Welcome to Workforce 3 One U.S. Department of Labor Employment and Training Administration Webinar Date: August 3, 2015 Presented by: U.S. Department of Labor Employment and Training Administration

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3# 1.Update on ETA’s efforts to reengineer UI benefits program accountability processes and more information on state impacts and timelines for implementation 2.Information on a pilot project regarding the State Self- Assessment Tool.

Presenter: Gay M. Gilbert Title: Administrator Organization: Office of Unemployment Insurance Presenter: Nicholas Lalpuis Title: Regional Administrator Organization: ETA Region 4 Dallas 4#

TEN No (September 2, 2014) announced the reengineering of the processes used for UI benefit program accountability. ETA’s goals for this initiative include a new suite of accountability processes that: –Focuses on operational capacity in addition to accuracy and timeliness; –Recognizes both Federal and state capacity; and –Ensures the UI program is administered with a focus on accountability and integrity. Significant state engagement throughout the process –Worked with NASWA and identified several state subject matter experts (SMEs) to participate in project workgroups. #5

TEN No issued on July 27, –Provides a summary of the Reengineering framework –Provides the latest update on implementation status by activity ETA Grants office sent letter on opportunity for piloting the state self- assessment tool #6

Changes to the State Quality Service Plan (SQSP) process. Changes to the Frequency and Logistics of Federal/State Peer Reviews for Benefit Accuracy Measurement (BAM), Benefits, Timeliness and Quality (BTQ) for non-monetary determinations, and Appeals. Development of new processes to support state and Federal operational reviews of UI program administration as it relates to benefits. Development of a new process for identifying states that are determined to be “At Risk” and in need of more intensive technical assistance. Development of new methods to leverage the skills of both ETA and state staff to support technical assistance and performance improvement. #7

Biennial cycle implemented with FY 2015 SQSP cycle (UIPL No ) –One-half of the states provided a two-year SQSP in FY 2015 and the other one-half of the states are in the process of developing their two-year SQSP plan for this FY 2016 SQSP cycle. A new standardized Corrective Action Plan (CAP) monitoring tool has been developed –This CAP monitoring tool will serve a dual purpose: 1) to report CAP as part of the SQSP process, and 2) to provide quarterly updates by the states. Still to come: –Pilot the use of the CAP monitoring tool in several states as part of the FY 2016 SQSP process (Comments received from the volunteer states will be reviewed to improve the final tool) –The ET Handbook No. 336 will be updated to reflect the revised CAP form and instructions issued as part of the annual FY 2017 SQSP guidance. #8

The BTQ Cross Regional Tripartite Review will now be referred to as the National BTQ Review (NBTQR). Beginning in FY 2016, the NBTQR will be held triennially (every three years) instead of annually. –States will be able to electronically transmit documents by uploading information to a secure Web site. –Sample sizes, as well as the subsampling process conducted by the National Office, will remain the same. During the other two years of the triennial cycle, ETA will provide state training and technical assistance. The ET Handbook No. 301 has been updated and revised to incorporate the new process. We project the release of the revised ET Handbook 301, 5 th Edition, Change 2, in in the spring of Following release of the revised handbook, ETA expects to schedule training webinars with the states to review the changes and provide guidance on implementation of the changes. State SMEs actively engaged in providing input on revisions to Handbook and guidance #9

The Annual Appeals Review will now be referred to as the National Appeals Review (NAR). Beginning in 2017, the NAR will be held triennially instead of annually. –States will be able to electronically transmit documents and recordings by uploading information to a secure Web site. –Sample sizes, as well as the subsampling process conducted by the National Office, will remain the same. During the other two years of the triennial cycle, the National and Regional Offices will coordinate to provide states training and other technical assistance The ET Handbook No. 382 revisions are being finalized and we project release of the revised ET Handbook No. 382, 3 rd Edition, Change 1, in the spring of Upon release of the handbook, ETA plans to schedule training webinars with the states to review changes and provide guidance on implementation of the changes. State SMEs actively engaged in providing input on revisions to Handbook and guidance #10

