Training materials
Other (explain)

3.

Were

there any law changes during the review period that affected the state’s policies and procedures
concerning BPC activities?
Select Answer
No
Yes

3a. If yes, what law changes did the state implement, when were they implemented and what was
the effect on the state’s BPC policies and procedures?

3b. If yes, have the state’s policies, procedures, and training materials been updated to reflect
these changes?
Select Answer
N/A
No
Yes

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3c. If no (to question 3b), explain.

4.

Were

there any organizational changes during the review period that affected the state’s BPC policies
and procedures?
Select Answer
No
Yes
4a. If yes, what organizational changes did the state implement, when were these changes
implemented, and what was the effect on the state’s BPC policies and procedures?

4b. If yes, have the state’s policies, procedures, and training materials been updated to reflect

4c.

5.

these changes?
Select Answer
N/A
No
Yes
If no (to question 4b), explain.

Were

there any automation or technology upgrades or releases during the review period that affected
the state’s BPC policies and procedures?
Select Answer
No
Yes
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5a. If yes, what automation or technology upgrades did the state make?

5b. If yes, when were the technology upgrades made and what was the effect of the change?

5c. If yes, have the state’s policies, procedures, and training materials been updated to reflect

5d.

6.

these changes?
Select Answer
No
Yes
If no (to question 5c), explain.

Does the BPC unit conduct crossmatches of state wage data to benefit payment data?
Select Answer
No
Yes

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6a. If yes, how frequently is the crossmatch conducted?
Quarterly
Other (explain)

Monthly

Weekly

Daily

N/A

6b. I f yes, what if any constraints does the state use when conducting the crossmatch?
(check all that apply)
Temporary layoffs
Partial claims
Number of weeks filed (explain)

Monetary threshold, e.g., include only if over $500, $1,000, etc. (explain)

Question 6b check boxes continue on next page

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Other (explain)

N/A

6c. Are the wage data crossmatch employer letters generated automatically without staff intervention?

6d.

6e.

Select Answer
N/A
No
Yes
D
 oes the state conduct follow-up on any wage data crossmatch requests that are not returned
by employers?
Select Answer
N/A
No
Yes
If yes, how is this follow-up conducted? (check all that apply)
Automated
Manual

7. 
Does the state use the state and/or national directories of new hires to identify unreported employment?
Select Answer
No
Yes
7a. If yes, indicate below which the state uses.

National Directory of New Hires (NDNH):
Select Answer
No
Yes
State Directory of New Hires (SDNH):
Select Answer
No
Yes

7b. If no, explain why the state and/or national new hires directories are not being used?

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7c. If yes, are these new hire directory crossmatch processes automated?

National Directory of New Hires (NDNH):
Select Answer
N/A
No
Yes
State Directory of New Hires (SDNH):
Select Answer
N/A
No
Yes

7d. If yes, how often and on what schedule is the National Directory of New Hires match conducted?

7e. If yes, how often and on what schedule is the State Directory of New Hires match conducted?

7f. I f not all of the claimant population is matched against the new hire directories, what criteria does
the state use to select the claims to match against these directories?

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7g. What types of claims are filtered out of these crossmatches? (check all that apply)
Temporary layoffs
Partial claims
Other (explain)

7h. H
 ow many state and national directory of new hire crossmatches were conducted during each
quarter of the review period?
National – New Hire Crossmatches
1st Quarter:

2nd Quarter:

3rd Quarter:

4th Quarter:

State – New Hire Crossmatches
1st Quarter:

2nd Quarter:

3rd Quarter:

4th Quarter:

7i. H
 as the state implemented the recommended operating procedures for Crossmatching Activity:
National and State Directory of New Hires, as outlined in UIPL No. 19-11?

National Directory of New Hires (NDNH):
Select Answer
N/A
No
Yes
State Directory of New Hires (SDNH):
Select Answer
N/A
No
Yes

7j. O
 nce a crossmatch occurs, does the agency independently verify the information obtained from the

National Directory of New Hires crossmatch?
Select Answer
No
Yes
7k. If the crossmatch information is verified, explain how it is verified.

