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Fiscal 2022 State Quality Service Plan guidance
Summary ETA gave state unemployment agencies extra instructions for their fiscal 2022 State Quality Service Plans. It set priorities including timely payments, equitable access, fraud prevention, reemployment services and recovery from pandemic backlogs. The PDF expired December 31, 2022, although ETA’s listing still marks it Active.
Document
Federal guidance
Agency
U.S. Department of Labor, Employment and Training Administration (ETA)
Document number
UIPL No. 24-21
Date issued
August 20, 2021
Status
Unknown
ETA’s listing marks this letter Active, but its PDF prints an expiration date of December 31, 2022 and “Rescissions: None.” The sources do not reconcile the listing label with that past date.
Status last verified October 24, 2026
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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
August 20, 2021
ADVISORY: UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 24-21
TO: STATE WORKFORCE AGENCIES
FROM: SUZAN G. LEVINE
Acting Assistant Secretary
SUBJECT: Additional Planning Guidance for the Fiscal Year (FY) 2022 Unemployment
Insurance (UI) State Quality Service Plan (SQSP)
1. Purpose. To initiate the SQSP process and define additional requirements for the FY 2022
SQSP.
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 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 2022 SQSP to the appropriate RO by the deadline set by the RO.
3. Summary and Background.
a. Summary. This UIPL provides specific dates relevant to the SQSP process for the FY;
summarizes 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
client-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
of Labor (Secretary) to provide funds to the states to administer the UI program and
RESCISSIONS EXPIRATION DATE
None December 31, 2022
governs the expenditure of those funds. The SQSP is 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
2022 SQSP cycle. Therefore, please review the new guidance carefully.
The Handbook is approved under the Office of Management and Budget (OMB) No.
1205-0132.
4. National Priorities. ETA is eager to work with states to make the SQSP process a
meaningful management tool and a strategic road map to improve program administration
and ensure quality service delivery. The SQSP process focuses on promoting state
performance and integrity, aligning state UI administration and operations with national
policies, paying benefits accurately and timely, and connecting UI claimants with needed
reemployment services. Each year, after discussion among the senior UI leadership, 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, provides for a $2,000,000,000
appropriation 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 Unemployment
Compensation (UC) programs.
For FY 2022, ETA’s top priorities align with reemployment strategies and ARPA goals and
initiatives. The FY 2022 National Priorities are intended to guide states in the development
of their SQSPs and include:
Improving state capacity to administer and operate the UI program effectively and
efficiently; and rebuilding and improving program performance by addressing the
significant impact that the workload created by the Coronavirus Disease 2019
(COVID-19) pandemic had on the UI system;
Focusing on improving the timely delivery of benefit payments and the reduction of
the adjudication and appeals claims backlogs;
Focusing on equitable access to UI programs;
Continuing the implementation of the permanently authorized Reemployment
Services and Eligibility Assessment (RESEA) program (Section 306 of the SSA),
including its integration with the broader workforce system under the Workforce
Innovation and Opportunity Act (WIOA); and
Combatting fraud, reducing the UI improper payment rate, and improving prevention,
detection, and recovery of improper and fraudulent overpayments.
ETA provides the following information on its National Priorities for FY 2022. States
should also establish additional state-level priorities for their UI program in their SQSPs.
Improving State Capacity to Administer and Operate the UI Program Effectively and
Efficiently
The unprecedented claims workload during the pandemic has significantly impacted states’
capacity to administer and operate the UI program. Many states continue to struggle with
administrative and operational challenges, resulting in performance issues and poor customer
service. 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 combatting an increase
in fraud and identity theft; and the need to improve overall program performance. While
states experienced these challenges during the COVID-19 public health emergency and
related massive spike in UC claims, they may likely continue to face these issues in addition
to ongoing or residual pandemic-specific issues.
In developing their SQSPs, states are strongly encouraged to incorporate administrative
performance improvement strategies such as:
Conducting business process analyses in key areas to identify opportunities and
recommendations for improving program operations and performance, and
implementing such recommendations.
Reviewing service delivery processes to ensure that current web-based, telephone-
based, and other remote UI services meet the requirements of UIPL Nos. 02-16 and
02-16, Change 1, by providing and promoting alternative mechanisms for individuals
with access barriers, such as a disability or limited English proficiency.
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) learning management platform at
https://www.naswa.org/learning, which includes training courses from both the UI
Integrity Center’s National Integrity Academy (Academy) and the UI Information
Technology Support Center (ITSC).
Incorporating lessons learned from states’ responses to the COVID-19 surge 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, UI ITSC, the UI Integrity
Center, and the US Digital Response, as well as the many resources available through
the UI Community of Practice (CoP) on WorkforceGPS at
https://www.workforcegps.org/.
Using the FY 2019 results from the state’s implementation of the UI State Self-
Assessment Tool to identify needed changes in the operational processes for
administration of the program. States should use the results compiled by their state
reviewers to identify areas in need of process improvement and to formulate their
strategies for addressing these areas, including staff training as needed.
Improving the timely delivery of benefit payments and the reduction of the adjudication
and appeals claims backlogs
States have experienced extraordinary workloads due to the economic impacts of the
COVID-19 pandemic, while managing the implementation and operation of new temporary
UI programs created by the CARES Act and successor enactments. During this time, there is
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 unemployment benefits “when due” in order to receive a UI administrative grant.
