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

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Data Validation (DV)

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

Data Validation (DV)
This self-assessment review of the state’s Data Validation (DV) functional area will examine
Data Validation processes as well as program performance. The reviewer will consult with
appropriate staff regarding each operational element, as necessary, to ensure accurate and
complete information is reported. This will include Unemployment Insurance (UI)
administrators, IT managers, fiscal officers, office/call center managers, supervisors,
coordinators, or staff.
Upon completion of this review, the results should be shared with UI administrators, appropriate
program manager(s), and supervisors. The self-assessment findings can provide a very good
analysis of the state’s Data Validation operations and can be used to drive process and programimprovement initiatives.
A comments section is provided for each operational element, which the reviewer should use to
document any observations regarding issues identified related to that specific operational
element. This space may also be used to provide any additional information relating to a specific
question in this section. In doing so, the reviewer should reference the specific question by
number and insert the additional information related to that question.
In addition, a concluding comments section is provided at the end of the self-assessment
instrument to capture any strengths identified by the reviewer in this functional area which could
constitute a successful practice(s) to be shared with other states; any issues identified by the
reviewer in the functional area that adversely impacts the state’s performance and to identify any
possible corrective actions to address the issue; and general comments about this functional area.
The reviewer can provide information here that Federal reviewers and state UI administrators
and managers can use to assess program operations and the state’s effectiveness in conducting
the activities of this functional area.
Save your entries regularly as you complete the review and when you close the self-assessment
to ensure your answers are saved.

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Data Validation (DV)

SECTION 1:

Procedures, Policies and Confidentiality

The purpose of this section is to review the policies and procedures provided by the agency for
staff to use in operating this functional area of the UI program. These are the written (in hardcopy, electronically, or both formats) standards, instructions, and guidelines that staff regularly
use in the operation of the program. The reviewer may utilize resources that include manuals,
handbooks, desk aids, computer help screens, training guides, organized collections of
procedures or policies, or other readily accessible instructions which can help staff do their work
correctly, including ETA Handbook No. 361 and ETA Handbook No. 412 for guidance
regarding Data Validation. Instructions will normally include general information such as
compilations of relevant laws and regulations, as well as detailed instructions for carrying out
individual jobs in the agency. The reviewer may need to examine all relevant instructions and
consult with UI administrators, IT managers, office/call center managers, supervisors, and the
state’s coordinators.
The reviewer will document whether the state has policies and procedures sufficient to provide
guidance and instruction to staff that conduct Data Validation processes. Existing policies and
procedures should be examined to determine whether they are up-to-date and address all law
changes, organizational changes and technology changes that occurred during the review period.

Helpful Info.
Question 4a: The reviewer will explain why policies and procedures are not in place to
ensure correct definitions are being used during the validation process for elimination of
systematic and random errors.
Question 6: The reviewer may use the Comments area at the end of this Section to provide
responses to this question, if space is not adequate to fully respond.
Question 7: The reviewer will assess and explain the policies and procedures that are in
place to conduct Wage Item Validation (WIV) regarding wage records submitted on
employer wage and contribution reports (Module 5). (If space is not adequate to fully
respond to this question, the reviewer may use space in the Comments area at the end of
this section.)

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Data Validation (DV)

SECTION 2:

Training

Managers/employees should possess and maintain a level of expertise which enables them to
accomplish their assigned duties. Training systems should be sufficient to ensure that personnel
understand and perform their duties properly. When reviewing training systems, the reviewer
should consult with the state’s training unit/staff and the Data Validation manager, and examine
formal training procedures (e.g., the training is conducted using an established schedule and
using set guidelines to make judgments about the quality of work being produced). The state
should have procedures for identifying general and specific training needs, for developing a
training curriculum and training materials, and for delivering training as needs are identified.
Helpful Info.
Question 3: The reviewer should document any technology or operational changes that
have been implemented during the review period that affect DV processes.
Question 5: The reviewer should assess how training topics are determined and select all
methods used to determine training topics.

SECTION 3:

Workload Analysis/Management Controls

The reviewer will examine state’s ability to manage Data Validation workloads, particularly
when unforeseen changes in resources occur, and will also review the methods used by the state
to manage workload or delay issues, when they occur, to ensure the state’s ability to conduct
Data Validation. The reviewer will document process-improvement initiatives aimed at
improving DV operations. The reviewer will interview the Data Validation manager,
supervisors, and performance management staff to thoroughly document the state’s practices for
managing its DV workload.
Helpful Info.
Question 2a: The reviewer should document the methods the state uses to review the
quality and timeliness of completed DV operations.
Question 3: The reviewer should document any procedures the state has to manage DV
workload issues.
Question 4a: The reviewer will document the reason(s) the state experienced delays in its
DV operations, if any, during the review period.

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Data Validation (DV)

Helpful Info. (continued)
Question 5a: Describe all business process analysis initiatives the state conducted during
the review period regarding its DV processes to increase efficiency and what operational
changes have been implemented as a result of those initiatives.

SECTION 4:

Performance Management

The reviewer will examine the state’s practices for monitoring program performance and
compliance with Federal and state law and regulations. Review the state’s practices for the
preparation and monitoring of corrective action plans to ensure timely and accurate submittal and
methods for continued monitoring of program performance in relation to designated milestones.
If the state has a performance management unit, the reviewer should consult with performance
management staff in addition to UI administrators, office/call center managers, and Data
Validation supervisors when completing this section.
Helpful Info.
Question 1: The reviewer should consult with UI managers for information regarding any
Corrective Action Plan(s) or Narrative that the state’s State Quality Service Plan (SQSP)
contained during the review period concerning its DV performance.
Question 2a: The reviewer will document the methods the state uses to monitor its DV
operations. If the state’s processes for monitoring its DV performance are considered to be
particularly effective and/or efficient, explain fully in the Comments area at the end of this
section.

SECTION 5:

Information Technology (IT)

When completing this section of the self-assessment, the reviewer should consult with UI and IT
administrators and the Data Validation manager. IT projects relating to UI Data Validation that
were completed during the review period and unmet IT needs will be detailed. The reviewer will
assess the IT department’s delivery of programming and technical support to the Data Validation
functional areas.

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Data Validation (DV)

Helpful Info.
Question 1a: The reviewer should describe any major IT projects that were conducted
during the review period and provide information regarding the project status, and if
completed, the success of the project.
Questions 2: While Question 1 focuses on major IT projects affecting DV operations,
Question 2 concerns any technical upgrades or releases affecting DV operations.
Question 7a: If the state had IT needs related to its DV program that were not met, the
reviewer should document the needs that were not met and the impact it had on the DV
program, if any.
Questions 3a, 5a, 6a and 7a: The reviewer may use the Comments area at the end of this
section, if space is not adequate to fully respond to these questions.

SECTION 6:

Staffing

The reviewer will examine organizational changes that occurred during the review period, if any,
and their effect on the state’s ability to manage its Data Validation operations and to meet quality
standards for Data Validation. The reviewer should consult with UI administrators, the Data
Validation managers and the state agency’s human resource manager when completing this
section of the self-assessment.
Helpful Info.
Question 1a: If staff that conduct Data Validation have other program responsibilities as
well, the reviewer should document the other responsibilities and the amount of time spent
on those responsibilities. (If space is not adequate to fully respond to this question, the
reviewer may use space in the Comments area at the end of this Section.)
Question 3: The reviewer will report the number of FTEs budgeted for data validation;
that is, the positions budgeted by the state after Federal “base” allocations.
Question 3a: The number of FTEs dedicated to data validation impact the state’s ability to
meet Federal requirements. Dedicated FTEs means the number of FTEs that were charged
to the function.
Question 5a: The reviewer should explain the impact of any reorganization on Data
Validation operations.

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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Data Validation (DV)

SECTION 7:

Concluding Summary Comments

The reviewer will use the Concluding Summary Comments section to highlight the state’s
strengths and weaknesses that impact the Data Validation functional area and identify issues that
have not been addressed in any other section of the self-assessment. These comments are
intended to provide Federal reviewers and the state’s UI administrators with additional insight
into these program areas, focusing on methods that have proven to be successful and can be
capitalized upon or areas where corrective measures may be needed.
The first comment area provides the reviewer an opportunity to share any examples of good
and/or exemplary operations in this functional area after reviewing each operational element.
The reviewer can use this space to identify any policy, procedure or operation that would
constitute a successful practice that can be shared with other states.
The second comment area provides the reviewer to document issues detected during the review
that are having an adverse impact on the functional area, affecting the state’s performance,
ability to meet performance standards or customer service. It is also a place to recommend
corrective actions for the agency’s leadership to consider implementing.
The final comment area in this section provides the reviewer space to share any additional
comments, concerns or observations regarding the state’s operations in this functional area.

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