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7l. D
 oes the agency notify the individual of the crossmatch and provide the individual an opportunity

to contest the information?
Select Answer
No
Yes
7m. D
 oes the agency provide the individual a reasonable period of time to respond and/or provide the
opportunity to provide a rebuttal to any new information?
Select Answer
No
Yes

8. With regard to fraud determinations, does a state agency staff person (such as a BPC investigator or
a claims adjudicator) review the information and issue the fraud determination in accordance with
UIPL No. 01-16, which prohibits automated fraud determinations?
Select Answer
No
Yes

9. Besides the wage and new hire directory crossmatches, what other sources of information does the
state use to detect fraud and potential improper payments? (e.g., crossmatches with SSA, Corrections,
etc.) If additional space is needed, use the Comments section.
1. Source:

Frequency:

Automated

Manual

2. Source:

Frequency:

Automated

Manual

3. Source:

Frequency:

Automated

Manual

4. Source:

Frequency:

Automated

Manual

5. Source:

Frequency:

Automated

Manual

6. Source:

Frequency:

Automated

Manual

7. Source:

Frequency:

Automated

Manual

8. Source:

Frequency:

Automated

Manual

10. Does the state have a toll-free fraud hotline for reporting potentially fraudulent claimant and
employer activities?
Select Answer
No
Yes

11. Does the state’s website(s) provide the public a means to submit tips regarding suspected claimant or
employer fraud?
Select Answer
No
Yes

12. Does the state have automated controls in place to prevent, as appropriate, claimants with existing
overpayments from receiving future benefits?
Select Answer
No
Yes
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12a. If no, explain.

13. What methods does the state use to recover improper payments? (check all that apply)
Unemployment benefit offset
Cash recovery (cash; check; credit card)
Installment payments
Federal income tax refund intercept (Treasury Offset Program)
State income tax refund intercept
Civil action
Lottery winnings
Other (explain)

Other (explain)

Question 13 check boxes continue on next page

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Other (explain)

14. Does the state use any of the following types of civil actions to recover overpayments?
(check all that apply)
Wage garnishments
Liens on personal or real property
Small claims court proceedings
Bank account garnishments
Judgments
Distress warrants
Other (explain)

15. When a civil recovery is court ordered, generally how long does it take for the state to receive the funds
once they are collected?

15a. A
 re there any policies, procedures, and/or agreements in place to address the timely receipt or

15b.

15c.

distribution of the collection?
Select Answer
No
Yes
I f the collection is not received from the court timely, does the claimant get credit for the
repayment immediately?
Select Answer
N/A
No
Yes
Have there been instances when the state did not receive the collection amount from the courts?
Select Answer
N/A
No
Yes

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15d. H
 ave there been instances when the state did not receive the interest (that was applied to the
collection amount) from the courts?
Select Answer
N/A
No
Yes
15e. I n civil recovery cases, does the UI agency engage another state agency to recover the
overpayments?
Select Answer
N/A
No
Yes
15f. I f yes, what is the usual time period that this state agency takes before depositing the
state’s funds?

16. Are all repayments deposited within 3 days of receipt?

Select Answer
No
Yes

17. Does the state engage private collection firms or other state agencies to handle old and/or difficult
overpayment cases?
Select Answer
No
Yes

18. Does the state attempt to locate delinquent claimants?

Select Answer
No
Yes

18a. If yes, what methods are used to locate delinquent claimants?

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19. Under what circumstances are collections efforts discontinued?

20. Do the state’s policies and procedures define circumstances where penalties can be imposed by
BPC staff?
Select Answer
No
Yes

21. Do the state’s policies and procedures define circumstances where interest can be applied to an
overpayment?
Select Answer
No
Yes

22. Do the state’s policies and procedures define circumstance under which overpayments can be
written-off?
Select Answer
No
Yes

23. If the state allows for waivers of overpayments, do the policies and procedures define the circumstances
where waiver is permissible?
Select Answer
N/A
No
Yes

24. If the state allows for waivers of overpayments, does the notice of overpayment determination provide
information on how an individual may request consideration of an overpayment waiver?
Select Answer
N/A
No
Yes

25. Which of the following policies and procedures apply to the state’s collection activities?
(check all that apply)
Statute of limitation:
Fraud
Non-Fraud
Recovery by offset of current/future benefits is permitted:
Fraud
Non-Fraud
Question 25 check boxes continue on next page
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Offset of current/future benefits for recovery of overpayments is not limited to same benefit year in
which the overpayment was established:
Fraud
Non-Fraud
100% of current benefit amount may be offset:
Fraud
Non-Fraud
Civil action is permitted to recover overpayments:
Fraud
Non-Fraud
Other (explain):

Fraud

Non-Fraud

26. Does the state have a system to reconcile overpayment accounts and amounts received through
collection activities?
Select Answer
No
Yes

27. Do the state’s procedures provide guidance for the accurate identification of the cause(s) of
improper payments?
Select Answer
No
Yes

27a. D
 oes the state utilize this information in the formulation of policies and procedures in an effort

27b.

to reduce the incidence of improper payments?
Select Answer
N/A
No
Yes
If no, why?

