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

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

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

Disaster Unemployment Assistance (DUA)
REVIEW PERIOD: Begins

Ends

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

1.

When was the last major disaster, if any, declared in the state that provided for DUA?

1a. What was the disaster number?

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 that can help staff do
their work correctly, including ET Handbook No. 356, Disaster Unemployment Assistance Handbook
for guidance on the DUA Program. Instructions will normally include general information such as
compilations of relevant laws and regulations, including the DUA regulations at 20 CFR 625, 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 the current DUA administrative guidance (e.g., 20 CFR 625, ET Handbook No. 356,
and other pertinent DUA program letters/guidance) readily accessible to DUA staff?
Select Answer
No
Yes

2.

Does the state have written procedures for each of the following DUA activities? (check all that apply)
Requesting initial and supplemental administrative and benefit funds from FEMA
Identify agency staff responsible for preparation of initial funding requests
Preparing appropriate announcement(s) regarding the availability of DUA
Estimating DUA workloads
Preparing DUA required reports (e.g., ETA 902)
Questions 2 check boxes continue on next page
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Implementing claims-taking operations including applications or forms
Implementing procedures for Monetary Determinations
Implementing procedures for Non-Monetary Determinations
Implementing procedures for DUA appeals
Implementing procedures for establishing/recovering DUA overpayments
Preparing appropriate close-out report(s) (e.g., final narrative/final ETA 9130)

3.

Were

there any law changes during the review period that affected the DUA claims policies and
procedures (e.g., change in the UI weekly benefit amount)?
Select Answer
No
Yes
3a. If yes, what law changes did the state implement, when were these changes implemented, and
what was the effect on the DUA claims policies and procedures?

3b. If yes, have the state’s policies, procedures, and training material been updated to reflect these
changes?

3c.

4.

Select Answer
N/A
No
Yes
If no (to question 3b) , explain.

Were

there any new business processes implemented during the review period that affected DUA claims
policies and procedures?
Select Answer
No
Yes

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4a. If yes, what business process changes did the state implement, when were these changes
implemented, and what was the effect on DUA claims policies and procedures?

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

4c.

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

5.

Do
 the state’s procedures ensure that a DUA applicant’s eligibility for regular UI be determined before
establishing DUA entitlement?
Select Answer
No
Yes

6.

Do
 the state’s written policies and procedures ensure the state is adhering to the definition of eligible
DUA claimants as unemployed workers and unemployed self-employed individuals that are unemployed
as a direct result of a declared disaster as provided in 20 CFR 625.2?
Select Answer
No
Yes

7.

Do the state’s written policies and procedures ensure compliance with the 30-day filing deadline for
DUA initial claims in accordance with 20 CFR 625.8(a)?
Select Answer
No
Yes
7a. Do the state’s procedures address requests for extensions of the 30-day filing period?
Select Answer
No
Yes

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8.

Does the state conduct identity verification of claimants when they file DUA initial claims?
Select Answer
No
Yes

8a. I f yes, through what entities and by what means is identity verification conducted?
(check all that apply)
SSA
Select Answer
Batch
Real-Time
DMV
Select Answer
Batch
Real-Time
Other:
Select Answer
Batch
Real-Time
Other:
Select Answer
Batch
Real-Time

9. Do the state’s policies and procedures ensure the use of the appropriate base period for the declared
disaster?
Select Answer
No
Yes

10. Do the state’s written policies and procedures detail acceptable proof of earnings for Monetary
Determinations for unemployed workers and self-employed individuals as provided in
20 CFR 625.6(e)?
Select Answer
No
Yes

11. Does the state have written policies and procedures in place to ensure that DUA is paid only during the
Disaster Assistance Period as provided in 20 CFR 625.2(f)?
Select Answer
No
Yes

12. Do the state’s written policies and procedures include a communication plan to ensure the timely
issuance of a Declaration Announcement and Amended Declaration Announcement, when necessary,
as required by 20 CFR Part 625.17?
Select Answer
No
Yes

13. Does the state have systematic procedures in place to calculate the correct monetary entitlement?

Select Answer
No
Yes

13a. I f yes, do the procedures address the quarterly minimum weekly benefit amount in accordance
with 20 CFR 625.6(b)?
Select Answer
No
Yes
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14. Does the state have procedures for early evaluation of staffing needs when a disaster declaration is
issued, and timely request for approval to use overtime, if needed, to ensure efficient delivery of services?
Select Answer
No
Yes

15. Do the state’s written policies and procedures provide for the retention of DUA records for a minimum
of three years after final action on the claim, including appeals, court actions, and overpayment
recovery?
Select Answer
No
Yes

16. Does the state have written policies and procedures to ensure that fiscal reporting, per OMB Circular
A-102, for DUA claims activity are in place and current?
Select Answer
No
Yes

17. Does the state have written policies and procedures to ensure that statistical reporting procedures per
20 CFR 625.16, for DUA claims activity, are in place and current?
Select Answer
No
Yes
17a. What office is responsible for preparation and submission of required DUA fiscal reports?

