UIPL 17-22 - Blue .pdf

ETA Advisory File Text

EMPLOYMENT AND TRAINING ADMINISTRATION ADVISORY SYSTEM U.S. DEPARTMENT OF LABOR Washington D.C. 20210 CLASSIFICATION Unemployment Insurance CORRESPONDENCE SYMBOL OUI DPM DATE July 22 2022RESCISSIONS None EXPIRATION DATE December 31 2023 ADVISORY TO UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 17-22 STATE WORKFORCE AGENCIES FROM BRENT PARTON Acting Assistant Secretary SUBJECT Additional Planning Guidance for the Fiscal Year FY 2023 Unemployment Insurance UI State Quality Service Plan SQSP 1.Purpose. To initiate the SQSP process and define additional requirements for the FY 2023 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 bmployment 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 oegional lffice EROF for electronic submission of the SQSP and Submit the FY 2023 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 Uf 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 2 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 2023 SQSP cycle. Therefore please review the new guidance carefully. The Handbook is approved under the Office of Management and Budget OMB No. 1205-0132. The current approval expires on February 29 2024. 4.National Priorities. For FY 2023 ETA will continue to strive to make the SQSP process a meaningful management tool and a strategic road map to improve program administration strengthen program integrity and ensure quality service delivery. The SQSP process focuses on promoting state performance and integrity aligning state UI administration and operations with national policies rebuilding program performance paying benefits accurately and timely ensuring equitable access combatting fraud detecting and preventing improper payments recovering overpayments 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 provided 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 2023 ETA s top priorities align with reemployment strategies and ARPA goals and initiatives. The FY 2023 National Priorities are intended to guide states in the development of their SQSPs and include Rebuilding and improving program performance by addressing the significant impact that the workload created by the Coronavirus Disease 2019 COVID-19 pandemic continues to have on the UI system Focusing on improving the timely delivery of benefit payments and the reduction of the UI adjudication and appeals backlogs Ensuring equitable access to UI programs Supporting the Reemployment of UC Claimants through Reemployment Services and Eligibility Assessment RESEA Short-Time Compensation STC Robust Work Search Activities and Other Targeted Initiatives. 3 Combatting fraud strengthening identity verification improving prevention detection and recovery of improper and fraudulent overpayments and reducing the UI improper payment rate Addressing Worker Misclassification and Ensuring Accurate and Complete Filing and Reporting of ETA Required Reports. ETA provides the following information on its National Priorities for FY 2023. States should also establish additional state-level priorities for their respective UI programs in their SQSPs. Rebuilding and Improving Program Performance by Addressing the Significant Impact that the Workload Created by the COVID-19 Pandemic continues to have on the UI System The unprecedented claims workload during the pandemic significantly impacted states capacity to administer and operate UI programs. Many states continue to struggle with administrative and operational challenges resulting in performance and customer service issues. 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 loss of contracted staff support combatting an increase in fraud and the need to improve overall program performance. States experienced these challenges during the COVID-19 pandemic and the resulting significant increase in UC claims and are likely to continue to face the residual effects of issues in the coming months and years. In developing their FY 2023 SQSPs states are strongly encouraged to incorporate administrative performance improvement strategies such as Leveraging ETA s multidisciplinary consultative assessment Tiger Team and associated grant funding opportunities available under UIPLs No. 02-22 and 02-22 Change 1 as a means to 1 preventing detecting and recovering funds from fraud 2 promoting equitable access and 3 ensuring the timely payment of benefits as well as activities to reduce workload backlogs for all UC programs. Conducting business process analyses in key areas to identify opportunities and recommendations for improving program operations integrity and performance and implementing such recommendations. Reviewing service delivery processes to ensure that current web-based telephone-based and other remote UI services provide and promote alternative mechanisms for individuals with access to barriers such as a disability or limited English proficiency. See UIPLs No. 02-16 and 02-16 Change 1. 