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

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

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

Intake Initial Claims-Combined Wage Claims (CWC)
This self-assessment review of the state’s Intake Initial Claims-Combined Wage Claims (CWC)
functional area will examine CWC processes and 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, Initial Claims
supervisors, and other coordinators or staff with CWC knowledge.
Upon completion of this 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 intake process for CWC claims 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 Initial Claims-CWC

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. 399 and ETA Handbook No. 392—for guidance
regarding intake of initial CWC 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 program coordinators.
The reviewer will document whether the state has policies and procedures sufficient to provide
guidance and instruction to staff that process CWC 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 5a: The reviewer should examine and document the procedures in place to notify
the transferring state of a determination issued as a result of untimely and/or inadequate
information by an out-of-state employer.

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). The state should have procedures for
identifying general and specific training needs, for developing a training curriculum and training
materials, and for delivering training as needs are identified.

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

Helpful Info. 3
Question 3: The reviewer should consult with the trainers to determine all ICON
applications for CWCs are included in the claims taker training.

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 program coordinators
when completing this section.
Helpful Info.
Question 2: The reviewer will document the methods the state uses to monitor its CWC
operations. If the state’s processes for monitoring its CWC 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’s IT
programming and technical support to the UI Benefits Section for CWC.

Helpful Info.
Question 1: Telecommunicating refers to sending or receiving information to or from
other states through the UI Interstate Connection (ICON) network.
Question 3: The reviewer will indicate all filing methods used by the state for CWC initial
claims.

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

SECTION 5:

Claimant/Employer Access & Communication

The reviewer will examine the state’s methods for taking and processing CWC Initial Claims. If
the state takes CWC claims via the Internet, the reviewer will describe the means used to ensure
information about filing options are available to the claimant. 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 1a: If applicable, the reviewer will explain how CWC filing options are provided to
the claimant on claims filed through the Internet process.
Question 1b: If applicable, the reviewer will explain why the CWC filing options are not
provided when a CWC is filed through the Internet process.

SECTION 6:

Operational Efficiency/Resource Allocation

Through interviews with UI administrators and appropriate office/call center managers, the
reviewer will determine whether the state has allocated sufficient resources to training, facilities,
staff, etc. to support program operations. The reviewer will identify efficiencies and automation
the state has used to improve Initial CWC performance and provide better service to the public.
Helpful Info.
Question 5a: If the process for sending a second request for wages (IB-4) is not
automated, the reviewer will document the methods the state uses to submit a second
request.
Question 13a: This question is referring to the new billing application for CWC which
was recently developed. Refer to UIPL No. 02-12 and UIPL No. 02-12, Change 1.
Question 13c: If the state is not using ICON model code for the IB-6 billing process, the
reviewer will document the methods the state uses to process IB-6 billings.
Question 14c: If the state is not using ICON model code for processing and paying
incoming IB-6 billings, the reviewer will document the methods the state uses to confirm
the accuracy of the payment amount.

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

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 CWC claims workload and to meet first
payment promptness. 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 1b: The reviewer should explain what effect any reorganization had on the CWC
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 CWC 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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