“When due” is the basis for federal requirements concerning timeliness of benefit payments
and eligibility determinations.
Many states continue to struggle with significant adjudication and appeals backlogs as a
result of the impact of the pandemic. In preparation of the FY 2022 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 2022 SQSP process, states will need to describe their
plan to address any adjudication and appeals backlogs and submit monthly updates to its RO
on the number of adjudication and appeals cases that are still on its backlog.
Ensuring Equitable Access to UI Programs
Another area in need of improvement in UI programs is ensuring equitable and meaningful
access to the program. The “when due” requirement under Section 303(a)(1) of the SSA,
discussed above, also includes ensuring that individuals have sufficient access to the program
so that eligibility can be determined, and benefit payments can be made promptly.
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/Latinx 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. Therefore, 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 UI benefits, such as by denying
them a reasonable opportunity to establish their eligibility.
States are reminded of the Management Report, issued by the U.S. Government
Accountability Office on June 17, 2021, regarding potential racial and ethnic disparities in
the UI program during the pandemic (see https://www.gao.gov/assets/gao-21-599r.pdf ).
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, state should focus on UI functions and activities that ensure equitable access to
these programs. UIPL Nos. 02-16 and 02-16, Change 1, outline the requirements that the
state must meet to ensure access to the UI program and timely payments are made to eligible
individuals.
Supporting RESEA and the Reemployment of UI Claimants
As the nation’s economy reopens in the aftermath of the pandemic, reemployment of UI
claimants is a top priority for the entire workforce system, including UI, and, as stated below,
is reinforced by WIOA. RESEA is now codified in Section 306 of the SSA, which
permanently authorizes the RESEA program. These provisions require states to increase the
use of evidence-based interventions and service delivery strategies and conduct evaluations
to expand the availability of such strategies to improve employment outcomes and reduce the
average duration of UC receipt through rapid reemployment. UIPL No. 13-21 provides the
FY 2021 RESEA operating guidance, including instructions for the implementation of the
latest program requirements. States have also submitted their WIOA state plans, which
should reference the integration of RESEA into the broader workforce system.
It is acceptable for states to reference their RESEA and WIOA state plans in the SQSP rather
than replicate these strategies and approaches. However, states should discuss how their
RESEA strategies support reducing improper payments. RESEA has the potential to address
UI improper payments in multiple ways, including reviewing the claimant’s eligibility and
providing services to claimants that help them comply with work search requirements.
Combatting Fraud and Identity Theft, Reducing the UI Improper Payment Rate, and
Recovering Improper Payments, Including Fraudulent Payments and Overpayments
Working with states to address UI fraudulent and improper payments is one of the U.S.
Department of Labor’s (Department’s) top priorities. As reported in the 2020 Agency
Financial Report,1 many states demonstrated significant progress in reducing their improper
payment rates and the national improper payment rate, which declined to 9.17 percent.2
However, achieving the statutory requirement of 10 percent is not the ultimate goal; rather,
the goal is to prevent as many improper payments, including fraudulent payments as
possible. In light of the current challenges posed to UI program integrity, which include a
1
https://www.dol.gov/sites/dolgov/files/OPA/reports/2020annualreport.pdf
2
The improper payment rate is for the 12 months ending June 30, 2020.
significant increase in UC claims workload and a surge in fraudulent activity, states must
continue to enhance efforts to combat fraud and reduce improper payments.
Since the enactment of the CARES Act, which created several new temporary UC programs
(including Pandemic Unemployment Assistance and Pandemic Emergency Unemployment
Compensation), incidences of UI fraud have increased significantly, further testing the
integrity of individual state systems and the UI program as a whole. During the COVID-19
pandemic, UI programs have become targets for fraud, with states experiencing a significant
amount of imposter claims filed with stolen or false identities. The Unemployment Insurance
Fraud Protection Guide3 issued by the U.S. Department of Justice on September 21, 2020,
states: “Fraudsters, some of which are transnational criminal organizations, are using stolen
identities of U.S. citizens to open accounts and file fraudulent claims for UI Benefits,
exploiting the unprecedented expansion of these benefits provided in response to economic
disruption caused by the COVID-19 pandemic.”
To reduce national and state improper payment rates and address the leading root causes of
overpayments, including fraud, the Federal-state UI partnership has implemented a Program
Integrity Strategic Plan4. The strategic plan contains a variety of strategies focused on the
main root causes of improper payments, including fraud, which all states are strongly
encouraged to adopt.
For FY 2022, ETA is highlighting four specific areas for inclusion in states’ SQSP Integrity
Action Plans (IAP):
Use of tools, strategies, process improvements, and/or procedural changes adopted by
the state to combat fraud and identity theft and enhance recovery efforts.