Beginning in FY 2015, the BAM Peer Review process has been changed to a three (3) year cycle for the evaluation of the state BAM program. The triennial BAM review cycle is now as follows: –Year 1 – One-half of the states will participate in both Paid Claims Reviews scheduled for the year; –Year 2 – The other one-half of the states will participate in both Paid Claims Reviews scheduled for the year; and –Year 3 – All states will participate in one of the two Denied Claims Reviews scheduled for the year. The first national BAM Peer Review was held in Dallas, Texas in February The next national BAM Peer Review is scheduled for September 2015, in Chicago, Illinois. ETA expects to provide states with meeting dates, times, and locations approximately three years in advance. The frequency of the Methods and Procedures (M&P) Reviews are being changed from a biennial to a triennial process with Regional Offices conducting these reviews for one- third of the states in their Region each year. The BAM workgroup is in the process of updating ET Handbooks No. 396 and No. 395 to incorporate the changes outlined above and the revised handbooks are expected to be released in FY #11

UI program operations accountability builds on the TPS model Includes a new process for independent state self-assessments of operational practices for the various functional areas of benefit operations. A key feature is a self-assessment tool to be used by states to evaluate their benefit operations and processes. –The self-assessment tool will contain a series of in-depth questions on functional areas within UI benefits operations. –Questions covering fifteen functional areas and within the functional areas are nine categories of operational elements (see chart on next slide) ETA is planning a pilot during the first and second quarters of Federal fiscal year (FY) Feedback and comments gathered from the pilot states will guide additional revisions and refinements prior to full scale implementation of the tool in FY The final tool will require review and comment pursuant to the Paperwork Reduction Act #12

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A new integrated process for identifying states that are determined to be “At Risk” Expert teams will go on-site to assess selected state’s operational policies and procedures, identify issues and recommend operational changes to support performance improvement. State SMEs will inform recommended solutions and provide technical assistance to the selected states ETA intends to start using the new integrated definition of “At Risk” in identifying states beginning in FY 2016 –FY 2018 will be the first year that the data from the state self- assessment tool will be available for use in determining a state’s “At Risk” status. #14

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Up to 9 states will work with ETA and its contractor to test the new state self- assessment tool. Each of the pilot states will test a designated number of the sets of questions with the ultimate result of having all 15 sets of questions tested. The number each pilot state test will depend on the total number of states participating. #16

Gather feedback and comments from the pilot states on the use of the self-assessment tool Guide additional refinements prior to full scale implementation of the tool in FY 2017 States may request funding up to $55,000 to participate in the pilot The pilot should last no more than 15 weeks (length will depend on number of pilot states) An in-person training session will be provided to the pilot states designated self-assessors –In Washington D.C. in October –Include travel costs in funding request #17

Designate one or two state UI staff or hire contractor staff to conduct the assigned self-assessment questions Perform the self-assessments using the sets of questions assigned to the state. Ensure the designated self-assessor(s) captures and logs issues and makes suggested changes or improvements to the sets of questions used by the state in the pilot Maintain a detailed log of the time (hours) spent conducting and completing the questions in the self-assessment tool. Work with ETA and its contractor in sharing feedback and providing recommendations for improvements to the state self-assessment tool. #18

Extensive experience in the UI benefits program and a comprehensive knowledge of the UI benefits system Skills in planning and conducting reviews of systems and procedures Ability to communicate effectively through the presentation of findings and recommendations May designate a current agency employee(s) or use contract labor (i.e. retired former employee) Salaries and benefits paid to state employees or costs incurred in contracting for labor should be included in the requests for funds #19

Recruitment of state Subject Matter Experts (SMEs) to participate in “expert teams” with USDOL to provide technical assistance to “at risk” states Piloting the use of new integrated model for selecting “at risk” states Piloting the deployment of “expert teams” in 2 – 3 states in FY 2016 #20

21# Grant applications for the State Self- Assessment Tool pilot are due August 28, 2015

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