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Fiscal year 2024 state UI quality service plan guidance
Summary ETA told state unemployment insurance agencies how to prepare fiscal year 2024 State Quality Service Plans and submit them to regional offices. The letter supplements the standing handbook with that year’s dates, performance priorities and planning requirements. It prints a December 31, 2024 expiration, although ETA’s listing still labels it active.
Document
Federal guidance
Agency
U.S. Department of Labor, Employment and Training Administration (ETA)
Document number
UIPL No. 09-23
Date issued
June 30, 2023
Status
Unknown
ETA’s advisory listing labels this letter Active, but it prints an expiration date of December 31, 2024. Its status is unclear.
Status last verified October 24, 2026
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This page explains the general guidance. Ask about your specific situation and see what current federal labor law says, with citations.
About this page: The full text below is the official document from U.S. Department of Labor, Employment and Training Administration (ETA). Ezel adds the plain-English summary and tracks the document's status. The official source linked on this page is authoritative for any reliance.
CLASSIFICATION
EMPLOYMENT AND TRAINING ADMINISTRATION Unemployment Insurance
ADVISORY SYSTEM CORRESPONDENCE SYMBOL
U.S. DEPARTMENT OF LABOR OUI/DPM
Washington, D.C. 20210 DATE
June 30, 2023
ADVISORY: UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 09-23
TO: STATE WORKFORCE AGENCIES
FROM: BRENT PARTON
Acting Assistant Secretary
SUBJECT: Additional Planning Guidance for the Fiscal Year (FY) 2024 Unemployment
Insurance (UI) State Quality Service Plan (SQSP)
1. Purpose. To initiate the FY 2024 SQSP process and define additional requirements relevant
to the FY.
2. Action Requested. The Employment and Training Administration (ETA) requests State
Administrators to:
• Make this information available to appropriate staff;
• Prepare their state’s SQSP in accordance with planning and reporting instructions
contained in Employment and Training (ET) Handbook No. 336, 18th Edition, Change 4
and additional instructions in this Unemployment Insurance Program Letter (UIPL);
• Coordinate specifics, as appropriate, with ETA’s Regional Office (RO) for electronic
submission of the SQSP; and
• Submit the FY 2024 SQSP to the appropriate RO by the deadline set by the RO.
3. Summary and Background.
A. Summary – This UIPL provides additional guidance relevant to the SQSP process for
FY 2024; specifies dates applicable to the FY; outlines National Priorities and Federal
Program Emphasis; and identifies special planning requirements in effect for the FY.
B. Background – The SQSP is the state’s UI performance management and service plan. It
represents an approach to the UI performance management and planning process that
allows for an exchange of information between Federal and state partners to enhance the
UI program’s ability to reflect their joint commitment to performance excellence and
customer-centered services. As part of UI Performs, the comprehensive performance
management system for the UI program, the SQSP is the principal vehicle that state UI
programs use to plan, record, and manage improvement efforts as they strive for
excellence in service. Title III of the Social Security Act (SSA) authorizes the Secretary
RESCISSIONS EXPIRATION DATE
None December 31, 2024
of Labor (Secretary) to provide funds to states to administer the UI program and governs
the expenditure of those funds. The SQSP is a part of the process by which states receive
Federal UI administrative grants.
ET Handbook No. 336 (Handbook) contains general instructions for the SQSP. The
Handbook is designed as a permanent guide for the planning and budget process and
provides states with planning guidelines and instructions for reporting UI financial and
staff year information. The Handbook notes that ETA will issue a SQSP UIPL each year
with additional planning guidance that supplements the Handbook and provides direction
and instructions specific to the upcoming FY. Though this additional planning guidance
is similar to the guidance issued in previous years, there are changes relevant to the FY
2024 SQSP cycle. Therefore, please review this guidance carefully.
The Handbook is approved under the Office of Management and Budget (OMB)
No. 1205-0132. The current approval expires on February 29, 2024.
4. This section highlights the major areas that states are to use in developing their FY 2024
SQSPs. The areas include: National Priorities; Program Performance; UI Performance
Criteria; Planning Requirements for FY 2024; Tiger Team Grant Funds and Consultative
Assessments; Waiving Recovery of Overpayments, where Appropriate; Coordination with
DOL-OIG; WIOA Combined State Plans; UI Technical Assistance Resources; Funding
Period; Data Availability; SQSP Submittal Deadlines; and Electronic Submittal of the SQSP.
The requirements for each area follows:
A. National Priorities. For FY 2024, ETA will continue to strive to make the SQSP process
a meaningful management tool and a strategic road map to improve program
administration, strengthen program integrity, and ensure quality service delivery. The
SQSP process focuses on promoting state performance and integrity by aligning state UI
administration and operations with national policies. This includes rebuilding UI program
performance, paying benefits accurately and timely, ensuring equitable access, mitigating
the likelihood and impact of fraud, detecting and preventing improper payments,
recovering overpayments, and connecting unemployment compensation (UC) claimants
with needed reemployment services. Each year ETA establishes National Priorities for
the UI program.
On March 11, 2021, the President signed the American Rescue Plan Act of 2021 (ARPA)
into law (Public Law (Pub. L.) 117-2). Section 9032, ARPA, provided funding to the
Secretary to detect and prevent fraud, to promote equitable access, and to ensure timely
payment of benefits to eligible workers with respect to UI programs.
In June 2022, the U.S. Government Accountability Office (GAO) added “the UI system
to its list of federal areas at ‘High Risk’ for waste, fraud, abuse, and mismanagement, or
in need of broad-based transformation.”1 Focus on performance, operational, and process
improvements will be essential to support the goal of removing this designation.
See GAO Report issued on June 7, 2022, entitled “Unemployment Insurance: Transformation Needed to Address
Program Design, Infrastructure, and Integrity Risks” at https://www.gao.gov/assets/gao-22-105162.pdf.
For FY 2024, ETA’s top priorities align with reemployment and integrity strategies as
well as ARPA goals and initiatives. States should also establish additional state-level
priorities for their respective UI programs in their SQSPs. The FY 2024 National
Priorities are intended to guide states in the development of their SQSPs and include:
i. Rebuilding and Improving Program Performance by Addressing the Significant
Impact that the Workload Created by the COVID-19 Pandemic continues to
have on the UI System
The unprecedented claims workload during the peak of the pandemic significantly
impacted states’ capacity to administer and operate their UI programs. Many states
continue to struggle with administrative and operational challenges resulting in
performance and customer service issues. These challenges include but are not
limited to: changes in state program leadership; aging technology systems and/or
implementing new technology solutions; managing the loss of key subject matter
expertise due to staff retirements and turnover; hiring new staff, requiring ongoing
staff training and increased supervision; loss of contracted staff support; combatting
an increase in fraud; and the need to improve overall program performance. States
experienced these challenges during the COVID-19 pandemic and the resulting
significant increase in their UC claims workload, and are likely to continue to face the
residual effects of issues in the coming months and years.
In developing their FY 2024 SQSPs, states are strongly encouraged to incorporate
administrative performance improvement strategies such as:
• Leveraging ETA’s multidisciplinary consultative assessment Tiger Teams and
associated grant funding opportunities available under UIPLs No. 02-22 and 02-
22, Change 2 as a means to: 1) preventing, detecting, and recovering funds from
fraud; 2) promoting equitable access; and 3) ensuring the timely payment of
benefits as well as activities to reduce workload backlogs, for all UI programs.
• Conducting business process analyses in key areas to identify opportunities and
recommendations for improving program operations, integrity, and performance,
and implementing such recommendations.
• Reviewing service delivery processes to ensure that current web-based, telephone-
based, and other remote UI services provide and promote alternative mechanisms
for individuals experiencing barriers to access, such as a disability or limited
English proficiency (see UIPLs No. 02-16 and 02-16, Change 1).
• Reviewing staff training strategies to support succession planning and ongoing
staff development.
• Using online training modules available through the National Association of State
Workforce Agencies’ (NASWA’s) learning management platform at
https://www.naswa.org/learning.
• Incorporating lessons learned from the COVID-19 pandemic, including the
significant increase in UC claims and implementation of the temporary
Coronavirus Aid, Relief, and Economic Security (CARES) Act UI programs, such
as managing rapid changes in staffing, implementing call center expansions, and
innovations to manage customer flow, and technology solutions to increase
capacity and detect and prevent fraud and other improper payments.
• Using technical assistance opportunities offered by ETA, the U.S. Department of
Labor’s (Department) Office of Unemployment Insurance Modernization
(OUIM), the Department’s Office of the Chief Information Officer (OCIO), UI
Information Technology Support Center (ITSC), and the UI Integrity Center, as
well as the many resources available through the UI Community of Practice (CoP)
on WorkforceGPS at https://www.workforcegps.org/. Also, states are encouraged
to review information and resources available on the Department’s UI
Modernization resource page at https://www.dol.gov/agencies/eta/ui-
modernization.
ii. Focusing on Improving the Timely Delivery of Benefit Payments and the
Reduction of the UI Adjudication and Appeals Backlogs
States experienced extraordinary workloads due to the economic impacts of the
COVID-19 pandemic while managing the implementation and operation of temporary
CARES Act UI programs. Although the benefit period for the pandemic-related
programs has expired, there remains a heightened need for states to maintain a
steadfast focus on UI functions and activities that improve the timely payment of
benefits. Under Section 303(a)(1) of the SSA, a state’s laws must provide for
“methods of administration” that are “reasonably calculated” to ensure full payment
of UC “when due” in order to receive a UI administrative grant. “When due” is the
basis for Federal requirements concerning accuracy and timeliness of benefit
payments and eligibility determinations.
Many states continue to struggle with significant numbers of pending adjudications
and appeals because of the impact of the pandemic. In preparation of the FY 2024
SQSP, states should examine strategies and processes with the goal of quickly
reducing the level of backlogs. As discussed below and as part of the FY 2024 SQSP
process, states must describe their plans to address any pending adjudication and
appeals backlogs and submit monthly updates to the appropriate RO on the number of
adjudication and appeals cases that are still pending. This information should
represent the number beyond the usual expected number of pending adjudications and
appeals (e.g., 21 and 30 days, respectively) for regular operations.
iii. Ensuring Equitable Access to UI Programs
A top priority of the Department is ensuring equitable and meaningful access to the
UI program. Section 303(a)(1) of the SSA, discussed above, includes a requirement
that a state’s methods of administration include insuring full payment “when due.”