17b. What office is responsible for preparation and submission of DUA statistical reports?

18. Does the state have written policies and procedures to ensure the ETA-902 reports are verified and
submitted timely on a monthly basis?
Select Answer
No
Yes
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19. Do the state’s written policies and procedures for taking DUA initial claims comply with Federal Equal
Employment Opportunity laws and regulations in accordance with 29 CFR Part 31 and 29 CFR Part 32?
Select Answer
No
Yes

20. Do the state’s written policies and procedures provide for the confidentiality of DUA claim records in
accordance with 20 CFR 603.5?
Select Answer
No
Yes

21. Does the state have procedures to ensure it requests FEMA approval to have staff located at Disaster
Recovery Centers to take DUA claims, if appropriate and for the use of any administrative funds for
this purpose?
Select Answer
No
Yes

22. Does the state have procedures to inform claimants that confidential information provided for the
unemployment compensation claim may be requested and utilized for other governmental purposes,
including verification of eligibility under other government programs, in accordance with 20 CFR 603.11?
Select Answer
No
Yes
22a. If yes, how and when is this information provided to the claimant?

23. Does the state have a systematic process in place to ensure submission of a final narrative report(s) and
final ETA 9130 within 60 days following the end of all DUA payment activity, or the end of the disaster
assistance period?
Select Answer
No
Yes

23a. If no, how does the state ensure that a disaster is properly closed out?

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24. Does the state have policies and procedures to facilitate the taking of DUA claims in support of another
state that has a declared disaster?
Select Answer
No
Yes
24a. I f yes, during the review period, did the state take any DUA claims for another state that
experienced a declared disaster?
Select Answer
No
Yes
24b. If yes, for which state were the claims taken and when was this done?

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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 have a training curriculum for DUA claims taking that could be implemented quickly?
Select Answer
No
Yes

2. Does the state have a written plan or process for quickly designating and training staff in the event of
a major disaster declaration that includes DUA?
Select Answer
No
Yes

3. Is training provided to staff for any technology they will use for taking DUA claims (e.g., cell and/or
satellite phones, tablets, laptops, etc.)?
Select Answer
No
Yes

4. Is appropriate DUA training provided to staff in relevant program areas, (e.g., Appeals) to ensure a
functional understanding of the DUA requirements and consistency of application?
Select Answer
No
Yes

5. If the state took DUA claims during the review period, were any training needs identified as a result of
the experience?
Select Answer
N/A
No
Yes
5a. If yes, what training needs were identified?

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5b. Has the necessary training been delivered?

5c.

Select Answer
N/A
No
Yes
If no, explain.

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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 respond after a declared disaster and handle DUA claims workloads, often under
particularly difficult conditions, is analyzed. Methods used to mitigate backlogs, when they occur,
substantially affect the state’s ability to provide timely benefit payments to claimants.

1.

Did the state experience any Federally declared disaster(s) during the review period?
Select Answer
No
Yes
1a. I f yes, what was the date of the declaration and what was the beginning and ending date of the
Disaster Assistance Period?
Declaration Date:
Disaster Assistance Period: Begin Date

End Date

Check if this Disaster Assistance Period is still on-going at the time this review is completed
Declaration Date:
Disaster Assistance Period: Begin Date

End Date

Check if this Disaster Assistance Period is still on-going at the time this review is completed

2. If the state experienced a declared disaster during the review period, did the state experience a backlog
in processing DUA initial claims?
Select Answer
N/A
No
Yes
2a. If yes, describe the reason(s) for the backlog.

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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.

1. What unit or office is responsible for monitoring the performance and readiness of the state’s DUA
operations?

1a. W
 hat methods are used to monitor the DUA operations to ensure the program is operated in
accordance with Federal and state law and regulations?

2. Does the state conduct any DUA readiness or program reviews to ensure readiness, compliance, and
operational integrity?
Select Answer
No
Yes

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2a. If yes, how often are the reviews conducted?
Quarterly
Semi-annually
Other (explain)

Annually

N/A

3. Does the state maintain a pre-disaster checklist to verify all mandatory DUA processes are implemented
when a disaster declaration is made?
Select Answer
No
Yes

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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 DUA claims 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 UI Benefits Section.

1.

Does the state have an automated DUA claims taking system?
Select Answer
No
Yes
1a. I f yes, during the review period, were there any IT projects that impacted the DUA initial claims
system?
Select
Answer

N/A
No
Yes
1b. I f yes, what were the projects, are they completed or on-going? If on-going, what is the expected
completion date for each?

