UI - Employment and Training Administrationthe Trade Adjustment Assistance (TAA) Program . REVIEW...
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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 UI Unemployment 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. How many TAA certifications, if any, are currently in effect in the state? SECTION 1: Procedures, Policies, and Confidentiality Resources may include manuals, handbooks, desk aids, computer help screens, training guides, organized collections of procedures or policies, or other readily accessible instructions which can help staff do their work correctly. Instructions will normally include general information such as compilations of relevant laws and regulations, including the TAA regulations at 20 CFR 617 , as well as detailed instructions for carrying out individual duties in the agency consistent with 20 CFR 618. Reviewers may need to look in many places to examine all relevant instructions. 1. Does the state have the current TAA/TRA administrative guidance (e.g., 20 CFR 617 and other pertinent TAA/TRA program letters/guidance, such as Training and Employment Guidance Letters (TEGL) 05-15, 10-11, 22-08 and 11-02) readily accessible to TRA staff? 2. Does the state have written procedures for each of the following TRA activities? (check all that apply) Preparing appropriate notification(s) regarding the potential availability of TRA once a DOL certification covering workers is issued Preparing TAA/TRA required reports (e.g., Trade Act Participation Report (TAPR), TAA Activities Report) Question 2 check boxes continue on next page
Transcript of UI - Employment and Training Administrationthe Trade Adjustment Assistance (TAA) Program . REVIEW...
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)
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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)?
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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?
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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?
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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)?
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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?
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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?
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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?
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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?
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SECTION 1: Comments
Documentanyissuesthatwereidentifiedwhencompletingthissection.Thiscommentsectionmayalso beusedtoprovideadditionalinformationrelatingtoanyspecificquestion(s)inthissection.
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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?
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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?
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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?
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10a.Ifyes,whattrainingneedswereidentified?
10b.Hasthenecessarytrainingbeendelivered?
10c.Ifnot,explain.
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SECTION 2: Comments
Documentanyissuesthatwereidentifiedwhencompletingthissection.Thiscommentsectionmayalso beusedtoprovideadditionalinformationrelatingtoanyspecificquestion(s)inthissection.
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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
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Temporaryadjustmentstoclaimstakingmethods(explain)
Other(explain)
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SECTION 3: Comments
Documentanyissuesthatwereidentifiedwhencompletingthissection.Thiscommentsectionmayalso beusedtoprovideadditionalinformationrelatingtoanyspecificquestion(s)inthissection.
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SECTION 4: Performance ManagementThestate’spracticesformonitoringprogramperformanceandcompliancewithFederalandstatelawandregulationsareexamined.
1. Whatunitorofficeisresponsibleformonitoringtheperformanceandreadinessofthestate’sTRAoperations?
1a.WhatmethodsareusedtomonitortheTRAoperationstoensuretheprogramisoperatedinaccordancewithFederalandstatelawandregulations?
1b.HowfrequentlyistheTRAprogramreviewconductedtoensurereadiness,compliance,operationalintegrity,andthatallmandatoryprocessesareaddressed?Quarterly Semi-annually AnnuallyOther(explain)
2. DoesthestatemonitorTRAprogramactivityandperformanceinadditiontomonitoringsetoutinFederalrequirements?
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2a.Ifyes,explainwhatareasaremonitoredandthemethodsused.
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SECTION 4: Comments
Documentanyissuesthatwereidentifiedwhencompletingthissection.Thiscommentsectionmayalso beusedtoprovideadditionalinformationrelatingtoanyspecificquestion(s)inthissection.
Section 5: Information Technology (IT) — June 2016, Version 2.0 | 22
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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.
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2. DoesthestatehavethecapacitytoacceptTRAcontinuedclaimsviatheInternet?
3. DoesthestatehavethecapacitytoacceptTRAcontinuedclaimsviathetelephone?
4. Duringthereviewperiod,werethereITneedsfortheTRAinitialclaimssystemthatwerenotmetthataffectedprogramperformance?
4a.Ifyes,describewhatITneedswerenotmet,thereasontheywerenotmet,whateffectithadon theprogramandthestate’splanstomeettheseneeds,ifany?
5. DoesthestatehaveadisasterrecoveryplanthatwillensurecontinuedoperationsoftheTRAinitialclaimssystemintheeventanaturaldisasteraffectsstatelocations/operations,orshouldapandemicincidentoccur?
5a.Ifyes,hasthestatetestedtheplan,andifso,whatwasthedateofthemostrecenttestandresultsofthetest?
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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?
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SECTION 5: Comments
Documentanyissuesthatwereidentifiedwhencompletingthissection.Thiscommentsectionmayalso beusedtoprovideadditionalinformationrelatingtoanyspecificquestion(s)inthissection.
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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)
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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
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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
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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
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Call/ContactCentersOther(explain)
N/A
Telephone:Workforce/One-StopCentersCall/ContactCentersOther(explain)
N/A
In-person:Workforce/One-StopCentersKiosksinlocationsaccessiblebythegeneralpublicCall/ContactCentersOther(explain)
N/A
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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?