The Department interprets this to include a requirement of equity so that individuals
have sufficient access to the program so that eligibility can be determined, and UC
payments can be made, “when due.” Equity in the UI programs is also a requirement
of funding set out in Section 9032 of the ARPA.
On January 20, 2021, the President issued Executive Order (EO) 13985 concerning
advancing racial equity and support for underserved communities. This EO articulates
the importance of advancing equity for all, including people of color and others who
have been historically underserved, marginalized, and adversely affected by persistent
poverty and inequality. This includes, low wage workers, Black and Hispanic/Latino
workers, individuals with disabilities, and individuals with limited English
proficiency. Advancing equity requires a systematic approach to embedding fairness
in decision making processes and eliminating barriers to access. Public programs
must be designed to serve all individuals. For this reason, the Federal Government
should, consistent with applicable law, allocate resources to address the historic
failure to invest sufficiently, justly, and equally in underserved communities, as well
as individuals from those communities. State UI agencies must ensure that use of
technologies and systems for administering UI programs and providing services do
not create barriers (e.g., procedural, technological, or informational) that may prevent
individuals from accessing UC, such as by denying them a reasonable opportunity to
establish their eligibility.
ETA notes that the GAO issued a Management Report on June 17, 2021, regarding
potential racial and ethnic disparities in the UI program during the pandemic.2 On
June 7, 2022, GAO also published a report about the Pandemic Unemployment
Assistance program that found evidence of racial disparity in benefit receipt3.
Furthermore, the DOL-OIG issued an Alert Memorandum4 on March 31, 2023,
highlighting concerns about states’ use of ID verification service providers,
specifically those employing the use of facial recognition technology, and the impact
these ID proofing services may have on equitable and secure access to UI benefits. As
outlined in UIPL No. 22-21, Change 2, ETA strongly encourages states to carefully
review ID proofing solutions that use biometrics such as facial recognition. While
these solutions may help to reduce ID fraud, they may have negative implications for5
Management Report: Preliminary Information on Potential Racial and Ethnic Disparities
in the Receipt of Unemployment Insurance Benefits during the COVID-19 Pandemic at
https://www.gao.gov/assets/gao-21-599r.pdf.
Pandemic Unemployment Assistance: Federal Program Supported Contingent Workers Amid Historic Demand,
but DOL Should Examine Racial Disparities in Benefit Receipt at https://www.gao.gov/products/gao-22-104438.
Alert Memorandum: ETA and States Need to Ensure the Use of Identity Verification Service Contractors Results in
Equitable Access to UI Benefits and Secure Biometric Data, Report No. 19-23-005-03-315 (March 31, 2023).
For instance, recent research indicates that, depending on how it is implemented, certain biometric technology may
have a disproportionate adverse impact on protected groups. See, e.g., National Institute of Standards and
Technology (NIST), NIST Study Evaluates Effects of Race, Age, Sex on Face Recognition Software (Dec. 19,
2019), https://www.nist.gov/news-events/news/2019/12/nist-study-evaluates-effects-race-age-sex-face-recognition-
or lead to violations of states’ nondiscrimination obligations under Section 188 of
Workforce Innovation and Opportunity Act (WIOA). States using ID proofing
solutions that employ the use of facial recognition technology, must test the system
for biases6 and work with the service provider to identify and resolve any biases or
barriers to equitable access resulting from the ID proofing process. States
implementing or using facial recognition technology in their ID proofing processes
must also report to ETA, in their IAP submission, findings from bias testing and
provide updates on efforts to mitigate biases or barriers.
States are encouraged to examine any available claimant demographic data to help
inform strategies to enhance outreach and education about the program to
underserved communities. States should also explore strategies to improve their
state’s UI program recipiency rate. In addition, states should focus on UI functions
and activities that ensure equitable access to these programs. UIPLs No. 02-16 and
02-16, Change 1, outline the requirements that states must meet to ensure access to
the UI program and timely payments are made to eligible individuals. States are
encouraged to use the UI Equity Toolkit as a resource concerning equitable access to
the UI program.
States should discuss how they are improving their UI programs to reduce or
eliminate barriers to access and any equity issues across the claimants’ journeys. This
could include but it is not limited to discussing the state’s approach to:
• Simplifying communications;
• Enhancing language access and translation and interpretation services;
• Engaging claimant-focused community organizations to provide feedback on
pain points, education campaigns, and cultural competency;
• Creating feedback loops across the states’ diverse communities and claimants;
• Developing and utilizing demographic, geographic, and industry data across the
claimant journey to discover and fix pain points across populations;
• Improving in-person and phone services;
• Improving online accessibility and usability across computer and phone devices;
and
software (finding demographic differentials in the majority of the 189 face recognition algorithms studied, and
noting that “a false positive in a one-to-many search puts an incorrect match on a list of candidates that warrant
further scrutiny”).
States should be aware that 29 CFR § 38.51 requires UI program administrators to conduct statistical or other
quantifiable data analyses of demographic records and data to determine whether their UI programs and activities
are being conducted in a nondiscriminatory way.
• Improving educational content available in both in-person and electronic means.
States that received equity grants under UIPL No. 23-21 are encouraged to include
the equity strategies they are pursing using these grant funds in their FY 2024 SQSPs.
iv. Supporting the reemployment of UC claimants through Reemployment Services
and Eligibility Assessments (RESEA), Short-Time Compensation (STC), robust
work search activities, and other targeted initiatives
RESEA for individualized reemployment services
The reemployment of UC claimants remains a top priority for the entire workforce
system. The UI program supports reemployment through a variety of targeted
strategies, and RESEA provides a dedicated funding stream for states to provide
individualized reemployment services and referrals to other workforce partners.
RESEA, a voluntary program for states, is codified in Section 306 of the SSA.
Recognizing RESEA as a permanent workforce partner, states with RESEA programs
have been directed to prioritize strategies that support the expansion and
sustainability of the program, such as permanent staffing, expanded eligibility, and
increased service-delivery. UIPL No. 02-23 and Training and Employment Guidance
Letter (TEGL) No. 08-22 provide the FY 2023 RESEA operating guidance. States
recently updated their WIOA state plans, which should reference the integration of
RESEA into their broader workforce system and reemployment strategies.
States are permitted to reference their RESEA and WIOA state plans in the SQSP
rather than replicate these strategies and approaches. States should also discuss how
their RESEA strategies support reducing improper payments, including the review of
claimant eligibility and providing services that help them comply with work search
requirements.
STC as a lay-off aversion program
The STC program (known also as “worksharing” or “shared work”) is a lay-off
aversion program in which an employer, under a state-approved plan, reduces the
hours for a group of workers and these workers in turn receive a reduced UC
payment. Section 2108, 2109, and 2110 of the CARES Act, as amended, provided for
federal funding of benefits and grants to states to support the expansion and take-up
of STC during the height of the pandemic (see UIPL No. 22-20). The Department
encourages the use of STC to support workers and employers.
Robust Work Search Activities
A provision of UI administrative grant eligibility requires that state laws include a
work search requirement as a condition of UC eligibility (see Section 303(a)(12),
SSA). Each state defines acceptable work search activities through its laws and
policies – which vary widely in the types of activities that qualify as acceptable work
search activities.
Training and Employment Notice (TEN) No. 17-19 provides states with model work
search legislation focused on proactively referring claimants to suitable work,
establishing a comprehensive definition of acceptable work search activities that
focuses on rapid reemployment, and providing fair notice and documentation
requirements. It is a best practice for states to have a fully integrated workforce
system that focuses its collective efforts on assisting claimants getting back to work
as quickly as possible in suitable jobs in the following ways:
Strategies to consider include:
• Requiring work search activities that embrace a wide array of activities that
support reemployment in today’s labor market and include receiving services
through American Job Centers;
• Supporting claimant compliance with required work search activities through a
reemployment service delivery design that includes developing clear, plain
language work search requirements that: 1) help to ensure that claimants
understand work search requirements (both acceptable activities and
documentation requirements); 2) helps to ensure that claimants understand the
consequences of failing to comply with these requirements; and 3) provides
assistance in developing a reemployment plan that meets the requirements,
including through customer-friendly technology applications that facilitate
claimants carrying out tasks that meet their work search requirements;
• Encouraging states to proactively identify and refer claimants to suitable job
openings from public and private job banks, and ensure that claimants accept
employment in suitable work if offered;
• Developing and facilitating continuous review of completed work search
activities to verify claimant compliance;
• Documenting these activities through the state’s case management system or
other information technology (IT) systems that support documentation
requirements; and
• Providing case management services through American Job Center career
counselors, which include following up with claimants and employers on the
results of job referrals to inform future job referrals and/or the need for
additional reemployment services for the claimant.
There are additional strategies states should consider in developing their work search
requirements and designing reemployment service delivery strategies that support a
claimant’s ability to comply with a state’s work search requirements and help to
mitigate improper payments. States are strongly encouraged to implement these
additional strategies to address work search errors and incorporate those strategies
into the Integrity Action Plan (IAP) as part of the SQSP.
• Designing the state RESEA program to support the development of an individual
reemployment plan that can help each claimant effectively plan work search
activities, and making such services available virtually to support a broader
reach;
• Encouraging RESEA and other career and reemployment service providers to
take advantage of the My Reemployment Plan tools that are designed to support
development of individualized reemployment plans and connect claimants to
effective reemployment resources (see Pathways to Reemployment); and
• Reinforcing the requirement to complete work search activities throughout the
claims cycle through the use of behavioral messaging in electronic
communications, either in an online technology application or through emails or
texts, to “nudge” claimants to comply with work search requirements.
v. Ensuring UI program integrity by assessing and evaluating fraud risks,
implementing and maintaining sufficient controls to effectively mitigate the
likelihood and impact of fraud, and reducing improper payments
UI program integrity continues to remain a top priority and a key focus for the
Department and the entire UI system. UI program integrity includes identity (ID)
verification, fraud prevention and detection; fraud risk mitigation; improper payment
reduction; the recovery of overpayments; the prevention of underpayments; the timely
and accurate payment of benefits; and ensuring equitable access in all UI programs.
ETA continuously develops and oversees implementation of integrity strategies that
target fraud and the root causes of improper payments. ETA’s efforts to address fraud
risks and improve integrity in the UI program includes providing guidance, technical
assistance, and funding to states to combat fraud and reduce and recover improper
payments. ETA is also investing in developing new and enhancing existing tools,
datasets, and resources and making them available to aid states in more quickly
identifying potential improper payments and fraud.