State use of UI Integrity Center resources, with a particular focus on state connection
to the Integrity Data Hub and use of its datasets to cross-match UI claims to detect
and prevent fraud (see Training and Employment Notice (TEN) No. 4-20);
State use and employer participation in the State Information Data Exchange System
(SIDES) (see TEN No. 12-16); and
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 and identity theft and enhance recovery efforts
Intercepting fraud as early as possible minimizes its impact on the UI system. Fraud
detection, operations, and procedures, coupled with front-end identity verification tools, are
critical to ensuring payment is made timely and only to individuals entitled to receive
benefits. The Department continues to strongly encourage states to adopt multiple strategies
3
https://www.justice.gov/file/1324726/download
4
https://oui.doleta.gov/unemploy/pdf/ui_prog_integrity.pdf
and techniques to validate UI claims, detect and share suspicious claim attributes between
states, and consider a range of other tools available on the market when combating fraud and
ensuring program integrity. In addition, states should work collaboratively with law
enforcement agencies to administer their prosecutorial actions, and continue to make referrals
to the Office of Inspector General (OIG), Office of Investigations, which is the primary law
enforcement agency responsible for investigating UI fraud.
Overpayment recovery is critical to protect both state UI trust funds and federal funds and
must be given the same priority as overpayment prevention and detection. ETA strongly
encourages states to work proactively and collaboratively with banks and financial
institutions to detect suspicious activity, ensure that accounts are not unduly suspended, and
recover overpayments.
ETA reminded states of program integrity functions required for the regular UI program (see
UIPL No. 23-20) and provided additional funding to support states with fraud prevention and
detection and overpayment recovery activities in the CARES Act UI programs (see UIPL
Nos. 28-20 and 28-20, Change 1). In addition, the Department intends to provide additional
funding opportunities to states to support fraud detection and prevention, including identity
verification and overpayment recovery activities, in all UC programs.
Furthermore, under the direction of ARPA, the Department has made available to states
access to consultative services through vendor supported “Tiger Team” state assessments.
These consultations will focus on operations, communications, process flows, and
technologies that support timeliness of benefit distribution, reduction of backlogs, equity of
benefits access and awareness, and fraud prevention and detection. States are encouraged to
work with the Department’s “Tiger Team” consultative services to develop customized
recommendations to detect and prevent fraud and take advantage of potential funding
opportunities to implement the “Tiger Team” recommendations.
State Use of UI Integrity Center Resources
The UI Integrity Center is a unique and extremely valuable resource available at no cost to
states to support the detection of potential fraud and the reduction of state improper payment
rates. States are strongly encouraged to access UI Integrity Center resources on a regular
basis to inform and support state strategies to prevent, detect, and recover improper,
including fraudulent, payments. ETA expected that all states be positioned to use the UI
Integrity Center’s Integrity Data Hub no later than March 31, 2021, for the CARES Act UI
programs (see UIPL No. 28-20 and UIPL No. 28-20, Change 1). Below are key resources
that states should connect to and build into their IAP as part of the SQSP.
Integrity Data Hub (IDH). The IDH is a secure, robust, centralized, multi-State
data system that allows participating State UI agencies to submit UI claims for cross-
matching and analysis to support the detection and prevention of UI fraud and
improper payments. The IDH continues to evolve as new data sources are added and
more states cross-match data and identify suspicious claim attributes. Data sources
currently available through the IDH include, the Suspicious Actor Repository (SAR);
Foreign Internet Protocol (IP) address detection; Multi-State Cross-Match (MSCM);
Identity Verification (IDV) solution; and the Fraud Alert System. Also, the UI
Integrity Center is in the process of providing an Account Verification Service (AVS)
to authenticate bank accounts designated by UI claimants.
State Consultative Services. One of the UI Integrity Center’s most valuable assets is
its state subject matter experts. The UI Integrity Center is available to support states
assessing their business processes and providing recommendations for adoption of
effective strategies – all with the goal of reducing a state’s improper payment rate and
improving program integrity. These services are also available to support states to
address program integrity issues, including combatting fraud and identity theft in the
UI system.
Capturing and Disseminating State Integrity Best Practices. The UI Integrity
Knowledge Exchange Library at https://library.naswa.org/, is an online, searchable,
knowledge-sharing platform that provides a repository of all UI Integrity Center
resources including, model state operational processes, promising state practices, and
recommendations to strengthen UI program integrity.
UI National Integrity Academy. The Academy currently has four online certificate
programs with more than 120 lessons available for state staff in the areas of Program
Leadership, UI Operations Integrity, Fraud Investigations, and Tax Integrity. The UI
Integrity Center has added modules on prioritizing outcome results from cross-
matches, data analytics, and Benefit Accuracy Measurement (BAM) sub-coding that
will provide states with greater capacity to analyze their integrity challenges.
Increased State and Employer Use of SIDES
State implementation and employers’ use of SIDES should be an integral part of the state’s
integrity strategy (see TEN No. 12-16). States should view SIDES as a critical part of their
UI integrity efforts. The Department’s OIG found that states’ use of SIDES contributed to
reduced improper payments.5 Below are key SIDES-related resources that states should
connect to and build into their IAP as part of the SQSP.
SIDES Separation Information Exchange. The SIDES Separation Information
Exchange is composed of Web Services for third-party administrators (TPAs) and
large employers and E-Response for smaller employers. The 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 UI initial claims processed and, separately, a goal of at least 35
percent of all UI 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:
5
https://www.oig.dol.gov/public/reports/oa/2017/04-17-003-03-315.pdf
o Each state should strive to have all TPAs operating within the state to be live
and using Web Services.
o 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.
o 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.
o 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. Also, as recommended in the OIG report,
states can use their data to identify employers who have frequent claims
activity and directly market and promote the use of SIDES to these more
frequent users of the UI program.
