Section 1: Procedures, Policies, and Confidentiality — June 2016, Version 2.0 | 1

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

UIUnemployment Insurance (UI) Benefit Operations

Self-Assessment Tool:

Trade Readjustment Allowances (TRA) Under the Trade Adjustment Assistance (TAA) Program

REVIEW PERIOD: Begins Ends

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

1. HowmanyTAAcertifications,ifany,arecurrentlyineffectinthestate?

SECTION 1: Procedures, Policies, and ConfidentialityResourcesmayincludemanuals,handbooks,deskaids,computerhelpscreens,trainingguides,organizedcollectionsofproceduresorpolicies,orotherreadilyaccessibleinstructionswhichcanhelpstaffdotheirworkcorrectly.Instructionswillnormallyincludegeneralinformationsuchascompilationsofrelevantlawsandregulations,includingtheTAAregulationsat20 CFR 617,aswellasdetailedinstructionsforcarryingoutindividualdutiesintheagencyconsistentwith20 CFR 618.Reviewersmayneedtolookinmanyplacestoexamineallrelevantinstructions.

1. DoesthestatehavethecurrentTAA/TRAadministrativeguidance(e.g.,20CFR617andotherpertinentTAA/TRAprogramletters/guidance,suchasTrainingandEmploymentGuidanceLetters(TEGL)05-15,10-11,22-08and11-02)readilyaccessibletoTRAstaff?

2. DoesthestatehavewrittenproceduresforeachofthefollowingTRAactivities? (check all that apply)Preparingappropriatenotification(s)regardingthepotentialavailabilityofTRAonceaDOLcertificationcoveringworkersisissuedPreparingTAA/TRArequiredreports(e.g.,TradeActParticipationReport(TAPR),TAAActivitiesReport)

Question 2 check boxes continue on next page

Section 1: Procedures, Policies, and Confidentiality — June 2016, Version 2.0 | 2

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

Implementingclaims-takingoperationsincludingapplicationsorformsImplementingproceduresformonetarydeterminationsImplementingproceduresfornon-monetarydeterminationsImplementingproceduresforappealsImplementingproceduresforestablishing/recoveringoverpaymentsconsistentwith20CFR617.55 andapplicableguidanceSystematicverificationofeligibilityrequirements

3. HowarepoliciesandproceduresfortakingTRAclaimsmadeavailabletostaff?(check all that apply)OnlineHard-copyhandbookTrainingmaterialsOther(explain)

3a.Areallformatsconsistentandup-to-date?

3b.Whatpracticesdoesthestateutilizetoensureallformatsareconsistentandup-to-date?

4. Werethereanylawchangesduringthereviewperiodthataffectedthestate’sTAA/TRAclaimspoliciesandprocedures(e.g.,changeinthegeneralnumberofweekspayable)?

Section 1: Procedures, Policies, and Confidentiality — June 2016, Version 2.0 | 3

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

4a.Ifyes,describethelawchangesthatwereimplement,whenwerethesechangesimplemented,andwhatwastheeffectonthestate’sTRAclaimspoliciesandprocedures?

4b.Ifyes,havethestate’spolicies,procedures,andtrainingmaterialbeenupdatedtoreflectthesechanges?

4c.Ifno (to question 4b),explain.

5. Werethereanynewbusinessprocessesimplementedduringthereviewperiodthataffectedthestate’sTRAclaimspoliciesandprocedures?

5a.Ifyes,whatbusinessprocesschangesdidthestateimplement,whenwerethesechangesimplemented,andwhatwastheeffectonthestate’sTRAclaimspoliciesandprocedures?

5b.Ifyes,havethestate’spolicies,procedures,andtrainingmaterialbeenupdatedtoreflectthesechanges?

Section 1: Procedures, Policies, and Confidentiality — June 2016, Version 2.0 | 4

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

5c.Ifno (to question 5b),explain.

6. Werethereanyorganizationalchangesduringthereviewperiodthataffectedthestate’sTRApoliciesandprocedures?

6a.Ifyes,whatorganizationalchangesdidthestateimplement,whenwerethesechangesimplemented,andwhatwastheeffectonthestate’sTRApoliciesandprocedures?

6b.Ifyes,havethestate’spolicies,procedures,andtrainingmaterialsbeenupdatedtoreflectthesechanges?

6c.Ifno (to question 6b),explain.