GAO issued two reports7 recommending the Department assess fraud risks to the UI
program in alignment with GAO’s Fraud Risk Framework8. The Department has
developed and documented a UI fraud risk profile in alignment with the leading
practices identified in the GAO Fraud Risk Framework. In doing so, the Department
has completed the following activities:
See GAO Report issued October 27, 2021, entitled “Additional Actions Needed to Improve Accountability and
Program Effectiveness of Federal Response” at https://www.gao.gov/assets/gao-22-105051.pdf and GAO Report
issued January 23, 2023, entitled “Unemployment Insurance: Data Indicate Substantial Levels of Fraud during the
Pandemic; DOL Should Implement an Antifraud Strategy” at https://www.gao.gov/assets/gao-23-105523.pdf.
See A Framework for Managing Fraud Risks in Federal Programs at https://www.gao.gov/assets/gao-15-593sp.pdf.
• Identified the inherent fraud risks facing the UI program;
• Assessed the likelihood and impact of inherent fraud risks facing the UI program;
• Determined the fraud risk tolerance for the UI program;
• Examined the suitability of existing fraud controls in the UI program; and
• Prioritized residual fraud risks.
The Department regularly assesses its antifraud strategies and continuously evolves
strategies to address emerging fraud threats and risks9. ETA is committed to ensuring
its UI fraud risk management activities are conducted in alignment with GAO’s Fraud
Risk Framework, which calls for a strategic approach for assessing and managing
fraud risks. Since the UI program is a Federal-state partnership, which means both the
Department and state UI agencies are responsible for ensuring UI program integrity,
states are encouraged to also evaluate UI fraud risks and implement and maintain
sufficient controls to effectively prevent fraud and reduce improper payments. An
antifraud strategy describes existing fraud control activities as well as any new
control activities a program may adopt to address residual fraud risks.
On April 27, 2023, ETA issued UIPL No. 22-21, Change 2, outlining the required and
recommended UI program integrity functions and overpayment recovery activities,
and reminding states that they must use, operate, and maintain the required integrity
controls and required overpayment recovery activities, including during times of mass
unemployment events, absent specific statutory authorization allowing suspension of
such controls or activities. ETA also strongly encourages states to use, operate, and
maintain the recommended integrity controls and recommended overpayment
recovery activities described in UIPL No. 22-21, Change 2.
As states continue to combat ongoing fraud attacks involving sophisticated criminal
ID fraud schemes, states must also remain focused on preventing eligibility fraud and
other improper payments. While states have developed and implemented new and
innovative integrity strategies and enhanced existing integrity efforts to combat fraud,
it is equally important for states to evaluate outcomes using a risk-based approach to
assess the effectiveness of fraud prevention and detection and improper payment
reduction activities. This includes collecting and analyzing data for fraud trends and
identifying potential control deficiencies, as well as effective monitoring and
evaluation with a focus on measuring outcomes and progress toward the achievement
of objectives, rather than solely reviewing outputs and progress in implementing
control activities. Evaluation results should be used to continuously adapt to changing
risks and improve the design, implementation, and effectiveness of fraud and
improper payment risk management activities. States must also continue to mitigate
the likelihood and impact of fraud and reduce improper payments by staying abreast
A public version of the UI Integrity Strategic Plan is found at https://oui.doleta.gov/unemploy/integrity_plan.asp.
of emerging fraud schemes through ongoing communication and collaboration with
the broader UI community. This includes all state workforce agencies, ETA’s
Regional and National offices, the Department’s Office of Inspector General (DOL-
OIG), and NASWA’s UI Integrity Center.
For FY 2024, ETA is highlighting the following specific topics states must
incorporate into the SQSP IAP in addition to the IAP requirements outlined in
Section 6.d. of this UIPL:
• State plans to evaluate UI fraud risks and implement and maintain sufficient
controls to effectively prevent fraud and reduce improper payments, including
state actions to develop their own state-specific antifraud strategy.
• State use of tools, services, strategies, process improvements, and/or procedural
changes adopted by the state to combat fraud, verify identities, and enhance
recovery efforts. States must identify which tools, solutions, and service
provider(s) are used in the state’s fraud management operations including, but
not limited to, the following areas: data analysis, risk-based ID verification, fraud
prevention and detection, and cybersecurity.
• State use of UI Integrity Center resources, with a particular focus on state
connection to the Integrity Data Hub (IDH) and use of its datasets to cross-match
UC claims and aid in the prevention and detection of fraud and improper
payments (see TEN No. 24-21).
• State use of required and recommended integrity controls and overpayment
recovery activities as outlined in UIPL No. 22-21, Change 2, including any
additional effective cross-matching and overpayment recovery activities and
identified best practices.
• State use and employer participation in the State Information Data Exchange
System (SIDES) (see TEN No. 12-16).
• State strategies designed to facilitate claimants’ compliance with state work
search requirements while also supporting their reemployment such as adoption
of the work search requirements in the Model Work Search Legislation (see TEN
No. 17-19).
Additional tools, strategies, process improvements, and/or procedural changes to
combat fraud, verify identities, and enhance overpayment recovery efforts
Intercepting fraud as early as possible minimizes its impact on the UI system. Fraud
detection operations and procedures, coupled with using a risk-based approach to
determine which claims are subject to evidence-based ID verification, are critical to
ensuring payment is made timely and only to individuals entitled to receive UC. The
Department continues to strongly encourage states to adopt multiple strategies and
techniques to validate UC claims, detect and share suspicious claim attributes among
states, and consider a range of other available tools and resources when combating
fraud, conducting risk-based ID verification, and ensuring program integrity. In
addition, states should work collaboratively with law enforcement agencies to assist
in investigative efforts.
Overpayment recovery is critical to protect both state unemployment funds and
Federal funds in the UI trust fund and must be given the same priority as
overpayment prevention and detection. ETA strongly encourages states to work
proactively and collaboratively with Federal law enforcement to streamline forfeiture
and seizure efforts and with banks and financial institutions to facilitate the rapid
return/recovery of improperly paid UC.
ETA has provided states significant additional funding to support states with fraud
prevention and detection, ID verification, and overpayment recovery activities in the
CARES Act UI programs and regular UC programs (see UIPLs No. 28-20; 28-20,
Change 1; 28-20, Change 2; 28-20, Change 4; 22-21; and 02-22).
State Use of UI Integrity Center Resources
The UI Integrity Center, established and funded by the Department and operated by
NASWA’s Center for Employment Security Education and Research, Inc. (CESER),
assists states in their efforts to prevent, detect, and recover improper and fraudulent
payments and improve UI program integrity by developing and promoting innovative
program strategies. The UI Integrity Center is a unique and extremely valuable
resource available at no cost to states, and ETA strongly encourages states to access
its services and resources on a regular and ongoing basis to inform and support state
integrity strategies, strengthen fraud prevention and detection, enhance fraud
management operations, and improve overpayment recovery efforts. Below are
important UI Integrity Center services and resources that states should connect to and
build into their IAP as part of the SQSP.
• Integrity Data Hub – is a secure, robust, centralized, multi-state data system that
allows participating states to cross-match, compare, and analyze UC claims data
against a variety of datasets for enhanced prevention and detection of improper
payments and fraud in UI programs (see TEN No. 24-21). States should take the
following three actions to strengthen fraud prevention and detection using the
IDH:
o Take advantage of, and use, all IDH functionalities;
o Implement IDH web service/real-time connectivity, if possible; and
o Submit all UC initial and continued claims to the IDH in real-time, or on a
daily basis, at minimum.
The IDH continues to evolve as new data sources are added and more states
submit data for cross-matching and identify suspicious claim attributes. New
IDH enhancements, such as IDH Results Prioritization and Results Sorting,
Filtering, and Outcomes, allow states to prioritize, analyze, and manage IDH
results quickly and easily, and help states identify why a claim warrants further
investigations. Current IDH datasets and functionality include: the Suspicious
Actor Repository; Suspicious Email Domains; Foreign Internet Protocol address
detection; Multi-State Cross-Match; Identity Verification solution; Bank
Account Verification service; and Fraud Alert System.
• State Services – supports states in assessing business processes and provides
recommendations for adoption of effective strategies for combatting fraud,
reducing a state’s improper payment rate, enhancing overpayment recovery, and
improving UI program integrity.
• UI Integrity Knowledge Exchange Library (Library) – provides an online,
searchable, knowledge-sharing platform with a repository containing thousands of
UI technical resources to strengthen UI program integrity. The Library also
contains the Behavioral Insights (BI) Toolkit – a collection of resources, articles,
templates, and how-to information developed to help state UI agencies apply the
learnings of BI to address program compliance challenges and improve UI
program integrity (see TEN No. 15-21).
• UI National Integrity Academy (Academy) – provides no-cost interrelated
certificates that offer program integrity trainings for state staff via online,
eLearning modules and Virtual Instructor Led Training. The Academy’s Learning
Management System provides states with access to self-paced, on-demand
training available at any time and a searchable online catalog with over 120
lessons available for state UI staff in the areas of Program Leadership, UI
Operations Integrity, Fraud Investigations, Tax Integrity, Data Analysis, and
Behavioral Insights.
Increased State and Employer Use of SIDES
State implementation and employers’ use of SIDES should be an integral part of a
state’s integrity strategy (see TEN No. 12-16 and information available at
https://www.naswa.org/uisides). SIDES is composed of Web Services for third-party
administrators (TPAs) and large employers and E-Response for smaller employers.
States should view SIDES as a critical part of their UI integrity efforts and are
encouraged to connect to all SIDES exchanges and build SIDES into their IAP as part
of the SQSP.
The SIDES Separation Information Exchange supports timely and accurate
information from employers and TPAs, which aids in reducing separation errors. As
set out in UIPL No. 19-16, ETA has expectations for the overall state usage of SIDES
(Web Services and E-Response) with a goal for states to receive employer responses
through SIDES Web Services and SIDES E-Response for at least 50 percent of all
UC initial claims processed and, separately, a goal of at least 35 percent of all UC
initial claims processed through the SIDES E-Response. ETA encourages states to
increase employer usage of SIDES for separation exchanges by pursuing the
following strategies:
• Each state should strive to have all TPAs operating within the state to be live and
using Web Services.
• States that have been successful in obtaining greater employer use have SIDES as
the default method of exchanging information unless employers “opt-out” of this
approach. These states have also used SIDES as the only electronic response
system and have not used parallel/dual systems.
• States that have been successful in obtaining greater employer use have a single
sign-on for SIDES and the state’s employer portal. The NASWA SIDES Team
can provide technical assistance to states on implementing a single sign-on option
if the state is not currently using a single sign-on for employers.
• States also should consider efforts to promote SIDES E-Response and to
encourage employers who do not use TPAs to use SIDES, especially those
employers who are frequent users of the UI program. In marketing SIDES, states
are encouraged to use resources like the SIDES toolkit found at
http://sidesitk.naswa.org/sides.
States should consider using the other valuable SIDES exchanges, if they are not
already doing so. These additional exchanges include:
• Monetary & Potential Charges Exchange – advises the employer/TPA of the
wages used to calculate potential benefits payable to the claimant and advises the
employer of the potential charges applied to their state unemployment taxes if
benefits are awarded, and they are found liable.
• Additional Fact-Finding Exchange – permits electronic transmission of unique
questions and responses between the state and the employer/TPA.
• Determinations & Decisions Exchange – permits the state to electronically
transmit a non-monetary determination or an appeals decision to an
employer/TPA, and permits the employer/TPA to electronically respond, if
necessary, with an appeal of a non-monetary determination or appeal of a lower-
level appeal decision using the standard national format.
• Earnings Verification Exchange – electronically sends wage verification requests
to employers through a state-specific employer portal and is recommended if a
state does not have an automated web-based system for requesting employers to
verify earnings.
• Benefit Charges Exchange – advises the employer/TPA of the amount of benefits
charged to the employer for determining the employer’s state unemployment
taxes based on the claimant’s eligibility and account liability.
Compliance with Work Search Activities
As noted above, robust work search activities are a critical component of supporting
reemployment of UC claimants. Additional strategies for states to consider for
mitigating improper payments related to compliance with such activities is described
earlier in this UIPL.
vi. Addressing Worker Misclassification
States should monitor their performance under the Effective Audit Measure to
determine whether they are effectively detecting and preventing worker
misclassification (see UIPL No. 03-11). States may deploy a wide array of strategies
to address worker misclassification. ETA encourages states to develop and implement
strategies to address the misclassification of workers and to include those strategies in
the states’ SQSPs. ETA will continue to identify state “best-promising practices” in
this area and share them broadly.
vii. Ensuring accurate and complete reporting of ETA Required Reports
The impact of the pandemic on the UI system has resulted in some states
experiencing technical challenges leading to untimely filing and/or inaccurate
reporting of the ETA required reports. The states’ SQSP Narrative is required to
include actions planned to address this issue and ensure appropriate reporting in FY
2024. States are also required to correct previously transmitted reports to ensure
accurate data is reported.
Additionally, states with inaccurate and/or incomplete reporting on all ETA 227
reports (Overpayment Detection and Recovery Activities), and the 902P report
(Pandemic Unemployment Assistance) must report their plans to correct the reporting
issues in the IAP, specifically regarding Section C. Overpayment Activity and
Administration (all activity EXCEPT for Identity Theft) and Section D. Overpayment
Activity Related to Identity (ID) Theft.
States must also continue to ensure accurate financial transaction information is
reported on the ETA 2112 Financial Transaction Summary Report. Ongoing activity
associated with the various CARES Act programs must be reported on the appropriate
lines of the ETA 2112 report and recoveries must be broken out by relevant program.
Prior reports should be revised to ensure accuracy including cases where comingled
recoveries may have been reported under lines not associated with a specific program.
Government Performance and Results Act of 1993 (GPRA) UI Performance
Measures (Federal Emphasis)
GPRA requires a commitment from all Department programs to attain expressed
goals and objectives. Achieving these objectives requires the combined efforts of the
Federal and state partners.
ETA recognizes that the COVID-19 pandemic has negatively impacted states’
program performance in FYs 2020, 2021, and 2022. While the impact of the
pandemic has begun to subside somewhat in FY 2023, states continue to struggle with
meeting key performance measures. It remains important for states to focus their
efforts on meeting the performance measures that ensure the UI program is achieving
its mission-critical goals.
In FY 2024, ETA will continue to work with states to rebuild performance with
attention on the following GPRA goals for FY 2024, with targets that the UI system,
as a whole, is expected to meet. States should continue to strive to reach or exceed
these GPRA goals and targets. States must describe in the SQSP Narrative the steps
they will take to reach and/or exceed these GPRA goals and targets(see
https://oui.doleta.gov/unemploy/docs/GPRA_Summary_Report.asp for the FY 2024
GPRA goals and targets.
Goal Target
Percent of Intrastate Payments 87 percent of intrastate first payments for full
Made Timely (Make Timely weeks of UC will be made within 14/21 days
Benefit Payments) from the week ending date of the first
compensable week.
Detection of Recoverable Overpayments established at a rate that is at
Overpayments (Detect Benefit least 57.5 percent of the estimated detectable,
Overpayments) recoverable overpayments.
Percent of Employer Tax 90 percent of status determinations for new
Liability Determinations Made employers will be made within 90 days of the
Timely (Establish Tax Accounts end of the first quarter in which liability
Promptly) occurred.
B. Program Performance. The Department’s strategic approach to UI Performs is to focus
efforts on improving the performance of states where performance is below minimum
criteria while promoting overall excellence. To that end, states are expected to address
performance that does not meet established criteria for the SQSP measurement period.
The measurement period for the FY 2024 SQSP is April 1, 2022 – March 31, 2023,
unless otherwise indicated in Attachment I.
C. UI Performance Criteria. Attachment I list the performance criteria for the Core
Measures, Secretary’s Standards, and other program criteria where Corrective Action
Plans (CAPs) and/or Narratives may be expected if annual performance is not acceptable.
i. Core Measures. Performance below the acceptable levels of performance (ALP) for
Core Measures must be addressed in a CAP unless otherwise indicated.
Additional instructions for Core Measures are as follows:
• The Detection of Overpayments Measure. This measure is the percentage of
detectable/recoverable overpayments estimated by the Benefit Accuracy
Measurement (BAM) survey that was established for recovery through regular UI
Benefit Payment Control (BPC) program operations. Any state reporting an
overpayment detection rate below 50 percent is expected to address the deficiency
in a CAP. In addition, because most states cannot cost-effectively detect and
establish more than 90 percent of estimated overpayments, an upper limit of 95
percent has been established for monitoring purposes. If a state reports an
overpayment detection rate above 95 percent is the result the issue reflects the
improper administration of BAM or BPC activities or misreporting of data on the
ETA 227 (Overpayment Detection and Recovery Activities) report, the state is
expected to submit a CAP (for BAM/Overpayment Detection or
BPC/Overpayment Detection or address reporting 227 issues). The state should
develop the CAP to ensure that the state is producing valid data for the
Overpayment Detection Measure. The performance period for the BPC
component is the three-year period ending March 31, 2023; the performance
period for the BAM component is the three-year period ending September 30,
2022.
• Effective Audit Measure. The Effective Audit Measure, as noted in UIPL No. 03-
11, is a blended measure of the following four factors: 1) Percentage of
Contributory Employers Audited Annually; 2) Percentage of Total Wage Changed
as a Result of Audit; 3) Percentage of Total Wages Audited; and 4) Average
Number of Misclassifications Detected Per Audit. Each of the four factors has a
minimum standard score that states must meet to pass the Effective Audit
Measure, as well as an overall combined score that must be achieved. The
measure also requires each state to direct additional emphasis to the factor(s) that
state personnel deem important to the state. An additional two points must be
earned among any of the four factors to attain the overall passing score of at least
7.0. A CAP is required for states that do not meet the measure based on calendar
year 2022 data.
• Improper Payments Measure. The Improper Payments Measure is defined as UC
overpaid plus UC underpaid divided by the total amount of UC paid. It is based
on estimates from the results of the BAM survey of paid UC claims in the State
UI, Unemployment Compensation for Federal Employees, and Unemployment
Compensation for Ex-Servicemembers programs.
The Payment Integrity Information Act (PIIA) of 2019, codified in 31 U.S.C.
3351 et seq., repealed and replaced the Improper Payments Information Act of
2002, and the subsequent statutory amendments (the Improper Payments
Elimination and Recovery Act (IPERA) of 2010 and the Improper Payments
Elimination and Recovery Improvement Act (IPERIA) of 2012. PIIA requires
agencies to examine the risk of erroneous payments in all programs and activities
they administer. This Federal law defines the term improper payment as:
(A) …any payment that should not have been made or that was made in an
incorrect amount, including an overpayment or underpayment, under a
statutory, contractual, administrative, or other legally applicable
requirement; and
(B) includes—(i) any payment to an ineligible recipient; (ii) any payment for an
ineligible good or service; (iii) any duplicate payment; (iv) any payment for
a good or service not received, except for those payments where authorized
by law; and (v) any payment that does not account for credit for applicable
discounts.
PIIA requires Federal programs to report an annual improper payment rate. It also
requires agencies to include all identified improper payments in the reported
estimate, regardless of whether the improper payment in question has been or is
being recovered (see UIPL No. 09-13, Change 1 for ETA’s approved improper
payment rate computation methodology). Corrective actions and IAP root causes
for FY 2024 are based on ETA’s approved computation methodology.
In accordance with PIIA, an ALP of less than 10 percent has been established for
the improper payment measure. States are expected to maintain an improper
payment rate of less than 10 percent for covered UC programs. This ALP is
applicable to the 2022 PIIA performance period (July 1, 2021 to June 30, 2022).
A state failing to meet the ALP for the 2022 PIIA performance period will be
expected to develop a CAP as part of the FY 2024 SQSP.
• UI Overpayment Recovery Measure. As explained in UIPL No. 09-13, the
recovery rate is “the amount of improper overpayments recovered divided by the
amount of improper overpayments identified.” The ALP for the recovery rate
measure is 68 percent for the 2022 PIIA performance period. The Department will
compute future recovery targets based on the most recent recovery and other
performance data available.
The performance period will be based on data from the ETA 227, Overpayment
Detection and Recovery Activity (Regular), and ETA 227, Overpayment
Detection and Recovery Activity (Emergency Unemployment Compensation)
(EUC), for the PIIA 2022 performance period (July 1, 2021 to June 30, 2022).
Pursuant to the UI Reports Handbook (ET Handbook No. 401, 5th edition), the
June quarter ETA 227 reports are due August 1 each year. A state failing to meet
the ALP for the 2022 PIIA performance period will be expected to develop a CAP
as part of the FY 2024 SQSP.
ii. Secretary’s Standards
A state experiencing performance below the criteria for the Secretary’s Standards
established in regulation at 20 CFR Parts 640 and 650 are required to address the
performance issues in a CAP. The Secretary’s Standards are listed in Attachment I.
iii. UI Programs
States must address the following UI Programs as described below:
• State Directory of New Hires (SDNH)/National Directory of New Hires
(NDNH)
State BAM operations that, based on the BAM Administrative Determination, are
not compliant with the NDNH matching requirements in ET Handbook No. 395,
5th Edition, chapter VI, UIPL No. 03-07, and UIPL No. 03-07, Change 1, are
expected to be addressed in a CAP for FY 2024.
• Benefit Accuracy Measurement (BAM)
State BAM operations or operational components that are not compliant with
investigative and/or method and procedure requirements established in ET
Handbook No. 395, 5th Edition, and through findings established through ET
Handbook No. 396, 4th Edition monitoring reviews (based on the annual
determination letter issued on or before May 1, 2023), are expected to be
addressed in a CAP. This includes paid and denied claim population variances
outside established control limits.
• Tax Performance System (TPS)
To ensure that UI tax operations are in compliance with Federal reporting and
oversight requirements, a state’s failure to conduct one or more TPS sample
reviews will be subject to a CAP. Additionally, a tax function that is not sampled
will be included in the number of total failing functions as measured by Tax
Quality Part A (no more than three tax functions may fail TPS review) and Part B
(a tax function cannot fail for three consecutive years). Exceptions include
universes that are too small to support a sample (“S”), an Experience Rate sample
that was not scheduled for review during the performance year (“E”), or the
granting of a temporary waiver by the RO (“W”). Program Review Findings
Charts should be noted accordingly.
• Data Validation (DV)
The deadline for submitting DV results is June 10, 2023. DV items that fail to
pass validation, or were due but not submitted, are expected to be addressed in the
state’s FY 2024 SQSP. Non-submitted items also include failure to certify that the
state instructions in the Module 3 for Benefits and Tax are up-to-date during the
April 1 – June 10, 2023, certification window.
Any DV items due for Validation Year (VY) 2023 that did not pass or were not
submitted by the June 10, 2023, deadline are expected to be addressed in a CAP
for FY 2024.
ROs will monitor states every three years on cycles coinciding with the Data
Validation Years. They will assess the accuracy of the states’ DV results
considered passing or not due as of the time of the monitoring review to verify
that the states are properly implementing the DV program. DV items submitted as
passing but which a monitoring review determined to have failed must also be
addressed in the SQSP. All subsequent SQSP cycles will address items changed
from pass to fail in the previous year’s monitoring review.
iv. UI Program Integrity and the IAP
The purpose of the IAP is for the state to provide a comprehensive and detailed plan
outlining the agency's UI integrity and antifraud strategies. States will use the IAP
template (Word document) to develop their FY 2024 IAPs. The template provides
states with a format that is conducive for developing a comprehensive, detailed, and
actionable IAP and offers more flexibility to clearly articulate state integrity plans and
antifraud strategies. States are expected to report their planned actions and activities
to prevent, detect, reduce, and recover fraud and UI improper payments in their IAPs,
which are submitted each year as part of the annual SQSP submission.
A critical part of fraud risk management includes evaluating outcomes using a risk-
based approach and adapting activities to improve fraud risk management strategies.
To effectively manage fraud risks states should develop and document an antifraud
strategy that describes the states approach for addressing fraud risks.
States are expected to address each of the following topics, including specific
National Priorities and additional integrity strategies as outlined below, as part of
IAPs for the FY 2024 SQSP submission. States should use the IAP template as a
guide to develop their IAPs and ensure all key IAP topics (outlined below) are
addressed.
• (Topic #1: National Priority) – Ensuring UI program integrity by assessing and
evaluating UI fraud risks and implementing and maintaining sufficient controls to
effectively mitigate the likelihood and impact of fraud and reduce improper
payments:
o State plans to evaluate UI fraud risks and implement and maintain sufficient
controls to effectively prevent fraud and reduce improper payments, including
state actions to develop their own state-specific antifraud strategy.
o State use of tools, services, strategies, process improvements, and/or
procedural changes adopted by the state to combat fraud, verify identities, and
enhance recovery efforts. States are expected to identify which tools,
solutions, and service provider(s) are used in the state’s fraud management
operations, including but not limited, to the following areas: data analysis,
risk-based ID verification, fraud prevention and detection, and cybersecurity.
o State use of UI Integrity Center resources, with a particular focus on state
connection to the IDH and use of its datasets to cross-match UC claims and
aid in the prevention and detection of fraud and improper payments.
o State use of required and recommended integrity controls and overpayment
recovery activities as outlined in UIPL No. 22-21, Change 2, including any
additional effective cross-matching and overpayment recovery activities and
identified best practices.
o State use of and employer participation in SIDES.
o State strategies designed to facilitate claimants’ compliance with state work
search requirements while also supporting their reemployment such as
adoption of the work search requirements in the Model Work Search
Legislation.
• (Topic #2) – State plans and actions to address the state's top three improper
payment root causes in PIIA 2022.
• (Topic #3) – State coordination and collaboration with DOL-OIG and other state
and Federal law enforcement agencies to investigate and prosecute UI fraud and
recover overpayments. This should also include state plans to continue providing
all confidential UC information to DOL-OIG for purposes of both investigating
fraud and performing audits.
• (Topic #4) – State plans to strengthen program integrity in UI tax operations,
including current activities and plans to identify and prevent worker
misclassification, State Unemployment Tax Act Dumping, and fictitious employer
schemes, and development/use of effective employer audit strategies (i.e., use of
remote audits).
• (Topic #5) – State plans and actions to strengthen internal security and ensure that
all appropriate internal controls and processes are in place and are adequate to
assess internal risks and threats, ensure program integrity, and minimize program
vulnerabilities (see UIPL No. 14-17).
• (Topic #6) – State plans and actions to evaluate the effectiveness and equity of
fraud prevention and detection, ID verification, and improper payment reduction
activities. State should include strategies to ensure that processes used to detect
and prevent fraud are effective and do not limit the ability for a legitimate
claimant to apply for and become eligible for UC. States implementing or using
facial recognition technology in their ID proofing processes must also report
findings from bias testing and provide updates on efforts to mitigate biases or
barriers in this section of the IAP.
• (Topic #7) – State plans and actions to mitigate negative consequences for victims
of UI ID fraud, including ensuring simplified processes to remove the victim’s
liability for overpayments resulting from ID fraud.
• (Topic #8) – If the state has not provided complete and accurate overpayment
reporting on the ETA 227 reports (Overpayment Detection and Recovery
Activities), and the ETA 902P report (Pandemic Unemployment Assistance
Activities), the state must provide information on plans for improvement,
including timeframes and milestones, for addressing the issue and ensuring
complete, accurate, and timely reporting in FY 2024.
In FY 2022, ETA began requiring states to provide a six-month update to the IAP,
covering the first two quarters of the FY (October – March) when submitting the
SQSP quarterly update for the quarter ending March 31. The six-month update to the
IAP continues to be required for FY 2024. States will develop the six-month IAP
update in the IAP Word document template and submit it at the same time the state
submits the SQSP quarterly update for the quarter ending March 31. The purpose of
the six-month update is for a state to provide a progress report on all integrity and
antifraud strategies outlined in the IAP and must include details on any new
strategies, solutions, and/or activities; changes to existing strategies; plan or strategy
delays and/or challenges in implementing the IAP; positive outcomes (e.g., progress
toward the achievement of objectives); and identified successes.
ETA will continue to provide technical assistance to states to support their integrity
activities through guidance, webinars, individual state technical assistance, and in
partnership with the many available resources to support states with strengthening UI
program integrity (see Section 12 of this UIPL for UI Technical Assistance
Resources).
v. Other UI Performance
States are expected to address the following performance deficiencies in the SQSP
Narrative, unless otherwise indicated.
• Failure to meet reporting requirements.
• Invalid recording of the Issue Detection Date (IDD) and Determination Date
(DD). The validity of the UI Performs nonmonetary determination timeliness
measure depends on the accuracy of the state’s IDD and DD data. IDD and DD
data are considered accurate if dates were correct in at least 95 percent of the
nonmonetary determinations evaluated in the quarterly quality samples (obtained
from the ETA 9056 report for the measurement period (see Attachment I). Since
the accuracy of IDD and DD data is based on sample results, sampling variation
will be taken into account in setting the percentage below which a state’s data will
be considered inaccurate. States with invalid IDD or DD data are expected to
address the steps they will take to record the IDD and DD correctly in the SQSP
Narrative.
vi. Future Performance Requirements
In FY 2021, ETA published UIPL No. 07-21 that announced a new reemployment
core measure: Reemployment rate in the 2nd Quarter after Program Exit for RESEA
Participants. This new core measure is designed to focus on RESEA program
performance, given that the RESEA program is now permanently authorized within
the context of the broader workforce development system. The measure aligns with
the WIOA primary indicators of performance and will utilize data that states already
report for the Employment Service program and will assist ETA and states in
assessing state performance related to the employment outcomes of RESEA
participants.
Performance data for FY 2020 and FY 2021 will be used to review state performance
trends and to establish baseline state RESEA performance. States that do not meet
performance criteria for both of these performance periods will not be expected to
submit CAPs for FY 2024 SQSPs.
UIPL No. 07-21 also announced two new program performance measures that are
meant to assist states in managing reemployment performance, but these measures are
not core measures and do not have associated acceptable levels of performance.
D. Planning Requirements for FY 2024
SQSP Submittal Cycle
The SQSP process provides a 24-month window for states to adequately plan and
implement performance improvement efforts. The process provides for two types of
submittals: a Formal two-year (Biennial) plan and an Alternate Year plan. Descriptions of
the Biennial and Alternate Year SQSP submittals, significant activities, and dates relating
to the submittal and approval of the SQSP are outlined in ET Handbook No. 336, 18th
Edition, Change 4 and this UIPL. This year (FY 2024), all states will submit an Alternate
Year SQSP.
SQSP Preparation
States must use the Excel CAP Workbook to develop their CAPs for the SQSP
submissions. States must also use the Excel CAP Workbook for reporting updates to
specific CAP milestones and its performance each quarter. States must also use the IAP
template to develop their IAP and provide the IAP updates. The ROs will provide states
with the Excel Workbook and IAP template with specific instructions relevant to this
Alternate Year SQSP submittal.