SIDES Additional Fact-Finding Exchange. This exchange facilitates and supports
the exchange of information when additional fact-finding with employers is needed to
determine a claimant’s eligibility. Again, this exchange allows for quicker and more
accurate information from employers and will lead to reduced errors. States are
encouraged to implement the use of this new SIDES exchange as part of their
integrity efforts.
SIDES Earnings Verification Exchange. States use various methods of fact finding
when verifying a claimant’s wages or earnings. Some states have manual operations
using paper requests and responses. Other states have integrated various levels of
automation, which may include electronic requests and/or electronic responses.
Sixteen states have implemented the SIDES Earnings Verification application, which
electronically sends wage verification requests to employers through a state-specific
employer portal. The SIDES Earnings Verification exchange is recommended if a
state does not have an automated web-based system for requesting employers to
verify earnings. States are encouraged to implement the use of this SIDES exchange
as part of their integrity efforts.
Monetary & Potential Charges Exchange. This exchange provides employers
notification of charges to their account and an opportunity for an employer to respond
to the state UI agency if something appears suspicious or wrong.
Strategies to Support Claimant Compliance with State Work Search Requirements
As economies re-open and the COVID-19 pandemic subsides, states should make every
effort to engage employers and support the reemployment of UI claimants. States are
strongly encouraged to implement strategies to address work search errors. 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 (see TEN No. 17-19);
Supporting claimant compliance with required work search activities through a
reemployment service delivery design that includes ensuring that the claimant
understands work search requirements (both acceptable activities and documentation
requirements), understands the consequences of failing to comply with these
requirements, and providing assistance in developing a reemployment plan that meets
the requirements, including through customer-friendly technology applications that
facilitate claimants carrying out their work search requirements;
Encouraging states to proactively identify and refer claimants to suitable job openings
from the full spectrum of public and private job banks, and accept employment in
suitable work if offered;
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.
ETA emphasizes that there are other strategies states should consider in developing their
work search laws and designing reemployment service delivery strategies that support a
claimant’s ability to comply with a state’s work search requirements. These strategies
include:
Designing the state RESEA program to support the development of an individual
reemployment plan that can help each claimant effectively plan their work search
activities, and making such services available virtually to support a broader reach;
Encouraging RESEA and other workforce career counselors 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
https://rc.workforcegps.org/resources/2016/10/03/05/36/Pathway_to_Reemployment_
Framework), with an automated version now available from UI ITSC; 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.
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 and 2021. As the impact of the pandemic subsides, it will be
important for states to refocus their efforts on meeting the performance measures that ensure
the UI program is achieving its mission-critical goals.
In FY 2022, ETA will work with states to rebuild performance with attention on the
following GPRA goals for FY 2022, with targets that the 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 2022 GPRA
goals and targets.
Percent of Intrastate Payments Made Timely (Make Timely Benefit Payments)
o Target: 87.0 percent of intrastate first payments for full weeks of UC will be
made within 14/21 days from the week ending date of the first compensable
week.
Detection of Recoverable Overpayments (Detect Benefit Overpayments)
o Target: Overpayments established at a rate that is at least 57.5 percent of the
estimated detectable, recoverable overpayments.
Percent of Employer Tax Liability Determinations Made Timely (Establish Tax
Accounts Promptly)
o Target: 90.0 percent of status determinations for new employers will be made
within 90 days of the end of the first quarter in which liability occurred.
5. SQSP Planning Guidance. ET Handbook No. 336, 18th Edition, Change 4, and this UIPL
provide guidelines for the completion and submission of the SQSP for FY 2022. The
Handbook can be found on the OUI website at:
https://wdr.doleta.gov/directives/attach/ETAHandbook/ET_Handbook_No.336_18th_Edition
_Change_4_acc.pdf.
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.
As described in UIPL No. 09-20, ETA has implemented a new schedule for SQSP
submittals. Beginning with last year’s (FY 2021) SQSP cycle, all states submitted a Biennial
SQSP. This year (FY 2022), all states will submit an Alternate Year SQSP. This submittal
schedule will continue on a recurring basis for all future SQSP cycles.
SQSP Preparation
States must use the Excel Corrective Action Plan (CAP) Workbook to develop their CAPs
and IAP for the SQSP submissions. States must also use the Workbook for reporting updates
to specific milestones and its performance each quarter. The RO will provide states with the
Workbook and specific instructions relevant to this Alternate Year SQSP planning cycle.
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.
6. UI 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 2022 SQSP is April 1, 2020 – March 31, 2021, unless otherwise indicated
(see the Attachment to this UIPL).
ETA realizes that, during the performance period, states were engaged in implementing and
operating the UI-related temporary programs under the CARES Act of 2020; implementing
the changes in the Continued Assistance Act and in the ARPA; combatting fraud; and
processing the unprecedented volume of claims that were filed for these and the regular UI
programs. As a result, states were provided operational flexibilities to support many states
that needed to divert available staff in supporting the program’s mission and operations.
