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

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

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

Overarching Operational Matters

REVIEW PERIOD: Begins

Ends

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

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 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.

 oes the state have systemic procedures and set frequencies for reviewing and updating the benefits
D
operating manuals used by agency staff?
Select Answer
No
Yes

2. Does the state have procedures to ensure its Administrative Regulations pertaining to unemployment
insurance (UI) are updated, as needed, as the result of statutory changes?
Select Answer
No
Yes
2a. If yes, were the Administrative Regulations updated during the review period?
Select Answer
N/A
No
Yes
2b. If yes, what changes were made?

Section 1: Procedures, Policies, and Confidentiality — June 2016, Version 2.0 | 1

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

3. Does the state have policies and procedures regarding the retention of UI records, including electronic,
hard-copy, and microfilm/microfiche, in accordance with the state records retention regulations and
consistent with Federal regulation 29 CFR 97.42?
Select Answer
No
Yes

4.

 oes the state have policies and procedures regarding confidentiality of UI records that are consistent
D
with Federal regulation 20 CFR § 603 et seq.?
Select Answer
No
Yes

5. Does the state have a written policy to ensure that staff who work remotely handle personally
identifiable information in accordance with confidentiality requirements?
Select Answer
No
Yes
5a. During the review period were there any incidents of confidentiality breaches by staff that
work remotely?
Select Answer
No
Yes

6.

 oes the state have policies and procedures to address instances where confidential information is
D
provided to or obtained by an unauthorized party?
Select Answer
No
Yes
6a. If yes, what steps does the state take?

6b. Do procedures vary depending upon type and magnitude of the breach?

Section 1: Procedures, Policies, and Confidentiality — June 2016, Version 2.0 | 2

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

7. If the state provides services in a group setting (e.g., taking initial and continued claims, eligibility
reviews, etc.), what steps are taken to ensure each individual’s confidential information is protected?

7a. How is each individual’s identity verified?

8. Does the state utilize a UI Advisory Council to review and recommend UI legislation, agency
policies, etc.?
Select Answer
N/A
No
Yes

Section 1: Procedures, Policies, and Confidentiality — June 2016, Version 2.0 | 3

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

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.

Section 1: Procedures, Policies, and Confidentiality — June 2016, Version 2.0 | 4

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

SECTION 2:

Training

Managers/employees should possess and maintain a level of expertise that 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 unit that provides training on agency policies, state and
Federal regulations, and confidentiality?
Select Answer
No
Yes
1a. How is training for these topics delivered to staff? (check all that apply)
Self-guided online training
One-on-one training
Classroom setting
Bulletins or circulars
Other (explain)

2. Does the state have procedures in place throughout its UI units to promote cross-training of staff for
efficiency and succession planning?
Select Answer
No
Yes
2a. If yes, how is this training conducted? (check all that apply)
Self-guided online training
Classroom setting
One-on-one training
Question 2a check boxes continue on next page

Section 2: Training — June 2016, Version 2.0 | 5

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

U.S. Department of Labor’s online training
Other (explain)

3.

Does the state have a training curriculum for the following topics? (check all that apply)
Data security
Confidentiality requirements
Equal Employment Opportunity requirements
Records retention requirements

4.

 ow are UI agency employees (state employees and/or contractors) trained on the proper handling
H
and safeguarding of confidential UI claim information and the penalties for unauthorized use of
confidential claim information?

Section 2: Training — June 2016, Version 2.0 | 6

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

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.

Section 2: Training — June 2016, Version 2.0 | 7

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

SECTION 3:

Workload Analysis / Management Controls

The state’s ability to manage UI programs, particularly through periods of high unemployment and the
associated spike in workloads, is analyzed. Reviewers will address process-improvement initiatives aimed
at minimizing backlogs.

1. Does the state have a strategic plan that includes steps to be taken to mitigate spikes in UI workloads?
Select Answer
No
Yes
1a. If yes, what are the key elements of the workload management plan?

2. What methods, if any, does the state use to identify process improvements or business process analysis
initiatives (e.g., cross-program brainstorming meetings, employee suggestion program, etc.)?