7. Werethereanyautomationortechnologyupgradesorreleasesduringthereviewperiodthataffectedthestate’sTRAclaims-takingprocedures?

Section 1: Procedures, Policies, and Confidentiality — June 2016, Version 2.0 | 5

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

7a.Ifyes,whatautomationortechnologyupgradesdidthestatemake?

7b.Ifyes,whenwerethetechnologyupgradesmadeandwhatwastheeffectofthechange?

7c.Ifyes,havethestate’sTRAclaims-takingandrelatedpoliciesandproceduresbeenupdatedtoreflectthesechanges?

7d.Ifno (to question 7c),explain.

8. Dothestate’sproceduresensurethataTRAapplicant’seligibilityforregularUIbedeterminedbeforeestablishingTRAentitlement?

9. Dothestate’spoliciesandproceduresensurethestateisadheringtothedefinitionof“adverselyaffectedworkers”aseligibleTRAclaimantsasprovidedin20CFR617.3(c)?

Section 1: Procedures, Policies, and Confidentiality — June 2016, Version 2.0 | 6

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

10. DoesthestateconductanidentityverificationofclaimantswhentheyfileTRAinitialclaims?

10a.Ifyes,throughwhatentitiesandbywhatmeansisidentityverificationconducted? (check all that apply)

SSA:Real-Time Batch

DMV:Real-Time Batch

Other:Real-Time Batch

Other:Real-Time Batch

11. DoesthestatehavepoliciesandproceduresinplacetoidentifyeligibleTAArecipients?

11a.Ifyes,isthestateabletoelectronicallytransmittheeligibilitydatetotheIRS?

12. DoesthestatehavepoliciesandproceduresinplacetoidentifyeligibleATAA/RTAArecipients?

12a.Ifyes,isthestateabletoelectronicallytransmittheeligibilitydatetotheIRS?

13. DoesthestatehavepoliciesandproceduresrelatedtoidentifyingindividualscoveredbyaUSDOLTAAcertificationtoinformthemofpotentialbenefitsconsistentwiththerequirementsof20CFR617.4?

14. DoesthestatehavepoliciesandproceduresrelatedtocontactingindividualscoveredbyaUSDOLTAAcertificationtoinformthemofpotentialbenefitsconsistentwiththerequirementsof20CFR617.4 (e.g.,newspaper,radio,email)?

15. DoesthestatehavepoliciesandprocedurestoensurethatanapplicationforTAA/TRAistaken timelysothatindividualscanreceiveservicepriortoexhaustionoftheirregularUIbenefitspursuant to 20CFR617.10andotherapplicableguidance?

Section 1: Procedures, Policies, and Confidentiality — June 2016, Version 2.0 | 7

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

16. Dothestate’spoliciesandproceduresapplytheTRAeligibilityrequirementsasenumeratedat 20CFR617.11(a)(2)?

16a.Specifically,doesthestateverifythattheadverselyaffectedworkermeetsthefollowingconditions? (check all that apply)IscoveredbyaTAAcertificationWasseparatedwithinthetimeframespecifiedinthecertificationMeetsthewageandemploymenttest(52-weekperiodprecedingthequalifyingseparationtoestablishTRAeligibility)HasestablishedUIentitlementHasexhaustedsuchUIentitlement(exceptasprovidedfor2009,2011,or2015eligibleworkers,asprovidedbyUSDOLadvisories)MeetstheEBworktest[unless617.17(b)(2)applies]ParticipatesinTAAapprovedtraining

17. Dothestate’spoliciesandproceduresrequirethatthestateverifythatindividualsmeetthefollowingspecifiedenrollmentdeadlineforallTRAeligibility?(check all that apply)8weeksfollowingthedateofTAAcertificationor16weeksfollowingtheapplicabledateofseparationifcoveredunderthe2002programamendmentsorunderReversion201426weeksfromeitherthedateoftheTAAcertificationor26weeksfollowingtheapplicabledate ofseparationifcoveredunderthe2009,2011,or2015programamendments

18. Dothestate’spoliciesandproceduresaddresswaiversoftheTAAtrainingparticipationrequirementforbasicTRAeligibility?

18a.Ifyes,dothestate’spoliciesandproceduresaddressthereviewoftrainingwaiversthatmustbeconductedevery30days?

18b.Ifyes,describemechanismsthatareinplacetoensuresuchreview(s)takeplace.

18c.Ifyes,isthereasystemtoensurethatrevocationofanywaiver(s)isproperlyaddressed(e.g.,writtennoticeofrevocation,appealrights)andotherappropriateactionistaken?