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28. Does the state accept an initial claim application from a claimant with only a P.O. Box address?

Select Answer
No
Yes

29. Does the state allow online updates to the claimant’s mailing address?

Select Answer
No
Yes

29a. I f yes, does the state have any mechanism in place that detects and alerts the agency to a change

29b.

of a claimant’s mailing address?
Select Answer
N/A
No
Yes
If yes, does the state confirm with the claimant that an address change was made?
Select Answer
No
Yes

30. Does the state allow online updates to the claimant’s payment method?

Select Answer
No
Yes

30a. I f yes, does the state have any mechanism in place that detects and alerts the agency to a change
in a claimant’s payment method?
Select Answer
N/A
No
Yes

31. Does the state utilize any type of process or system to “check” or verify information that helps prevent
overpayments?
Select Answer
No
Yes

31a. If yes, what process(es) or system(s) does the state use for this purpose?
Profiling system
Data analytics tool
Other (explain)

N/A

31b. If yes, are all new claims filed matched against this process?
Select Answer
N/A
No
Yes

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32. Do the state’s policies and procedures address the referral of fraud overpayments for prosecution?

Select Answer
No
Yes

32a. How many cases were referred for prosecution during the review period?
32b. How many of those cases were successfully prosecuted during the review period?
32c. O
 f the cases that were not successfully prosecuted, what were the most common reasons for this
failure to prosecute? (check all that apply)
Incomplete or inadequate case material
Prosecuting authority’s discretion (e.g. minimum requirements, priorities)
Not within the statute of limitations
Other (explain)

32d. A
 re appropriate cases of UI Federal program fraud referred to USDOL’s Office of Inspector
General in accordance with UIPL No 29-05?
Select Answer
No
Yes

33. Does the state have policies and procedures for the referral of separation issues to the UI Benefits Unit,
as appropriate, for investigation and adjudication?
Select Answer
No
Yes

34. Do the state’s policies and procedures address the creation of overpayment records for interstate
overpayments in accordance with the Interstate Reciprocal Overpayment Recovery Arrangement
(IRORA)?
Select Answer
No
Yes

34a. If yes, is establishment of these overpayment records automated?
Select Answer
N/A
No
Yes

35. Do the state’s policies and procedures address the pursuit of collection activities for interstate
overpayments in accordance with IRORA?
Select Answer
No
Yes

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35a. D
 oes the state utilize the Form IB8606, Interstate Request for Overpayment Recovery, to pursue
collection of its overpayments when a former claimant files a claim against another state?
Select Answer
N/A
No
Yes

36. Does the state have policies and procedures for preventing and detecting fictitious employer fraud
schemes (e.g., schemes that may involve fictitious employers)?
Select Answer
No
Yes
36a. If yes, explain.

36b. Does the BPC staff have responsibility for detecting fictitious employer accounts?
36c.

Select Answer
No
Yes
If no, where does this responsibility lie (e.g., Tax Accounts & Contributions (A&C)?

37. Does the state have policies and procedures for preventing and detecting multi-claimant fraud schemes?

Select Answer
No
Yes

37a. If yes, describe.

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37b. Has the state uncovered any cases of multi-claimant schemes within the past 12 months?
37c.

Select Answer
No
Yes
I f yes, describe any subsequent actions taken by the state to prevent similar schemes from
occurring.

38. Is it the state’s policy to publicize successful fraud prosecutions?

Select Answer
No
Yes

38a. If yes, what methods does the state use to publicize these cases? (check all that apply)
News release
Agency website
Claimant handbook
Employer handbook
Employer newsletter
Other (explain)

39. When does the state use the Systematic Alien Verification for Entitlement (SAVE) Program?
Initial Claim Application
Other (explain)

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39a. Does BPC have responsibility for its use?
39b.

Select Answer
No
Yes
If no, which unit has responsibility for using SAVE?

39c. What office or unit is responsible for preparation of the Alien Claims Activity Report, ETA 9016?

40. Does the state have procedures to inform claimants that confidential information provided for their UI
claim may be requested and used for other governmental purposes, including verification of eligibility
under other governmental programs, in accordance with 20 CFR 603.11?
Select Answer
No
Yes

40a. If yes, how and when is this information provided to the claimant?

41. Does the state have procedures to inform employers that wage information and other confidential
information provided relating to a UI claim may be requested and used for other governmental
purposes, including verification of an individual’s eligibility for other governmental programs in
accordance with 20 CFR 603.11?
Select Answer
No
Yes

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41a. If yes, how and when is this information provided to employers?

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SECTION 1:

Comments

Document any issues that were identified when completing this section. This comment section may also
be used to provide additional information relating to any specific question(s) in this section.

