1. UI Benefits Operations. State Self-Assessments
UI Benefits Operations State Self-Assessments UI Administrators’/Directors’ Orientation
August 8, 2017

2. UI Benefits Operations Self-Assessment Orientation
Welcome!
Jim Garner, Deputy Administrator
Office of Unemployment Insurance
Employment and Training Administration (ETA)
U.S. Department of Labor

3. UI Benefits Operations Self-Assessment Orientation
Introductions
Discussion Leaders -
Jim Garner, Deputy Administrator
Office of Unemployment Insurance (OUI)
Betty Castillo, Division Chief
OUI Division of UI Operations
Karen Pasquale, UI Director
ETA Region 2 (Philadelphia)

4. Agenda Background: Reengineering Project
New Program Accountability Framework
Why a New Approach?
Development and Structure of Self-Assessment Tool
State Self-Assessment Reviews
Responsibilities of UI Administrators/UI Directors
State Reviewers – Selection, Duties, & Training
Implementation Timeline and Next Steps

5. Background
A long-held hallmark of the UI program is that performance and accountability is a system-wide responsibility – we all own it
In the aftermath of the last recession, we have seen improper payments continue to increase and program performance remain stagnant demonstrating a need for some type of deeper dive
States face challenges involving staff turnover, technology issues, policy changes, and funding constraints – impacting program operations
While our system has very robust UI accountability and performance measures gauging program integrity, timeliness and quality, there is a real need for a systematic focus on UI benefits operations.

6. New Program Accountability Framework - What’s Changed?
The State Quality Service Plan (SQSP) moved to a biennial cycle
National peer reviews implemented for Benefit Accuracy Measurement (BAM) and Benefits Timeliness and Quality (BTQ) for Non-monetary Determinations and Appeals
New ETA process identifies High Priority states for technical assistance
New method to leverage skills of federal staff and state subject matter experts (SMEs) to support technical assistance and performance improvement
New process for state self-assessments focused on UI operations

7. Why the New Approach?
Engage states in the assessment and review process
Integrate training and learning opportunities into the process
Support states’ efforts for continuous improvement
Identify areas where technical assistance may be needed
Strengthen operational performance quality and the UI system overall

8. ETA Guidance ETA issued guidance related to the reengineering effort:
TEN No (September 2, 2014)
TEN No (July 27, 2015)
UIPL No (July 13, 2016)
UIPL No (July 28, 2017)

9. Development of Self-Assessment Tool
Project Steering Committee identified areas for self-assessments
Team of ETA Regional and National Office staff and state SMEs
Contractor support using staff with significant UI experience
Additional review and input by ETA regional offices
Nine states conducted a pilot test in the fall of 2015; feedback and comments guided revisions and refinements to the tool
60-day public comment period ended Aug 2016; 30-day public comment period ended March 2017 (Tool revised per comments)

10. Self-Assessment Tool
State Self-Assessment is designed to assist states in improving program operations and integrity and identifying strategies for innovation
Designed to facilitate collection of information/data on an ongoing basis allowing states to monitor program operations
Supports state and federal roles to ensure effective UI program performance and program integrity as a comprehensive review
Self-assessment results will be used by ETA to develop technical assistance for High Priority states

11. Self-Assessment Tool How it fits into the new framework
Allows for comprehensive and systematic reviews of UI Benefits operations to support program improvement efforts
States can self-identify needed corrective actions and formulate strategies to mitigate vulnerabilities and problems and identify successful practices
Facilitate collection of information/data on an ongoing basis allowing states to monitor program operations
ETA will use the states’ self-assessment results to identify technical assistance needs
States can identify successful practices to share with other states

12. Key Functional Areas of the Self-Assessments
The self-assessments contain in-depth questions on the following fifteen functional and program areas within UI Benefits operations:
Adjudications/Benefit Timeliness and Quality Reviews
Benefit Payment Control
Continued Claims and Eligibility Reviews
Data Validation
Disaster Unemployment Assistance
Intake Claims -- Unemployment Compensation for Ex-Servicemembers
Intake Claims -- Unemployment Compensation for Federal Employees

13. Key Functional Areas of the Self-Assessments
Cont’d.
Intake Initial Claims -- Combined Wage Claims
Intake -- Initial Claims
Internal Security
Lower Authority Appeals and Higher Authority Appeals
Overarching Operational Matters
Short-Time Compensation
Trade Readjustment Allowances
Worker Profiling and Reemployment Services and Reemployment Services and Eligibility Assessment
Each area has a set of accompanying instructions

14. Key Operational Areas of the Self-Assessment
Within each functional or program area, there are questions that cover nine operational elements (where applicable):
Procedures, Policies and Confidentiality
Training
Workload Analysis and Management Controls
Performance Management
Information Technology
Claimant and Employer Access and Communication
Operational Efficiency and Resource Allocation
Staffing
Fiscal Management

15. The Operational Functions Chart
Functional Areas
Operational Elements
Procedures, Policies and Confidentiality
Training
Workload Analysis/Management Controls
Performance Management
Information Technology
Claimant & Employer Access and Communication
Operational Efficiency / Resource Allocation
Staffing and Merit Staffing
Fiscal Management
Overarching Operational Matters (Program Wide)
 N/A
Intake - Regular UI, Intrastate and Interstate
CWC
UCFE
UCX
Monetary Determinations
Adjudication/BTQ
Continued Claims/Eligibility Review
Appeals
BPC
Internal Security
N/A 
DUA
Episodic 
 Episodic
Episodic
Reemployment
Data Validation
STC

16. Use of State Results/Responses
The responses to the UI Benefits Operations Self-Assessment Tool have two distinct and complementary purposes:
Assist state UI agencies in identifying areas needing improvement and making needed improvements to their UI benefits operations
Assist ETA in monitoring state UI benefits program operations and in providing technical assistance to states

17. Use of State Results/Responses
State Use
Results will be shared with UI Administrators/UI Directors and other program managers
Assist states to identify best practices to share with other states
States should use the review results to monitor business practices essential to UI benefits operations
States may develop and implement appropriate strategic plans for program improvements based on the review findings, supplemented by any USDOL Regional Office recommendations

18. Use of State Results/Responses
A State can use the results of the self-assessments to address areas of needed operational improvements. For example:
Policies/procedures identified as outdated should be brought up-to-date
If training needs are identified, appropriate training curriculums should be developed and delivered to staff
Gaps in guidance and/or internal/external communications should be addressed

19. Use of State Results/Responses
ETA Use
Identify and develop technical assistance to address state needs
Support periodic reviews conducted by ETA staff
Gauge state compliance with Federal law and regulations
Aid ETA regional office staff in working with states to identify opportunities to improve operations
Identify areas where performance improvements are needed
Self-assessment results/data will be an element used by ETA to identify “high priority” states

20. The “High Priority” States Determination Model
1 Results from the state self-assessment tool
5 Regional/National Office Intel
2 Core Measures
4 Empirical ranking of states
High Priority States
3 Improper Payment measure

21. State UI Management Role
Identify state staff/contracted staff who will be responsible to perform the state self-assessment review
Support the reviewer’s participation in training
Ensure reviews are conducted in accordance with ETA guidance and timelines
Promote/ensure appropriate cooperation of all agency staff to allow for completion of the self-assessment

22. State UI Management Role
Cont’d.
Use the information from the assessment to:
Pursue performance and process improvements
Address any training needs
Ensure policies and/or procedures are updated, as needed
Share any identified best practices
Provide the completed self-assessment review results to ETA National and Regional Offices

23. Staffing for the Self-Assessment
One full-time equivalent staff position per state is required (i.e., the “self-assessment reviewer”)
States may designate one full-time person or divide duties among two or more individuals to conduct the self-assessment reviews on a part-time basis
The position will be funded out of each state’s UI administrative grant
States may hire state staff or use contracted staff with UI experience. Contracted staff must demonstrate sufficient knowledge of and experience with the UI program, (e.g., states may consider hiring a recently retired UI agency employee)

24. State Reviewer Qualifications
The state reviewer should possess the following qualities:
Extensive UI experience and comprehensive knowledge of UI benefits operations, UI laws, regulations and written policies
Skills related to planning/conducting reviews of systems and procedures, time-management, interviewing techniques, understanding and explaining complex matters
Excellent interpersonal skills that promote trust
Effective communication skills and ability to present findings and recommendations to management and other appropriate staff
Strong attention to detail

25. State Reviewer Authority
Well-qualified and experienced individual(s) placed in a position of independence (in terms of the UI line of authority) is critical
The self-assessment reviewer(s) must be:
Responsible to officials at a sufficiently high level in the state UI agency to permit independent review and monitoring of UI program operations and program integrity and to help ensure agency staff is responsive to the reviewer’s requests
Supervised by an official who is not responsible for or performing work in a unit responsible for functions or operations subject to a self-assessment evaluation conducted by the reviewer
Authorized to perform reviews on a regular and ongoing basis for the functional and program areas in the self-assessment tool

26. State Reviewer Duties
Develop work plans to conduct the benefits operations review
Conduct pre-review meeting(s) with management and other UI staff
Compile and review materials such as policies, procedures, and handbooks
Prepare for and conduct interviews of appropriate state staff related to UI benefits operations

27. State Reviewer Duties Cont’d.
Personally observe UI benefit processes and operations
Conduct the self-assessment and prepare a report(s) of findings, conclusions and recommendations for program improvement and/or corrective action - and to identify positive practices
Establish a system for maintaining records and documentation
Conduct post-review meeting(s) with management and other staff
Submit the reports of the self-assessment results to USDOL/ETA

28. State Reviewer Training
Virtual training modules are under development to:
Outline expectations of the self-assessment process
Provide instructions on the use of the self-assessment tool
Webinars will be scheduled to:
Respond to questions from reviewers after completing the training
Respond to questions about implementation of the self-assessment process and transmittal of the results to USDOL

29. Implementation Timeline
Select Self-Assessment Reviewer(s): August-September 2017
Complete Self-Assessment Reviewer Training: Early October 2017
Begin the Self-Assessment Process: 1st Quarter, FY 2018
Complete all Functional/Program Areas: March 31, 2019
Submit All Results to ETA: April 15, 2019

30. Next Steps
States will identify state staff or contracted staff who will perform the state’s self-assessment review and must provide the name(s) and contact information of such individual(s) to the appropriate ETA Regional Office
Ensure the designated reviewer(s) participates in ETA’s training for conducting the reviews using the self-assessment tool
Develop internal communications to help ensure appropriate cooperation by all state agency staff for the successful completion of the self-assessment reviews
Begin self-assessment reviews, use information for performance improvements, send results to USDOL (National/Regional Offices).

31. Questions?