Section 1: Procedures, Policies, and Confidentiality — June 2016, Version 2.0 | 8

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

19. Dothestate’spoliciesandproceduresdetailacceptableproofofearningstoestablishTRAmonetarydeterminationsforadverselyaffectedworkersasprovidedin20CFR617.11(a)(2)(iii)and20CFR617.12?

20. DoesthestatehavepoliciesandproceduresinplacetoensurethatTRAispaidonlyduringtheapplicableeligibilityperiodsin20CFR617.3(m)andapplicableguidance?

21. Dothestate’spoliciesandproceduresincludeacommunicationplantoensurethetimelyprovisionofinformationtoworkerscoveredbyTAAcertificationsasrequiredin20CFR617.4?

22. DoesthestatehavesystematicproceduresinplacetocalculatethecorrectmaximummonetaryentitlementforbasicTRA,asprovidedin20CFR617.14?

23. Doesthestatehaveprocedurestodetermineandcalculatetheweeklybenefitamountinaccordancewith20CFR617.13?

24. Doesthestaterequirethefilingofaninitialclaimforbasic,additional,andcompletionTRA?

25. DoesthestatehavepoliciesandprocedurestoensurethatindividualscontinuetomeetTRAeligibilityrequirements?

25a.Ifyes,dothepoliciesandproceduresaddresscontinuedparticipationinTAAtrainingrequirementsforTRAeligibility?

25b.Ifyes,dothepoliciesandproceduresaddressareviewofpotentialsubsequentUIeligibility?

26. Dothestate’spoliciesandproceduresprovidefortheretentionofTRArecordsforaminimumofthreeyearsafterfinalactionontheclaim,includingappeals,courtactions,andoverpaymentrecovery?

Section 1: Procedures, Policies, and Confidentiality — June 2016, Version 2.0 | 9

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

27. DoesthestatehavepoliciesandprocedurestoensuretheTradeActParticipantReportandTAAActivitiesReportsareverifiedandsubmittedtimely?

28. Dothestate’spoliciesandproceduresfortakingTRAclaimscomplywithFederalEqualEmploymentOpportunitylawsandregulationsinaccordancewith29CFRPart31and29CFRPart32?

29. Dothestate’spoliciesandproceduresprovidefortheconfidentialityofTRAclaimrecordsinaccordancewith20CFR603.5?

30. DoesthestatehaveprocedurestoinformclaimantsthatconfidentialinformationprovidedfortheTRAclaimmayberequestedandutilizedforothergovernmentalpurposes,includingverificationofeligibilityunderothergovernmentalprograms,inaccordancewith20CFR603.11?

30a.Ifyes,howandwhenisthisinformationprovidedtotheclaimant?

31. Doesthestatehaveprocedurestoinformemployersthatwageinformationandotherconfidentialinformationprovidedrelatingtoaclaimmayberequestedandutilizedforothergovernmentalpurposes,includingverificationofanindividual’seligibilityforothergovernmentalprogramsinaccordancewith20CFR603.11?

31a.Ifyes,howandwhenisthisinformationprovidedtoemployers?

Section 1: Procedures, Policies, and Confidentiality — June 2016, Version 2.0 | 10

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

SECTION 1: Comments

Documentanyissuesthatwereidentifiedwhencompletingthissection.Thiscommentsectionmayalso beusedtoprovideadditionalinformationrelatingtoanyspecificquestion(s)inthissection.

Section 2: Training — June 2016, Version 2.0 | 11

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

SECTION 2: TrainingManagers/employeesshouldpossessandmaintainalevelofexpertisewhichenablesthemtoaccomplishtheirassignedduties.Trainingsystemsshouldbesufficienttoensurethatpersonnelunderstandandperformtheirdutiesproperly.Whenreviewingtrainingsystems,reviewersmustlookforformaltrainingprocedures(e.g.,thetrainingisconductedusinganestablishedscheduleandusingsetguidelinestomakejudgmentsaboutthequalityofworkbeingproduced).Thereshouldbeproceduresforidentifyinggeneralandspecifictrainingneedsandfordeliveringtrainingasneeded.