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SECTION 2:

Training

Managers/employees should possess and maintain a level of expertise which enables them to accomplish
their assigned duties. Training systems should be sufficient to ensure that personnel understand and
perform their duties properly. When reviewing training systems, reviewers must look for formal training
procedures (e.g., the training is conducted using an established schedule and using set guidelines to make
judgments about the quality of work being produced). There should be procedures for identifying general
and specific training needs, and for delivering training as needed.

1. Does the state’s BPC unit have a dedicated trainer to deliver training on BPC processes?

Select Answer
No
Yes

1a. H
 as all staff conducting BPC investigations completed a defined training program (e.g., Central

1b.

Office, Out-Stationed Investigators, Call Center Staff)?
Select Answer
No
Yes
H
 ow much training has been provided to BPC personnel during the last year? (Estimate number
of hours and type of training)

2.

Do the state’s BPC investigators adjudicate issues identified through crossmatch activities?
Select Answer
No
Yes

2a. If yes, do BPC investigators receive training on adjudication of non-monetary issues?
Select Answer
N/A
No
Yes

3.

Does the BPC unit training curriculum include the following? (check all that apply)
Fact-finding techniques
Prevention and detection of overpayments
Skip-tracing techniques
Collections methods
No training curriculum exists

4.

Does the state have a formal training plan for new BPC staff?
Select Answer
No
Yes

4a. If yes, how long is the formal training?
Less than one week
One to two weeks
More than two weeks
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Other (explain)

Total training time (in hours):

5.

Does the state have a “refresher” training plan to provide continuing training to BPC staff?
Select Answer
No
Yes

5a. If yes, how often is the continuing training conducted?
Monthly
Quarterly
Other (explain)

6.

Annually

On an as-needed basis

How does the state deliver training to BPC staff? (check all that apply)
Classroom setting
On-the-job training
Self-guided online course
One-on-one training
U.S. Department of Labor’s online training
Other (explain)

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7. Describe any technology or operational changes that were made during the review period that affected
BPC processes.

7a. W
 ere all affected staff trained on these technology or operational changes prior to implementation
of the changes?
Select Answer
N/A
No
Yes

8. Describe any new laws, program implementations, policy or procedural changes that occurred during
the review period that affected BPC processes.

8a. W
 ere all affected staff trained on the new laws, program implementations, and policy and
procedural changes prior to implementation of the changes?
Select Answer
N/A
No
Yes

9.

Is there a method to obtain feedback from BPC staff regarding the effectiveness of the training given?
Select Answer
No
Yes

9a. If yes, how is feedback obtained from participants?

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10. Is there a means to obtain feedback from BPC management staff on the effectiveness of the training,
based upon staff performance following training?
Select Answer
No
Yes

10a. If yes, how is feedback obtained from management staff?

11. What means are used by the state to determine training topics and content?

(check all that apply)

ETA 227 Overpayment Detection and Recovery Data
Benefit Accuracy Measurement results
Error review monitoring
U.S. Department of Labor guidance
State law/policy changes
Supervisor feedback/input
Other (explain)

12. Is there a standard process for BPC staff to access appropriate program subject matter experts or other
resources, as needed, to answer questions regarding procedures, policies, laws, and regulations?
Select Answer
No
Yes

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SECTION 2:

Comments

Document any issues that were identified when completing this section. This comment section may also
be used to provide additional information relating to any specific question(s) in this section.

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SECTION 3:

Workload Analysis / Management Controls

The state’s ability to manage overpayment activities, particularly through periods of unforeseen spikes
in workload, is analyzed. Methods used to mitigate backlogs, when they occur, substantially affect the
state’s ability to identify and minimize improper payments. Reviewers will address process-improvement
initiatives aimed at minimizing backlogs.

1. Does the state have a systematic method for tracking workload backlogs of BPC cases?

Select Answer
No
Yes

1a. If yes, is the data collection automated?

1b.

2.

Select Answer
N/A
No
Yes
If yes, are the backlogs identified by category? (e.g., fraud, non-fraud, etc.)
Select Answer
N/A
No
Yes

If the state tracks BPC backlogs, how often are these reports generated?
Real-time

Daily

Weekly

Monthly

Quarterly

As needed

N/A

3.