4 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 . Incorporating lesso ns learned from the COVID -19 pandemic including the significant increase in UC claims and implementation of the temporary Coronavirus Aid Relief and Economic Security CARES Act UC 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 Information Technology Support Center ITSC the UI Integrity Center the US Digital Response and the US Digital Service as well as the many resources available through the UI Community of Practice CoP on WorkforceGPS at https www.wor kforcegps.org . Focusing on Improving the Timely Delivery of Benefit Payments and the Reduction of the UI Adjudication and Appeals Backlogs States experienced extraordinary workloads due to the economic impacts of the COVID -19 pandemic while managing the implementation and operation of temporary CARES Act UC programs. However t here remains a heightened need for states to maintain a steadfast focus on UI functions and activities that improve the timely payment of benefits. Under Sectio n 303 a 1 of the SSA a state s laws must provide for methods of administration that are reasonably calculated to insure full payment of UC when due in order to receive a UI administrative grant. When due is the basis for Federal requirements co ncerning timeliness of benefit payments and eligibility determinations. Many states continue to struggle with significant number s of pending adjudications and appeals because of the impact of the pandemic. In preparation of the FY 2023 SQSP states sh ould examine strategies and processes with the goal of quickly reducing the level of backlogs. As discussed below and as part of the FY 2023 SQSP process states must describe their plan s to address any pending adjudication and appeals backlogs and submit monthly updates to the RO s on the number of adjudication and appeals cases that are still pending. This information sh ould represent the number beyond the usual expected number of pendin g adj udications and appeals e.g. 21 and 30 days respectively for regular operations. Ensuring Equitable Access to UI Programs A top priority of the U.S. Department of Labor Department is ensuring equitable and meaningful access to the UI program. Section 303 a 1 of the SSA discussed above includes a requirement that a state s methods of administration include insuring full payment when due. The Department interprets this to include a requirement of equity so that individuals have sufficient access to the program so that eligibility can be determined and 5 UC payment s can be made when due. Equity in the UI programs is also a requirement of funding set out in Section 9032 of the ARPA . 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 Latin o workers individuals with disabilities and individuals with limited English proficiency. Advancing equity requires a systematic approach to embedding fairne ss 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 fail ure 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 d o not create barriers e.g. procedural technological or informational that may prevent individuals from accessing U C such as by denying them a reasonable opportunity to establish their eligibility. States are reminded of the Management Report issu ed by the U.S. Government Accountability Office GAO 1 on June 17 2021 regarding potential racial and ethnic disparities in the UI program during the pandemic . On June 7 2022 GAO published a rep ort ab ou t the Pandemic Unemployment Assistance program that found evidence of racial disparity in benefit receipt 2. States are encouraged to examine any availab le claimant demographic data to help inform strategies to enhance outreach and education about the program to underserved communities. State s should also explore strategies to improve their state s UI program recipiency rate. In addition state s should focus on UI functions and activities that ensure equitable access to these programs. UIPL s No. 02 -16 and 02 -16 Change 1 outline the requirements that state s must meet to ensure access to the UI program and timely payments are made to eligible individuals. States should discuss how they are improving their UI programs to reduce or eliminate barriers to access and any equity issues across the claimants journeys. This could include but it is not limited to discussing the state s approach to Simplifying communications Enhancing translation services Engaging claimant -focused community organizations to provide feedback on pain points education campaigns and cultural competency 1 Management Report Preliminary Information on Potential Racial and Ethnic Disparities in the Receipt of Unemployment Insurance Benefits during the COVID -19 Pandemic at https www.gao.gov assets gao -21 -599r.pdf . 2 Pandemic Unemployment Assistance Federal Program Supported Contingent Workers Amid Historic Demand but DOL Should Examine Racial Disparities in Benefit Receipt at https www.gao.gov products gao -22-104438 . 6 Creating feedback loops across the states diverse communit ies and claimants Developing and utilizing demographic geographic and industry data across the claimant journey to discover and fix pain points across populations Improving in -person and phone service s Improving online accessibility and usability across computer and phone devices and Improving educational content available in both in person and electronic means. States that received equity grants under UIPL No. 23 -21 are encouraged to include the equity strategies they are pursing using these grant funds in their FY 2023 SQSP s. Supporting the Reemployment of UC Claimants through RESEA Short -Time Compensation STC Robust Work Search Activities and Other Targeted Initiatives RESEA for individualized reemployment services As the nation s economy continues to reopen and labor market needs shift in response to the pandemic s impact the reemployment of U C claimants remains a top priority for the entire workforce system. The UI program supports reemployment