1. DoesthestatehaveatrainingcurriculumforTRAclaimstaking?

2. DoesthestateincludeTRAtraininginitstrainingplanfornewstaff?

2a.Ifyes,howlongistheTRAtraining?Lessthanoneweek(e.g.,orientation)OnetotwoweeksMorethantwoweeksOther(explain)

3. Doesthestatehaveatrainingplantoprovidecontinuingor“refresher”TRAtrainingtostaff?

Section 2: Training — June 2016, Version 2.0 | 12

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

3a.Ifyes,howoftenisthecontinuingtrainingconducted?Quarterly Annually Onanas-neededbasisOther(explain)

4. HowdoesthestatedeliveritsTRAstafftraining?(check all that apply)ClassroomsettingOn-the-jobtrainingSelf-guidedonlinecourseOne-on-onetrainingOther(explain)

5. DescribeanytechnologyoroperationalchangesthatweremadeduringthereviewperiodthataffectedTRAclaimstaking.

5a.Wereallaffectedstafftrainedonthesetechnologyoroperationalchangespriortoimplementationofthechanges?

Section 2: Training — June 2016, Version 2.0 | 13

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

6. IstrainingprovidedtostaffforthetechnologytheywillusefortakingTRAclaims(e.g.celland/orsatellitephones,tablets,laptops,etc.)?

7. Isthereamethodtoobtainfeedbackfromparticipantsregardingtheeffectivenessofthetraininggiven?

7a.Ifyes,howisfeedbackobtainedfromparticipants?

8. Isthereameanstoobtainfeedbackfrommanagementstaffontheeffectivenessofthetraining,baseduponstaffperformancefollowingtraining?

8a.Ifyes,howisfeedbackobtainedfrommanagementstaff?

9. IsappropriateTRAtrainingprovidedtostaffinrelevantprogramareas,(e.g.,Appeals)toensureafunctionalunderstandingoftheTRArequirementsandconsistencyofapplication?

10. IfthestatetookTRAclaimsduringthereviewperiod,wereanytrainingneedsidentifiedasaresultoftheexperience?

Section 2: Training — June 2016, Version 2.0 | 14

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

10a.Ifyes,whattrainingneedswereidentified?

10b.Hasthenecessarytrainingbeendelivered?

10c.Ifnot,explain.

Section 2: Training — June 2016, Version 2.0 | 15

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

SECTION 2: Comments

Documentanyissuesthatwereidentifiedwhencompletingthissection.Thiscommentsectionmayalso beusedtoprovideadditionalinformationrelatingtoanyspecificquestion(s)inthissection.

Section 3: Workload Analysis / Management Controls — June 2016, Version 2.0 | 16

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

SECTION 3: Workload Analysis / Management ControlsThestate’sabilitytorespondtoandhandleTRAclaimsworkloads,particularlyduringtimesofunforeseenincreasesinTRAclaims,isanalyzed.Methodsusedtomitigatebacklogs,whentheyoccur,substantiallyaffectthestate’sabilitytoprovidetimelybenefitpaymentstoclaimants.

1. DoesthestatehaveasystematicmethodfortrackingTRAinitialclaimprocessingandworkloadbacklogs?

1a.Ifyes,isthedatacollectionautomated?

2. IfthestatetracksTRAinitialclaimsandbacklogs,howoftenarethesereportsgenerated?Real-time Daily Weekly Monthly Quarterly Asneeded N/A

3. Doesthestate’ssystemgeneratereportsontimelinessofprocessingTRAinitialclaims?

4. DoesthestatehaveproceduresforearlyevaluationofstaffingneedswhenheavyincreasesofTRAworkloadsoccurandtimelyrequestforapprovaltouseovertimetoensureefficientdeliveryofservices?

5. Whatpracticesdoes(would)thestateutilizeforhandlingahighvolumeofTRAinitialclaims? (check all that apply)HireadditionaltemporarystaffAssignqualifiedstafffromdifferentunitsRequestassistancefromotherstatesOvertimeAdjustedworkschedules,includingextendedandweekendhours

Question 5 check boxes continue on next page

Section 3: Workload Analysis / Management Controls — June 2016, Version 2.0 | 17

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

Temporaryadjustmentstoclaimstakingmethods(explain)

Other(explain)

Section 3: Workload Analysis / Management Controls — June 2016, Version 2.0 | 18

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

SECTION 3: Comments

Documentanyissuesthatwereidentifiedwhencompletingthissection.Thiscommentsectionmayalso beusedtoprovideadditionalinformationrelatingtoanyspecificquestion(s)inthissection.

