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

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

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

Intake Claims-Unemployment Compensation
for Federal Employees (UCFE)
REVIEW PERIOD: Begins

Ends

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

Enter your state’s first payment promptness scores for each quarter of the review period.
Link to UI PERFORMS ALPs/Performance Criteria: Acceptable Level of Performance

1.

First

Payment Promptness
(Acceptable Level of Performance = 87%)
1st Quarter:

SECTION 1:

% 2nd Quarter:

% 3rd Quarter:

% 4th Quarter:

Procedures, Policies, and Confidentiality

Information may include manuals, handbooks, desk aids, computer help screens, training guides,
organized collections of procedures or policies, or other readily accessible instructions—including
ETA Handbook No. 391—that 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.

Were

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

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1a. If yes, what law(s) did the state implement, when were these changes implemented, and what was
the effect on the state’s UCFE claims policies and procedures?

1b. If yes, have the state’s policies, procedures, and training material been updated to reflect

1c.

2.

these changes?
Select Answer
N/A
No
Yes
If no (to question 1b), explain.

Were

there any new business processes implemented during the review period that affected the state’s
UCFE claims policies and procedures?
Select Answer
No
Yes
2a. If yes, what business process changes did the state implement, when were these changes
implemented, and what was the effect on the state’s UCFE claims policies and procedures?

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2b. If yes, have the state’s policies, procedures, and training material been updated to reflect

2c.

these changes?
Select Answer
N/A
No
Yes
If no (to question 2b), explain.

3.

Are

there procedures in place to identify individuals with possible Federal wages to be used on a
UCFE claim?
Select Answer
No
Yes

4.

Do
 the policies and procedures address the claimant’s filing options when they have Federal wages and
have earned wages in one or more states?
Select Answer
No
Yes

5.

Are

there written procedures established for requesting necessary information from the Federal Claims
Control Center (FCCC)?
Select Answer
No
Yes

6.

Are

there written procedures established for appropriate action to be taken after a response from FCCC
is received?
Select Answer
No
Yes

6a. If yes, is the handling of incoming responses automated?
6b.

Select Answer
N/A
No
Yes
Are there written procedures on actions to take when no reply is received from FCCC?
Select Answer
No
Yes

7.

Does the state have written procedures related to UCFE affidavits (form ETA 935) to be used when the
Federal agency or its agent does not respond to the initial wage/separation request (form ETA 931),
consistent with Federal guidelines?
Select Answer
No
Yes

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8. Are there written procedures on how to handle updates to the Federal agencies directory/
address codes?
Select Answer
No
Yes

8a. I f yes, how does the UCFE system receive updates to the Federal agencies directory/address codes?
Automated updates

Manual updates

9. Are written policies and procedures established for timely and accurate completion of Federal form
ETA 931, Request for Wage and Separation Information?
Select Answer
No
Yes

10. Does the state have written policies and procedures to ensure the proper assignment of wages,
including lag period wages, based on the claimant’s work history?
Select Answer
No
Yes

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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).

1.

Does the state include UCFE training in its regular training plan for new staff?
Select Answer
No
Yes

2.

Are all claims takers trained to take UCFE claims?
Select Answer
No
Yes
2a. If no, are UCFE trained staff available at all access points to handle UCFE initial claims?
Select Answer

N/A
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:

Performance Management

The state’s practices for monitoring program performance and compliance with Federal and state law and
regulations are examined.

1. Does the state have a unit or office that is responsible for monitoring the performance of the state’s
UCFE Intake program operations?
Select Answer
No
Yes
1a. I f yes, what unit or office has this responsibility?

2. What methods are used to monitor the UCFE Intake operations to ensure the program is operated in
accordance with Federal and state law and regulations?

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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:

Information Technology (IT)

The reviewer will examine the use of information technology (IT) to support the state’s UCFE claims
operations. The reviewer will identify any issues the state experienced with telecommunicating UCFE
data to/from the Federal Claims Control Center (FCCC) and whether they have been resolved at the time
of this review.