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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
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Other(explain)
N/A
In-person:VerbalbyclaimstakerPrintedhandoutSignedBRIMailedOther(explain)
N/A
Mail:VerbalbyclaimstakerMailedOther(explain)
N/A
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8. Howareformsobtainedwhenclaimsarefiledusingthefollowingmethods?(check all that apply for each filing method)
Internet:MailEmailOther(explain)
N/A
Telephone:MailEmailOther(explain)
N/A
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In-person:In-personMailEmailOther(explain)
N/A
9. DoestheTRAclaimsapplicationprocesshaveafeedbackmechanismforclaimantstosharecustomerservicesrelatedcomments?
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SECTION 6: Comments
Documentanyissuesthatwereidentifiedwhencompletingthissection.Thiscommentsectionmayalso beusedtoprovideadditionalinformationrelatingtoanyspecificquestion(s)inthissection.
Section 7: Operational Efficiency / Resource Allocation — June 2016, Version 2.0 | 37
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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?
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3b.Ifyes,whatprocessimprovementrecommendationsdidthestateimplementasaresultof theseefforts?
3c.Ifyes,what(ifany)changeswererecommendedbutnotmade? (explain why)
4. DoesthestatehaveanybusinessprocessimprovementsplannedforTRAclaimsprocessing?
4a.Ifyes,whatimprovementsareplannedandwhenaretheyduetobecompleted?
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SECTION 7: Comments
Documentanyissuesthatwereidentifiedwhencompletingthissection.Thiscommentsectionmayalso beusedtoprovideadditionalinformationrelatingtoanyspecificquestion(s)inthissection.
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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
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Other(explain)
N/A
3a.Ifthestateimplementedahiringfreeze,whendiditoccurandhowlongdiditlast?
3b.Ifthestateunderwenttemporaryorpermanentstaffreductions,howmanyTRAclaimsstaffwereaffected,whendidtheactionoccurandhowlongdiditlast?
3c.IfthestateexperiencedretirementsinitsTRAclaimsstafforhadaretirementbuyoutduringthereviewperiod,providethenumberofTRA-relatedstaffthatleftduetoretirement.
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3d.WhatpercentageoftheoverallTRAclaimsstaffwasimpactedasaresultoftemporaryorpermanentstaffreductionsand/orretirement? %
3e.Ifthestateexperiencedturnoverduringthereviewperiod,whatpercentageoftheTRAclaimspositionsremainvacant? %
4. DoesthestatehaveaspecializedTRAunitforprocessingTRAinitialandcontinuedclaims?
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SECTION 8: Comments
Documentanyissuesthatwereidentifiedwhencompletingthissection.Thiscommentsectionmayalso beusedtoprovideadditionalinformationrelatingtoanyspecificquestion(s)inthissection.
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SECTION 9: Fiscal ManagementThestate’spracticesformanagingitsgrantsandfiscalcompliancewithFederalandstatelawandregulationsareexamined.
1. HowdoesthestateensurethatTRAadministrativefundsremainwithinthetotalfundingobligationfromUSDOL?
2. DoesthestatehaveprocedurestoensurethatfiscalreportingforTRAclaimsactivityisinplaceandcurrent,perOMBCircularA-102?
2a.WhatunitorofficeisresponsibleforpreparationandsubmissionofrequiredTRA/TAA fiscalreports?
3. DoesthestatehaveprocedurestoensurethatstatisticalreportingforTRAclaimsactivityisinplace andcurrent,per20CFR617.57?
3a.WhatunitorofficeisresponsibleforpreparationandsubmissionofTAA/TRAstatisticalreports?
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SECTION 9: Comments
Documentanyissuesthatwereidentifiedwhencompletingthissection.Thiscommentsectionmayalso beusedtoprovideadditionalinformationrelatingtoanyspecificquestion(s)inthissection.
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SECTION 10: Concluding Summary Comments for Trade Readjustment Allowances (TRA) Under the Trade Adjustment Assistance (TAA) ProgramConsideringalltheareasexaminedinTRAUndertheTAAProgram,provideanyappropriateresponsestothefollowingnarrativequestions.Additionalspaceforcommentsandreviewernotesisavailableonpages49and50.
1. Provideanyobservationsofgoodand/orexemplaryperformanceinthestate’sTRAclaimsoperationsthatwouldconstitutesuccessfulpracticestosharewithotherstates.
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2. Documentanyissuesdetectedinthestate’sTRAclaimsoperationsthatadverselyaffectsthestate’sperformanceorcustomerservice.Identifyanycorrectiveactionmeasuresthatshouldbetakentoimprovethestate’sperformanceinregardstoanyweaknessesidentified.
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3. Addanyadditionalcomments,concerns,orobservationsregardingthestate’sperformanceoroperationsinitsTRAoperationsthathavenotbeenaddressedelsewhereandshouldbenoted.
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Additional Comments and Reviewer Notes:
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Reviewer Information:
REVIEWER
Name:
Title:
Email:
Phone No.:
ADDITIONAL REVIEW TEAM MEMBER
Name:
Title:
Email:
Phone No.:
