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

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Intake Initial Claims-Combined Wage Claims

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

Intake Initial Claims-Combined Wage Claims (CWC)
REVIEW PERIOD: Begins

Ends

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

SECTION 1:

Procedures, Policies, and Confidentiality

Information may include manuals, handbook—including ETA Handbook No. 399 and ETA Handbook No.
392—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.

Are

there written procedures in place to identify individuals with possible out-of-state wages to be
used on the CWC initial claim (e.g., does the initial claim application ask whether the claimant had
employment/earned wages in another state)?
Select Answer
No
Yes
1a. If the claimant states that she or he worked and earned wages in another state, are there written
procedures regarding next steps?
Select Answer
No
Yes
1b. Does the claim application collect information regarding the individual state(s) in which the
claimant performed work?
Select Answer
No
Yes
1c. Does the claim application collect the name and address of the employer(s)?
Select Answer
No
Yes

1d. Does the state have procedures in place to automatically check for out-of-state wages for all
initial CWCs (e.g., checking the Interstate Inquiry (IBIQ) application)?
Select Answer
No
Yes

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2.

 o the policies and procedures address providing claimants with CWC filing options when they have
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wages in more than one state?
Select Answer
No
Yes

3.

Are there written procedures established for requesting wages from another state?
Select Answer
No
Yes

3a. At what point does the state (as the paying state) send the wage transfer request (IB-4) to the
transferring state(s); for example, is it sent the same day or next day after the claim is filed?

3b. Are there procedures for requesting missing or incorrect wages using the Interstate Request for
Reconsideration of Monetary Determination/Wage Credits, Form IB-14?
Select Answer
No
Yes

4.

Does the state have a process to flag a CWC for adjudication when there are any nonmonetary issues?
Select Answer
No
Yes

4a. If yes, indicate the type of process.
Automated process

5.

Manual process

If
 an overpayment is caused by an out-of-state employer’s failure to respond timely and/or adequately
to a request for information on a CWC claim, does the state have a process in place to notify the
transferring state of this determination?
Select Answer
No
Yes

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5a. If yes, what process is used?
ICON CWC 02-12 application
Other state process (explain)

5b. If no (to question 5 above), explain.

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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 include CWC training in its regular state UI initial claims taking training?
Select Answer

No
Yes

1a. If yes, is this training provided to all new claims taking staff?
Select Answer
N/A
No
Yes

2.

Are all claims takers trained to take CWC initial claims?
Select Answer

No
Yes

2a. If no, are CWC trained staff available at all access points to handle CWC claims?
Select Answer
N/A
No
Yes

3.

Are claims takers trained to use the following ICON applications for CWCs? (check all that apply)
IB-4

SID

IBIQ

WIC2

IB Hand

4. If the state does not use the ICON model code for the CWC program, are claims takers trained to use
some other system(s) developed by the state for CWC?
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 is examined.

1.

What unit or office is responsible for monitoring the performance of the state’s CWC Intake operations?

2. What methods are used to monitor the CWC program 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 identify any issues the state experienced with the UI Interstate Connection (ICON)
network and whether they have been resolved at the time of this review. The reviewer will also examine
the IT network used in supporting the filing of CWC initial claims.

1. During the review period did the state experience any problems/issues with telecommunicating
(sending/receiving) CWC information to and/or from other states through the UI Interstate
Connection (ICON) telecommunications system?
Select Answer

No
Yes
1a. If yes, how long did the problems/issues last and were they corrected?

1b. If the problem(s) affected/changed the wages and/or benefit charges, did the state properly notify
the transferring state(s) of these changes or corrections?
Select Answer
N/A
No
Yes

2. During the review period, did the state have designated/dedicated ICON IT programmer(s) to correct
issues and make updates to the ICON computer system?
Select Answer

No
Yes

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3.

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

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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

CWC claim-filing systems should be user-friendly, customer-facing systems and integrated operating
systems to provide the best customer experience and efficient operations. If the state takes CWC claims
via the Internet, the reviewer will describe the means used to ensure correct filing options are available
to the claimant.

1.

I f the state allows the filing of CWCs (initial claims) on the state’s Internet system, does the filing
process incorporate providing claimants their CWC filing options?
Select Answer
N/A
No
Yes
1a. If yes, how are the options for filing a CWC initial claim provided to the claimant?

1b. If no, explain.

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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 examine various processes specific to CWC claims and document efficiencies and
automation that the state has employed to improve performance and provide better services to its
customers. Effective analysis of Initial Combined Wage Claims performance results assures the most
productive utilization of resources.

1.

 oes the state use statistics (talk time, first payment, or other) to determine the efficiency of the CWC
D
Initial Claims taking process?
Select Answer
Tracked as part of regular initial claims
No
Yes

2.

How is the process for sending the Request for Transfer of Wages, Form IB-4, handled?
Automated (no staff intervention needed)
Manual review/process
Combined (e.g., manual when response contains exceptions)

3.

Is
 there a process to advise/allow appropriate staff to know that a request to transfer wages (IB-4)
for a CWC has been made?
Select Answer
No
Yes
3a. Can staff view a wage transfer request (IB-4) after it has been sent?
Select Answer
No
Yes

4.

How is the response from the transferring state handled once it is received?
Automated (no staff intervention needed)
Manual review/process
Combined (e.g., manual when response contains exceptions)

5.

Is a second request for wages (IB-4) sent automatically, if needed?
Select Answer
No
Yes

5a. If no, explain the process for sending a second request.

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6.

Does the state track timeliness of Monetary Determinations/redeterminations for CWC?
Select Answer
No
Yes

6a. When a CWC redetermination is necessary, is the claimant provided CWC filing options again,
if needed?
Select Answer
No
Yes

7.

How is the Report on Determination of Combined-Wage Claim, Form IB-5, sent to transferring states?
Automated (no staff intervention needed)
Manual process
Other (explain)

7a. Is the Form IB-5 sent each time the claimant’s Monetary Determination changes or is it held until
all intrastate and out-of-state wages are received?
Select Answer
No
Yes

8.

How are incoming IB-4 requests for transferred wages handled?
Automated (no staff intervention needed)
Manual process

9.

Is
 there a process to address cases where the IB-5 effective date and wages do not match the IB-4
response?
Select Answer
No
Yes

10.

If the IB-5 returns transferred wages, is it handled differently than an IB-5 using transferred wages?
Select Answer
No
Yes

11.

 oes the state have a process to ensure transferred wages are flagged so they cannot be used again by
D
this state or another state?
Select Answer
No
Yes

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12.

 oes the state have a process to check the IB-5 when received, so that it is verified against the
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IB-4 response?
Select Answer
No
Yes

12a. If yes, how is this verification made?
Automated process
Manual process
Other (explain)

N/A

13.

Does

the state have a written procedures for sending the quarterly billing Statement of Benefits Paid
to Combined-Wage Claimants, Form IB-6, as the paying state?
Select Answer
No
Yes
13a. Is the ICON model code being used?
Select Answer
No
Yes
13b. Is the quarterly IB-6 billing process automated?
Select Answer
No
Yes
13c. If the ICON model code is not used, how is the IB-6 processed?

13d. Is the state verifying charges it receives as a result of transferred wages?
13e.

Select Answer
No
Yes
Does the state verify that the amount charged is accurate before sending the IB-6?
Select Answer
No
Yes

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14.

Does

the state have a written process for processing/paying the IB-6 bill(s) as the transferring state?
Select Answer
No
Yes

14a. Is the ICON model code being used?
14b.
14c.

Select Answer
No
Yes
Is the outgoing IB-6 process automated?
Select Answer
No
Yes
If the ICON model code is not used, how is the amount charged and maximum amount
charged confirmed?

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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.

Were there any UI staffing/unit reorganizations during the review period impacting CWC claims staff?
Select Answer
No
Yes

1a. If yes, was there any net effect on workloads?
1b.

Select Answer
N/A
No
Yes
If yes (to question 1a), 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 Initial
Claims-Combined Wage Claims
SECTION 8:

For the following sets of questions, consider the overall operations related to Intake Initial ClaimsCombined Wage 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 Combined Wage Claims
policies, procedures, or operations that would constitute successful practices to share with other states.

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2. Document any issues detected in Combined Wage 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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