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

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

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

Lower Authority Appeals (LAA) and
Higher Authority Appeals (HAA)
REVIEW PERIOD: Begins

Ends

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

Enter your state’s Appeals average age of Appeals and quality scores for each quarter of the review period.
Link to UI PERFORMS ALPs/Performance Criteria: Acceptable Level of Performance

1.

Average

Age of Pending Lower Authority Appeals – 30 Days
1st Quarter:

2.

4th Quarter:

2nd Quarter:

3rd Quarter:

4th Quarter:

%

2nd Quarter:

% 3rd Quarter:

% 4th Quarter:

%

% 3rd Quarter:

% 4th Quarter:

%

% 3rd Quarter:

% 4th Quarter:

%

Lower Authority Appeals Time Lapse – 30 Days
1st Quarter:

5.

3rd Quarter:

Lower Authority Appeals Quality – 80%
1st Quarter:

4.

2nd Quarter:

Average Age of Pending Higher Authority Appeals – 40 Days
1st Quarter:

3.

%

2nd Quarter:

Lower Authority Appeals Time Lapse – 45 Days
1st Quarter:

%

2nd Quarter:

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

SECTION 1:

Procedures, Policies, and Confidentiality

Resources may 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. 382 for guidance regarding Lower Authority Appeals
Quality. 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.

Does the state have written policies and procedures for its Appeals operations?
Lower Authority Appeals:
Select Answer
No
Yes
Higher Authority Appeals:
Select Answer
No
Yes

1a. If yes, were the policies and procedures updated or modified during the review period?
Lower Authority Appeals:
Select Answer
N/A
No
Yes
Higher Authority Appeals:
Select Answer
N/A
No
Yes

2.

How are policies and procedures for Appeals made available to staff? (check all that apply)
Online:
LAA

HAA

Hard-copy handbook:
LAA
HAA
Training materials:
LAA
HAA
Question 2 continues on next page

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

Other (explain):

LAA

HAA

2a. A
 re all formats consistent and up-to-date?
Lower Authority Appeals:
Select Answer
N/A
No
Yes
Higher Authority Appeals:
Select Answer
N/A
No
Yes

2b. What practices does the state utilize to ensure all formats are consistent and up-to-date?
Lower Authority Appeals:

Higher Authority Appeals:

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

3.

Were

there any law changes during the review period that affected the state’s policies for Lower
or Higher Authority Appeals?
Select Answer
No
Yes

3a. If yes, what law changes did the state implement, when were they implemented and what was the
effect on the state’s Appeals policies and procedures?

3b. If yes, have the state’s policies, procedures, and training materials been updated to reflect

3c.

4.

these changes?
Select Answer
N/A
No
Yes
If no (to question 3b), explain.


Were there any organizational changes during the review period that affected the state’s Lower
and Higher Authority Appeals policies and procedures?
Select Answer
No
Yes
4a. If yes, what organizational changes did the state implement, when were these changes
implemented, and what was the effect on the state’s Appeals policies and procedures?

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

4b. If yes, have the state’s policies, procedures, and training materials been updated to reflect

4c.

5.

these changes?
Select Answer
N/A
No
Yes
If no (to question 4b), explain.


Were there any automation or technology upgrades or releases during the review period that affected
the state’s Lower or Higher Authority Appeals policies or procedures?
Select Answer
No
Yes
5a. If yes, what automation or technology changes did the state make that affected Lower or Higher
Authority Appeals and when were they implemented?

5b. If yes, have the state’s policies, procedures, and training materials been updated to reflect

5c.

these changes?
Select Answer
N/A
No
Yes
If no (to question 5b), explain.

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

6. Do the state’s policies and procedures provide for filing a Lower and Higher Authority Appeal in the
following methods? (check all that apply)
I nformal – signed statement indicating dissatisfaction with a determination or the individual’s desire
for its review:
LAA
HAA
 ormal – completion of an appeal notice or agency form through which the party makes a request
F
for appeal:
LAA
HAA
Filing by mail:
LAA

HAA

Filing in-person:
LAA
HAA
Filing by facsimile (fax):
LAA
HAA
Internet filing:
LAA

HAA

Appeal through an auto-scheduling tool:
LAA
HAA
Other (explain):

LAA

HAA

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

7.