Section 3: Workload Analysis / Management Controls — June 2016, Version 2.0 | 8

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

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.

Section 3: Workload Analysis / Management Controls — June 2016, Version 2.0 | 9

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

SECTION 4:

Performance Management

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

1.

 uring the review period, did the state use Benefits Accuracy Measurements (BAM) performance data
D
or BAM results to successfully identify and prioritize training needs, IT projects, business process
improvement projects, budget expenditures, or supplemental funding requests?
Select Answer
No
Yes

2.

 hat unit or office is responsible for monitoring program performance for all UI operations to ensure
W
performance standards are met and corrective action plans are fulfilled?

3.

Indicate the line of authority for the BAM program manager.
Part of the UI operation structure (reporting to the UI Director)
Independent division or unit separate from UI operations
Other organizational structure (explain)

Section 4: Performance Management — June 2016, Version 2.0 | 10

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

4.

Indicate the line of authority for the individual(s) conducting this self-assessment.
Part of the UI operation structure (reporting to the UI Director)
Independent division or unit separate from UI operations
Other organizational structure (explain)

5. Were there any organizational changes during the review period that affected the state’s BAM
operations?
Select Answer
No
Yes
5a. I f yes, what organizational changes did the state implement, when were these changes
implemented, and what was the effect on the state’s BAM operations?

Section 4: Performance Management — June 2016, Version 2.0 | 11

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

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 | 12

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

SECTION 5:

Information Technology (IT)

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

1. During the review period, did the state have a work group or committee composed of appropriate UI
staff to review and prioritize IT projects and work requests?
Select Answer
No
Yes
1a. If not, how did the state prioritize its IT projects?

2.

Is the state conducting any UI-IT modernization efforts?
Select Answer
No
Yes
2a. If yes, what is the status of the UI IT modernization initiative?
Benefits:

Planned

In Progress
Completed Date completed:
N/A
Tax:

Planned
In Progress
Completed Date completed:
N/A

Question 2a check boxes continue on next page

Section 5: Information Technology (IT) — June 2016, Version 2.0 | 13

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

Appeals:

Planned

In Progress
Completed Date completed:
N/A
Benefit Payment Control:

Planned

In Progress
Completed Date completed:
N/A

2b. If yes, how is the state undertaking its modernization effort? (check all that apply)
In-house using agency staff only
Vendor/agency effort
Multi-state consortium
Other (explain)

N/A

3.

If the state is using legacy systems, how old is each UI program system (in years)?
Benefits:
Tax:
Appeals:

years
years
years

Benefit Payment Control:

years

Section 5: Information Technology (IT) — June 2016, Version 2.0 | 14

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

4.

On what type of computer system do the UI program applications run?
Agency operated system
Centralized statewide system
Other (explain)

4a. I f UI applications are not on an agency operated system, describe how this affects development
time for implementing UI program changes and response time when outages occur?

5.

 re there any IT projects planned for the future, either for mandated changes or performance
A
improvements for the UI Benefits, Appeals, or Tax systems?
Select Answer
No
Yes
5a. If yes, what are the projects and what is the expected start date and duration for each?

6. During the review period, did the state have adequate technical staff to support PC workstations,
servers, telephony, and network infrastructure?
Select Answer
No
Yes
Section 5: Information Technology (IT) — June 2016, Version 2.0 | 15

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

7.

 uring the review period, did the state have a standing team/committee responsible for developing and
D
maintaining a disaster recovery plan?
Select Answer
No
Yes

8.

Does the state have a disaster recovery site available?
State-owned
Vendor owned
Other (explain)

N/A

9.

Does the state review and/or update and test its IT Contingency Plan annually?
Select Answer
No
Yes
9a. When was the Contingency Plan last updated?

9b. When was the Contingency Plan last tested and what were the results?

10. Does the state review and/or update its System Security Plan annually?
Select Answer
No
Yes
10a. When was the System Security Plan last updated?

11. Does the state conduct an IT Risk Assessment at least once every three years?
Select Answer
No
Yes
11a. When was the last Risk Assessment conducted?

Section 5: Information Technology (IT) — June 2016, Version 2.0 | 16

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

12. During the review period, did the state conduct a threat assessment technical review of its Internetbased applications?
Select Answer
No
Yes
12a. I f yes, what was the date of the last review, what type of threat assessment did the state perform,
and what was the result?

12b. If any deficiencies were identified in the threat assessment, have they been corrected at the
time of this review?
Select Answer
N/A
No
Yes
12c. If not, explain why the deficiences have not been corrected and when they are expected to
be resolved.

13. Does the state use a formal Project Management process for IT systems projects and program
implementations?
Select Answer
No
Yes

14. Does the state have a structured Change Management process to govern how IT projects are prioritized,
managed, and implemented?
Select Answer
No
Yes

15. During the review period, was the state required to submit a Corrective Action Plan for failure to have
complete, up-to-date security documentation or for not having tested its plans? (check all that apply)
IT Contingency Plan
System Security Plan
Risk Assessment documents
N/A
Section 5: Information Technology (IT) — June 2016, Version 2.0 | 17

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

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.

Section 5: Information Technology (IT) — June 2016, Version 2.0 | 18

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

SECTION 6:

Access and Communications

States need to maintain compliance with requirements set forth in Federal law regarding program
accessibility and maintaining a system(s) that is available to all claimants and employers. Claims-filing
systems should be user-friendly, customer-facing systems and integrated operating systems to provide
the best customer experience and efficient operations.

1. Do the systems used by the state meet accessibility standards in accordance with Section 508 of
the Rehabilitation Act (29 U.S.C. 794d), UIPL No. 30-11, UIPL No. 02-16 and the state’s accessibility
guidance or standards, if different?
Internet:
Select Answer
N/A
No
Yes
Telephone:
Select Answer
N/A
No
Yes
In-person:
Select Answer
N/A
No
Yes
Mail:
Select Answer
N/A
No
Yes
Other (explain):
Select Answer
No
Yes

1a. If yes, what testing procedure(s) does the state use to ensure the fact-finding systems are in
compliance?

Section 6: Access and Communications — June 2016, Version 2.0 | 19

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

2. Does the state offer different language options for communicating with claimants and employers
in accordance with UIPL No. 30 - 11 and UIPL No. 02-16 for each of the following filing methods,
if applicable?
Internet:
Select Answer
N/A
No
Yes
Telephone:
Select Answer
N/A
No
Yes
In-person:
Select Answer
N/A
No
Yes
Mail:
Select Answer
N/A
No
Yes
Other (explain):
Select Answer
No
Yes

2a. Are the language options noted in Question 2 offered in the following functional areas:
Initial Claims Intake:
Select Answer
N/A
No
Yes
Appeals:
Select Answer
N/A
No
Yes
Adjudications:
Select Answer
N/A
No
Yes
Benefit Payment Control (BPC):
Select Answer
N/A
No
Yes
Eligibility Reviews:
Select Answer
N/A
No
Yes
Reemployment Services:
Select Answer
N/A
No
Yes
Continued Claims:
Select Answer
N/A
No
Yes

Question 2a continues on next page

Section 6: Access and Communications — June 2016, Version 2.0 | 20

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

Short-Time Compensation (STC):
Select Answer
N/A
No
Yes
Disaster Unemployment Assistance (DUA):
Select Answer
N/A
No
Yes
Trade Readjustment Allowances (TRA):
Select Answer
N/A
No
Yes
Other (explain):
Select Answer
No
Yes

2b. For each contact method used, are the alternative languages based upon the significant
population(s) of residents that have a specific primary language that is other than English?
Internet:
Select Answer
N/A
No
Yes
Telephone:
Select Answer
N/A
No
Yes
In-person:
Select Answer
N/A
No
Yes
Mail:
Select Answer
N/A
No
Yes
Other (explain):
Select Answer
No
Yes

Section 6: Access and Communications — June 2016, Version 2.0 | 21

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

2c. F or each communication method used, indicate below the most common language options
available and describe the method used to create translations.
Internet:
Language
1.
2.
3.
4.
5.
6.

Contractor
Contractor
Contractor
Contractor
Contractor
Contractor

In-house
In-house
In-house
In-house
In-house
In-house

Other:
Other:
Other:
Other:
Other:
Other:

Telephone:
Language
1.
2.
3.
4.
5.
6.

Contractor
Contractor
Contractor
Contractor
Contractor
Contractor

In-house
In-house
In-house
In-house
In-house
In-house

Other:
Other:
Other:
Other:
Other:
Other:

In-person:
Language
1.
2.
3.
4.
5.
6.

Contractor
Contractor
Contractor
Contractor
Contractor
Contractor

In-house
In-house
In-house
In-house
In-house
In-house

Other:
Other:
Other:
Other:
Other:
Other:

2d. If individuals speak languages other than those languages listed in 2c above, what other resources/
services, if any, would the agency use to provide assistance via the following methods, if applicable
(e.g., assistance from community-based cultural organizations)?
Internet:

Question 2d continues on next page

Section 6: Access and Communications — June 2016, Version 2.0 | 22

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

Telephone:

In-person:

Mail:

Other:

Section 6: Access and Communications — June 2016, Version 2.0 | 23

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

3.

Does the state employ bilingual staff to assist claimants and employers?
Select Answer
No
Yes
3a. If yes, indicate language(s) spoken.

3b. If yes, indicate the methods used by bilingual staff to assist claimants and employers.
Internet (e.g., claimants can initiate online chat session with a staff person)
Telephone
In-person
Other (explain)

4. If multiple language options are available, describe how claimants and employers access their chosen
language when using the following methods.
Internet:

Question 4 continues on next page

Section 6: Access and Communications — June 2016, Version 2.0 | 24

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

Telephone:

In-person:

Mail:

Other:

Section 6: Access and Communications — June 2016, Version 2.0 | 25

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

5. Indicate the type of resources the state uses to assist hearing impaired individuals using the following
methods, if applicable in the state.
Telephone
TTY
In-person
Sign language services
Internet (explain):

Other (explain):

N/A

6.

Indicate the state’s primary access points/communication methods for UI claimants.
Internet (e.g., claimants can initiate online chat session with a staff person)
Telephone
In-person
Mail
Other (explain)

Section 6: Access and Communications — June 2016, Version 2.0 | 26

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

7.

 hat alternative program access points/communication methods does the state provide for individuals
W
with access barriers; including, but not limited to individuals with disabilities, individuals with
limited English proficiency (LEP), individuals who are not computer literate or may not have access to
computers, and individuals who are illiterate in their primary language?

8. What processes does the state have to communicate to individuals with access barriers about
alternative access points?

9.

 or languages spoken by a significant number or proportion of individuals who may be eligible for UI
F
benefits, are there processes in place to ensure these individuals are able to learn about, apply for, and
maintain eligibility in the relevant languages for every program delivery avenue (e.g., online, in person,
and/or by phone)?
Select Answer
No
Yes

10. Are vital documents and/or information necessary for an LEP individual to learn about, apply for, and
maintain eligibility available in both hard copy and electronic text on a website?
Select Answer
No
Yes

Section 6: Access and Communications — June 2016, Version 2.0 | 27

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

11. What interpretation services does the state provide for LEP individuals?

12. Is the state compliant with the provisions of Section 188 of the Workforce Innovation and Opportunity
Act (WIOA) (P.L. 113-128) and relevant regulations implementing WIOA related to Section 188?
Select Answer
No
Yes

13. Are state staff fully trained on alternative access provisions and services available to LEP individuals,
so that staff knows how to connect UC claimants with alternative access points to ensure their full
access to program services and benefits, if eligible?
Select Answer
No
Yes

Section 6: Access and Communications — June 2016, Version 2.0 | 28

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

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.

Section 6: Access and Communications — June 2016, Version 2.0 | 29

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

SECTION 7:

Operational Efficiency / Resource Allocation

Are sufficient resources available--training, facilities, staff, etc., to support program operations? What
efficiencies and automation has the state employed to improve performance and provide better services
to its customers? Are there areas for improvement that will be addressed in the future?

1. During the review period, did the state conduct any initiatives regarding its facilities to improve
program efficiency (e.g., consolidation of locations, renovations, etc.)?
Select Answer
No
Yes
1a. If yes, explain.

2. During the review period, did the state conduct any initiatives to change its service delivery methods to
improve program efficiency (e.g., change/extend office hours, four-day work week for staff, etc.)?
Select Answer
No
Yes
2a. If yes, explain.

3.

Does the state utilize a documents management system?
Select Answer
No
Yes

Section 7: Operational Efficiency / Resource Allocation — June 2016, Version 2.0 | 30

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

3a. If yes, what type of system does the state use?

3b. Are there aspects of the system that the state would like to automate or update with newer
technology? (explain)

4.

Does the state use an imaging system?
Select Answer
No
Yes
4a. If yes, does the imaging system utilize bar coding?
Select Answer
N/A
No
Yes

Section 7: Operational Efficiency / Resource Allocation — June 2016, Version 2.0 | 31

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

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.

Section 7: Operational Efficiency / Resource Allocation — June 2016, Version 2.0 | 32

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

SECTION 8:

Staffing / Merit Staffing

Staffing levels, retirements and organizational changes all can affect the state’s ability to manage its UI
operations. The use of merit and non-merit staff is also reviewed in this section.

1. During the review period, approximately what percentages of the state’s UI workforce comprised the
following categories?
Regular, classified employees:
Unclassified employees:
Contract employees:

%
%

%

Emergency or temporary employees:

%

Other (explain):

2.

Does the state employ any non-merit staff in the following UI program operations?
Initial Claims Intake:
Select Answer
N/A
No
Yes
If yes, what positions do they hold and what are their responsibilities?

Question 2 continues on next page
Section 8: Staffing / Merit Staffing — June 2016, Version 2.0 | 33

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

Appeals:
Select Answer
N/A
No
Yes
If yes, what positions do they hold and what are their responsibilities?

Adjudications:
Select Answer
N/A
No
Yes
If yes, what positions do they hold and what are their responsibilities?

Eligibility Reviews:
Select Answer
N/A
No
Yes
If yes, what positions do they hold and what are their responsibilities?

Question 2 continues on next page

Section 8: Staffing / Merit Staffing — June 2016, Version 2.0 | 34

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

Reemployment Services:
Select Answer
N/A
No
Yes
If yes, what positions do they hold and what are their responsibilities?

Continued Claims:
Select Answer
N/A
No
Yes
If yes, what positions do they hold and what are their responsibilities?

Disaster Unemployment Assistance (DUA):
Select Answer
N/A
No
Yes
If yes, what positions do they hold and what are their responsibilities?

Question 2 continues on next page

Section 8: Staffing / Merit Staffing — June 2016, Version 2.0 | 35

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

Trade Readjustment Allowances (TRA):
Select Answer
N/A
No
Yes
If yes, what positions do they hold and what are their responsibilities?

Benefit Payment Control (BPC):
Select Answer
N/A
No
Yes
If yes, what positions do they hold and what are their responsibilities?

Short-Time Compensation (STC):
Select Answer
N/A
No
Yes
If yes, what positions do they hold and what are their responsibilities?

Question 2 continues on next page

Section 8: Staffing / Merit Staffing — June 2016, Version 2.0 | 36

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

UCFE Claims Intake and Processing:
Select Answer
N/A
No
Yes
If yes, what positions do they hold and what are their responsibilities?

UCX Claims Intake and Processing:
Select Answer
N/A
No
Yes
If yes, what positions do they hold and what are their responsibilities?

Other (explain):
Select Answer
No
Yes
If yes, what positions do they hold and what are their responsibilities?

3.

Does the state ensure that only merit staff has decision making authority?
Select Answer
No
Yes

Section 8: Staffing / Merit Staffing — June 2016, Version 2.0 | 37

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

3a. If no, explain.

4.

Was overtime required to meet workload requirements during the review period?
Select Answer
No
Yes
4a. If yes, provide the program areas and timeframes for which overtime was required.

4b. What were the most common reasons for overtime? (check all that apply)
Increased workloads
Staff shortage
Inefficient processes
Other (explain)

5.

Does the state reduce staff hours during slow workload periods?
Select Answer
No
Yes

Section 8: Staffing / Merit Staffing — June 2016, Version 2.0 | 38

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

6.

 oes the state utilize part-time or intermittent staff for flexibility in scheduling work hours based
D
upon workload?
Select Answer
No
Yes
6a. Are part-time or intermittent staff used to perform inherently governmental functions?
Select Answer
N/A
No
Yes
6b. If yes, are such staff selected following merit staffing requirements?
Select Answer
N/A
No
Yes
6c. I f the state uses means other than part-time or intermittent staff to manage staff hours in
accordance with workload fluctuations, explain what methods are used.

7.

 oes the state have a contingency plan to handle workload fluctuations (i.e. identify staff with claims
D
taking experience)?
Select Answer
No
Yes
7a. If yes, explain.

8. Has the state had a loss of management staff from the unemployment insurance program during the
review period?
Select Answer
No
Yes

Section 8: Staffing / Merit Staffing — June 2016, Version 2.0 | 39

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

8a. If yes, what management staff positions were vacated during the review period?

8b. What effect did the departure(s) have on the UI operations?

9.

 uring the review period, did the UI units provide subject matter experts to assist on IT modernization
D
or other IT projects?
Select Answer
No
Yes
9a. If yes, approximately how many staff hours or FTEs were devoted to work on IT projects?

10. Does the state have an up-to-date organizational chart accurately depicting positions supporting UI
benefits operations?
Select Answer
No
Yes

11. Does the state have formal procedures for formulating a layoff plan, when necessary?
Select Answer
No
Yes

Section 8: Staffing / Merit Staffing — June 2016, Version 2.0 | 40

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

11a. If yes, explain.

12. Does the state have a succession plan developed for the following work units? (check all that apply)
Benefits:
Plan Developed
Last Updated:
Appeals:
Plan Developed
Last Updated:
BPC:
Plan Developed
Last Updated:
BAM:
Plan Developed
Last Updated:
Data Validation:
Plan Developed
Last Updated:
Tax:
Plan Developed
Last Updated:
Fiscal:
Plan Developed
Last Updated:

Section 8: Staffing / Merit Staffing — June 2016, Version 2.0 | 41

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

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.

Section 8: Staffing / Merit Staffing — June 2016, Version 2.0 | 42

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

SECTION 9:

Fiscal Management

The state’s practices for managing its grants and its compliance with Federal and state laws and
regulations in regards to its fiscal management policies are examined.

1. How does the organization ensure that a grant is not charged unallowable costs based on applicable
cost principles and the provisions of the grant agreement?

2.

Are UI management involved in the program’s budget preparation and planning processes?
Select Answer
No
Yes

3.

 oes the state monitor that benefits are paid from the correct accounts (e.g., UCX, UCFE, TRA, etc. ) so
D
that the payments can be tracked and reported separately?
Select Answer
No
Yes
3a. If yes, how is this monitored? (check all that apply)
Automated
Manual

3b. What unit or office is responsible for monitoring that payments are being paid from correct
accounts?

4. During the review period, did the state experience any issues in managing accounts for different
benefits programs (e.g., UCFE, UCX, etc.)?
Select Answer
No
Yes
Section 9: Fiscal Management — June 2016, Version 2.0 | 43

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

4a. If yes, explain.

5.

 hat unit/division is responsible for monitoring the obligation and expenditure of Supplemental
W
Budget Request (SBR) funds to ensure expenditures are appropriate and within grant timelines?

6. In cases where the state has multiple

(SBR) grants, what safeguards does the state have in place to
ensure that each grant is used only for the project for which the funds are intended?

7. During the review period, did the state experience any issues in the obligation and expenditure of the
state’s grant funds?
Select Answer
No
Yes

Section 9: Fiscal Management — June 2016, Version 2.0 | 44

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

7a. If yes, explain.

8. During the review period, did the state experience any issues in enforcing the separation of duties so
that one person is not responsible for more than one of the following functions?
Record – a separate person should record the transaction:
Select Answer
No
Yes
Authorization – a separate person should authorize the transaction:
Select Answer
No
Yes
Custodian – a separate person should hold or have custody of the asset:
Select Answer
No
Yes
Execute – a separate person should perform the activity (e.g., request of cash is separate from the
bank or state treasury reconciliation process):
Select Answer
No
Yes

9.

Are staffing and budget reports available to UI managers for use in managing staffing?
Select Answer
No
Yes
9a. If yes, how often are these reports prepared and distributed?
Real-time
Weekly
Monthly
Quarterly
Other (explain)

Section 9: Fiscal Management — June 2016, Version 2.0 | 45

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

10. During the review period, what unit/division was responsible for completion and submission of the
ETA 9130 Financial Report?

11. During the review period, what unit or office was responsible for preparing the state’s Resource
Justification Model (RJM) reports?

11a. If UI staff does not prepare the RJM, what level of input do they have toward its content?

12. During the review period, did the UI division dispose of agency-owned property?
Select Answer
No
Yes
12a. I f yes, were the proceeds from the sale properly reported and expended on additional program
services?
Select Answer
No
Yes

13. Is the state a member of an IT consortium?
Select Answer
No
Yes
Section 9: Fiscal Management — June 2016, Version 2.0 | 46

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

13a. I f so, does the state have a complete and current Memorandum of Understanding (MOU) in

13b.

place, signed by all consortium members, which covers the cost guidelines and policies of the
agency that awarded the grant?
Select Answer
No
Yes
D
 oes the state have policies and procedures in place to monitor grants to consortium member
sub-recipients?
Select Answer
N/A
No
Yes

14. During the review period, did the state experience any issues concerning its ability to accurately track
staff time used for any of the UI functions listed in Question 14a to determine FTE usage?
Select Answer
No
Yes
14a. If yes, indicate the UI functions for which tracking staff time was an issue. (check all that apply)
Initial Claims
Weeks Claimed (Includes ERP)
Nonmonetary Determinations
Multi-claimant Services
Appeals
UI PERFORMS
Administrative Staff & Technical Services (AS&T )
UI Support/AS&T
Benefits/Appeals Travel
Benefit Payment Control
Internal Security
Interstate Activities
TAA Benefits & Administration
DUA Benefits & Administration
Tax

14b. How does the state track staff time?
Automated

Manual

15. Do the state’s cash management policies and procedures regarding administrative grant funds include
guidelines regarding the timing of the drawdown of funds in relation to the actual disbursement of
those funds?
Select Answer
No
Yes

Section 9: Fiscal Management — June 2016, Version 2.0 | 47

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

16. What checks and balances does the agency have in place to ensure administrative grant funds are
deposited and transferred in accordance with state and Federal regulations?

17. During the review period, did the state meet all fiscal reporting requirements, including timely
submission of ETA’s required fiscal reports?
Select Answer
No
Yes

Section 9: Fiscal Management — June 2016, Version 2.0 | 48

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

SECTION 9:

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 9: Fiscal Management — June 2016, Version 2.0 | 49

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

Concluding Summary Comments for Overarching
Operational Matters
SECTION 10:

Considering all the areas examined in Overarching Operational Matters, provide any appropriate
responses to the following narrative questions. Additional space for comments and reviewer notes is
available on pages 53 and 54.

1.

 rovide any observations of good and/or exemplary performance in the state’s operational policies,
P
procedures, or operations that would constitute successful practices to share with other states.

Section 10: Concluding Summary Comments for Overarching Operational Matters — June 2016, Version 2.0 | 50

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

2. Document any issues detected in the state’s 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.

Section 10: Concluding Summary Comments for Overarching Operational Matters — June 2016, Version 2.0 | 51

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

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.

Section 10: Concluding Summary Comments for Overarching Operational Matters — June 2016, Version 2.0 | 52

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

Additional Comments and Reviewer Notes:

Additional Comments and Reviewer Notes — June 2016, Version 2.0 | 53

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

Additional Comments and Reviewer Notes — June 2016, Version 2.0 | 54

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

Reviewer Information:
REVIEWER
Name:
Title:
Email:
Phone No.:

ADDITIONAL REVIEW TEAM MEMBER
Name:
Title:
Email:
Phone No.:

Reviewer Information — June 2016, Version 2.0 | 55