Section 4: Performance Management — June 2016, Version 2.0 | 19

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

SECTION 4: Performance ManagementThestate’spracticesformonitoringprogramperformanceandcompliancewithFederalandstatelawandregulationsareexamined.

1. Whatunitorofficeisresponsibleformonitoringtheperformanceandreadinessofthestate’sTRAoperations?

1a.WhatmethodsareusedtomonitortheTRAoperationstoensuretheprogramisoperatedinaccordancewithFederalandstatelawandregulations?

1b.HowfrequentlyistheTRAprogramreviewconductedtoensurereadiness,compliance,operationalintegrity,andthatallmandatoryprocessesareaddressed?Quarterly Semi-annually AnnuallyOther(explain)

2. DoesthestatemonitorTRAprogramactivityandperformanceinadditiontomonitoringsetoutinFederalrequirements?

Section 4: Performance Management — June 2016, Version 2.0 | 20

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

2a.Ifyes,explainwhatareasaremonitoredandthemethodsused.

Section 4: Performance Management — June 2016, Version 2.0 | 21

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

SECTION 4: Comments

Documentanyissuesthatwereidentifiedwhencompletingthissection.Thiscommentsectionmayalso beusedtoprovideadditionalinformationrelatingtoanyspecificquestion(s)inthissection.

Section 5: Information Technology (IT) — June 2016, Version 2.0 | 22

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

SECTION 5: Information TechnologyThestate’sITprojectsrelatingtoTRAclaimscompletedduringthereviewperiodandplannedforthefutureareaddressed.ThereviewerwillassessthestateITdepartment’sdeliveryofprogrammingandtechnicalsupporttotheUIBenefitsSection.HavingadisasterrecoveryplanaswellascontingencyplanningtoimplementemergencyUIprogramswithashortleadtimeisvitaltocontinuedoperationsunderextremeconditions.SpecialProgramssuchasTRAshouldbeaddressedinthestate’sContinuity ofOperationsPlan.

1. DoesthestatehaveanautomatedTRAinitialclaimstakingsystem?

1a.Ifyes,duringthereviewperiod,werethereanyITprojectsthatimpactedtheTRAinitial claimssystem?

1b.Ifyes,whatweretheprojects,aretheycompletedoron-going;ifon-going,whatistheexpectedcompletiondateforeach?

1c.IfthestatedoesnothaveanautomatedTRAclaimstakingsystem,isanypartoftheTRAclaimsprocessingautomated,suchasthemonetarydetermination?

1d.Ifyes,explain.

Section 5: Information Technology (IT) — June 2016, Version 2.0 | 23

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

2. DoesthestatehavethecapacitytoacceptTRAcontinuedclaimsviatheInternet?

3. DoesthestatehavethecapacitytoacceptTRAcontinuedclaimsviathetelephone?

4. Duringthereviewperiod,werethereITneedsfortheTRAinitialclaimssystemthatwerenotmetthataffectedprogramperformance?

4a.Ifyes,describewhatITneedswerenotmet,thereasontheywerenotmet,whateffectithadon theprogramandthestate’splanstomeettheseneeds,ifany?

5. DoesthestatehaveadisasterrecoveryplanthatwillensurecontinuedoperationsoftheTRAinitialclaimssystemintheeventanaturaldisasteraffectsstatelocations/operations,orshouldapandemicincidentoccur?

5a.Ifyes,hasthestatetestedtheplan,andifso,whatwasthedateofthemostrecenttestandresultsofthetest?

Section 5: Information Technology (IT) — June 2016, Version 2.0 | 24

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

6. WhatITsystemsdoesthestateusetosupporttheTRAclaimsprocess? (check all that apply)InternetclaimsInteractiveVoiceResponse(IVR)KiosksMainframeterminalsOnlineassistanceOther(explain)

7. DescribemeasuresthattheUIagencyhasinplacetoensurethatonlytheclaimantorsomeoneauthorizedbytheclaimantcanaccessclaiminformationonlineorviaphone(e.g.,passwords,codes,PersonalIdentificationNumber(PIN),etc.).

8. DoestheTRAclaimssystemintegratereal-timewiththeUILegacysystemoroperatingsystem?

8a.Ifno,whatisthescheduleforbatchprocessing?

Section 5: Information Technology (IT) — June 2016, Version 2.0 | 25

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

SECTION 5: Comments

Documentanyissuesthatwereidentifiedwhencompletingthissection.Thiscommentsectionmayalso beusedtoprovideadditionalinformationrelatingtoanyspecificquestion(s)inthissection.