What unit(s) in the agency accept appeal requests?
Lower Authority Appeals:

Higher Authority Appeals:

8.

Are filed Appeals reviewed for redetermination potential prior to docketing?
Select Answer
No
Yes

8a. If yes, what unit reviews the Appeals?
Lower Authority Appeals:

Question 8a continues on next page

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

Higher Authority Appeals:

9. What methods does the state utilize to provide Lower or Higher Authority Appeal information to its
customers? (check all that apply)
Nonmonetary determination notice:
LAA
HAA
Lower Authority Appeal Decision:
LAA
HAA
Claimant handbook:
LAA
HAA
Employer handbook:
LAA
HAA
Agency website – Appeals web page:
LAA
HAA
Agency website – Frequently Asked Questions:
LAA
HAA
Other (explain):

LAA

HAA

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

10. How does the state conduct its Lower Authority Appeal hearings? (check all that apply)
In-person hearing
Telephone hearings
Other (explain)

11. Does the state’s Lower Authority Appeal hearing notice contain the following elements?
(check all that apply)
Names of all parties to whom the hearing notice was mailed
The calendar date and the specific time of the hearing
The place of hearing—street address, floor, and designated room
C
 ontact telephone number and how parties should participate if hearing will be conducted by
telephone
T
 he purpose of the hearing and a statement of the issues, including references to the applicable
statute, rule, or regulation
The necessity for attending the hearing and the consequences of failure to attend
Such procedural rights as the right to present testimony and other evidence relative to the appeal
The right to bring and to subpoena witnesses and records
The right to be represented; to submit briefs; to present oral argument
The right to challenge the appeal tribunal’s interest
Information concerning requests for postponement, continuation, and reopening of the hearing
Information about how and where to obtain further assistance

12. Do the state’s policies and procedures regarding Lower Authority Appeals provide guidance regarding
the hearing officer’s handling of the following hearing-related tasks? (check all that apply)
Pre-hearing issuance of subpoena(s)
Opening statement
Swearing-in of parties to the hearing
Order of testimony from each witness
Taking testimony of both parties
Opportunity to question own witness(es)
Opportunity to offer rebuttal
Confrontation
Cross-examination
Continuances
Question 12 check boxes continue on next page
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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

Explanation of decision and notification process
Explanation of Higher Authority Appeal rights
Acceptance and logging evidence
Handling of witnesses
Handling of exhibits
Hearsay evidence
Establishing burden of proof
Policy on Agency representation

13. Does the state’s format for Lower and Higher Authority Appeal decisions contain the following
elements? (check all that apply)
Names and identification of the parties:
LAA
HAA
Appearances:
LAA

HAA

Recital of jurisdiction of appeal tribunal:
LAA
HAA
Decision number:
LAA
HAA
Date of appeal:
LAA

HAA

Place and date of hearing:
LAA
HAA
Date of mailing decision:
LAA
HAA
Authority making decision:
LAA
HAA
Brief recital of the decision under review:
LAA
HAA
A clear statement of the issue(s) involved, i.e., of the subject matter in controversy:
LAA
HAA
The appeal tribunal’s findings of fact and conclusion of law:
LAA
HAA
Question 13 check boxes continue on next page
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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

 statement of rationale, explaining why the facts found lead to the conclusions of law which
A
were reached:
LAA
HAA
 he administrative action taken, e.g., the extent to which benefits are allowed or disallowed, directions
T
to the administrative agency for further proceedings, or other orders for disposition of the appeal:
LAA
HAA
 statement (notice) of right to further appeal, including the time limit for filing an appeal;
A
information as to the places and methods of filing the appeal; and, if state law permits extension
of the appeal period for good cause, such information should be included:
LAA
HAA
A statement concerning the importance of filing continued claims during the appeal process:
LAA
HAA