Does the state’s system generate reports based upon the aging of their overpayment accounts?
Select Answer
No
Yes

4. During the review period, was the state able to investigate all unreported earnings and employment
issues identified through the following sources?
Wage record crossmatch:
Select Answer
N/A
No
Yes
National Directory of New Hire (NDNH) crossmatch:
Select Answer
N/A
No
Yes
State Directory of New Hire (SDNH) crossmatch:
Select Answer
N/A
No
Yes
Interstate crossmatch:
Select Answer
N/A
No
Yes

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4a. I f not, what percentage of potential issues identified during each calendar quarter of the review
period was the state unable to investigate?
Wage Crossmatch:
1st Quarter:
3rd Quarter:

%
%

2nd Quarter:
4th Quarter:

%
%

NDNH:
1st Quarter:
3rd Quarter:

%
%

2nd Quarter:
4th Quarter:

%
%

SDNH:
1st Quarter:
3rd Quarter:

%
%

2nd Quarter:
4th Quarter:

%
%

Interstate Crossmatch:
1st Quarter:
3rd Quarter:

%
%

2nd Quarter:
4th Quarter:

%
%

4b. W
 hy was the state unable to investigate all potential earnings and eligibility issues identified
through crossmatch activities during the review period? (explain)

5. Is there an evaluation tool or checklist used to review the quality and timeliness of completed
investigations?
Select Answer
No
Yes

5a. What percentage of cases are reviewed annually?

%

6.

Do investigators adjudicate issues detected in cases assigned to them?
Select Answer
No
Yes

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6a. If not, which unit conducts such adjudications?

7.

Are there any offices/units that refer cases of potential fraud to the BPC unit?
Select Answer
No
Yes

8.

Does the BPC unit refer cases of potential fraud to other UI offices?
Select Answer
No
Yes

9.

Are there any other UI offices, other than the BPC unit, involved in conducting any fraud investigations?
Select Answer
No
Yes

9a. If yes, what offices/units conduct fraud investigations?

10. How is the claimant informed of consequences and any penalties for committing fraud (i.e., willful
misrepresentation)?

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11. What practices does the state utilize for handling increased workloads, such as periods when extended
benefits are paid? (check all that apply)
Hire additional temporary staff
Assign qualified staff from different units
Overtime
Adjusted work schedules, including extended and weekend hours
Temporary adjustments to investigation methods (explain)

Other (explain)

12. Did the state experience backlogs in BPC investigations and overpayment recovery during the review
period? (If yes, identity area of backlog(s))
Investigations:
Select Answer
No
Yes
Overpayment Recovery:
Select Answer
No
Yes

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12a. I f yes, what was the cause of the BPC investigations and/or overpayment recovery backlogs?
(check all that apply)
Operational issues related to facilities, budget, or staffing (explain)

Information Technology hardware or software issues (explain)

Economic downturn, localized or statewide (explain)

Law or policy changes (explain)

Question 12a check boxes continue on next page

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Other (explain)

13.

Does the state monitor BPC investigation workloads to identify potential problem areas?

Select Answer
No
Yes

13a. If yes, is this monitoring process automated or manual?
Automated

Manual

14.

Does the state monitor BPC overpayment recovery workloads to identify potential problem areas?
Select
Answer

No
Yes

14a. If yes, is this monitoring process automated or manual?
Automated

Manual

15. At what unit of operation is the state’s reporting system capable of providing performance data?
(check all that apply)
Statewide
Office
BPC Investigator
Other (explain)

16. During the review period, did the state conduct any business process analysis efforts to identify issues
and recommend improvements regarding BPC operations to increase efficiency?
Select Answer
No
Yes

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16a. If yes, what changes have been made and what was the result of those changes?

16b. If yes, what (if any) changes were recommended but not made? (explain why)

17. Within the past 12 months, has the state evaluated the cost effectiveness of any of the detection
methods used (cost of operation vs. dollars of overpayments established)?
Select Answer
No
Yes

17a. If yes, what was the result?

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SECTION 3:

Comments

Document any issues that were identified when completing this section. This comment section may also
be used to provide additional information relating to any specific question(s) in this section.

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SECTION 4:

Performance Management

The state’s practices for monitoring program performance and compliance with Federal and state law and
regulations is examined. Preparation and monitoring of corrective action plans are necessary functions
to further program performance improvements.

1.

Was the state on a Corrective Action Plan(s) (CAP) or Narrative during the review period?
Select Answer
No
Yes

1a. If yes, what performance areas required a CAP or Narrative?
Core Measures
Detection of Overpayments:

CAP

UI Overpayment Recovery Measure:

Narrative
CAP

Narrative

2. If the state was required to submit CAP(s) during the review period, did the state meet its milestones
for its CAP(s) during each quarter of the review period?
Select Answer
N/A
No
Yes

2a. If not, explain which milestones were not met and why.

3.

If the state has submitted multi-year CAP(s), identify the areas covered by the multi-year CAP(s).