through a variety of targeted strategies and RESEA provides a dedicated funding stream for states to provide individualized reemployment support . RESEA codified in Section 306 of the SSA is permanently authorized and states have been directed to prioritize the rebuilding of this program following pandemic related program disruptions. UIPL No. 10 -20 and Training and Employment Guidance Letter TEGL No. 05 -21 provide d the FY 2022 RESEA operating guidance including instructions for the implementation of the latest program requirements. States have also submitted their Workforce Innovation and Opportunity Act WIOA state plans which should reference the integration of RESEA into their broader workforce system and reemployment strategies. States are permitted to reference their RESEA and WIOA state plans in the SQSP rather than replicate these strategies and approaches. States should also discuss how their RESEA strategies support reducing improper payments including the review of claimant eligibility and providing services that help them comply with work search req uirements. STC as a lay -off aversion program . The STC program known also as worksharing or shared work is a lay -off aversion program in which an employer under a state -approved plan reduces the hours for a group of workers and these workers in turn receive a reduced UC payment. In the context of re - opening businesses closed temporaril y by a pandemic STC can also serve as a means of bringing most or all of a temporarily laid -off workforce back to the job even if social - distancing measures a decline in business or other factors prevent operating at full staffing levels full -time. Se ction 2110 of the CARES Act as amended provided for grants to states 7 to promote the program and enroll employers in an STC program see UIPL No. 22 -20 . Eligible states are encouraged to apply for these grant funds before the deadline of December 31 2023. Robust Work Search Activities . As a condition for grant eligibility state UC laws must include a work search requirement see Section 303 a 12 SSA . Each state defines acceptable work search activities through its laws and policies which vary widely in the types of activities that qualify as acceptable work search activities. Training and Employment Notice TEN No. 17 -19 provides states with model work search legislation focused on proactively referring claimants to suitable work establishing a comprehensive definition of acceptable work search act ivities that focuses on rapid reemployment and providing fair notice and documentation requirements. It is a best - practice for states to have a fully integrated workforce system that focuses its collective efforts on assisting claimants getting back to w ork as quickly as possible in suitable jobs in the following ways 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 servic es through American Job Centers Supporting claimant compliance with required work search activities through a reemployment service delivery design that includes developing clear plain language work search requirements that 1 help to ensur e that claimant s understand work search requirements both acceptable activities and documentation requirements 2 helps to ensure that claimants understand the consequences of failing to comply with these requirements and 3 provid es assistance in devel oping a reemployment plan that meets the requirements including through customer -friendly technology applications that facilitate claimants carrying out tasks that meet their work search requirements Encouraging states to proactively identify and refer claimants to suitable job openings from public and private job banks and ensure that claimants accept employment in suitable work if offered Documenting these activities through the state s case management system or other information technology IT sys tems 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. There are additional strategies states should consider in developing their work search requirements and designing reemployment service delivery strategies that support a 8 claimant s ability to comply with a state s work search requirements and help to mitigate improper payments . States are strongly encouraged to implement these additional strategies to address work search errors and incorporate those strategies into the Integrity Action Plan IAP as part of the SQSP. Designing the state RESEA program to support the development of an individual reemployment plan that can help each claimant effectively plan 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 ree mployment plans and connect claimants to effective reemployment resources see https rc.workforcegps.org resources 2016 10 03 05 36 Pathway to Reempl oyment Fr amework 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 onli ne technology application or through emails or texts to nudge claimants to comply with work search requirements. Combatting Fraud Strengthening Identity Verification Improving Prevention Detection and Recovery of Improper and Fraudulent Overpayments and Reducing the UI Improper Payment Rate Working with states to address UI fraudulent and improper payments is another top priority of the Department. ETA is also committed to supporting states in ensuring equity is a key focus in all fraud prevention efforts and a major factor in all discussions in order to address this issue comprehensively and compassionately. This balance means that preventing