1c. H
 ave staff members been fully trained on any new technology that was implemented during the

1d.

review period that affects DUA claims processes?
Select Answer
N/A
No
Yes
I f the state does not have an automated DUA claims taking system, is any part of the DUA claims
processing automated, such as the Monetary determination?
Select Answer
No
Yes

2. Does the state have the capacity to accept DUA telephone continued claims via an Interactive Voice
Response (IVR) system?
Select Answer
No
Yes
2a. If yes, does the IVR continued claims system have DUA-specific questions?
Select Answer

N/A
No
Yes
2b. I f it does not have DUA-specific questions, does the state have the ability to modify its continued
claim questions for DUA in the event of a disaster?
Select Answer

No
Yes

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2c. I f yes, has the state ensured that the DUA requirements for continued claims questions have
been met?
Select Answer
N/A
No
Yes

3.

What IT systems does the state use for taking DUA initial claims? (check all that apply)
Internet claims
Interactive Voice Response (IVR)
Kiosks
Mainframe terminals
Online assistance for claims takers
Other (explain)

4. Is the state’s computer system updated each quarter with the DUA minimum weekly benefit amount
when it is published?
Select Answer
No
Yes
4a. I f not, what procedure does the state follow to ensure the correct amount is used for DUA
Monetary Determinations in the event of a disaster resulting in DUA claims being filed?

5. Does the state have the ability to “lock” or suppress the DUA Internet initial claims system when not
in an active Disaster Assistance Period to prevent improper filing of DUA claims?
Select Answer
N/A
No
Yes

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5a. If yes, what method does the state use? (explain)

5b. I f yes, does the state use this functionality to close the DUA Internet initial claims system after
the 30-day application period expires?

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 state methods for taking DUA claims must comply with requirements set forth in Federal law. Userfriendly, customer-facing systems and integrated operating systems provide the best customer experience
and efficient operations. The state must have efficient procedures to take paper claims, handle incoming
initial/weekly claims by mail and/or fax, retrieve and store paper claims, dedicated staff to open/sort/
distribute claims for processing and incoming proof of wages and employment documents, dedicated
faxes for incoming mail, and must ensure that forms contain proper mailing instructions. Claims taking
operations must operate a sufficient number of hours per week to afford all DUA claimants who wish to
file a claim to do so.

1. What filing methods are available to workers and self-employed individuals for DUA initial claims?
(check all that apply)
Workers/Employees:
Internet
In-person
Other (explain)

Telephone

Mail

Self-Employed Individuals:
Internet
In-person
Other (explain)

Telephone

Mail

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2.

What methods does the state use to take DUA continued claim certifications?
Internet
In-person
Other (explain)

Telephone

Mail

3. Describe how each of the state’s filing methods is publicized so that claimants are made aware of them.
(check all that apply for each filing method)
Internet:
Website
Posters in Job Centers
Media
Rapid Response Meetings
Other (explain)

N/A
Telephone:
Website
Posters in Job Centers
Media
Rapid Response Meetings
Question 3 continues on next page

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Other (explain)

N/A
In-person:
Website
Posters in Job Centers
Media
Rapid Response Meetings
Other (explain)

N/A
Mail:
Website
Posters in Job Centers
Media
Rapid Response Meetings
Other (explain)

N/A
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Other:
Website
Posters in Job Centers
Media
Rapid Response Meetings
Other (explain)

N/A
Other:
Website
Posters in Job Centers
Media
Rapid Response Meetings
Other (explain)

N/A

4.

What avenues does the state offer to a claimant to file a DUA initial claim? (check all that apply)
Remote Disaster Centers:
Internet
In-person

Telephone

Mobile Units:
Internet

Telephone

In-person

Workforce/One-Stop Centers:
Internet
In-person

Telephone

Question 4 check boxes continue on next page
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Kiosks in locations accessible by the general public:
Internet
In-person
Telephone
Call/Contact Centers:
Internet
In-person

Telephone

Other (explain):

Internet

In-person

Telephone

5. Indicate the DUA function supported by the following communication methods.
(check all that apply for each method)
Internet:
Claim status requests
Address changes
Forms download
Benefit Rights Information
Provide bank information for direct deposit of benefits
Other (explain)

N/A
Telephone:
Claim status requests
Address changes
Forms download
Benefit Rights Information
Question 5 check boxes continue on next page
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Provide bank information for direct deposit of benefits
Other (explain)

N/A
In-person:
Claim status requests
Address changes
Forms download
Benefit Rights Information
Provide bank information for direct deposit of benefits
Other (explain)

N/A

6. How is the Benefits Rights Information provided to claimants for the following claim filing methods?
(check all that apply for each method)
Internet:
Electronic certification (web)
Telephone/IVR certification
Verbal by claimstaker
Mailed
Question 6 check boxes continue on next page

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Other (explain)

N/A
Telephone:
Telephone/IVR certification
Verbal by claimstaker
Mailed
Other (explain)

N/A
In-person:
Verbal by claimstaker
Printed handout
Signed BRI
Mailed
Other (explain)

N/A
Question 6 check boxes continue on next page
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Mail:
Verbal by claimstaker
Mailed
Other (explain)

N/A
If the state experienced one or more declared disaster during the review period, complete
Questions 7–9a for the first incident and 10–12a for the second incident.

7.

If the state had a declared disaster during the review period, provide the declaration number.
1st disaster declaration number:

8. If the state had a declared disaster during the review period, what percentage of DUA initial claims
were filed via each filing method?
Internet:

%

Telephone:

%

In-person:

%

Mail:

%

Other (explain):

%
N/A

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9. If the state experienced a declared disaster during the review period, did the state experience
significant delays or backlogs in DUA initial claims taking?
Select Answer
N/A
No
Yes
9a. If yes, what was the cause of the delays or backlogs?
DUA initial claims volume
Lack of claims takers trained for DUA claims
Disaster recovery center facility limitations
Other (explain)

N/A

10. If the state had a second declared disaster during the review period, provide the declaration number.
2nd disaster declaration number:

11. If the state had a second declared disaster during the review period, what percentage of DUA initial
claims were filed via each filing method?
Internet:

%

Telephone:

%

In-person:

%

Mail:

%

Other (explain):

%
N/A
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12. If the state experienced a second declared disaster during the review period, did the state experience
delays or backlogs in DUA initial claims taking?
Select Answer
N/A
No
Yes
12a. If yes, what was the cause of the delays or backlogs during this second declared disaster?
DUA initial claims volume
Lack of claims takers trained for DUA claims
Disaster recovery center facility limitations
Other (explain)

N/A

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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

Steps taken by the state to improve its preparedness to respond to a disaster and take DUA claims are
examined. What automation, if any, does the state use to handle DUA claims documents?

1. Does the state maintain an ongoing relationship with the state’s emergency management organization
and/or FEMA to help ensure early notification of pending disasters?
Select Answer
No
Yes
1a. D
 oes the agency have staff that regularly attend the state’s emergency management preparedness
meetings?
Select
Answer

No
Yes

2.

Does the state utilize a document management system to support DUA claims processing?
Select Answer
No
Yes

2a. If yes, is the system accessible remotely, such as from a disaster recovery center?

Select Answer
N/A
No
Yes

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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

The reviewer will examine the state’s organization on how the responsibilities of the DUA coordinator
are handled. Also, the impact of any declared disaster on staff work hour and the preparedness to staff
DUA operations in the event of a declared disaster are reviewed.

1. Does the state have a designated DUA coordinator?

Select Answer
No
Yes

1a. If yes, how long has the DUA coordinator held this position?

1b. Where in the organization does the DUA coordinator position reside?

1c. If there is no DUA coordinator, what plans does the state have for designating this responsibility?

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2. If the state experienced a declared disaster during the review period, was overtime required to meet
DUA initial claims workload requirements?
Select Answer
N/A
No
Yes
2a. I f yes, provide the dates of the filing periods for each event and amount of overtime used for each
to file and process DUA initial claims.
1. Disaster Number:
Begin Date

End Date

Overtime Used

2. Disaster Number:
Begin Date

End Date

Overtime Used

2b. What were the most common reasons for overtime? (check all that apply)
DUA initial claims volume
Lack of claims takers trained for DUA claims
Staffing disaster recovery centers
Inefficient processes
Other (explain)

3. Does the state have a contingency plan to handle DUA initial claims in the event of a disaster or
other event that causes a disruption of services, (e.g., has the agency identified staff with DUA
claims experience and established protocols for continuity of DUA program operations)?
Select Answer
No
Yes

4. Does the state have specialized staff that can readily form a DUA unit in the event of a disaster for
filing DUA initial and continued claims?
Select Answer
No
Yes

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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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SECTION 9:

Fiscal Management

The state’s practices for managing its grants and its compliance with Federal and state law and
regulations are examined.

1. How does the state monitor the amount of DUA benefits expended from the DUA grant?

1a. To what unit or office is this information made available?

2. 
Does the state have a systematic method to use this information to determine if/when a supplemental
funding request is needed?
Select Answer
No
Yes

3.

How does the state monitor DUA administrative funding?

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3a. Provide the unit or office name where this information is made available?

3b. What positions are authorized to charge to the DUA administrative grant?

4. How does the state generally ensure that DUA administrative funds remain within 15% of the total
funding obligation from FEMA, unless there is justification to exceed 15%?

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SECTION 9:

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 Disaster
Unemployment Assistance Claims
SECTION 10:

For the following sets of questions, consider the overall operations related to Disaster Unemployment
Assistance. 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 43 and 44.

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

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2. Document any issues detected in the state’s DUA initial claims taking 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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