SQSP Assurances and Approval
By signing the SQSP Signature Page, a state certifies that it will comply with the
assurances listed in ET Handbook No. 336, 18th Edition, Change 4, and will institute
plans or measures to comply with the requirements for each of the assurances.
• Assurance of Disaster Unemployment Assistance (DUA)
Each state must assure that it will conduct annual training for its DUA staff and
develop and maintain a Standard Operating Procedures manual for DUA. States are
encouraged to use the DUA training modules available on the NASWA learning
platform at https://www.naswa.org/learning.
Each state must:
o Indicate that it has conducted training and provide the date(s) of the training; and
o Indicate that it has developed and/or maintained DUA Standard Operating
Procedures for use during a major disaster declaration.
States may contact their RO for a copy of a DUA Standard Operating Procedure
template. See TEN No. 13-21 for additional information.
E. Tiger Team Grant Funds and Consultative Assessments. In the SQSP Narrative
Response section, states must detail their status regarding the grant opportunities
following a consultative assessment for fraud prevention and detection, promoting
equitable access, and ensuring the timely payment of benefits, including backlog
reductions, for all UI programs, as announced including backlog reductions, for all UI
programs, as announced in UIPL No. 02-22.
• If your state has either expressed interest for an upcoming Tiger Team consultative
assessment or has already been through the consultative assessment, please provide
an update on the status of that engagement. In addition, if your state is actively
implementing projects resulting from the consultative assessment, please provide in
detail the progress on those activities, as well as any challenges or barriers your state
is facing.
• If your state did not express interest for this consultative assessment please include
your state’s current efforts in process improvement, technology improvement, and
operations enhancements in the areas of fraud prevention and detection, promoting
equitable access, and ensuring the timely payment of benefits, including backlog
reductions, for all UI programs.
F. Waiving Recovery of Overpayments, where Appropriate. As states are resolving
backlogs, they may identify situations where individuals received benefits to which they
were not entitled (i.e., establish an overpayment). As noted in UIPL No. 20-21, Change 1,
seeking recovery of overpayments from individuals who did not commit fraud and were
without fault in receiving the overpayment, especially in light of the economic effects of
the pandemic, creates an extraordinary hardship on working families. The authority to
waive recovery of overpayments under the regular UI program is a matter of state law.
When establishing overpayments under the temporary CARES Act UI programs, the
Department strongly encourages states to exercise the authority to waive recovery when
both conditions set forth in the CARES Act, as amended, are satisfied: (1) payment was
done without fault on the part of the individual; and (2) repayment would be contrary to
equity and good conscience. We remind states that to consider a waiver of the recovery of
an overpayment, the state must first establish an overpayment and under no
circumstances may a state waive recovery activities for a fraudulent overpayment.
Within the context of the CARES Act UI programs, states are permitted to use blanket
waivers under the seven scenarios described in Attachment I to UIPL No. 20-21, Change
1. States may also submit requests for additional blanket waiver scenarios within the
context of the CARES Act UI programs by submitting Attachment II to UIPL No. 20-21,
Change 1. These approved blanket waiver scenarios permit a state, under the limited
authorized circumstances, to process the waiver of recovery for individual overpayments
that do not require additional fact-finding or submission of individual requests. These
scenarios also permit the state to process the waiver of recovery for multiple
overpayments meeting one of the approved scenarios simultaneously based on a single
set of facts. If overpayments covered by the seven approved scenarios were processed
individually, it could result in the same amount of overpayments not being recovered
(i.e., recovery still being waived), but at a greater cost and inefficiency to the state
because of the workload generated from processing individual waivers. Overpayments
occurring outside of the scope of the approved scenarios may still be considered for
waiving repayment on an individual case-by-case basis to ensure the two conditions
described in the preceding paragraph are satisfied.
G. Coordination with DOL-OIG. States must refer allegations which they reasonably
believe constitute UC fraud, waste, abuse, mismanagement, or misconduct to the DOL-
OIG. States are also required to disclose confidential UC information related to the
CARES Act, as amended, to the DOL-OIG for the purpose of UC fraud investigations
and audits for the entire pandemic relief period (see UIPL No. 04-17, Change 1).
Additionally, TEN No. 05-22 reminded states of the DOL-OIG’s authority under the
Inspector General Act and strongly encouraged states to comply with data requests made
by DOL-OIG. Furthermore, as a condition of receiving funding under UIPL No. 22-21,
participating states are required to disclose all confidential UC information to DOL-OIG
for purposes of both investigating fraud and performing audits through weeks of
unemployment ending before December 31, 2023.
H. WIOA Combined State Plans. WIOA provides the option for states to submit a
Combined State Plan that includes program plans for mandatory one-stop partners and
other programs. Given that the UI program is a mandatory one-stop partner under WIOA,
states have the option of including the UI program as part of the Combined State Plan.
However, each state must participate in the UI Performs SQSP process whether or not the
state decides to include the UI program as part of its Combined State Plan.
States electing to include UI in a Combined State Plan must incorporate the SQSP in its
entirety into the Combined State Plan through the Combined State Plan process via the
online WIOA State Plan Portal at https://wioaplans.ed.gov/. Those states must
incorporate the FY 2024 SQSP into the Combined State Plan upon ETA’s approval of the
SQSP, but no later than October 31, 2023.
I. UI Technical Assistance Resources. The following resources provide states with
information and support for UI program activities.
• ETA’s Regional Offices. ETA’s ROs are available to provide states with ongoing
technical assistance regarding UI program administration and operations, integrity
strategies, and to connect states with resources supported and funded by the
Department. States are encouraged to work closely with ETA’s ROs in developing
their SQSP and IAP and any needed CAPS.
• Tiger Teams. The Department’s multidisciplinary technical assistance teams (known
as Tiger Teams) work with states to conduct consultative assessments to address
state-specific, unique challenges and/or collect best practices to prevent and detect
fraud, promote equitable access, reduce backlogs, and ensure timely payment of
benefits. Tiger Teams work with states to identify immediate needs and issues
focused on near-term improvements in customer experiences and improved
operational processes, while also proposing grant funded recommendations to address
fraud and support more equitable access for legitimate claimants. The Department has
engaged with 30 states for the Tiger Team initiative since its inception and continues
to finalize and deliver recommendations to states based on Tiger Team consultative
assessments. Trends from Tiger Team recommendations are available at:
https://oui.doleta.gov/unemploy/pdf/TigerTeamCohortTrendsJanuary2023.pdf.
• UI Integrity Center. In FY 2012, ETA created the UI Integrity Center of Excellence
(UI Integrity Center) to support the needs of the fifty-three State Workforce Agencies
in implementing strategies to ensure program integrity to prevent, detect, and recover
improper payments, and to reduce fraud in the UC programs. NASWA CESER
operates the UI Integrity Center through a cooperative agreement with ETA.
• Office of Unemployment Insurance Modernization (OUIM). OUIM, located
within the Department’s Office of the Secretary, is developing services to assist states
with equitable practices that reduce claimant errors which contribute to improper
payments. States may also visit OUIM’s reference site where promising practices and
materials related to IT modernization and updates from Department-sponsored
engagements are housed. The reference site is located at
https://www.dol.gov/agencies/eta/ui-modernization.
• UI Information Technology Support Center (UI ITSC). ETA created UI ITSC in
1994 through a cooperative agreement with the State of Maryland to develop products
and services and to support state UI agencies in the use of IT for efficient
administration of the UI program. Since 2009, NASWA CESER has operated the UI
ITSC. UI ITSC’s activities involve providing information, technical assistance,
products, and services to states or state consortia in support of the modernization of
IT systems used to administer the UI program. For more information on UI ITSC visit
http://www.itsc.org.
• Prisoner Update Processing System (PUPS). To be eligible for UC, an individual
must be able and available for work, and actively seeking work. Incarcerated
individuals do not typically meet the eligibility requirements to receive UC. ETA
worked in partnership with the Social Security Administration to establish a secure
data exchange between ICON and the Social Security Administration’s PUPS to
provide states with the ability to cross-match UC claims data with incarceration
records to assist states in making accurate UC eligibility determinations (see UIPL
No. 01-22). States are strongly encouraged to cross-match all UC claims against
incarceration datasets, including PUPS and/or other Federal, state, and local
incarceration records.
• DOL-OIG. ETA recommends states build a strong partnership with their DOL-OIG
offices. ETA encourages all states to collaborate with their ETA Regional Offices and
DOL-OIG to share fraud trends and analysis, discuss recommendations and effective
strategies for responding to emerging fraud schemes, receive updates on prosecution
efforts, and facilitate sharing of UI fraud and integrity-related challenges and best
practices among states.
J. Funding Period. The Department’s proposed FY 2024 appropriation language for State
UI and Employment Service Operations allows for obligation of UI allocations by states
through December 31, 2024, with 90 additional days to liquidate the obligations and
complete the expenditure of funds. Under this proposed language (which mirrors
language that all recent-year appropriation acts have contained), states would be able to
obligate FY 2024 UI funds through September 30, 2026, if such obligations are for
automation, competitive grants awarded to states for improved operations, or for
conducting in-person reemployment and eligibility assessments and improper payment
reviews, and providing reemployment services and referrals to training, as appropriate.
The grant management resources and information including grant terms and conditions
are available at https://www.doleta.gov/grants/resources.cfm. Please note that FY 2024
grant terms and conditions are not available at this time. This information will be
provided through ETA’s ROs at a later date and also posted at the webpage indicated
above.
K. Data Availability. ETA’s ROs will provide states with data showing their performance
measured against the Core Measures, Secretary’s Standards, and other information
relevant to the SQSP (e.g., reporting deficiencies).
L. SQSP Submittal Deadlines. Each ETA RO will set a date and inform states of the
deadline to submit their SQSPs for FY 2024.
M. Electronic Submission of the SQSP. States must submit the SQSPs electronically and
should contact their RO SQSP Coordinators before submittal to coordinate specific details.
Standard forms required as part of the budget reporting process (Chapter II of ET
Handbook No. 336, 18th Edition, Change 4) are available in PDF and may be downloaded
from the OMB website at: https://www.grants.gov/web/grants/forms/sf-424-
family.html#sortby=1.
States may submit the SQSP Signature Page electronically if the state law permits. States
that do not submit the signature page electronically (which includes by fax or scan) must
submit the signature page by mail by the deadline set by the RO.