ETA has considered these situations in determining FY 2022 corrective action requirements.
Modifications to the FY 2022 SQSP submittal are described below in Section 7.
7. Performance Criteria and Planning Requirements for FY 2022. For the FY 2022 SQSP,
ETA will administer the SQSP process as described in ET Handbook No. 336, 18th edition,
Change 4 with the following modifications and requirements. There are temporary changes
in the process to allow for the efficient administration of UI Performs while states continue to
strive to improve performance.
Modifications and Requirements for FY 2022:
a. Alternate Year SQSP
All states will submit an Alternate Year SQSP for FY 2022. This submittal will consist
of a transmittal letter; modifications to the State Plan Narrative, including Assurances;
updates to existing CAPs; a FY 2022 IAP; budget worksheets/forms; organizational chart
(if changed); and a Signature Page.
b. SQSP State Plan Narrative
The SQSP Narrative provides an opportunity for states to share their key program
objectives for the coming year. The components to be addressed are described in ET
Handbook No. 336, 18th Edition, Change 4 and this UIPL.
For FY 2022, the State Plan Narrative must be modified to include the following:
States must describe their plan to address any adjudication and appeals backlogs.
States will submit monthly updates to its RO on the number of adjudication and
appeals cases that are still on its backlog. The RO will provide details for this
submission.
Assurance of Contingency Planning and Assurance of Automated Systems Security
States are required to provide the dates that their IT Contingency Plan, System
Security Plan, and Risk Assessment were implemented, tested, and
reviewed/updated.
Each state must:
o Review and, if necessary, update, and test its IT Contingency Plan annually;
o Review and/or update its System Security Plan annually; and
o Conduct a Risk Assessment once every three years.
If a state does not have an IT Contingency Plan, System Security Plan, and Risk
Assessment procedures in place or if these documents are incomplete, then the state
is required to address the actions it plans to take to meet these requirements in the
State Plan Narrative. These plans and procedures must meet the minimum controls
listed in the Chapter I, Section VIII-H and Section VIII-J of ET Handbook No. 336,
18th Edition, Change 4.
Assurance of Disaster Unemployment Assistance (DUA)
Beginning with the FY 2022 SQSP, 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
https://www.naswa.org/learning).
Each state must:
o Indicate that it has conducted training and provide the date of the training;
and
o Indicate that it has developed and/or maintained DUA Standard Operating
Procedures for use during a major disaster declaration
c. Corrective Action Plans (CAPs).
In past years, states were required to develop a CAP if performance did not meet the
established criteria/ acceptable level of performance (ALP) for performance measures
and UI programs. The performance measures aligned with the period used for
developing the SQSP for FY 2022 have been significantly impacted by the COVID-19
pandemic and the operational flexibilities allowed during much of the pandemic. As a
result, most states would be required to develop new CAPs due to diminished
performance. In light of these extraordinary circumstances, for FY 2022, ETA will not
require states to write or develop new CAPs due to poor performance during the FY 2022
performance measurement period for failure to meet the criteria/ALP for Core Measures,
Secretary Standards, and/or UI Programs with the following exceptions: (see the
Attachment to this UIPL for a recap of the areas where CAPs will not be required and
where they will be required for the FY 2022 SQSP)
Improper Payments Measure
The Improper Payments Measure is defined as UI benefits overpaid plus UI benefits
underpaid divided by the total amount of UI benefits paid. It is based on estimates
from the results of the BAM survey of paid UI claims in the State UI, Unemployment
Compensation for Federal Employees (UCFE), and Unemployment Compensation for
Ex-Servicemembers (UCX) programs.
The Payment Integrity Information Act of 2019 (PIIA) 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. ETA’s approved
improper payment rate computation methodology can be found in UIPL No. 09-13,
Change 1. Corrective action and integrity plans for FY 2022 are based on this
computation methodology.
ETA has established an ALP of less than 10 percent for the improper payment
measure. States are expected to maintain an improper payment rate of less than 10
percent for covered programs. The performance period for the improper payments
measure is aligned with the PIIA reporting period. This ALP is applicable to the PIIA
2020 performance period (July 1, 2019 to June 30, 2020). States failing to meet the
ALP for the 2020 PIIA performance period will be required to develop a CAP as part
of the FY 2022 SQSP. In developing a CAP for the improper payment measure, the
Department strongly suggests states consider committing to participation in a “Tiger
Team” consultative service to assist states in developing customized
recommendations to detect and prevent fraud. In addition, as part of CAP
development, states are encouraged to include any new prevention and detection
strategies implemented with funds the Department has made available to states for
combatting fraud and identity theft.
Benefit Accuracy Measurement (BAM)
State BAM operations or operational components are based on the BAM
Administrative Determination. Components that are identified as 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 30, 2021), must be addressed in a CAP. This includes denied claim
population variances outside established control limits.
Tax Performance System (TPS)
o Tax Quality Part B
A CAP for the FY 2022 SQSP is required if a state fails Tax Quality Part B (a
tax function cannot fail for three consecutive years, which includes a failed tax
function in FY 2020). A failed tax function in CY 2020 will be included in the
measurement of Tax Quality Part B for a SQSP in future years.
o TPS Sample Reviews
Although ETA allowed state TPS reviewers to postpone systems reviews of tax
functions that were due in CY 2020 to CY 2021, state TPS reviewers were
required to conduct acceptance sampling of tax functions in CY 2020. A CAP
for the FY 2022 SQSP is required if a state TPS reviewer did not conduct
acceptance sampling of tax functions in CY 2020. Note: A CAP will not be
necessary under this requirement if the state TPS reviewer conducted
acceptance sampling of at least one tax function in CY 2020. States should
identify the reason(s) why no acceptance sampling was conducted in CY 2020
and identify their plans to conduct acceptance sampling in the future.
d. UI Program Integrity and the IAP
The IAP must be completed each year. The purpose of the IAP is for the state to provide
details on their agency's UI integrity strategies including:
Actions to address the state's top three improper payment root causes;
Activities related to identity verification, fraud prevention and detection, and
overpayment recovery. States should include any customized integrity
recommendations from “Tiger Team” consultative services and details on additional
strategies, solutions, and/or activities using funds the Department has made available
to states for combatting fraud and identity theft; and
The National Priorities identified in this UIPL.
States are required to provide a status report/update on the IAP when submitting the
quarterly update for the quarter ending March 31st. The six-month (October-March)
update should include a progress report on all integrity strategies outlined in the IAP and
provide details on any new identity theft and fraud prevention strategies, solutions, and/or
activities; changes to existing integrity strategies; plan or strategy delays; positive
outcomes; and identified successes.
UI Program Integrity
States are required to report their planned activities to prevent, detect, reduce, and recover
fraud and improper UI payments in their IAP, which should be submitted as part of their
SQSP submission (the IAP format for FY 2022 will be provided by the RO). States
should convene their previously established cross-functional integrity task force to update
their IAP. States must analyze their BAM data to identify the top root causes for
improper payments and develop strategies that will be effective in reducing or recovering
improper payments. States must also develop strategies to combat fraud and identity
theft in the UI programs.
For this SQSP cycle, states are asked to include in their IAP specific strategies to address
prevention and detection of fraud and other improper payments in all UI programs,
including the CARES Act programs. States must include recovery strategies, including
working directly with financial institutions and/or law enforcement agencies to recover
UC funds held by banks and financial institutions. In addition, states must address the
National Priorities outlined under Section 4, “Combatting Fraud and Identity Theft,
Reducing the UI Improper Payment Rate, and Recovering Improper Payments, Including
Fraudulent Payments and Overpayments” in the IAP.
In addition, ETA tracks and considers the impact of overpayments established by states
that are in excess of $25,000 as required by Executive Order 13520. Overpayments that
are in excess of $25,000 are reported quarterly on the ETA 227, Overpayment Detection
and Recovery Activities report, as High Dollar Overpayments. UIPL No. 08-12, Change
1, provides further instructions for the ETA 227 report that High Dollar overpayments
“may be a single overpayment or multiple overpayments established during or prior to
the reporting quarter…” and states are required to report this data for fraud and non-fraud
overpayments.
For the performance period April 1, 2020 – March 31, 2021, states will need to explain in
their IAP, High Dollar Overpayment causes and develop strategies to prevent these large
overpayments, if they report High Dollar Overpayments, in more than one quarter, on the
ETA 227 report. Additionally, ETA may request additional information from states
reporting High Dollar Overpayments, on the ETA 227 report, in any quarter.
ETA will continue to provide technical assistance to states to support their integrity
activities through webinars, individual state technical assistance, and in partnership with
the UI Integrity Center. States are strongly encouraged to implement and use the UI
Integrity Center’s products and tools as part of their own state-specific strategies. In
addition, ETA will work with states to expand participation in Treasury Offset Program
(TOP) for the recovery of overpayments, to implement and use SIDES for obtaining
timely and complete separation information, and to more effectively use State Directory
of New Hires, the National Directory of New Hires, and other overpayment prevention
tools for states’ Benefit Payment Control operations.
Other UI Performance
States are expected to address the following performance deficiencies in the SQSP Narrative,
unless otherwise indicated:
Failure to meet reporting requirements; and
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). 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.
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 core measure calculates the percentage of RESEA participants who are in unsubsidized
employment during the second quarter after exit from the Wagner-Peyser Act-funded
Employment Service (ES) program.
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 required to submit a CAP for the
FY 2022 SQSP. However, FY 2022 performance outcomes for this Core Measure will be
used by ETA for evaluation, and states that do not meet performance criteria will be required
to submit a CAP as part of the FY 2024 SQSP submission.
9. Performance Improvement Efforts.
The “At-Risk” and “High Priority” Designations
Since FY 2016, ETA has been working with states that have been designated At-Risk or
High Priority for poor performance over a significant period of time. Due to the challenges
facing states as a result of the COVID-19 pandemic, these designations have been suspended
until further notice. Additionally, the quarterly monitoring calls required as a result of the
state’s designation will not be conducted. The suspension of these designations will allow
states to continue to focus their resources on processing claims, reducing backlogs, and
combatting fraud in the UI program.
In addition, ETA will be using UI Response “Tiger Teams” as part of the implementation of
the ARPA to provide enhanced technical assistance to individual states. These efforts will be
aimed at helping states prevent and detect fraud, improve equitable access to UI programs,
and achieve more timely delivery of benefit payments. More information regarding the use of
UI Tiger Teams will be provided in separate/future guidance.
10. 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
2022 SQSP into the Combined State Plan upon ETA’s approval of the SQSP, but no later
than October 31, 2021.
11. UI Technical Assistance Resources. The following resources provide states with
information and support for UI program activities.
a. DOL-ETA National and ROs.
b. UI Information Technology Support Center (ITSC).
ETA created 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’s, Center for
Employment Security Education and Research (CESER) has operated the ITSC. 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.
c. 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 (SWAs) in implementing
strategies to ensure program integrity to prevent, detect, and recover improper payments,
and to reduce fraud in the UI program. NASWA’s CESER operates the UI Integrity
Center through a cooperative agreement with ETA.
d. “Tiger Team” Consultations.
Under the direction of ARPA, the Department has made available to states access to
consultative services through vendor supported “Tiger Team” state assessments. These
consultations will focus on operations, communications, process flows, and technologies
that support timeliness of benefit distribution, reduction of backlogs, equity of benefits
access and awareness, and fraud prevention and detection. States have the opportunity to
work with the Tiger Teams to develop customized recommendations for their states
focused on quick wins as well as potential access to funding to implement those
recommendations.
e. ARPA Funded Efforts.
The Department issued UIPL No. 22-21, which made up to $140 million available for
grants to states to support states with fraud detection and prevention, including identity
verification and overpayment recovery activities, in all UC programs. The Department is
also making additional funding available for activities that promote equitable access to
UC programs.
ETA is committed to supporting states by providing funding and investing in the most
innovative and successful tools and resources to stay ahead of fraud schemes, which
includes providing states with options to access National Institute of Standards and
Technology (NIST)-compliant6 Identity Assurance Level 2 (IAL2) and Authenticator
Assurance Level 2 (AAL2) identity proofing. This includes Blanket Purchase
Agreements (BPAs) awarded by the Department that provide the Department with a
procurement vehicle to enhance identity proofing in the state’s UI programs. In the near
future, the Department plans to issue guidance to states on the BPAs and the procedures
for the Department to issue orders under those BPAs, in accordance with federal
procurement regulations. As part of that ordering process, the Department anticipates
working with states to identify particular requirements applicable to a state UI program
and to provide for the payment for services ordered using grants made available under
UIPL Nos. 22-21 and 28-20, Change 2, or another funding source identified by the state
subject to requirements of federal appropriations law.
12. Funding Period. The Department’s proposed FY 2022 appropriation language for State UI
and Employment Service Operations allows for obligation of UI allocations by states through
December 31, 2022, with 90 additional days to liquidate the obligations and complete the
expenditure of funds. Under this proposed language, states would be able to obligate FY 2022
UI funds through September 30, 2024, 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 2022 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.
6
NIST Special Publication (SP) 800-63 provides technical requirements for implementing digital identity services.
The publication includes: an overview of identity frameworks; using authenticators, credentials, and assertions in a
digital system; and a risk-based process to select assurance levels at https://pages.nist.gov/800-63-3/sp800-63-
3.html.
13. 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).
14. SQSP Submittal Deadlines. Each ETA RO will set a date and inform states of the deadline
to submit their SQSPs for FY 2022.
15. Electronic Submission of the SQSP. States must submit the SQSP electronically and
should contact their RO SQSP Coordinator 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.
16. Inquiries. Please direct inquiries to the appropriate ETA RO.
17. 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;
Improper Payments Elimination and Recovery Act of 2010 (IPERA), Pub. L. 111-204
(31 U.S.C. 3301 note and 3321 note);
Improper Payments Elimination and Recovery Improvement Act of 2012 (IPERIA),
Pub. L. 112-248;
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. 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, 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. 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 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. 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 20, 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. 34-11, Change 2, Benefit Year Earnings (BYE) Unemployment Insurance
(UI) Integrity Performance Measure, issued July 20, 2016,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3784;
UIPL No. 34-11, Change 1, Benefit Year Earnings (BYE) Unemployment Insurance
(UI) Integrity Performance Measure, issued May 28, 2014,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3116;
UIPL No. 34-11, Performance Measure for Unemployment Insurance (UI) Integrity,
issued September 28, 2011,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3086;
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. 17-08, The Unemployment Insurance (UI) Reemployment Rate Core
Measure, issued May 14, 2008,
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2636;
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;
TEN No. 04-20, Encouragement for States to Use the Integrity Data Hub (IDH)
available through the Unemployment Insurance (UI) Integrity Center, issued August
31, 2020, https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=3588;
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);
ET Handbook No. 361, Unemployment Insurance Data Validation Handbook,
Benefits (September 2019);
ET Handbook No. 361, Unemployment Insurance Data Validation Handbook, Tax
(September 2019);
ET Handbook No. 395, Benefit Accuracy Measurement State Operations Handbook,
5th Edition (November 2009);
ET Handbook No. 396, Unemployment Insurance Benefit Accuracy Measurement
Monitoring Handbook, 4th Edition (November 2009); and
ET Handbook No. 401, 5th Edition, UI Report Handbook No. 401 (July 2017).
18. Attachment.
Measures/Programs to be Addressed in the Fiscal Year (FY) 2022 State Quality Service
Plan (SQSP)
Attachment I
Measures/Programs to be Addressed in the Fiscal Year (FY) 2022
State Quality Service Plan (SQSP)
Core Measures Measurement Period Criteria FY 2022 Requirement
First Payment No new CAPs; Continue
Apr 1, 2020 – Mar 31, 2021 87%
Promptness on Existing Biennial CAP
Nonmonetary No new CAPs;
80%
Determination Time Apr 1, 2020 – Mar 31, 2021 Continue on Existing
(combined score)
Lapse Biennial CAP
Nonmonetary No new CAPs;
Determination Quality – Apr 1, 2020 – Mar 31, 2021 75% Continue on Existing
Nonseparations Biennial CAP
Nonmonetary No new CAPs;
Determination Quality – Apr 1, 2020 – Mar 31, 2021 75% Continue on Existing
Separations Biennial CAP
No new CAPs;
BPC: Apr 1, 2018 – Mar 31, >50% Continue on Existing
2021; Biennial CAP
BAM: Oct. 1, 2017 –
Detection of <95% Narrative
Sept. 30, 2020
Overpayments
If the rate is a result of
improper administration of No new CAPs;
BAM and/or BPC >95% Continue on Existing
Biennial CAP
Average Age of Pending No new CAPs;
Lower Authority Appeals Apr 1, 2020 – Mar 31, 2021 30 days Continue on Existing
Biennial CAP
Average Age of Pending No new CAPs;
Higher Authority Apr 1, 2020 – Mar 31, 2021 40 days Continue on Existing
Appeals Biennial CAP
Lower Authority Appeals No new CAPs;
Quality Apr 1, 2020 – Mar 31, 2021 80% Continue on Existing
Biennial CAP
New Employer Status No new CAPs;
Determinations Time Jan 1, 2020 – Dec 31, 2020 70% Continue on Existing
Lapse Biennial CAP
No more than 3
tax functions
No new CAPs;
failing Tax
Tax Quality – Part A Jan 1, 2020 – Dec 31, 2020 Continue on Existing
Performance
Biennial CAP
System (TPS) in
a year
The same tax CAP required for failed
function cannot performance;
Tax Quality – Part B Jan 1, 2020 – Dec 31, 2020
fail for 3 Continue on Existing
consecutive years Biennial CAP
No new CAPs;
Score >7;and
Effective Audit Measure Jan 1, 2020 – Dec 31, 2020 Continue on Existing
pass all 4 factors
Biennial CAP
CAP required for failed
Improper Payments BAM batches 201927 performance;
Measure through 202026 < 10% Continue on Existing
Biennial CAP
UI Overpayment No new CAPs;
Recovery Measure July 1, 2019 – June 30, 2020 68% Continue on Existing
Biennial CAP
Secretary’s Standards
Measurement Period Criteria FY 2022 Requirement
in Regulation
First Payment No new CAPs;
Promptness (Intrastate Apr 1, 2020 – Mar 31, 2021 87% Continue on Existing
14/21 Days) Biennial CAP
First Payment No new CAPs;
Promptness (Intrastate 35 Apr 1, 2020 – Mar 31, 2021 93% Continue on Existing
Days) Biennial CAP
First Payment No new CAPs;
Promptness (Interstate Apr 1, 2020 – Mar 31, 2021 70% Continue on Existing
14/21 Days) Biennial CAP
First Payment No new CAPs;
Promptness (Interstate 35 Apr 1, 2020 – Mar 31, 2021 78% Continue on Existing
Days) Biennial CAP
No new CAPs;
Lower Authority Appeals
Apr 1, 2020 – Mar 31, 2021 60% Continue on Existing
(30 Days)
Biennial CAP
No new CAPs;
Lower Authority Appeals
Apr 1, 2020 – Mar 31, 2021 80% Continue on Existing
(45 Days)
Biennial CAP
UI Programs, etc. Measurement Period FY 2022 Requirement
Results not
No new CAPs;
Data Validation – submitted by
Continue on Existing
Populations & Modules August 10,
Biennial CAP
2020
Apr 1, 2020 – Mar 31, 2021 Failing/
incomplete No new CAPs;
submission by Continue on Existing
August 10, Biennial CAP
2020
Compliance with NDNH No new CAPs;
matching requirements Status as of March 31, 2020 Continue on Existing
for BAM Biennial CAP
BAM operations not
compliant with
investigative and/or CAP required for failed
Based on the annual
method and procedure performance;
determination letter issued
requirements including Continue on Existing
by May 30, 2021
construction of valid Biennial CAP
samples and sample
populations
Incorrect recording of the
Issue Detection Date
Apr 1, 2020 – Mar 31, 2021 Narrative
and/or Determination
Date
Reporting Deficiencies Narrative
CAP required for failed
performance;
TPS Sample Reviews Jan 1, 2020 – Dec 31, 2020
Continue on Existing
Biennial CAP
To be addressed in the UI
UI Program Integrity
Integrity Action Plan
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