14. Do the state’s policies and procedures provide for the confidentiality of Lower Authority Appeal
records in accordance with 20 CFR 603.5(b)?
Select Answer
No
Yes

14a. Do the state’s policies and procedures provide for the confidentiality of Higher Authority
Appeal records in accordance with 20 CFR 603.5(b)?
Select Answer
No
Yes

15. Does the state have procedures to inform claimants that confidential information provided for the
UI claim, including Appeals proceedings, may be requested and utilized for other governmental
purposes including verification of eligibility under other governmental programs, in accordance
with 20 CFR 603.11?
Select Answer
No
Yes

15a. If yes, how and when is this information provided to the claimant?

16. Does the state have procedures to inform employers that wage information and other confidential
information provided relating to an unemployment compensation claim, including Appeals proceedings,
may be requested and utilized for other governmental purposes including verification of an individual’s
eligibility for other governmental programs in accordance with 20 CFR 603.11?
Select Answer
No
Yes
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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

16a. If yes, how and when is this information provided to employers?

17. Do the states policies and procedures regarding the content of Appeals hearing dockets restrict
inclusion of confidential claimant and employer information to ensure compliance with UIPL No. 3-15?
Select Answer
No
Yes

17a. Are lists of upcoming hearings posted online or elsewhere?
Select Answer
No
Yes

17b. Do Appeals hearing dockets and notices contain any personally identifiable information?
Select Answer
No
Yes

17c. Are Lower Authority Appeal hearings open to the public?
Select Answer
No
Yes

17d. D
 o the state’s policies and procedures allow a hearing officer to close the hearing either on his/
her own motion or at the request of a party?
Select Answer
No
Yes

17e. D
 o the state’s policies and procedures allow a hearing officer to approve a request for
postponement?
Select Answer
No
Yes

17f. Do the state’s policies and procedures allow a hearing officer to approve a request to reopen?
Select Answer
No
Yes

17g. I s the UI agency in compliance with 20 CFR 603.5(b) in that only final decisions may be disclosed,
and the records of hearings that led to those decisions?
Select Answer
No
Yes

18. How many members are on the Higher Authority Appeals panel?
19. Do the state’s policies and procedures allow acceptance of new evidence for Higher Authority Appeals?

Select Answer
N/A
No
Yes

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

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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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

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 have a dedicated training staff or unit to deliver training to Appeals unit staff and
hearing officers on Lower Authority Appeals rules, policies, and procedures?
Select Answer
No
Yes

1a. D
 oes the state have a dedicated training staff or unit to deliver training to Appeals unit staff and
hearing officers on Higher Authority Appeals rules, policies, and procedures?
Select Answer
No
Yes

2.

Does the state have a formal training plan for new Appeals unit staff and hearing officers?
Select Answer
No
Yes

2a. If yes, what is the total time devoted to the formal training?
Less than one week:

LAA
HAA
One to two weeks:

LAA
HAA
More than two weeks:

LAA
HAA
One month or more:

LAA
HAA
Other (explain):

LAA

HAA

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

3.

Does the state have a training plan to provide “refresher” training to experienced Appeals staff?
Select Answer
No
Yes

3a. If yes, how often is the “refresher” training conducted?
LAA:

Monthly
Quarterly

Other (explain):

HAA:

Monthly
Quarterly

Other (explain):

4.

Annually

On an as-needed basis

Annually

On an as-needed basis

How does the state deliver training to Appeals staff? (check all that apply)
Classroom setting:
LAA
HAA
On-the-job training:
LAA
HAA
Self-guided online course:
LAA
HAA
One-on-one training:
LAA
HAA
Question 4 check boxes continue on next page

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

Other (explain):

LAA

HAA

5.

Does the state use temporary Appeals staff to address workload increases?
Select Answer
No
Yes

5a. If yes, how does the state train these temporary Appeals staff?

6. Provide the date(s) training was completed for Appeals staff for any technology or operational changes
that were made during the review period that affected Lower or Higher Authority Appeals.

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7. Provide the date(s) training was completed for Appeals staff for any new laws, program implementations,
policy or procedural changes that occurred during the review period that affected Lower or Higher
Authority Appeals.

8.

Are Appeals reversals and remands monitored to identify training needs for Appeals hearing officers?
Select Answer
No
Yes

9. 
Is there a method used to obtain feedback from participants regarding the effectiveness of the
training given?
Select Answer
No
Yes

9a. If yes, how is feedback obtained from participants?

10. Is there a means to obtain feedback from management staff on the effectiveness of the training, based
upon staff performance following training?
Select Answer
No
Yes

10a. If yes, how is feedback obtained from management staff?

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

11. Are program performance results used to determine training topics and content (e.g., Lower Authority
Appeals Quality review results, case aging data, or Appeals time lapse)?
Select Answer
No
Yes

11a. What other means, if any, are used by the state to determine training needs for Appeals staff?

12. Is there a standard process for Appeals staff to access appropriate program subject matter experts or
other resources when questions arise regarding procedures, policies, laws, and regulations pertaining
to Lower Authority Appeals?
Select Answer
No
Yes

13. Does the state have a formal training program for new Higher Authority Appeals Review members?

Select Answer
No
Yes

14. How are LAA and HAA agency employees (state employees and/or contractors) trained on the proper
handling and safeguarding of confidential UC information and the penalties for unauthorized use of
confidential UC information?

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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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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

SECTION 3:

Workload Analysis / Management Controls

The state’s ability to manage Appeals workloads, particularly through periods of unforeseen spikes in
Appeals cases, is analyzed. Methods used to mitigate backlogs, when they occur, substantially affect
the state’s ability to provide timely appeal hearings and decisions, which impact unemployment benefit
payments to claimants. Reviewers will address process-improvement initiatives aimed at minimizing
appeal backlogs.

1.

Does the state have a method for tracking workload backlogs of Lower and Higher Authority Appeals?

Lower Authority Appeals:
Select Answer
No
Yes
Higher Authority Appeals:
Select Answer
No
Yes

1a. If yes, is the data collection automated?
Lower Authority Appeals:
Select Answer
No
Yes
Higher Authority Appeals:
Select Answer
No
Yes

1b. I f yes, are the backlogs identified by category? (e.g., separations, non-separations, charge issues,
by hearing officer, etc.)
Select Answer
N/A
No
Yes

2.

If the state tracks Lower and Higher Authority Appeals backlogs, how often are these reports generated?
LAA:
Real-time

Daily

Weekly

Monthly

Quarterly

As needed

N/A

HAA:
Real-time

Daily

Weekly

Monthly

Quarterly

As needed

N/A

3. Does the state use a case aging methodology to monitor undecided Lower and Higher Authority Appeals?
Lower Authority Appeals:
Select Answer
No
Yes
Higher Authority Appeals:
Select Answer
No
Yes

3a. If yes, is this data compilation automated?
Select Answer
N/A
No
Yes

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4.

During the review period, was there a non-seasonal increase in backlogs or case aging?
Select Answer
No
Yes

4a. I f yes, were any of the following mitigation efforts taken to address this increase?
(check all that apply)
Hire additional temporary staff:

LAA
HAA
Assign qualified staff from different units:

LAA
HAA
Overtime:

LAA

HAA

Adjusted work schedules, including extended and weekend hours:

LAA
HAA
Adjustments to the appeal processing and docketing methods:

LAA
HAA
Temporary adjustments to appeal hearing methods (explain):

LAA

HAA

Other (explain):

LAA

HAA

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

5.

Did the state experience a backlog in Lower and/or Higher Authority Appeals during the review period?
Select Answer
No
Yes
5a. If yes, what was the cause of the backlog(s)? (check all that apply)
LAA:
Seasonal workload increases (explain)

Operational issues related to facilities, budget, or staffing (explain)

Information Technology hardware or software issues (explain)

Economic downturn, localized or statewide (explain)

Question 5a continues on next page
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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

Law or policy changes (explain)

Extended benefit programs (both permanent EB and any temporary program (explain)

Postponements or continuances (explain)

Other (explain)

Question 5a continues on next page

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

HAA:
Seasonal workload increases (explain)

Operational issues related to facilities, budget, or staffing (explain)

Information Technology hardware or software issues (explain)

Economic downturn, localized or statewide (explain)

Question 5a continues on next page

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

Law or policy changes (explain)

Extended benefit programs (both permanent EB and any temporary program (explain)

Postponements or continuances (explain)

Other (explain)

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

6. Does the state monitor its Lower and Higher Authority Appeals workloads to identify potential
problem areas?
Select Answer
No
Yes

6a. If yes, is this monitoring process automated or manual?

7.

LAA:
Automated

Manual

HAA:
Automated

Manual

What practices does the state utilize to mitigate Higher Authority Appeals workload increases? (explain)

8.

Do the state’s laws, regulations, or policies require that hearing officers be attorneys?
Select Answer
No
Yes

9. Do the state’s laws, regulations, or policies require that any of the Higher Authority Appeals panel
members be attorneys?
Select Answer
No
Yes

9a. If yes, which HAA members must be attorneys?

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

10. During the review period, did the state conduct any business process analysis to improve Lower and
Higher Authority Appeals processes and increase efficiency?
Select Answer
No
Yes

10a. If yes, what changes have been made and what was the result of those changes?

10b. If yes, were there any changes recommended that were not implemented? (explain why)

11. Does the state utilize any automation in its Lower Authority Appeals docketing, assembling case files,
or hearings?
Select Answer
No
Yes
11a. If yes, what processes are automated?

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

11b. D
 oes the state utilize any automation in its Higher Authority Appeals docketing, assembling case

11c.

files, or hearings?
Select Answer
No
Yes
If yes, what processes are automated?

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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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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

SECTION 4:

Performance Management

The state’s practices for monitoring program performance and compliance with Federal and state law and
regulations is examined. Preparation and monitoring of corrective action plans are necessary functions
to further program performance improvements.

1. Was the state required to complete a Corrective Action Plan(s) (CAP) related to Appeals during the
review period?
Select Answer
No
Yes

1a. If yes, what performance areas required a CAP?
Core Measures:
Average Age of Pending Lower Authority Appeals
Average Age of Pending Higher Authority Appeals
Lower Authority Appeals Quality
Secretary’s Standards:
Lower Authority Appeals: Decided within 30 days of filing
Lower Authority Appeals: Decided within 45 days of filing

2. If the state was required to submit CAP(s) during the review period, did the state meet their milestones
for its CAP(s) during each quarter of the review period?
Select Answer
N/A
No
Yes

2a. If no, explain which milestones were not met and why.

3.

If the state has submitted multi-year CAP(s), identify the areas covered by the multi-year CAP(s).

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

3a. What progress has the state made in addressing the issue(s) that resulted in the multi-year CAP?

4. 
What unit or office is responsible for monitoring the performance of the state’s Lower Authority
Appeals operations?

4a. W
 hat unit or office is responsible for monitoring the performance of the state’s Higher Authority
Appeals operations?

4b. W
 hat methods are used to monitor the Appeals operations to ensure the program is operated in
accordance with Federal and state law and regulations?

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

5. Does the state monitor Appeals program activity and performance in addition to monitoring set out in
Federal requirements?
Select Answer
No
Yes

5a. If yes, explain what areas are monitored and the methods used.

6. Are Appeals workload, time lapse, and case aging reports compiled automatically with computer
system programs or manually by Appeals staff?

6a. I f these reporting data are compiled manually, what unit is responsible for preparing
these reports?

6b. I f these reports are not prepared by the Chief of Appeals, does the Chief review the report data to
identify deficient performance?
Select Answer
No
Yes

6c. Are these reports used to identify training needs?
Select Answer
No
Yes
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7.

Are the Appeals performance reports passing Data Validation?
Select Answer
No
Yes

7a. If no, in what areas are they failing Data Validation?

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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.

Section 4: Performance Management — June 2016, Version 2.0 | 34

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Lower and Higher Authority Appeals

SECTION 5:

Information Technology (IT)

The state’s IT projects relating to UI Appeals completed during the review period and planned for the
future are addressed. The reviewer will assess the state’s IT department’s delivery of programming and
technical support to the UI Appeals Section. Having a disaster recovery plan as well as contingency
planning to implement emergency UI programs with a short lead time is vital to continued operations
under extreme conditions.

1. 
During the review period, were there any IT projects that impacted the Lower or Higher Authority
Appeals system?
Select Answer
No
Yes

1a. I f yes, what were the projects, are they completed or on-going? If on-going, what is the expected
completion date for each?

2. During the review period, were there IT needs for the Appeals systems that were not met that affected
program performance?
Select Answer
No
Yes
2a. I f yes, describe what IT needs were not met, the reason they were not met, the effect it had on the
program, and the state’s plans to meet these needs.

3. Does the state’s computer system allow for shifting telephone appeal hearings between offices for
load-balancing purposes?
Select Answer
No
Yes
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4. Does the state use a “Smart Scheduler” or some other tool for scheduling appeal hearings with
employers and claimants?
Select Answer
No
Yes

5. Does the state use any of the following technology solutions in its Appeals processes?
(check all that apply)
Digital recording system
Document management system
Speech recognition dictation software
N/A

6. Does the state have a Continuity of Operations Plan that will ensure continued operations of the
Lower and Higher Authority Appeals system in the event of a natural disaster or pandemic incident?
Lower Authority Appeals:
Select Answer
No
Yes
Higher Authority Appeals:
Select Answer
No
Yes

6a. I f yes, has it tested the plan, what is the most recent test date, and what were the results of the
test, if applicable?

7. Describe the measures that the UI agency has in place to ensure that only the claimant or someone
authorized by the claimant can access claim information online or via phone (e.g., passwords, codes,
Personal Identification Number (PIN), etc.)?

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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:

Claimant / Employer Access & Communication

The reviewer will provide basic information regarding the appeal unit’s system functionality. Compliance
with accessibility standards will also be reviewed. If the state conducts in-person appeal hearings,
accommodations for claimants and employers with limited-English proficiency must be made.
Telephonic technology used by the state for conducting appeal hearings by phone must comply with
accessibility standards set forth in Federal law.

1. What is the state’s primary method of conducting Lower Authority Appeal hearings?
In-person hearings
Telephone hearings
Other (explain)

1a. Provide the percentage of the state’s Lower Authority Appeal hearings conducted:
In-person:
By telephone:
Other (explain):

%
%
%

2. Are claimants and employers provided a means to provide feedback about the Lower Authority
Appeals process?
Select Answer
No
Yes

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3.

Is the state’s Appeals unit centralized in a single location?
Select Answer
No
Yes

3a. If no, how many locations does the Appeals unit maintain throughout the state?

4. Did any location where Appeals hearings are conducted experience downtime during the review
period which caused delays or backlogs in holding appeal hearings?
Select Answer
No
Yes

4a. I f yes, when did the downtime occur, how many days/hours was the Appeals unit down, and
what was the cause of the downtime?

5. Does the state provide claimants and employers a general information service line for Appeals
inquiries?
Select Answer
No
Yes

5a. I f yes, does the state utilize a “virtual hold” system that provides a caller the option to leave a
message and set a callback when staff is available?
Select Answer
No
Yes

6. Do the state’s appeal hearing procedures and technology solutions used in its Appeals operations
meet accessibility standards in accordance with Section 508 of the Rehabilitation Act (29 U.S.C. 794d),
UIPL 30-11, UIPL 02-16 and the state’s accessibility standards, if different?
Select Answer
No
Yes

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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:

Operational Efficiency / Resource Allocation

The reviewer will examine methods used to identify staff training needs and identify efficiencies and
operational changes to improve performance and provide better services to its customers.

1.

What is the state’s ratio of management staff to front-line staff in the Appeals unit?

2.

Is the Appeals system operated on a single computer platform?
Select Answer
No
Yes

2a. If multiple platforms are in use, is there seamless integration between the systems being used?
Select Answer
N/A
No
Yes

3.

Does the state use hard-copy documents for Lower Authority Appeal hearings?
Select Answer
No
Yes

4. Does the state have an established process for reviewing appeal and court decisions for precedentsetting rulings or necessitating staff training?
Select Answer
No
Yes

4a. If yes, is training also provided to the adjudication staff?
Select Answer
N/A
No
Yes

5. Does the state have an established process for reviewing appeal and court decisions to identify areas
of potential misinterpretation of the law, necessitating staff training?
Select Answer
No
Yes

5a. If yes, is training also provided to the adjudication staff?
Select Answer
N/A
No
Yes

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6. Does the state utilize customer (claimant/employer) surveys or focus groups to gather input on the
Appeals processes, to identify efficiencies or operational improvements that could be made?
Surveys:
Select Answer
No
Yes
Focus Groups:
Select Answer
No
Yes

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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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SECTION 8:

Staffing

Staffing levels and organizational changes all can affect the state’s ability to manage its Appeals workload
and meet Appeals timeliness and quality standards.

1.

What is the percentage of state staff that is allotted (FTE allocation) for Appeals staff?
Support Staff
Lower Authority Appeals:
Higher Authority Appeals:

%
%

Hearing Officers
Lower Authority Appeals:

%

2. How many FTEs were budgeted and dedicated for Appeals support staff and hearing officers during the
review period?
Support Staff
Budgeted:

Dedicated:

Hearing Officers
Budgeted:

Dedicated:

3. If the state has a Higher Authority Appeals system, does support staff in the Appeals unit provide
clerical support to the Higher Authority Appeals?
Select Answer
N/A
No
Yes

3a. If yes, how many staff-hours per month do support staff work for the Higher Authority Appeals?
3b. Does the agency’s legal department provide legal support to the Higher Authority Appeals?
Select Answer
N/A
No
Yes

3c. If yes, how many staff-hours per month does legal staff provide to the Higher Authority Appeals?

4. Did personnel actions occur that affected staffing levels of Appeals staff during the review period?
(check all that apply)
LAA
Hiring freeze(s)
Temporary or permanent staff reductions
Question 4 check boxes continue on next page

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Retirement/buyouts
Other (explain)

N/A
HAA
Hiring freeze(s)
Temporary or permanent staff reductions
Retirement/buyouts
Other (explain)

N/A

4a. If the state implemented a hiring freeze, when did it occur and how long did it last?

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4b. What, if any, negative impact did the hiring freeze have on Appeals operations?

4c. I f the state underwent temporary or permanent staff reductions, how many Appeals staff were
affected, when did the action occur, and how long did it last?

4d. I f the state experienced retirements in its Appeals staff or had a retirement buyout during the
review period:
Provide the number of support staff that left due to retirement:
What percentage of the overall support staff does this represent?

%

Provide the number of hearing officers that left due to retirement:
What percentage of the overall hearing officers does this represent?

%

4e. I f the state experienced turnover of Appeals staff, what percentage of the Appeals positions
remain vacant?

%

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SECTION 8:

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 Lower and
Higher Authority Appeals
SECTION 9:

For the following sets of questions, consider the overall operations related to Lower and Higher Authority
Appeals. 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 51 and 52.

1. Provide any observations of good and/or exemplary performance in the state’s Lower and Higher
Authority Appeals policies, procedures, and confidentiality and other operations that would constitute
successful practices to share with other states.

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2. Document any issues detected in the Lower and Higher Authority Appeals operations 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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