5. Inquiries. Please direct inquiries to the appropriate Regional Office.
6. References.
• Social Security Act (SSA), sections 303(a)(1) and 306 (42 U.S.C. 503(a)(1) and 506);
• Government Performance and Results Act (GPRA) of 1993, Pub. L. 103-62, as amended
by GPRA Modernization Act of 2010, Pub. L. 111-352;
• Payment Integrity Information Act of 2019 (PIIA), Pub. L. 116-117
https://www.congress.gov/116/plaws/publ117/PLAW-116publ117.pdf;
• Appendix C to Office of Management and Budget (OMB) Circular A123, Requirements
for Payment Integrity Improvement
https://www.whitehouse.gov/wp-content/uploads/2021/03/M-21-19.pdf
• WIOA, Pub. L. 113-128, 29 USC 3101 note and Title I;
• Wagner-Peyser Act, 29 U.S.C. Sec. 49 et seq., as amended by Title III of WIOA;
• Trade Act of 1974, Pub. L. 93-618, as amended;
• The Bipartisan Budget Act of 2013, Pub. L. 113-67;
• Bipartisan Budget Act of 2018, Pub. L. 115-123;
• Departments of Labor, Health and Human Services, and Education, and Related Agencies
Appropriations Act, 2020, Pub. L. 116-94;
• Consolidated Appropriations Act, 2021, including Division N, Title II, Subtitle A, the
Continued Assistance for Unemployed Workers Act of 2020;
• American Rescue Plan Act of 2021, Pub. L. 117-2;
• Executive Order 13985 of January 20, 2021; 86 FR 7009, page 7009-7013,
https://www.federalregister.gov/documents/2021/01/25/2021-01753/advancing-racial-
equity-and-support-for-underserved-communities-through-the-federal-government;
• 20 CFR Parts 601, 640, 650, 652, and 660;
• 20 CFR Part 200, Subpart F;
• The Uniform Administrative Requirements, Cost Principles, and Audit Requirements for
Federal Awards at 2 CFR Parts 200 and 2900;
• UIPL No. 02-23, Fiscal Year (FY) 2023 Funding Allotments and Operating Guidance for
Unemployment Insurance (UI) Reemployment Services and Eligibility Assessment
(RESEA) Grants, issued February 23, 2023,
https://www.dol.gov/agencies/eta/advisories/uipl-no-02-23;
• UIPL No. 10-22, Fiscal Year (FY) 2022 Funding Allotments and Operating Guidance for
Unemployment Insurance (UI) Reemployment Services and Eligibility Assessment
(RESEA) Grants, issued January 21, 2022,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=9998;
• UIPL No. 02-22, Change 2, Extension of Time for States to Express Interest in the Grant
Opportunity Announced in Unemployment Insurance Program Letter (UIPL) No. 02-22,
to Support States Following a Consultative Assessment for Fraud Detection and
Prevention, Promoting Equitable Access, and Ensuring the Timely Payment of Benefits,
including Backlog Reduction, for all Unemployment Compensation (UC) Programs,
issued September 19, 2022, https://www.dol.gov/agencies/eta/advisories/uipl-02-22-
change-2;
• UIPL No. 02-22, Change 1, Extension of Time for States to Express Interest in the Grant
Opportunity Announced in Unemployment Insurance Program Letter (UIPL) No. 2-22 to
Support States Following a Consultative Assessment for Fraud Detection and Prevention,
Promoting Equitable Access, and Ensuring the Timely Payment of Benefits, including
Backlog Reduction, for all Unemployment Compensation (UC) Programs, issued
February 16, 2022, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=8539;
• UIPL No. 02-22, Grant Opportunity to Support States Following a Consultative
Assessment for Fraud Detection and Prevention, Promoting Equitable Access, and
Ensuring the Timely Payment of Benefits, including Backlog Reduction, for all
Unemployment Compensation (UC) Programs, issued November 2, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=6683;
• UIPL No. 01-22, Announcing the Availability of an Incarceration Data Exchange and
Instructions to Access the Data Exchange between the Unemployment Insurance (UI)
Interstate Connection Network (ICON) and the Social Security Administration (SSA)
Prisoner Update Processing System (PUPS), issued October 29, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=4115;
• UIPL No. 23-21, Grant Opportunity for Promoting Equitable Access to Unemployment
Compensation (UC) Programs, issued August 17, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=7400;
• UIPL No. 22-21, Change 2, Additional American Rescue Plan Act (ARPA) Funding and
Support for States to Strengthen Unemployment Insurance (UI) Program Integrity,
including Identity (ID) Verification, Fraud Prevention and Detection, and Overpayment
Recovery Efforts in All Unemployment Compensation (UC) Programs and Required and
Strongly Recommended Strategies, Tools, and Services for UI Fraud Risk Mitigation and
Improper Payment Reduction, issued April 27, 2023, UIPL 22-21 Change 2 | U.S.
Department of Labor (dol.gov);https://www.dol.gov/agencies/eta/advisories/uipl-22-21-
change-2; https://www.dol.gov/agencies/eta/advisories/uipl-22-21-change-2;
https://www.dol.gov/agencies/eta/advisories/uipl-22-21-change-2
• UIPL No. 22-21, Grant Opportunity to Support States with Fraud Detection and
Prevention, Including Identity Verification and Overpayment Recovery Activities, in All
Unemployment Compensation (UC) Programs, issued August 11, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?docn=4240;
• UIPL No. 20-21, Change 1, Additional State Instructions for Processing Waivers of
Recovery of Overpayments under the Coronavirus Aid, Relief, and Economic Security
(CARES) Act, as Amended, issued February 7, 2022,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=8527;
• UIPL No. 20-21, State Instructions for Assessing Fraud Penalties and Processing
Overpayment Waivers under the Coronavirus Aid, Relief, and Economic Security
(CARES) Act, as Amended, issued May 5, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=6830;
• UIPL No. 13-21, Fiscal Year (FY) 2021 Funding Allotments and Operating Guidance for
Unemployment Insurance (UI) Reemployment Services and Eligibility Assessments
(RESEA) Grants, issued January 19, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=6686;
• UIPL No. 07-21, Performance Measures for Reemployment Services and Eligibility
Assessments (RESEA) and Unemployment Insurance (UI) participants, issued December
17, 2020, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3854;
• UIPL No. 28-20, Change 2, Additional Funding to Assist with Strengthening Fraud
Detection and Prevention Efforts and the Recovery of Overpayments in the Pandemic
Unemployment Assistance (PUA) and Pandemic Emergency Unemployment
Compensation (PEUC) Programs, as well as Guidance on Processes for Combatting
Identity Fraud, issued August 11, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?docn=7207;
• UIPL No. 28-20, Change 1, Additional Funding for Identity Verification or Verification
of Pandemic Unemployment Assistance (PUA) Claimants and Funding to Assist with
Efforts to Prevent and Detect Fraud and Identity Theft as well as Recover Fraud
Overpayments in the PUA and Pandemic Emergency Unemployment Compensation
(PEUC) Programs, issued January 15, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=9897;
• UIPL No. 28-20, Addressing Fraud in the Unemployment Insurance (UI) System and
Providing States with Funding to Assist with Efforts to Prevent and Detect Fraud and
Identity Theft and Recover Fraud Overpayments in the Pandemic Unemployment
Assistance (PUA) and Pandemic Emergency Unemployment Compensation (PEUC)
Programs, issued August 31, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=8044;
• UIPL No. 23-20, Program Integrity for the Unemployment Insurance (UI) Program and
the UI Programs Authorized by the Coronavirus Aid, Relief, and Economic Security
(CARES) Act of 2020 – Federal Pandemic Unemployment Compensation (FPUC),
Pandemic Unemployment Assistance (PUA), and Pandemic Emergency Unemployment
Compensation (PEUC) Programs, issued May 11, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=4621;
• UIPL No. 22-20, Coronavirus Aid, Relief, and Economic Security (CARES) Act of 2020 –
Short-Time Compensation (STC) Program Grants, issued May 10, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=6220;
• UIPL No. 09-20, Unemployment Insurance (UI) State Quality Service Plan (SQSP)
Submittal Schedule, issued February 6, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=7801;
• UIPL No. 08-20, Fiscal Year (FY) 2020 Funding Allotments and Operating Guidance for
Unemployment Insurance (UI) Reemployment Services and Eligibility Assessments
(RESEA) Grants, issued January 30, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=4214;
• UIPL No. 13-19, National Directory of New Hires (NDNH) and State Directory of New
Hires (SDNH) Guidance and Best Practices, issued June 7, 2019,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5373;
• UIPL No. 07-19, Fiscal Year (FY) 2019 Funding Allotments and Operating Guidance for
Unemployment Insurance (UI) Reemployment Services and Eligibility Assessment
(RESEA) Grants, issued January 11, 2019,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=8397;
• UIPL No. 18-17, Unemployment Insurance Benefits Operations Self-Assessment Tool,
issued July 28, 2017, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=9282;
• UIPL No. 14-17, States' Responsibilities for Internal Security in the Unemployment
Insurance Program, issued March 23, 2017,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5496;
• UIPL No. 04-17, Change 1, Requirement for States to Refer Allegations of
Unemployment Compensation (UC) Fraud, Waste, Abuse, Mismanagement, or
Misconduct to the Department of Labor's (Department) Office of Inspector General's
(DOL-OIG) and to Disclose Information Related to the Coronavirus Aid, Relief, and
Economic Security (CARES) Act to DOL-OIG for Purposes of UC Fraud Investigation
and Audits, issued August 3, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5817;
• UIPL No. 03-17, Change 1, Fiscal Year (FY) 2017 Unemployment Insurance (UI)
Reemployment Services and Eligibility Assessment (RESEA) Grants, issued September
22, 2017, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=6557;
• UIPL No. 03-17, Fiscal Year (FY)2017 Unemployment Insurance (UI) Reemployment
Services and Eligibility Assessment (RESEA) Grant, issued December 8, 2016,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5218;
• UIPL No. 19-16, Unemployment Insurance (UI) Supplemental Funding Opportunity for
Improved Operations, issued August 2, 2016,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=6982;
• UIPL No. 17-16, Reengineering Unemployment Insurance (UI) Benefits Program
Accountability Process: High Priority Designation of States with Sustained Poor
Performance, issued July 13, 2016,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3910;
