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

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

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

Intake-Initial Claims
REVIEW PERIOD: Begins

Ends

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

Enter your state’s first payment promptness scores for each quarter of the review period.
Link to UI PERFORMS ALPs/Performance Criteria: Acceptable Level of Performance

1.

First

Payment Promptness
(Acceptable Level of Performance = 87%)
1st Quarter:

2.

% 2nd Quarter:

% 3rd Quarter:

% 4th Quarter:

%

% 3rd Quarter:

% 4th Quarter:

%


First Payment Promptness - Interstate
(Acceptable Level of Performance = 70%)
1st Quarter:

% 2nd Quarter:

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

SECTION 1:

Procedures, Policies, and Confidentiality

Resources may include manuals, handbooks, including ET Handbook No. 392, 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.

Does the state have written policies and procedures for filing initial claims?
Select Answer
No
Yes

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

1b. Does the state take its own Interstate Liable claims (e.g., remote filing by phone or Internet)?
Select Answer
No
Yes

2.

How are policies and procedures for taking initial claims made available to staff? (check all that apply)
Online
Hard-copy handbook
Training materials
Other (explain)

2a. Are all formats consistent and up-to-date?
Select Answer
N/A
No
Yes

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

3.

Were

there any law changes during the review period that affected the state’s initial claims policies
and procedures?
Select Answer
No
Yes
3a. If yes, what law changes did the state implement, when were these changes implemented, and
what was the effect on the state’s initial claims policies and procedures?

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

3c.

4.

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 initial claims
policies and procedures?
Select Answer
No
Yes
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4a. If yes, what organizational changes did the state implement, when were these changes
implemented, and what was the effect on the state’s initial claims policies and procedures?

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

4c.

5.

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 initial claims policies and procedures?
Select Answer
No
Yes

5a. If yes, what automation or technology upgrades did the state make and when were they
implemented?

5b. If yes, have the state’s policies, procedures, and training materials been updated to reflect these
changes?
Select Answer
N/A
No
Yes
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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Intake–Initial Claims

5c. If no (to question 5b), explain.

6.

Does

the state have policies and procedures for determining the effective date of an initial claim
relative to the filing date?
Select Answer
No
Yes

7.

Does the state’s policy allow backdating of initial claims?
Select Answer
No
Yes
7a. If yes, does the state periodically review a sampling of initial claims for which requests for
backdating have been approved to ensure the policies are being properly applied?
Select Answer
N/A
No
Yes
7b. What problems, if any, has the state identified through these reviews and how have the problem
areas been addressed?

7c. Does the state have policies and procedures in place to backdate a liable state claim when an
invalid Interstate Benefits (IB) initial claim was processed?
Select Answer
No
Yes

8.


Do the state’s policies and procedures provide staff definitions of initial claim types, i.e., regular UI,
UCFE, UCX, CWC (including explanation of filing options), and Interstate claims?
Select Answer
No
Yes

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9.


Do the policies and procedures cover the collection of information about any dependent(s) and
calculation of the allowance, if the state pays dependents’ allowances?
Select Answer
N/A
No
Yes

10.

Does

the state allow a claimant to sign up for voluntary withholding for Federal and/or state income tax
during the initial claim process?
Select Answer
No
Yes

11.

Do
 the state’s policies and procedures conform to the child support intercept requirements of Section
303(e)(2)(A)(iii)(III) of the Social Security Act?
Select Answer
No
Yes

12.

Do
 the state’s policies and procedures provide for obtaining a claimant’s authorization for work with
each initial claim if they are not a U.S. citizen?
Select Answer
No
Yes

13.

Do
 the state’s policies and procedures provide for the verification of a claimant’s authorization for
work with each initial claim if they are not a U.S. citizen?
Select Answer
No
Yes
13a. If the claimant is authorized for work, is information about their alien status documented for
future reference?
Select Answer
No
Yes

14.

