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

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

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

Intake Claims-Unemployment Compensation
for Federal Employees (UCFE)
This self-assessment review of the state’s Intake Claims for the UCFE functional area will
examine the UCFE 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, and appropriate program manager(s), and supervisors. The self-assessment
findings can provide a very good analysis of the state’s UCFE 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
instrument 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-UCFE

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. 391 for guidance regarding UCFE 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 UCFE 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 1a: The reviewer should list all law changes that were implemented during the
review period that affect UCFE Initial Claims processes and explain the effect on the
program.
Question 2a: The reviewer should list all business process changes that were implemented
during the review period that affect UCFE 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 reviewer should check for accuracy of Federal Agency directory/address
codes. The Federal Agency directory/address codes should be kept up-to-date at all times
so that correct employers are contacted for wage and separation information which will aid
in making first payment promptness possible. The reviewer will report whether the state
has procedures in place to ensure the directory and address code updates are implemented
promptly.
Comment: The reviewer should verify that Question 26, Section 1 (about the filing
methods used for UCFE claims) in the Intake-Initial Claims functional area set of
questions has been answered correctly.

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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, the reviewer
should consult with the state’s training unit/staff 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).

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 claims supervisors, and the Federal Program
Coordinators when completing this section.
Helpful Info.
Question 2: The reviewer will document the methods the state uses to monitor its UCFE
Initial Claims operations. If the state’s processes for monitoring its UCFE Initial Claims
performance are considered to be particularly effective and/or efficient, explain fully in
Comments at the end of the 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 IT department’s
delivery of programming and technical support to the UCFE Initial Claims functional area. 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.
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.

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Helpful Info. (continued)
Question 1a: If the state experienced any issues/problems related to its UCFE initial
claims program, the reviewer should document the issues, whether the issues were
corrected, and how long the issues lasted.
Question 3: The reviewer will indicate all filing methods used by the state for UCFE
initial claims.

SECTION 5:

Claimant/Employer Access & Communication

The reviewer will examine the state’s methods for taking and processing UCFE 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.
Question 2b: If the state has implemented procedures to improve the accuracy of Federal
employer/agency information, including addresses, the reviewer will document the
methods the state has implemented and the results of these efforts. If the state’s processes
are considered to be particularly effective and/or efficient, explain fully in the Comments
area at the end of this section.

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 4c: The reviewer should give an explanation if there have been instances where
Federal employers were incorrectly charged for benefits paid.

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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 UCFE claims workload and to meet first
payment promptness standards for UCFE 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 applicable, the reviewer should explain the reorganization’s impact on the
UCFE workload.

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 UCFE intake 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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