• UIPL No. 02-16, Change 1, State Responsibilities for Ensuring Access to Unemployment
Insurance Benefits, Services, and Information, issued May 11, 2020,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5491;
• UIPL No. 02-16, State Responsibilities for Ensuring Access to Unemployment Insurance
Benefits, issued October 1, 2015,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=4233;
• UIPL No. 01-16, Change 1, Federal Requirements to Protect Claimant Rights in State
Unemployment Compensation Overpayment Prevention and Recovery Procedures –
Questions and Answers, issued January 13, 2017,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=7706;
• UIPL No. 01-16, Federal Requirements to Protect Individual Rights in State
Unemployment Compensation Overpayment Prevention and Recovery Procedures, issued
October 1, 2015, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5763;
• UIPL No. 17-14, Revised Employment and Training (ET) Handbook No. 336, 18th
Edition: “Unemployment Insurance (UI) State Quality Service Plan (SQSP) Planning
and Reporting Guidelines”, issued July 7, 2014,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=9690;
• UIPL No, 09-13, Change 1, Integrity Performance Measure for Unemployment
Insurance, issued January 27, 2015,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=7422;
• UIPL No. 09-13, Integrity Performance Measures for Unemployment Insurance (UI),
issued January 29, 2013, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=8922;
• UIPL No. 05-13, Work Search and Overpayment Offset Provisions Added to Permanent
Federal Unemployment Compensation Law by Title II, Subtitle A of the Middle Class Tax
Relief and Job Creation Act of 2012, issued January 10, 2013,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3698;
• UIPL No. 08-12, Change 1, Consolidation of the Employment and Training
Administration (ETA) 9000 and ETA 227 Reports, issued July 27, 2015,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=9079;
• UIPL No. 08-12, Consolidation of the Employment and Training Administration (ETA)
9000 and ETA 227 Reports, issued January 11, 2012,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3311;
• UIPL No. 03-11, Implementation of the Effective Audit Measure, issued December 30,
2010, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2971;
• UIPL No. 22-10, Selecting and Monitoring At-Risk States for Continuous Improvement
and Compliance with First Payment Timeliness and First Level Appeals Promptness,
issued April 23, 2010, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2890;
• UIPL No. 03-07, Change 1, Use of National Directory of New Hires (NDNH) in
Unemployment Insurance (UI) Benefit Accuracy Measurement (BAM) Audits, issued
February 27, 2008, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2597;
• UIPL No. 03-07, Use of National Directory of New Hires (NDNH) in Unemployment
Insurance (UI) Benefit Accuracy Measurement (BAM) Audits, October 31, 2006,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2280;
• UIPL No. 22-05, Change 2, Unemployment Insurance Data Validation (UI DV) Program
Activities during Validation Years (VY) 2008 and Beyond, issued March 14, 2008,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2611;
• UIPL No. 22-05, Change 1, Unemployment Insurance Data Validation (UI DV) Program
Activities During Validation Years (VY) 2007 and 2008 and Policy Clarification, issued
July 21, 2006, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2245;
• UIPL No. 22-05, Unemployment Insurance Data Validation (UI DV) Program Software
and Policy Guidance, issued April 28, 2005,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2074;
• UIPL No. 14-05, Change 3, Acceptable Levels of Performance (ALP) Criteria for
Appeals Case Aging Measures and Nonmonetary Determination Quality Review, issued
April 16, 2008, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2625;
• UIPL No. 14-05, Change 2, Performance Criteria for Appeals Case Aging Measures and
the Starting Date for Measuring Nonmonetary Determinations Time Lapse, issued
December 13, 2006, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2287;
• UIPL No. 14-05, Change 1, Performance Criterion for the Overpayment Detection
Measure; Clarification of Appeals Timeliness Measures; and Implementation of Tax
Quality Measure Corrective Action Plans (CAPs), issued October 12, 2005,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2157;
• UIPL No. 14-05, Changes to UI Performs, issued February 18, 2005,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=1683;
• TEGL No. 08-22, Fiscal Year (FY) 2023 Funding Allotments and Operating Guidance
for Unemployment Insurance (UI) Reemployment Services and Eligibility Assessment
(RESEA) Grants, issued February 23, 2023,
https://www.dol.gov/agencies/eta/advisories/tegl-08-22;
• TEGL No. 05-21, Fiscal Year (FY) 2022 Funding Allotments and Operating Guidance
for Unemployment Insurance (UI) Reemployment Services and Eligibility Assessment
(RESEA) Grants, issued January 21, 2022,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3134;
• TEN No. 05-22, Authority of the U.S. Department of Labor’s (Department) Office of
Inspector General (DOL-OIG) to Receive Confidential Unemployment Compensation
(UC) Data, issued September 15, 2022,
https://www.dol.gov/agencies/eta/advisories/training-and-employment-notice-no-05-22;
• TEN No. 24-21, Encouragement for States to Use the Integrity Data Hub (IDH)
available through the Unemployment Insurance (UI) Integrity Center, issued May 5,
2022, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=8412;
• TEN No. 15-21, Announcing the National Association of State Workforce Agencies
(NASWA) Unemployment Insurance (UI) Integrity Center’s Behavioral Insights Toolkit,
issued November 17, 2021, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=6799;
• TEN No. 13-21, State Quality Service Plan Assurances Required for Disaster
Unemployment Assistance, issued October 19, 2021,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=5710;
• TEN No. 17-19, Model Unemployment Insurance State Work Search Legislation, issued
February 10, 2020, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=4227;
• TEN No. 12-16, Unemployment Insurance (UI) State Information Data Exchange System
(SIDES), issued September 27, 2016,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=8026;
• TEN No. 03-15, Reengineering Unemployment Insurance (UI) Benefits Program
Accountability Processes: Update on Implementation Progress and State Impacts, issued
July 27, 2015, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=6837;
• TEN No. 08-14, Reengineering Unemployment Insurance (UI) Benefits Program
Accountability Processes, September 2, 2014,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=4692;
• ET Handbook No. 336, Unemployment Insurance (UI) State Quality Service Plan (SQSP)
Planning and Reporting Guidelines, 18th Edition, Change 4 (March 2019), Employment
and Training (ET) Handbook No. 336, 18th Edition, Change 4;
• ET Handbook No. 361, Unemployment Insurance Data Validation Handbook, Tax
(October 2022), UNEMPLOYMENT INSURANCE (doleta.gov);
• ET Handbook No. 395, Benefit Accuracy Measurement State Operations Handbook, 5th
Edition (November 2009), Employment and Training (ET) Handbook No. 395, 5th
Edition;
• ET Handbook No. 396, Unemployment Insurance Benefit Accuracy Measurement
Monitoring Handbook, 4th Edition (November 2009), Employment and Training (ET)
Handbook No. 396, 4th Edition; and
• ET Handbook No. 401, 5th Edition, UI Report Handbook No. 401 (July 2017),
Employment and Training (ET) Handbook No. 401, 5th Edition.
7. Attachment(s).
Attachment I: Measures/Programs to be Addressed in the Fiscal Year (FY) 2024 State
Quality Service Plan (SQSP).
Attachment I
Measures/Programs to be Addressed in the Fiscal Year (FY) 2024
State Quality Service Plan (SQSP)
FY 2024
Core Measures Measurement Period Criteria
Requirement
First Payment Promptness Apr 1, 2022 – Mar 31, 2023 87% CAP
Nonmonetary Determination Apr 1, 2022 – Mar 31, 2023 80%
CAP
Time Lapse (combined score)
Nonmonetary Determination Apr 1, 2022 – Mar 31, 2023
75% CAP
Quality – Nonseparations
Nonmonetary Determination Apr 1, 2022 – Mar 31, 2023
75% CAP
Quality – Separations
BPC
50% CAP
Apr 1, 2020 – Mar 31, 2023
BAM 95% Narrative
Detection of Overpayments
Oct. 1, 2019 – Sep. 30, 2022
If rate over 95% is a result of
improper administration of 95% CAP
BAM and/or BPC
Average Age of Pending Lower Apr 1, 2022 – Mar 31, 2023
30 days CAP
Authority Appeals
Average Age of Pending Higher Apr 1, 2022 – Mar 31, 2023
40 days CAP
Authority Appeals
Lower Authority Appeals Apr 1, 2022 – Mar 31, 2023
80% CAP
Quality
New Employer Status
Jan 1, 2022 – Dec 31, 2022 70% CAP
Determinations Time Lapse
Jan 1, 2022 – Dec 31, 2022 No more than 3 tax
functions failing Tax
Tax Quality – Part A CAP
Performance System
(TPS) in a year
Jan 1, 2022 – Dec 31, 2022 The same tax
function cannot fail
Tax Quality – Part B CAP
for 3 consecutive
years
Jan 1, 2022 – Dec 31, 2022 Score >7 and pass
Effective Audit Measure CAP
all 4 factors
BAM batches 202127
Improper Payments Measure < 10% CAP
through 202226
UI Overpayment Recovery
Jul 1, 2021 – Jun 30, 2022 68% CAP
Measure
Secretary’s Standards in FY 2024
Measurement Period Criteria Requirement
Regulation
First Payment Promptness Apr 1, 2022 – Mar 31, 2023
87% CAP
(Intrastate 14/21 Days)
First Payment Promptness Apr 1, 2022 – Mar 31, 2023
93% CAP
(Intrastate 35 Days)
First Payment Promptness Apr 1, 2022 – Mar 31, 2023
70% CAP
(Interstate 14/21 Days)
First Payment Promptness Apr 1, 2022 – Mar 31, 2023
78% CAP
(Interstate 35 Days)
Lower Authority Appeals (30 Apr 1, 2022 – Mar 31, 2023
60% CAP
Days)
Lower Authority Appeals (45 Apr 1, 2022 – Mar 31, 2023
80% CAP
Days)
FY 2024
UI Programs, etc. Measurement Period Criteria Requirement
Results not
submitted by CAP
June 10, 2023
Data Validation –Populations &
Apr 1, 2022 – Mar 31, 2023 Failing/
Modules (Benefits and Tax)
incomplete
CAP
submission by
June 10, 2023
Compliance with NDNH
matching requirements for Status as of March 31, 2023 CAP
BAM
BAM operations not compliant
with investigative and/or
Based on the annual
method and procedure
determination letter issued CAP
requirements including
on or before May 1, 2023
construction of valid samples
and sample populations
Incorrect recording of the Issue
Detection Date and/or Apr 1, 2022 – Mar 31, 2023 Narrative
Determination Date
TPS Sample Reviews Jan 1, 2022 – Dec 31, 2022 CAP
Reporting Deficiencies Narrative
UI Program Integrity IAP
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