State UI benefit operations self-assessment review cycle

CLASSIFICATION
   EMPLOYMENT AND TRAINING ADMINISTRATION                   UIPL
               ADVISORY SYSTEM                              CORRESPONDENCE SYMBOL
          U.S. DEPARTMENT OF LABOR                          OUI/DUIO
             Washington, D.C. 20210                         DATE
                                                            November 7, 2019

ADVISORY:         UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 18-17,
                  Change 1

TO:               STATE WORKFORCE AGENCIES

FROM:             JOHN PALLASCH /s/
                  Assistant Secretary

SUBJECT:          Announcing Next Steps in the Implementation of the Unemployment Insurance
                  (UI) Benefit Operations State Self-Assessment Tool, Including Frequency of
                  Future Reviews

1. Purpose. To announce the next steps for state implementation of the UI Benefits Operations
   State Self-Assessment Tool (State Self-Assessment Tool): The Employment and Training
   Administration (ETA) intends to refine the State Self-Assessment Tool and processes based
   on feedback from the states and ETA plans to move to a biennial or triennial review cycle for
   future State Self-Assessment reviews.

2. Action Requested. State Administrators should provide this information to all appropriate
   staff.

3. Summary and Background.

        a. Summary — Upon completion of the state UI agencies’ inaugural implementation and
           use of the State Self-Assessment Tool, ETA is announcing a new triennial review cycle
           for future State Self-Assessment reviews and ETA’s intent to seek input from the state
           UI agencies on the tool and its processes to enable ETA to make improvements.

        b. Background — Beginning in 2015, ETA initiated an effort to reengineer a variety of
           processes used by the federal-state UI system for UI benefit program accountability.
           Additional information about the reengineering effort is provided in Training and
           Employment Notice (TEN) No. 03-15 and TEN No. 08-14. An important outcome of
           this reengineering effort was the development of an evaluation tool to support states in
           conducting independent self-assessments of various functional and program areas of UI
           benefit operations. In collaboration with state UI agencies, ETA designed and
           developed the self-assessment tool to help ensure program integrity and quality
           performance with a focus on state UI benefits operations to identify operational issues
           that may adversely affect the proper administration of the UI program. ETA
           announced the UI Benefits Operations State Self-Assessment Tool in UI Program
           Letter (UIPL) No. 18-17, on July 28, 2017.
 RESCISSIONS                                               EXPIRATION DATE
 None                                                      Continuing

         The State Self-Assessment Tool assists states to routinely assess, monitor, and improve
         its own operations and performance. It assists ETA in its oversight and monitoring of
         the states’ UI benefits operations and identifies areas requiring technical assistance.
         The federal-state UI partnership supports continuous program improvement and helps
         to strengthen and improve the overall operational performance and quality within the
         UI system.

         ETA instructed state UI agencies to complete and submit their responses based on their
         first reviews using the Self-Assessment Tool by April 15, 2019.

4. Improvements to the State Self-Assessment Tool and Processes. ETA intends to refine
   the State Self-Assessment Tool and processes based on states’ feedback regarding its
   experience in using the tool for the first time. ETA’s Regional Offices will be reaching out
   to states for user feedback in the near future with the goal of identifying areas for
   improvement and making the State Self-Assessment Tool more user-friendly and valuable to
   the states.

5. Change to the Frequency of the State Self-Assessment Review Cycles. As provided in
   UIPL No. 18-17, ETA originally expected states to conduct annual reviews using the State
   Self-Assessment Tool following the first review cycle. However, during the inaugural
   review cycle and through feedback gathered during the quarterly check-ins with states and
   the recent feedback sessions with state UI Directors, ETA determined a different review
   cycle would better suit the goals of the State Self-Assessment. Based on the feedback, ETA
   intends to implement a new frequency for the review cycle. It will likely be a biennial or
   triennial review cycle, depending on the changes that will be made to the tool’s structure and
   content. ETA is also considering whether to spread the review process over each year of the
   cycle. As a result, ETA no longer requires states to conduct the review on an annual basis as
   originally set out in UIPL No. 18-17.

   Upon completion of revisions to the State Self-Assessment Tool, ETA will provide states
   additional guidance on the revised Tool and processes including implementation instructions
   and information on the frequency of the new review cycle.

6. Inquiries. Please direct inquiries to the appropriate ETA Regional Office.

7. References.

      Unemployment Insurance Program Letter No. 18-17, Unemployment Insurance Benefits
       Operations Self-Assessment Tool,
       (https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=9282);
      UIPL No. 17-16, Reengineering Unemployment Insurance (UI) Benefits Program
       Accountability Process: High Priority Designation of States with Sustained Poor
       Performance, (https://wdr.doleta.gov/directives/corr_doc.cfm?docn=3910);

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   UIPL No. 17-14, Revised Employment and Training (ET) Handbook No. 336,
    18thEdition: Unemployment Insurance (UI) State Quality Service Plan (SQSP) Planning
    and Reporting Guidelines,
    (https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=9690);
   TEN No. 03-15, Reengineering Unemployment Insurance (UI) Benefits Program
    Accountability Processes: Update on Implementation Progress and State Impacts
    (https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=6837); and
   TEN No. 08-14, Reengineering Unemployment Insurance (UI) Benefits Program
    Accountability Processes, (https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=4692).

8. Attachments. Not Applicable.

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