For
 the following claims filing methods, check all identity verification methods used to verify the
claimant’s identity when filing initial claims. (check all that apply)
*SSA – Social Security Administration
**DMV – State Department of Motor Vehicles
Internet claims:
SSA*
DMV**

Other

Real-Time

Batch

Telephone claims:
SSA*
DMV**

Other

Real-Time

Batch

In-person claims:
SSA*
DMV**

Other

Real-Time

Batch

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

Mass layoff or employer filed claims:
SSA*
DMV**
Other

Real-Time

Batch

Other claim types or verification processes (explain):

SSA*

DMV**

Other

Real-Time

Batch

15. Does the state’s law require that the claimant serve a waiting period before benefit payments can begin?
Select Answer
No
Yes
15a. If yes, is this reflected in the state’s policies and procedures?
Select Answer
N/A
No
Yes

16. Do the state’s policies and procedures provide staff guidance regarding the identification of the
following issues that may affect a claimant’s eligibility for benefits? (check all that apply)
Discharge
Voluntary Quit
Leave of Absence
Educational institution employment
Professional athletes
Labor dispute
Pension
School attendance
Worker’s Compensation
Corporate Officers
Able and Available issues
Job referral / Job refusal
Self-employment
Disability payments
Holiday, vacation and severance pay reporting
Active search for work
Failure to report/contact the agency, as directed

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

17. Do the state’s policies and procedures address required information that claimants must receive as
part of their Benefit Rights Information when filing an initial claim?
Select Answer
No
Yes

17a. I f yes, does the claimant need to acknowledge receipt of the Benefits Rights Information when
filing the initial claim?
Select Answer
N/A
No
Yes

17b. What information is included in the Benefits Rights Information? (check all that apply)

W
 ork registration requirements, including exemption for union members and job-attached
claimants, if applicable
A
 ble and available requirements
W
 ork search requirements, including exemptions, if applicable
H
 ow to file continued claims
Internet claims, if available
Telephone claims, if available
Paper claims, if required
H
 ow to file an appeal of a Monetary Determination
H
 ow separation fact-finding interviews will be scheduled, if applicable
Importance of participating in fact-finding interviews (if applicable) and appeal
hearings (if applicable)
H
 ow to get claim status information
D
 etermination notices that will be mailed to the claimant
R
 efusal of suitable work
C
 onfidentiality requirements — i.e., information pertaining to the claim will only be released
to the party that provided the information
H
 ow to report work and earnings
C
 onsequences and penalties for committing fraud
I nstructions for issuing and using UI debit card
D
 irect deposit information
T
 axation of UI Benefits

18. Do the state’s policies and procedures regarding providing services to claimants comply with
Federal Equal Employment Opportunity laws and regulations in accordance with 29 CFR Part 31
and 29 CFR Part 32?
Select Answer
No
Yes

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

18a. If not, in what area(s) do the state’s policies and procedures fail to meet these requirements?

19. If the state takes initial claims in-person, does the state require claimants to present proof of identity
before processing the initial claim?
Select Answer
N/A
No
Yes
19a. If no, explain.

20. Do the state’s policies and procedures address the use of the following systems, as needed?
(check all that apply)
I nterstate Benefit Withdrawal of Invalid Claim (IBWI)
W
 ithdrawal of Invalid Claim (WIC2)
I nterstate Handbook (HAND)
S
 tate Identification Inquiry (SID)
I nterstate Inquiry (IBIQ)
I nterstate Connection (ICON)

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

21. If out-of-state wages have been identified (through the State Identification Inquiry (SID) and Interstate
Inquiry (IBIQ) applications in the Interstate Connection (ICON) system) that do not appear to belong
to the claimant, what action(s) does the state take to resolve the issue?

22. What unit/position is responsible for maintaining and making updates to the state’s section of the
HAND application?

22a. Is the state’s information in HAND up-to-date?
Select Answer
No
Yes

23. Do the state’s policies and procedures provide for the confidentiality of UI claims records in accordance
with 20 CFR 603.5?
Select Answer
No
Yes
23a. I f yes, how does the state monitor its practices to ensure compliance with the policies and
procedures?

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

24. Does the state have procedures to inform claimants that confidential information provided for the
UI claim 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
24a. If yes, how and when is this information provided to the claimant?

25. Does the state have procedures to inform employers that wage information and other confidential
information provided relating to an unemployment compensation claim 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

25a. If yes, how and when is this information provided to employers?

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26. Do the state’s policies and procedures for taking the following initial claims differ from policies and
procedures for taking initial intrastate claims?
Interstate:
Select Answer
No
Yes
If yes, explain.