1. During the review period did the state experience any issues/problems with telecommunicating UCFE
information to and/or from the Federal Claims Control Center (FCCC)?
Select Answer
No
Yes

1a. I f yes, how long did the problem(s) last and was it corrected? (The response to this question may
be addressed in the Comments at the end of this section, if more space is needed.)

2. During the review period, did the state experience any issues/problems with receipt of wage and
separation information from any Federal agencies?
Select Answer
No
Yes
2a. If yes, how long did the problem(s) last and was it corrected?

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3.

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

4.

Are there written procedures for IT related to updating the Federal agency directory/address codes?
Select Answer
No
Yes

5. Indicate how the UCFE system receives updates to the Federal agency directory/address codes.
Automated updates

Manual updates

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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:

Claimant / Employer Access & Communication

States need to maintain compliance with requirements set forth in Federal law. Claim-filing systems
should be user-friendly, customer-facing systems and integrated operating systems to provide the best
customer experience and efficient operations.

1. If a UCFE initial claim is filed via the Internet, how is information about the Federal agency/employer
obtained? (check all that apply)
Drop-down menu selected by claimant
Entered by the claimant
Follow up contact with the claimant
N/A

2. Do claimants have difficulty providing the correct employer/Federal agency address when the initial
claim is filed?
Select Answer
No
Yes
2a. I f yes, is the state taking any steps to improve the accuracy of the Federal agency address upon
initial contact at the time the claim is filed?
Select
Answer

N/A
No
Yes
2b. If yes, what steps is the state taking to improve the accuracy of the information obtained?

3.

Is the state’s system current with the latest updates for the Federal agency directory/address codes?
Select Answer
No
Yes

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4.

If wages are assigned/used by another state(s), how is the claimant advised of the filing options?

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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:

Operational Efficiency / Resource Allocation

The reviewer will provide information regarding the state’s UCFE initial claims processes and
workloads. Effective analysis of initial claims performance results assures the most productive
utilization of resources.

1.

Is staff intervention or review required before UCFE claims are processed?
Select Answer
No
Yes

2. Does the state use statistics (talk time, first payment, or other) to determine the efficiency of the UCFE
claims taking process?
Select Answer
No
Yes

3. Does the state have Federal agencies located in the state which would have the potential for a large
influx of UCFE claims in the event of a Federal agency or Federal government shutdown that closes instate offices or causes furloughs?
Select Answer
No
Yes
3a. I f yes, indicate the number (or estimated number) of Federal agencies and Federal employees in
the state.
Number of Federal agencies:
Number of Federal employees in state:

3b. Did the state experience UCFE workload spikes during the review period?

3c.

4.

Select Answer
No
Yes
If yes, explain.

Indicate how FCCC responses are reviewed/processed.
Automated processing

Manual processing

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4a. I s there a designated UCFE unit/staff person(s) that reviews and takes appropriate action on all

4b.

4c.

FCCC responses?
Select Answer
No
Yes
D
 uring the review period, were there instances where Federal employers were incorrectly charged
for benefits paid?
Select Answer
No
Yes
If yes, explain.

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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:

Staffing

Staffing levels and organizational changes all can affect the state’s ability to manage its initial claims
workload and meet first payment promptness standards.

1. Does the state have a trained and knowledgeable UCFE/Federal Program Coordinator?

Select Answer
No
Yes

2. Have there been any UI staffing/unit reorganizations during the review period impacting UCFE
operations?
Select Answer
No
Yes

2a. If yes, was there any net effect on workloads?

Select Answer
N/A
No
Yes

2b. If yes, explain.

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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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Concluding Summary Comments for Intake ClaimsUnemployment Compensation for Federal Employees
SECTION 8:

For the following sets of questions, consider the overall operations related to UCFE initial claims. 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 24 and 25.

1. Provide any observations of good and/or exemplary performance in the state’s UCFE initial 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 UCFE initial claims taking that adversely affects the state’s
performance, its ability to meet performance standards/measures, 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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