Section 6: Access and Communications — June 2016, Version 2.0 | 26

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

SECTION 6: Claimant / Employer Access & CommunicationThereviewerwilldocumentallmethodsthestateusestotakeTRAinitialclaims.StatesneedtomaintaincompliancewithrequirementssetforthinFederallawandguidance.Claim-filingsystemsshouldbeuser-friendly,customer-facingsystemsandintegratedoperatingsystemstoprovidethebestcustomerexperienceandefficientoperations.

1. Whatmethod(s)doesthestateusetotakeTRAinitialclaims? (check all that apply)

BasicTRA:InternetIn-personTelephoneMailOther(explain)

AdditionalTRA:InternetIn-personTelephoneMailOther(explain)

Question 1 check boxes continue on next page

Section 6: Access and Communications — June 2016, Version 2.0 | 27

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

CompletionTRA:InternetIn-personTelephoneMailOther(explain)

2. WhatmethodsdoesthestateusetotakeTRAcontinuedclaimcertifications?(check all that apply)InternetIn-personTelephoneMailOther(explain))

3. Describehoweachofthestate’sfilingmethodsispublicizedsothatclaimantsaremadeawareofthem.(check all that apply for each filing method)

Internet:Website PostersinJobCenters Media RapidResponseMeetings

Question 3 check boxes continue on next page

Section 6: Access and Communications — June 2016, Version 2.0 | 28

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

Other(explain)

N/A

Telephone:Website PostersinJobCenters Media RapidResponseMeetingsOther(explain)

N/A

In-person:Website PostersinJobCenters Media RapidResponseMeetingsOther(explain)

N/A

Mail:Website PostersinJobCenters Media RapidResponseMeetings

Question 3 check boxes continue on next page

Section 6: Access and Communications — June 2016, Version 2.0 | 29

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

Other(explain)

N/A

Other:Website PostersinJobCenters Media RapidResponseMeetingsOther(explain)

Other:Website PostersinJobCenters Media RapidResponseMeetingsOther(explain)

4. WhatresourcesareavailabletoaclaimanttofileaTRAinitialclaim?(check all that apply for each filing method)

Internet:Workforce/One-StopCentersKiosksinlocationsaccessiblebythegeneralpublic

Question 4 check boxes continue on next page

Section 6: Access and Communications — June 2016, Version 2.0 | 30

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

Call/ContactCentersOther(explain)

N/A

Telephone:Workforce/One-StopCentersCall/ContactCentersOther(explain)

N/A

In-person:Workforce/One-StopCentersKiosksinlocationsaccessiblebythegeneralpublicCall/ContactCentersOther(explain)

N/A

Section 6: Access and Communications — June 2016, Version 2.0 | 31

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

5. WhataccessmethodsdoesthestateuseforthefollowingTRAfunctions?(check all that apply for each access method)

ClaimStatusRequests:Internet Telephone In-person

AddressChanges:Internet Telephone In-person

FormsDownload:Internet Telephone In-person

BenefitRightsInformation:Internet Telephone In-person

ProvideBankInformationForDirectDepositofBenefits:Internet Telephone In-person

5a.Ifaddresschangesareacceptedwithoutstaffassistance,whatsecurityproceduresareinplacetovalidatetherequestor’sidentitytoensurethatonlyauthorizedchangesaremade?

5b.Ifdownloadableformsareavailable,whatdownloadableformsareofferedtoTRAclaimants?

Section 6: Access and Communications — June 2016, Version 2.0 | 32

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

6. Whattypesofassistanceisavailabletoassistclaimantsinfilingaclaimforeachclaimfiling methodused? (check all that apply for each filing method)

Internet:OnlinetutorialsHelpscreensHyperlinkstoFAQsOnlinechatwithstaffN/A

Telephone:StaffassistedFAQMenuN/A

In-person:StaffassistedBrochures/PamphletsN/A

7. HowistheBenefitsRightsInformationprovidedtoclaimantsforthefollowingclaimfilingmethods?(check all that apply for each filing method)

Internet:Electroniccertification(web)Telephone/IVRcertificationVerbalbyclaimstakerMailedOther(explain)

N/A

Telephone:Telephone/IVRcertificationVerbalbyclaimstakerMailed

Question 7 check boxes continue on next page

Section 6: Access and Communications — June 2016, Version 2.0 | 33

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

Other(explain)