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3a. W
 hat progress has the state made in addressing the issue(s) that resulted in the multi-year CAP?
(The response to this question may be addressed in the Comments at the end of this section, if more
space is needed.)

4. Has the state implemented any new initiatives focused on the prevention, detection, and recovery of
improper payments?
Select Answer
No
Yes

4a. If yes, explain.

5.

What office is responsible for monitoring the performance of the state’s BPC operations?

5a. What methods are used to monitor the BPC operations to ensure the program is operated in
accordance with Federal and state law and regulations?

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6. Does the state monitor UI BPC program activity and performance

in addition to monitoring

performance standards set out in Federal requirements?
Select Answer
No
Yes
6a. If yes, explain what areas are monitored and the methods used.

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SECTION 4:

Comments

Document any issues that were identified when completing this section. This comment section may also
be used to provide additional information relating to any specific question(s) in this section.

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SECTION 5:

Information Technology (IT)

The state’s IT projects relating to BPC operations completed during the review period and planned for
the future are addressed. The reviewer will assess the state IT department’s delivery of programming
and technical support to the BPC unit. Having a disaster recovery plan as well as contingency planning
to implement emergency procedures with a short lead time is vital to continued operations under
extreme conditions.

1. During the review period, were there any IT projects that impacted the state’s BPC operations?

Select Answer
No
Yes

1a. I f yes, what were the projects, are they completed or on-going? If on-going, what is the expected
completion date for each?

2. Has BPC staff been fully trained on any technology changes that were implemented during the
review period?
Select Answer
N/A
No
Yes

3. During the review period, were there IT needs for the BPC computer systems that were not met that
affected program performance?
Select Answer
No
Yes

3a. I f yes, describe what IT needs were not met, the reason they were not met, what effect it had on
the program, and the state’s plans to meet these needs, if any?

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4. Does the state use the State Information Data Exchange System (SIDES) for the exchange of separation
and earnings verification information?
Separation Information:
Select Answer
No
Yes
Earnings Verification Information:
Select Answer
No
Yes

5. Does the state use a “Smart Scheduler” or some other tool for scheduling calls to employers or claimants
for investigations?
Select Answer
No
Yes

5a. If yes, what system does the state use and what are its features?

6. What other tools do state employees use to complete BPC activities (e.g., BARTS, Lexus Nexus,
Neofraud, RECOVER)?

7.

Are overpayment records manual or automated?
Manual

Automated

8.

Are any overpayment recovery activities automated?
Select Answer
No
Yes

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8a. If yes, explain what activities are automated.

9. Does the state use the same procedures and tools to prevent, detect, and recover EUC and/or EB
overpayments that are used for the regular UI program?
Select Answer
No
Yes

9a. I f no, describe the differences that exist in practices and tools used for EUC and/or EB
claims/overpayments.

9b. D
 oes the state have any outstanding findings from any previous program reviews, single audits,

9c.

or Federal program monitoring?
Select Answer
No
Yes
I f yes, what are the unresolved findings, on what date were each formulated, and when does the
state expect to have them resolved?

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10. Does the state have a disaster recovery plan that will ensure continued operations of the BPC activities
in the event of a natural disaster or pandemic incident?
Select Answer
No
Yes

10a. I f yes, has the state tested the plan, and if so, what was the date of the most recent test and
results of the test?

11. What IT system(s) does the state use for BPC investigations?

(check all that apply)

Internet systems
Interactive Voice Response (IVR)
Auto-dialer technology for outbound calls
Online wage reporting in response to request for information
Other (explain)

12. Is the BPC data system operated on a single computer platform?

Select Answer
No
Yes

12a. I f multiple platforms are in use, is there seamless integration between the systems being used for
benefit payments and overpayment activities?
Select Answer
N/A
No
Yes

13. Are the Benefits and BPC data systems on the same computer platform or sufficiently-integrated to
provide seamless handoff of overpayments generated from adjudications to BPC for handling?
Select Answer
No
Yes

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14. How is data for the ETA 227 Overpayment Detection and Recovery Activities report generated?
Automated

Manual

15. What procedures and/or controls are in place to ensure that the ETA 227 data are correctly reported;
i.e., what checks/balances are in place to ensure accuracy of data?

16. Has the state fully implemented the Federal Treasury Offset Program (TOP) for overpayment recovery?

Select Answer
No
Yes

17. Has the state fully implemented a State Income Tax Offset program?

Select Answer
No
Yes

18. Describe the measures that the UI agency has in place to ensure that only the claimant or someone
authorized by the claimant can access claim information online or via phone (e.g., passwords, codes,
Personal Identification Number (PIN), etc.).