Unemployment Compensation for Federal Employees (UCFE):
Select Answer
No
Yes
If yes, explain.

Unemployment Compensation for Ex-Servicemembers (UCX):
Select Answer
No
Yes
If yes, explain.

Question 26 continues on next page

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

Disaster Unemployment Assistance:
Select Answer
No
Yes
If yes, explain.

Trade Readjustment Allowances:
Select Answer
No
Yes
If yes, explain.

Short-Time Compensation:
Select Answer
No
Yes
If yes, explain.

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27. Does the state use an automation system for all phases of the Monetary Determination process?

Select Answer
No
Yes
27a. If no, what processes are not automated? (check all that apply)
E
 stablishing Benefit Year
Determining Base Period
Alternate Base Period
Weekly Benefit Amount (WBA) calculation
Maximum Benefit Amount (MBA) calculation
Dependence Allowance calculation
Monetary redeterminations
Wage deletion – insufficient requalifying wages for a second benefit year
Cancellation of wages –between term school wages
Cancellation of wages – between term professional athlete wages
TRA (basic, additional, and completion)
Alternative Trade Adjustment Assistance (ATAA)
Reemployment Trade Adjustment Assistance (RTAA)
Extended benefits
Other (explain)

28. Indicate whether the written Monetary Determination displays information and/or provides an
explanation for the following. (check all that apply)
C
 laimant Identification
B
 ase Period
W
 eekly Benefit Amount (WBA)
M
 aximum Benefit Amount (MBA)
E
 arned wage credits
E
 mployer(s) name
E
 xplanation of information on determination
P
 rocedures for Monetary Redeterminations
A
 ppeal rights
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 equalifying earnings for subsequent benefit years
R
Other (explain)

29.

Does

the written Monetary Determination explain that any possible pending wages or additional base
period wages received or identified may be added to the determination?
Select Answer
No
Yes
29a. If no, explain.

30.

If
 a Nonmonetary Determination is issued that results in the cancellation of wages, is a new Monetary
Determination mailed to the claimant?
Select Answer
No
Yes
30a. If yes, is this process for a Monetary Redetermination completed automatically by the Monetary
Determination system?
Select Answer
No
Yes

31.

Does

the Monetary Determination contain specific instructions the claimant must follow to request a
Monetary Redetermination or to dispute or appeal the Monetary Determination?
Select Answer
No
Yes

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31a. What are the procedures for handling a dispute of missing or incorrect wages?

31b. Are there written procedures for handling missing or disputed wages that were transferred from
another state?
Select Answer
No
Yes

32.

Does

the state have policies and procedures in place for timely implementation when there is an
adjustment to the maximum and/or minimum weekly benefit amount(s) available in the state?
Select Answer
No
Yes
32a. If yes, do the procedures include any of the following actions? (check all that apply)
Programming changes
Notification to claimants
Updates of claimant information, as appropriate
Website updates
Other (explain)

33.

For
 confidentiality purposes, does the state truncate or otherwise conceal the social security number
when the Monetary Determination is mailed to the claimant?
Select Answer
No
Yes

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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: Intake–Initial Claims

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 staff or unit to deliver initial claims intake training?
Select Answer
No
Yes

2.

Does the state have a formal training plan for new claims taking staff?
Select Answer
No
Yes

2a. If yes, how long is the formal training?
L
 ess than one week
One

to two weeks
More

than two weeks
Other

(explain)

Total training time (in hours):

3.

Does the state have a “refresher” training plan to provide continuing training to initial claims staff?
Select Answer
No
Yes

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

3a. If yes, how often is the continuing training conducted?
M
 onthly
Quarterly
Other

(explain)

4.

Annually

On an as-needed basis

How does the state agency deliver staff training? (check all that apply)
C
 lassroom setting
O
 n-the-job training
S
 elf-guided online course
O
 ne-on-one training
A
 ttend Interstate Connection Network (ICON) webinars
O
 ther (explain)

5. Describe any technology or operational changes that were made during the review period that affected
initial claimstaking.

5a. W
 ere all affected staff trained on these technology or operational changes prior to implementation

of the changes?
Select Answer
N/A
No
Yes
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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Intake–Initial Claims

6. Describe any new laws, program implementations, policy or procedural changes that occurred during
the review period that affected initial claimstaking.