N/A

In-person:VerbalbyclaimstakerPrintedhandoutSignedBRIMailedOther(explain)

N/A

Mail:VerbalbyclaimstakerMailedOther(explain)

N/A

Section 6: Access and Communications — June 2016, Version 2.0 | 34

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

8. Howareformsobtainedwhenclaimsarefiledusingthefollowingmethods?(check all that apply for each filing method)

Internet:MailEmailOther(explain)

N/A

Telephone:MailEmailOther(explain)

N/A

Question 8 check boxes continue on next page

Section 6: Access and Communications — June 2016, Version 2.0 | 35

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

In-person:In-personMailEmailOther(explain)

N/A

9. DoestheTRAclaimsapplicationprocesshaveafeedbackmechanismforclaimantstosharecustomerservicesrelatedcomments?

Section 6: Access and Communications — June 2016, Version 2.0 | 36

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

SECTION 6: Comments

Documentanyissuesthatwereidentifiedwhencompletingthissection.Thiscommentsectionmayalso beusedtoprovideadditionalinformationrelatingtoanyspecificquestion(s)inthissection.

Section 7: Operational Efficiency / Resource Allocation — June 2016, Version 2.0 | 37

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

SECTION 7: Operational Efficiency / Resource AllocationAresufficientresourcesavailable--training,facilities,staff,etc.,tosupportprogramoperations?Effectiveanalysisofinitialclaimsperformanceresultsassuresthemostproductiveutilizationofresources.Thereviewerwillprovideinformationregardinganybusinessprocessimprovementsthatweremadeduringthereviewperiodorthatareplannedforthefuture.

1. IstheTRAclaimssystemoperatedonasinglecomputerplatformoroperatingsystem?

1a.Ifmultipleplatformsareinuse,isthereseamlessintegrationbetweenthesystemsbeingused?

2. Howdoesthestatehandlesupportingevidencethatissentinashard-copyformsanddocuments?Theyarekeptandarchivedashard-copyformsTheyareimagedandstoredaselectronicforms/dataOther(explain)

3. Duringthereviewperiod,didthestateutilizecustomersurveysorfocusgroupstogatherinputontheTRAclaimsprocessestoidentifyefficienciesoroperationalimprovementsthatcouldbemade?

3a.Ifyes,whenwasthelastsurveyorfocusgroupstudyconducted?

Section 7: Operational Efficiency / Resource Allocation — June 2016, Version 2.0 | 38

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

3b.Ifyes,whatprocessimprovementrecommendationsdidthestateimplementasaresultof theseefforts?

3c.Ifyes,what(ifany)changeswererecommendedbutnotmade? (explain why)

4. DoesthestatehaveanybusinessprocessimprovementsplannedforTRAclaimsprocessing?

4a.Ifyes,whatimprovementsareplannedandwhenaretheyduetobecompleted?

Section 7: Operational Efficiency / Resource Allocation — June 2016, Version 2.0 | 39

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

SECTION 7: Comments

Documentanyissuesthatwereidentifiedwhencompletingthissection.Thiscommentsectionmayalso beusedtoprovideadditionalinformationrelatingtoanyspecificquestion(s)inthissection.

Section 8: Staffing / Merit Staffing — June 2016, Version 2.0 | 40

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

SECTION 8: StaffingStaffinglevelsandorganizationalchangesallcanaffectthestate’sabilitytomanageitsclaimsworkloadandprovidethedesiredlevelsofcustomerservice.

1. DoesthestatehaveadesignatedTRACoordinator?

1a.Ifyes,howlonghastheTRACoordinatorheldthisposition?

1b.WhereintheorganizationdoestheTRAcoordinatorpositionreside?

1c.IfthereisnoTRAcoordinator,whatplansdoesthestatehavefordesignatingthisresponsibility?

2. DoesthestatehaveacontingencyplantohandleworkloadfluctuationsinTRAclaims(e.g.,identifyingstaffwithTRAclaimsexperienceandknowledgetoassistwithTRAprogramoperations)?

3. DidpersonnelactionsoccurthatimpactedTRAclaimsstaffduringthereviewperiod? (check all that apply)Hiringfreeze(s)TemporaryorpermanentstaffreductionsRetirement/buyouts

Question 3 check boxes continue on next page

Section 8: Staffing / Merit Staffing — June 2016, Version 2.0 | 41

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

Other(explain)

N/A

3a.Ifthestateimplementedahiringfreeze,whendiditoccurandhowlongdiditlast?