19. Does the BPC unit utilize any automated processes through an Internet application, e.g., accepting
credit card payments, etc.?
Select Answer
No
Yes

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19a. If yes, explain.

20. Does the BPC system integrate real-time with the UI Legacy or operating system?

Select Answer
No
Yes

20a. If not, what is the schedule for batch processing?

21. Does the state utilize a “virtual hold” system that provides a caller the option to leave a message and set
a callback when staff is available?
Select Answer
No
Yes

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SECTION 5:

Comments

Document any issues that were identified when completing this section. This comment section may also
be used to provide additional information relating to any specific question(s) in this section.

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SECTION 6:

Claimant / Employer Access & Communication

The reviewer will assess and provide information on the BPC operations’ interactions with claimants and
employers. The states methods for conducting BPC operations must comply with accessibility requirements
set forth in Federal law and guidance. User-friendly, customer-facing systems and integrated operating
systems provide the best customer experience and efficient operations.

1.

What methods does BPC staff use for investigations?
Internet
In-person
Other (explain)

2.

Mail

What methods does the state use to provide claimants with overpayment account status information?
Internet
In-person
Other (explain)

3.

Telephone

Telephone

Mail

What types of overpayment information is available for claimants? (check all that apply)
Overpayment balance
Penalty balance
Interest balance
Court costs
Period of ineligibility
Repayment options
Question 3 check boxes continue on next page

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Other (explain)

4. 
What types of assistance is available to claimants regarding BPC investigations for each method used?
Internet:
Online tutorials
Help screens
Hyperlinks to FAQs
Online chat with staff
Other (explain)

N/A
Telephone:
Staff assisted
FAQ Menu
Other (explain)

N/A
Question 4 check boxes continue on next page

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In-person:
Staff assisted
Brochures/Pamphlets
Other (explain)

N/A

5. What types of assistance is available to claimants regarding BPC determinations for each method used?
Internet:
Online tutorials
Help screens
Hyperlinks to FAQs
Online chat with staff
Other (explain)

N/A
Telephone:
Staff assisted
FAQ Menu
Question 5 check boxes continue on next page

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Other (explain)

N/A
In-person:
Staff assisted
Brochures/pamphlets
Other (explain)

N/A

6. What methods are available to claimants and employers to provide information necessary for improper
payment investigation and adjudication? (check all that apply)
Telephone fact-finding interviews
In-person fact-finding
Internet web forms
Mail-in forms
Other (explain)

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7.

Do the overpayment determinations contain the following information? (check all that apply)
Summary of material facts
Reason for allowing of denying benefits
Overpayment amount
Cause of the overpayment
Applicable disqualification or penalty
Appeal rights information/instructions
Repayment instructions
Information on how to request a waiver (if state allows waivers)

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SECTION 6:

Comments

Document any issues that were identified when completing this section. This comment section may also
be used to provide additional information relating to any specific question(s) in this section.

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SECTION 7:

Operational Efficiency / Resource Allocation

The reviewer will document and assess key information about BPC operations regarding methods to
identify staff training needs and identify efficiencies and automation that the state has employed to
improve performance and provide better services to its customers.

1.

How does the BPC unit handle supporting evidence that is sent in as hard-copy forms and documents?
They are kept and archived as hard-copy forms
They are imaged and stored as electronic forms/data
Other (explain)

2. If the state uses an automated process for making a second attempt at gathering crossmatch
information, describe the process being used.

3. Does the state have an established process for reviewing appeal and court decisions for precedentsetting rulings, necessitating staff training related to overpayment cases?
Select Answer
No
Yes
3a. If yes, is follow-up training provided to BPC staff?
Select Answer

N/A
No
Yes

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4. Does the state have an established process for reviewing appeal and court decisions to identify areas of
potential misinterpretation of the law, necessitating staff training related to overpayment cases?
Select Answer
No
Yes
4a. If yes, is follow-up training provided to BPC staff?
Select Answer

N/A
No
Yes

5. Does BPC staff participate in outreach activities for employers and claimants (e.g., presentations to
employers on the importance of reporting new hires or responding to separation requests; for claimants,
providing information at rapid response meetings for proper reporting of employment/earnings, etc.)?
Select Answer
No
Yes
5a. If yes, what activities does BPC participate in and how often?

6. Does the BPC unit have responsibility to handle telephone inquiries regarding the following topics?
(check all that apply)
National Directory of New Hires crossmatch
State Directory of New Hires crossmatch
Form 1099-G issues
Treasury Offset program (TOPS)
Other (explain)

Question 6 check boxes continue on next page

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Other (explain)

7. Did any BPC staff experience downtime during the review period which caused delays or backlogs in
improper payment investigations?
Select Answer
No
Yes
7a. I f yes, when did the downtime occur, how many days/hours was the BPC unit down and what was
the cause of the downtime?

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SECTION 7:

Comments

Document any issues that were identified when completing this section. This comment section may also
be used to provide additional information relating to any specific question(s) in this section.

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SECTION 8:

Staffing

Staffing levels and organizational changes all can affect the state’s ability to manage its BPC operations.
The reviewer will examine BPC staffing and organization.

1.

Does the state have a designated BPC manager?
Select Answer
No
Yes

2.

Does the agency have a dedicated BPC unit responsible for BPC activities?
Select Answer
No
Yes

3. Is BPC staff centrally located? If no, does the state have BPC staff in multiple locations throughout
the state?

3a. I f the state maintains multiple BPC locations, where are they located and to what office(s) does
BPC staff report in each location?

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3b. If the number of BPC locations changed during the review period, explain.

4.

I ndicate the following Benefit Payment Control activities that come under the responsibility of the BPC
Supervisor/Manager? (check all that apply)
Investigation of all BPC cases
Nonmonetary Determination process
Determinations of willful misrepresentation and overpayments
Recommendations for prosecution
Issuance of fraud & overpayment determinations
Recovery of overpayments
Maintenance of procedures on fraud and overpayments
Maintenance and evaluation of administrative data
Recommendations for fraud prevention and overpayments
BPC training
Preparing the ETA 227 report
Issuing Form-1099Gs

5.

If any office other than BPC has responsibility for any of the following BPC activities, identify the office?
Investigation of potential fraud overpayments
Office:
Determination of fraud overpayments
Office:
Recovery of overpayments
Office:
Prosecution of fraud cases
Office:
Other (explain):
Office:

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6.

Do BPC investigators have other program responsibilities besides conducting BPC investigations?
Select Answer
No
Yes
6a. If yes, explain.

7. What is the percentage of state UI staff that is allotted (FTE allocation) for BPC investigators and
support staff?
BPC Investigators:

%

BPC Support Staff:

%

8.

How many FTEs were budgeted for BPC during the review period?

9.

How many FTEs were dedicated to BPC during the review period?

10. Does the agency’s legal staff provide support for prosecution of fraud cases?

Select Answer
No
Yes

10a. I f yes, how many legal services staff-hours were charged to BPC operations during the
review period?

11. Did personnel actions occur that impacted staffing levels of BPC staff during the review period?
(check all that apply)
Hiring freeze(s)
Temporary or permanent staffing reductions
Retirement/buyouts
Question 11 check boxes continue on next page

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Other (explain)

N/A

11a. If the state implemented a hiring freeze, when did it occur and how long did it last?

11b. What negative impact, if any, did the hiring freeze have on BPC operations?

11c. I f the state underwent temporary or permanent staffing reductions, how many BPC staff were
affected, when did the action occur, and how long did it last?

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11d. I f the state experienced a number of retirements in its BPC staff or had a retirement buyout
during the review period, provide the number of BPC staff that left due to retirement.

11e. W
 hat percentage of the overall BPC staff was impacted as a result of a temporary or permanent
staff reduction and/or retirement?

%

11f. I f the state experienced turnover of BPC staff during the review period, what percentage of the
BPC positions remain vacant?

%

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SECTION 8:

Comments

Document any issues that were identified when completing this section. This comment section may also
be used to provide additional information relating to any specific question(s) in this section.

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Concluding Summary Comments for Benefit
Payment Control
SECTION 9:

For the following sets of questions, consider the overall operations related to Benefit Payment Control.
This is an opportunity to identify successful practices and/or any needed corrective action measures
along with any other general comments or observations concerning this functional area of UI Benefits.
Additional space for comments and reviewer notes is available on pages 66 and 67.

1. Provide any observations of good and/or exemplary performance in the state’s Benefit Payment Control
policies, procedures, or operations that would constitute successful practices to share with other states.

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2. Document any issues detected in Benefit Payment Control operations that adversely affects the state’s
performance or customer service. Identify any corrective action measures that should be taken to
improve the state’s performance in regards to any weaknesses identified.

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3. Add any additional comments, concerns, or observations regarding the state’s performance or
operations in this area that have not been addressed elsewhere and should be noted.

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Additional Comments and Reviewer Notes:

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Reviewer Information:
REVIEWER
Name:
Title:
Email:
Phone No.:

ADDITIONAL REVIEW TEAM MEMBER
Name:
Title:
Email:
Phone No.:

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