6a. W
 ere all affected staff trained on the new laws, program implementations, and policy and
procedural changes prior to implementation of the changes?
Select Answer
N/A
No
Yes

7.

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

7a. If yes, how is feedback obtained from participants?

8. 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
8a. If yes, how is feedback obtained from management staff?

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

9.

What means are used by the state to determine training topics and content?
C
 all Center Performance
B
 enefits, Timeliness, and Quality review results
B
 enefit Accuracy Measurement results
C
 laimant feedback/complaints
E
 rror review monitoring
U
 .S. Department of Labor/ICON guidance
S
 tate law/policy changes
S
 upervisor feedback/input
O
 ther (explain)

10. Are all staff who take initial claims trained on how weekly and maximum benefit amounts are
calculated?
Select Answer
No
Yes

11. Are all staff who take initial claims trained on the state’s monetary redetermination process?

Select Answer
Yes
No

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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: Intake–Initial Claims

SECTION 3:

Workload Analysis / Management Controls

The state’s ability to manage initial claims workloads, particularly through periods of unforeseen spikes
in claims volume, is analyzed. Methods used to mitigate backlogs, when they occur, substantially affect
the state’s ability to provide timely benefit payments to claimants. Reviewers will address processimprovement initiatives aimed at minimizing initial claims backlogs.

1. Does the state have a systematic method for tracking workload backlogs of initial claims?

Select Answer
No
Yes

1a. If yes, is the data collection automated?

1b.

2.

Select Answer
N/A
No
Yes
If yes, are the backlogs identified by category? (e.g., identity verification, earnings, etc.)
Select Answer
N/A
No
Yes

If the state tracks initial claims backlogs, how often are these reports generated?
R
 eal-time

Daily

Weekly

Monthly

Quarterly

As needed

N/A

3.

Does the state’s system generate reports on timeliness of processing initial claims?
Select Answer
No
Yes

4. What practices does the state utilize for handling an expected or unexpected high volume of initial
claims? (check all that apply)
H
 ire additional temporary staff
Assign qualified staff from different units
Overtime
Adjusted work schedules, including extended and weekend hours
Temporary adjustments to claims taking methods (explain)

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

Other (explain)

5.

Did the state experience backlogs in processing initial claims during the review period?
Select Answer
No
Yes

5a. If yes, what was the cause of the initial claims backlogs? (check all that apply)
Seasonal workload increases (explain)

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

Information Technology hardware or software issues (explain)

Question 5a check boxes continue on next page
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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Intake–Initial Claims

Economic downturn, localized or statewide (explain)

Law or policy changes (explain)

Other (explain)

6.

Does the state monitor workloads to identify potential problem areas?

Select Answer
No
Yes

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

Manual

6b. At what levels is the state’s reporting system capable of providing performance data?
(check all that apply)
Statewide
Office
Claimstaker
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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Intake–Initial Claims

Other (explain)

7. During the review period, did the state conduct any business process analysis efforts to improve initial
claims taking processes and increase efficiency?
Select Answer
No
Yes

7a. If yes, what changes have been made and what was the result of those changes?

7b. If yes, have the process changes generated an increase in invalid non-monetary issues?

7c.

Select Answer
N/A
No
Yes
If yes, what (if any) changes were recommended but not made?

7d. I s there a systematic review process of initial claims questions to identify and revise any that are
confusing to claimants or that cause an unacceptable error rate?
Select Answer
No
Yes

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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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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) during the review period?
Select Answer
No
Yes

1a. If yes, what performance areas required a CAP?
Core Measures:
First Payment Promptness

Secretary’s Standards:
First Payment Promptness: Intrastate within 14/21
First Payment Promptness: Intrastate within 35 days
First Payment Promptness: Interstate within 14/21 days
First Payment Promptness: Interstate within 35 days

2. If the state was required to submit CAP(s) during the review period, did the state meet its milestones
for its CAP(s) during each quarter of the review period?
Select Answer
N/A
No
Yes
2a. If not, 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: Intake–Initial Claims

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 UI program performance regarding its initial claims
intake operations?

4a. What method(s) are used to monitor the UI Intake operations (e.g., claims review, monitoring
reports/complaints) to ensure the program is operated in accordance with Federal and state law
and regulations?

5.

Does

the state monitor UI Intake program activity and performance in addition to monitoring set out
in Federal requirements?
Select Answer
No
Yes

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

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

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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.

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SECTION 5:

Information Technology (IT)

The reviewer will assess the IT department’s delivery of programming and technical support to the UI
Benefits Section. The reviewer will document IT projects relating to UI initial claims completed during
the review period and any identified unmet IT needs. The state’s use of ICON applications will also be
reviewed. 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 UI initial claims system?
Select Answer
No
Yes

1a. If yes, describe the project(s) and indicate whether 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 initial claims system(s) that were not met that
affected program performance?
Select Answer
No
Yes

2a. If yes, describe the IT needs that were not met, the reason they were not met, and what effect,
if any, it had on the program and the state’s plan(s) to meet these needs.

3.

Does

the state have a disaster recovery plan that will ensure continued operations of the initial claims
system in the event of a natural disaster or pandemic incident?
Select Answer
No
Yes

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

3a. I f yes, has the state tested the plan, and if so, what was the date of the most recent test and results
of the test?

4.

What IT system(s) does the state use for taking initial claims? (check all that apply)
I nternet claims
I nteractive Voice Response (IVR)
K
 iosks
M
 ainframe terminals
O
 nline assistance
O
 ther (explain)

5. 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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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Intake–Initial Claims

6. During the review period did the state experience any issues with telecommunicating IB initial claims
information to and/or from the following Interstate Connection (ICON) applications?
I B1
I B13
U
 I Mail
S
 ID
I BIQ
W
 IC2
L
 ADT
I B HAND commuter system
I B 8606 (request for IB recovery of OP)
N
 /A

6a. If yes, how long were the issues experienced and were they corrected?

7. Does the state have designated/dedicated ICON IT programmer(s) to correct issues and make updates
to the ICON interface system?
Select Answer
No
Yes

8. Does the state have policies and procedures for the Liable/Agent Data Transfer (LADT) record to transfer
records to the agent state (state of residence) from the ICON system?
Select Answer
No
Yes

9.

Does the state provide IB claim data to agent states via the LADT system?
Select Answer
No
Yes

9a. If yes, has the state validated the system to ensure accurate information is transmitted?

Select Answer
No
Yes

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9b. If yes, when was the last validation performed and what were the state’s findings?

10. Are all LADT reports sent (initial claims, continued claims, and commuter information) according to
Federal requirements? (Reference UIPL No. 38-96, Change 2)
Select Answer
No
Yes

11. How often are the LADT files processed?

11a. D
 uring the review period, did the state experience any backlogs in processing LADT files, as the

11b.

agent state?
Select Answer
No
Yes
If yes, explain.

11c. Is the state current in its processing of LADT files?
Select Answer
No
Yes

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11d. If no, explain.

12. Does the system provide a Predetermination/Pseudo-Monetary Determination for claimants at the
time that the claim is filed?
Select Answer
No
Yes

12a. I f yes, what information is provided to the claimant during the filing of the initial claim or
inquiry calls?

13. Does a new initial claim generate a notice of claim filed to all base period employers?

Select Answer
No
Yes

13a. If no, explain.

14. Does the IT system track all benefit balances as payments or payment offsets occur?

Select Answer
No
Yes

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

SECTION 6:

Claimant / Employer Access & Communication

The reviewer will provide information regarding the methods used by the state for taking initial claims
and for publicizing the methods available to ensure claimants are aware of their claim-filing options.
States need to maintain compliance with requirements set forth in Federal law. Claim-filing systems
should be user-friendly, customer-facing systems and integrated operating systems to provide the best
customer experience and efficient operations.

1. What method(s) does the state use for initial claims taking?
I nternet
Telephone
Other (explain)

In-person

(check all that apply)

Mail

1a. I ndicate the percentage of initial claims filed by each of the following methods if used in the state.
(indicate N/A or 0% if not used)
Internet:

%

Telephone:

%

In-person:

%

Mail:

%

Other (explain):

%

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1b. I ndicate how each of the state’s filing methods are publicized so that claimants are made aware
of them. (check all that apply for each filing method)
Internet:
Website
Posters in Job Centers
Media
Rapid Response Meetings
Other (explain)

N/A
Telephone:
Website
Posters in Job Centers
Media
Rapid Response Meetings
Other (explain)

N/A
In-person:
Website
Posters in Job Centers
Media
Question 1b check boxes continue on next page

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Rapid Response Meetings
Other (explain)

N/A
Mail:
Website
Posters in Job Centers
Media
Rapid Response Meetings
Other (explain)

N/A
Question 1b check boxes continue on next page

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Other:
Website
Posters in Job Centers
Media
Rapid Response Meetings
Other (explain)

Other:
Website
Posters in Job Centers
Media
Rapid Response Meetings
Other (explain)

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2.

What resources are available to a claimant to file an initial claim? (check all that apply)
Internet:
Workforce/One-Stop Centers
Kiosks
Other (explain)

N/A
Telephone:
Workforce/One-Stop Centers
Other (explain)

N/A
In-person:
Workforce/One-Stop Centers
Kiosks
Other (explain)

N/A
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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Intake–Initial Claims

3.


What types of assistance is available to aid claimants in filing a claim for each claim filing method
available? (check all that apply for each filing method)
Internet:
Online tutorials
Other (explain)

Help screens

Hyperlinks to FAQs

Online chat with staff

N/A
Telephone:
Staff assisted
Other (explain)

FAQ Menu

N/A
In-person:
Staff assisted
Other (explain)

Brochures/pamphlets

N/A

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4. 
How are forms obtained when claims are filed using the following methods?
(check all that apply for each filing method)
Internet:
Mail
Email
Other (explain)

N/A
Telephone:
Mail
Email
Other (explain)

N/A
In-person:
In-person
Other (explain)

Mail

Email

N/A

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4a. D
 oes the state make it a practice to advise claimants not to include personally identifiable

information in emailed documents?
Select Answer
N/A
No
Yes

5. How are forms provided to claimants and employers to complete for claims filed using the following
methods? (check all that apply)
Internet:
Downloadable forms
Online web form
Mailed
Other (explain)

Other (explain)

N/A
Telephone:
Downloadable forms
Online web form
Mailed
Question 5 check boxes continue on next page

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

Other (explain)

Other (explain)

N/A
In-person:
Online web form
Handouts
Other (explain)

Question 5 check boxes continue on next page

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

Other (explain)

N/A
Mail:
Mailed
Other (explain)

Other (explain)

N/A

6.

How

is the Benefits Rights Information provided to claimants for the following claim filing methods?
(check all that apply for each method)
Internet:
Electronic certification (web)
Telephone/IVR certification
Verbal by claimstaker
Mailed
Question 6 check boxes continue on next page
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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Intake–Initial Claims

Other (explain)

N/A
Telephone:
Telephone/IVR certification
Verbal by claimstaker
Mailed
Other (explain)

N/A
In-person:
Verbal by claimstaker
Printed handout
Signed BRI
Mailed
Other (explain)

N/A
Question 6 check boxes continue on next page
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Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: Intake–Initial Claims

Mail:
Verbal by claimstaker
Mailed
Other (explain)

N/A

7. Indicate the claim types and self-service options the state offers for the filing methods used and for
other claims activities. (check all that apply)
Internet:
Initial Claims
Continued Claims
Claim Status
Address Change
Forms Download
Benefit Rights Information
Other (explain)

N/A
Telephone:
Initial Claims
Continued Claims
Claim Status
Address Change
Forms Download
Question 7 check boxes continue on next page

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Benefit Rights Information
Other (explain)

N/A
In-person:
Initial Claims
Continued Claims
Claim Status
Address Change
Forms Download
Benefit Rights Information
Other (explain)

N/A

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8.

Indicate

the security procedures in place for each of the claim-filing methods used to validate an address
change request and verify the requestor’s identity to ensure that only authorized changes are made.
Internet:

Telephone:

In-person:

Mail:

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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 various initial claims processes and assess efficiencies and automation that the
state has employed to improve performance and provide better services to its customers.

1.

Does the state review uncontested Lack of Work initial claims at any stage of claim processing?
Select Answer
No
Yes

1a. If yes, which filing methods and what aspects of the lack of work claims are being reviewed?

1b. What problems has the state identified that necessitate the review of these claims and how have
the problem areas been addressed?

2.

Are

there methods in place to pursue missing or inaccurate base period wages (e.g., wage investigations,
assignments to monetary wage, or employer services staff)?
Select Answer
No
Yes

3.

If
 the state takes initial claims via the Internet, do any claim types require staff review or intervention
before the claim is processed?
Select Answer
N/A
No
Yes

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3a. If yes, what claim types?

3b. How often are the initial claims sampled?

4.

If
 the state takes initial claims through an Interactive Voice Response (IVR) telephone claims system,
are any initial claim types, including additional and reopen claims, processed without human
intervention?
Select Answer
N/A
No
Yes
4a. If yes, what claim types?

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5.

What

is the state’s ratio of management staff to front-line staff in their telephone claims office/call
center?

6.

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

6a. If multiple platforms are in use, is there seamless integration between the systems being used?
Select Answer
N/A
No
Yes

7.

How does the state handle supporting evidence that is sent in as hard-copy forms and documents?
They are kept and archived as hard-copy forms
They are imaged and stored as electronic forms/data
Other (explain)

8.

Does the state have a section or unit that only responds to inquiry calls?
Select Answer
No
Yes

8a. If yes, how many staff members are assigned to this section/unit?

9.

Does the state track the most common reasons for inquiry calls?
Select Answer
No
Yes

9a. Does the state regularly review inquiry call information to identify opportunities for program or
process improvements that can help reduce call volume?
Select Answer
No
Yes

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9b. If yes, what steps has the state taken, what have the results been, and how are the improvements
being measured?

10.

 oes the state use statistics (talk time or other data) to determine the efficiency of the initial claims
D
taking process?
Select Answer
No
Yes
10a. If yes, what statistics are used and how often are they reviewed?

11.

Does

the state utilize customer surveys or focus groups to gather input on the initial claims operations
to identify efficiencies or operational improvements that could be made?
Select Answer
No
Yes
11a. If yes, indicate which are used.
Surveys
Focus groups

12.

Does the state have any type of monetary determinations that must be issued manually?
Select Answer
No
Yes

12a. If yes, what initial claims or monetary determination processes require manual processing?
(check all that apply)
Disaster Unemployment Assistance
Trade Readjustment Allowances (TRA)
Alternative Trade Adjustment Assistance (ATAA)
Reemployment Trade Adjustment Assistance (RTAA)
Extended Benefits
Question 12a check boxes continue on next page

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Fraud redeterminations
Between term school wages
Between term professional athlete wages
Gross misconduct wage removal
Other (explain)

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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 initial claims
workload and meet first payment promptness standards.

1.

What is the percentage of state staff that is allotted (FTE allocation) for initial claims?
%

2.

Does initial claims staff conduct any fact-finding?
Select Answer
No
Yes

3.

Does initial claims staff adjudicate any issues?
Select Answer
No
Yes

4.

How many FTEs were budgeted for initial claims during the review period?

5.

How many FTEs, on average, were dedicated to initial claims during the review period?

6.

Did

personnel actions occur that impacted staffing levels of initial claims staff during the review
period? (check all that apply)
Hiring freeze(s)
Temporary or permanent staff reductions
Retirement/buyouts
Other (explain)

N/A

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6a. If the state implemented a hiring freeze, when did it occur and how long did it last?

6b. If the state underwent temporary or permanent staff reductions how many claims center staff
were affected, when did the action occur, and how long did it last?

6c. If the state experienced retirements in its claims centers or had a retirement buyout during the
review period, provide the number of claimstaking staff that left due to retirement.

6d. What percentage of the overall claimstaking staff was lost as a result of temporary or permanent
staff reductions and/or retirements?

%

6e. If the state experienced turnover, what percentage of the claimstaking positions remain vacant?
%

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7.

Have there been any UI staffing/unit reorganizations for initial claims during the review period?
Select Answer
No
Yes
7a. If yes, was there any net effect on workloads?
Select Answer
No
Yes
7b. If yes (to question 7a), explain.

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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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SECTION 9:

Concluding Summary Comments for Intake-Initial Claims

For the following sets of questions, consider the overall operations of Intake of Initial Claims. 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 66 and 67.

1. Provide any observations of good and/or exemplary performance in the state’s initial claims taking
policies, procedures, or operations that would constitute successful practices to share with other states.

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2. Document any issues detected in initial claims taking 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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Additional Comments and Reviewer Notes — June 2016, Version 2.0 | 67

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

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

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

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