3b.Ifthestateunderwenttemporaryorpermanentstaffreductions,howmanyTRAclaimsstaffwereaffected,whendidtheactionoccurandhowlongdiditlast?

3c.IfthestateexperiencedretirementsinitsTRAclaimsstafforhadaretirementbuyoutduringthereviewperiod,providethenumberofTRA-relatedstaffthatleftduetoretirement.

Section 8: Staffing / Merit Staffing — June 2016, Version 2.0 | 42

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

3d.WhatpercentageoftheoverallTRAclaimsstaffwasimpactedasaresultoftemporaryorpermanentstaffreductionsand/orretirement? %

3e.Ifthestateexperiencedturnoverduringthereviewperiod,whatpercentageoftheTRAclaimspositionsremainvacant? %

4. DoesthestatehaveaspecializedTRAunitforprocessingTRAinitialandcontinuedclaims?

Section 8: Staffing / Merit Staffing — June 2016, Version 2.0 | 43

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

SECTION 8: Comments

Documentanyissuesthatwereidentifiedwhencompletingthissection.Thiscommentsectionmayalso beusedtoprovideadditionalinformationrelatingtoanyspecificquestion(s)inthissection.

Section 9: Fiscal Management — June 2016, Version 2.0 | 44

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

SECTION 9: Fiscal ManagementThestate’spracticesformanagingitsgrantsandfiscalcompliancewithFederalandstatelawandregulationsareexamined.

1. HowdoesthestateensurethatTRAadministrativefundsremainwithinthetotalfundingobligationfromUSDOL?

2. DoesthestatehaveprocedurestoensurethatfiscalreportingforTRAclaimsactivityisinplaceandcurrent,perOMBCircularA-102?

2a.WhatunitorofficeisresponsibleforpreparationandsubmissionofrequiredTRA/TAA fiscalreports?

3. DoesthestatehaveprocedurestoensurethatstatisticalreportingforTRAclaimsactivityisinplace andcurrent,per20CFR617.57?

3a.WhatunitorofficeisresponsibleforpreparationandsubmissionofTAA/TRAstatisticalreports?

Section 9: Fiscal Management — June 2016, Version 2.0 | 45

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

SECTION 9: Comments

Documentanyissuesthatwereidentifiedwhencompletingthissection.Thiscommentsectionmayalso beusedtoprovideadditionalinformationrelatingtoanyspecificquestion(s)inthissection.

Section 10: Concluding Summary Comments for TRA Under the TAA Program — June 2016, Version 2.0 | 46

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

SECTION 10: Concluding Summary Comments for Trade Readjustment Allowances (TRA) Under the Trade Adjustment Assistance (TAA) ProgramConsideringalltheareasexaminedinTRAUndertheTAAProgram,provideanyappropriateresponsestothefollowingnarrativequestions.Additionalspaceforcommentsandreviewernotesisavailableonpages49and50.

1. Provideanyobservationsofgoodand/orexemplaryperformanceinthestate’sTRAclaimsoperationsthatwouldconstitutesuccessfulpracticestosharewithotherstates.

Section 10: Concluding Summary Comments for TRA Under the TAA Program — June 2016, Version 2.0 | 47

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

2. Documentanyissuesdetectedinthestate’sTRAclaimsoperationsthatadverselyaffectsthestate’sperformanceorcustomerservice.Identifyanycorrectiveactionmeasuresthatshouldbetakentoimprovethestate’sperformanceinregardstoanyweaknessesidentified.

Section 10: Concluding Summary Comments for TRA Under the TAA Program — June 2016, Version 2.0 | 48

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

3. Addanyadditionalcomments,concerns,orobservationsregardingthestate’sperformanceoroperationsinitsTRAoperationsthathavenotbeenaddressedelsewhereandshouldbenoted.

Additional Comments and Reviewer Notes — June 2016, Version 2.0 | 49

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

Additional Comments and Reviewer Notes:

Additional Comments and Reviewer Notes — June 2016, Version 2.0 | 50

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

Reviewer Information — June 2016, Version 2.0 | 51

Unemployment Insurance (UI) Benefit Operations Self-Assessment Tool: TRA Under the TAA Program

Reviewer Information:

REVIEWER

Name:

Title:

Email:

Phone No.:

ADDITIONAL REVIEW TEAM MEMBER

Name:

Title:

Email:

Phone No.: