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

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

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

Intake Claims-Unemployment Compensation
for Ex-Servicemembers (UCX)
This self-assessment review of the state’s Intake Claims-Unemployment Compensation for ExServicemembers (UCX) functional area will examine UCX Initial Claims intake processes and
program operations. The reviewer will consult with appropriate staff regarding each operational
element, as necessary, to ensure accurate and complete information is reported. This will include
Unemployment Insurance (UI) administrators, IT managers, fiscal officers, office/call center
managers, claims supervisors, and the Federal Program Coordinator or reviewers.
The reviewer will provide information regarding the state’s performance for each calendar
quarter of the review period for first payment promptness. Use this link for more information
regarding UI PERFORMS ALPs/Performance Criteria: Acceptable Level of Performance.
Upon completion of this self-assessment review, the results should be shared with UI
administrators, appropriate program manager(s), and supervisors. The self-assessment findings
can provide a very good analysis of the state’s UCX claims operations and can be used to drive
process and program-improvement initiatives.
A comments section is provided for each operational element, which the reviewer should use to
document any observations regarding issues identified related to that specific operational
element. This space may also be used to provide any additional information relating to a specific
question in this section. In doing so, the reviewer should reference the specific question by
number and insert the additional information related to that question.
In addition, a concluding comments section is provided at the end of the self-assessment to
capture any strengths identified by the reviewer in this functional area which could constitute a
successful practice(s) to be shared with other states; any issues identified by the reviewer in the
functional area that adversely impacts the state’s performance and to identify any possible
corrective actions to address the issue; and general comments about this functional area. The
reviewer can provide information here that Federal reviewers and state UI administrators and
managers can use to assess program operations and the state’s effectiveness in providing quality
services in this functional area.
Save your entries regularly as you complete the review and when you close the self-assessment
to ensure your answers are saved.

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

SECTION 1:

Procedures, Policies, and Confidentiality

The purpose of this section is to review the policies and procedures provided by the agency for
staff to use in operating this functional area of the UI program. These are the written (in hardcopy, electronically, or both formats) standards, instructions, and guidelines that staff regularly
use in the operation of the program. The reviewer may utilize resources that 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, including ETA Handbook No. 384 for guidance regarding UCX Initial Claims.
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. The
reviewer may need to examine all relevant instructions and consult with UI administrators,
office/call center managers, claims supervisors, and the state’s Federal Program Coordinator.
The reviewer will document whether the state has policies and procedures sufficient to provide
guidance and instruction to staff processing UCX Initial Claims. Existing policies and
procedures should be examined to determine whether they are up-to-date and address all law
changes, organizational changes and technology changes that occurred during the review period.
Helpful Info.
Question 2a: The reviewer should list all business process changes that were implemented
during the review period that affect UCX Initial Claims processes and explain the effect on
the program. (If space is not adequate to fully respond to this question, the reviewer may
use space in the Comments area at the end of this Section.)
Question 8: The state’s policies and procedures must comply with Federal guidelines for
establishing monetary eligibility based on UCX wages.
Comment: The reviewer should verify that Question 26, Section 1 (about the filing
methods used for UCX claims) in the Intake-Initial Claims functional area set of questions
has been answered correctly.

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, the reviewer
should consult with the state’s training unit/staff and the office/call center managers and examine
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).
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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Intake Claims-UCX

SECTION 3:

Performance Management

The reviewer will examine the state’s practices for monitoring program performance and
compliance with Federal and state law and regulations. If the state has a performance
management unit, the reviewer should consult with performance management staff in addition to
UI administrators, office/call center managers and supervisors, and the Federal Program
Coordinator when completing this section.

Helpful Info.
Question 2: The reviewer will document the methods the state uses to monitor its UCX
Initial Claims operations. If the state’s processes for monitoring its UCX initial claims
performance are considered to be particularly effective and/or efficient, explain fully in the
Comments area at the end of this section.

SECTION 4:

Information Technology (IT)

When completing this section of the self-assessment the reviewer should consult with UI and IT
administrators and office/call center managers. The reviewer will assess the state IT
department’s delivery of programming and technical support to the UCX functional area,
specifically assessing the state’s use of the Federal Claims Control Center (FCCC) and the
Military-State Data Exchange System (MSDES).

Helpful Info.
Question 1: The Federal Claims Control Center (FCCC) was established by the U.S.
Department of Labor (USDOL) to be the official source of military wage and separation
information to determine UCX entitlement. It maintains the Department’s copy of the DD
214 and any DD 215 for UCX purposes. The FCCC also maintains a system of “claims
control records” for program integrity purposes. See UIPL No. 27-06.
Question 1a: If the state experienced any issues/problems related to its UCX initial claims
program, the reviewer should document the issues, whether the issues were corrected, and
how long the issues lasted.

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Helpful Info. (continued)
Question 2: The Military-State Data Exchange System (MSDES) provides state UI
agencies and the military branches with the ability to electronically exchange UCX claims
filing information and quarterly billing information. See TEN No. 27-13.
Question 4: The reviewer will indicate all filing methods used by the state for UCX initial
claims.

SECTION 5:

Claimant/Employer Access & Communication

The reviewer will examine the state’s methods for processing UCX Initial Claims. Methods
used must comply with requirements set forth in Federal law. The reviewer will consult with UI
administrators, office/call center managers, and claims supervisors when completing this section
of the self-assessment.
Helpful Info.
Questions 2 and 2a: The reviewer will want to review the process used when UCX wages
are assigned and/or used on a claim to determine if the state sends/receives claims control
records to the FCCC and if so, how it is reviewed.

SECTION 6:

Operational Efficiency/Resource Allocation

Through interviews with UI administrators and office/call center managers the reviewer will
identify efficiencies and automation the state has used to improve performance and provide
better service to the public.

Helpful Info.
Question 3c: The reviewer should explain the cause(s) and impact of any large influx in
the filing of UCX initial claims during the review period.

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

SECTION 7:

Staffing

The reviewer will examine organizational changes that occurred during the review period, if any,
and their effect on the state’s ability to manage its UCX workload and to meet first payment
promptness standards for UCX Initial Claims. The reviewer should consult with UI
administrators, office/call center managers, and the state agency’s human resource manager
when completing this section of the self-assessment.

Helpful Info.
Question 2b: If there has been any effect on workloads due to UI staffing/unit
reorganizations affecting the UCX claims process, then the reviewer should explain the
reorganization and its impact.

SECTION 8:

Concluding Summary Comments

The reviewer will use the Concluding Summary Comments section to highlight the state’s
strengths and weaknesses that impact the UCX Initial Claims functional area and to identify
issues that have not been addressed in any other section of the self-assessment. These comments
are intended to provide Federal reviewers and the state’s UI administrators with additional
insight into these program areas, focusing on methods that have proven to be successful and can
be capitalized upon or areas where corrective measures may be needed.
The first comment area provides the reviewer an opportunity to share any examples of good
and/or exemplary operations in this functional area after reviewing each operational element.
The reviewer can use this space to identify any policy, procedure or operation that would
constitute a successful practice that can be shared with other states.
The second comment area provides the reviewer an opportunity to document issues detected
during the review that are having an adverse impact on the functional area, affecting the state’s
performance, ability to meet performance standards or customer service. It is also a place to
recommend corrective actions for the agency’s leadership to consider implementing.
The final comment area in this section provides the reviewer space to share any additional
comments, concerns or observations regarding the state’s operations in this functional area.

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