and detecting fra ud must not prevent eligible claimants from accessing and obtaining benefits . States continue to deal with claims involving sophisticated criminal identity fraud that significantly infiltrated the U I programs throughout the pandemic. In response many states have developed new and innovative integrity strategies and enhanced existing integrity efforts to combat fraud which has included activities such as strengthening the cybersecurity of UI systems implementing a variety of cross -match tools inves ting in identity verification and digital authentication solutions increasing the use of data analytics bolstering fraud management operations and revising integrity processes and procedures. States must continue to enhance efforts to combat fraud and reduce improper payments and stay abreast of emerging fraud schemes through ongoing communication and collaboration with the broader UI community which includes all state workforce agencies ETA s Regional and National offices the Department s Office of Inspector General DOL -OIG and NASWA s UI Integrity Center. For FY 2023 ETA is highlighting the following specific topics states must incorporate into the SQSP IAP in addition to the other IAP requirements outlined in Section 6.d. of this UIPL Sta te use of tools services strategies process improvements and or procedural changes adopted by the state to combat fraud verify identities and enhance recovery efforts. 9 States must identify which tools solutions and service provider s are used in the state s fraud management operations including but not limited to the following areas data analysis identity verification fraud prevention and detection and cybersecurity. State use of UI Integrity Center resources with a particular focus on state connection to the Integrity Data Hub IDH and use of its datasets to cross -match U C claims and aid in the prevent ion and detection of fraud see TEN No. 24 -21 State use of required and recommended cross -matches and overpayment recovery activities as outlined in UIPL No. 23 -20 including any additional effective cross - matching and recovery activities and identified best practices. State use and employer participation in the State Information Data Exchange System SIDES see TEN No. 12 -16 and State strategies designed to facilitate claimants compliance with state work search requirements while also supporting their reemployment such as adoption of the w ork 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 verify identities 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 UC . The Department continues to strongly encourage states to adopt multiple strategies and techniques to validate U C claims detect and share suspicious claim attributes among states and consider a range of other tools available on the market when combating fraud verifying identities and ensuring program integrity. In addition states should work collaboratively with law enforcement agencies to administer their prosecutorial actions . 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 Federal law enforcement to streamline forfeiture and seizure efforts and with banks and f inancial institutions to facilitate the rapid return recovery of improperly paid UC. ETA remind s states of program integrity functions required for the regular U C program s and recommended integrity functions to consider incorporating into states fraud management operations see UIPL No. 23 -20 . In addition ETA worked with the Social Security Adminis tration and NASWA to establish a secure incarceration data exchange between the Interstate Connection Network ICON and the Social Security Administration s s Prisoner Update Processing System to provide states with the ability to cross -match U C claims data with prisoner records for use in determining U C eligibility see UIPL No. 01 -22 . States are encouraged to work with SSA and NASWA s ICON Team to establish a connection to the incarceration data exchange. 10 ETA provided states with significant additional funding to support states with fraud prevention and detection identity verification and overpayment recovery activities in the CARES Act UI programs and regular UC programs see UIPLs No. 28-20 28-20 Change 1 28-20 Change 2 22-21 and 02-22 . State Use of UI Integrity Center Resources The UI Integrity Center established and funded by the Department and operated by NASWA s Center for Employment Security Education and Research Inc. CESER assists states in their efforts to more effectively prevent detect and recover improper and fraudulent payments. The UI Integrity Center supports states in improving UI program integrity by developing and promoting innovative program strategies and recommending operational best practices. The UI Integrity Center is a unique and extremely valuable resource available at no cost to states and ETA strongly encourages states to access its services and resources on a regular and ongoing basis to inform and support state integrity strategies strengthen fraud prevention and detection enhance fraud management operations and improve overpayment recovery efforts. Below are key UI Integrity Center services and resources that states should connect to and build into their IAP as part of the SQSP. Integrity Data Hub. The IDH is a secure robust centralized multi-state data system that allows participating states to cross-match compare and analyze UC claims data against a variety of datasets for enhanced prevention and detection of improper payments and fraud in UC programs. The IDH continues to evolve as new data sources are added and more states submit data for cross-matching and identify suspicious claim attributes. Data sources and functionality currently available through the IDH include the Suspicious Actor Repository Suspicious Email Domains Foreign Internet Protocol IP address detection Multi-State Cross-Match Identity Verification solution Bank Account Verification service Fraud Alert System and Data Analysis. State Consultative Services. The UI Integrity Center is available to support states in assessing their business processes and provide recommendations for adoption of effective strategies all with the goal of combatting fraud reducing a state s improper payment rate enhancing overpayment recovery and improving program integrity. Capturing and Disseminating UI Program Integrity Resources Best Practices and Recommendations. 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. The Knowledge Exchange Library contains thousands of UI technical resources including model state operational processes promising state practices presentations videos templates and recommendations to strengthen UI program integrity. The UI Integrity Center also launched the Behavioral Insights Toolkit which is a new collection of resources articles templates and how-to information housed within the Knowledge Exchange Library at https library.naswa.org bitoolkit. The collection was developed to help state UI agencies apply the learnings of Behavioral Insights within their own states to address program compliance challenges and improve UI program integrity see TEN No. 15-21 . 11 UI National Integrity Academy. The Academy currently has five online certificate programs with more than 120 lessons available for state staff in the areas of Program Leadership UI Operations Integrity Fraud Investigations Tax Integrity and Data Analysis . The UI Integrity Center has added content to aid in mass hiring and onboarding of staff by including topics on fact -finding and claim adjudication strategies re-designing the instructor -led Fraud Investigations course to a virtual instructor -led format and developing state -specific customized course bundles based on state need . Increased State and Employer Use of SIDES State implementation and employers use of SIDES should be an integral part of a state s integrity strategy see TEN No. 12 -16 . SIDES is composed of Web Services for third -party administrators TPAs and large employers and E -Response for smaller employers . States should view SIDES as a critica l part of their UI integrity efforts and should connect to and build SIDES into their IAP as part of the SQSP. SIDES Separation Information Exchange. The SIDES Separation Information 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 U C initial claims processed and separately a goal of at least 35 percent of all U C ini tial claims processed through the SIDES E -Response. ETA encourages states to increase employer usage of SIDES for separation exchanges by pursuing the following strategies o Each state should strive to have all TPAs operating within the state to be live a nd 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. These states have also used SIDES as the only electronic response system and have not used parallel dual systems. 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 t hose 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 . Monetary Potential Charges Exchange . This excha nge advises the employer TPA of the wages used to calculate potential benefits payable to the claimant. It a dvises the employer of the potential charges applied to their state unemployment taxes if benefits are award ed and they are found liable. 12 SIDES Additional Fact-Finding Exchange. This exchange permits the state to electronically submit unique questions to the employer TPA while investigating a claim. The employer TPA will electronically respond providing the additional information. SIDES Determinations Decisions Exchange. This exchange permits the state to electronically transmit a non-monetary determination or an appeals decision to an employer TPA. The employer TPA can electronically respond if necessary with an appeal of a non-monetary determination or appeal of a lower-level appeal decision to the higher-level appeal authority using the standard national format. 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. Benefit Charges Exchange This exchange advises the employer TPA of the amount of benefits charged to the employer for determining the employer s state unemployment taxes based on the claimant s eligibility and account liability. Compliance with Work Search Activities. As noted above robust work search activities are a critical component of supporting reemployment of UC claimants. Additional strategies for states to consider for mitigating improper payments related to compliance with such activities is described earlier in this UIPL. Addressing Worker Misclassification States should monitor their performance under the Effective Audit Measure see UIPL No. 03-11 to determine whether they are effectively detecting and preventing worker misclassification. States may deploy a wide array of strategies to address worker misclassification. ETA encourages states to develop and implement strategies to address the misclassification of workers and to include those strategies in the states SQSPs. ETA will continue to identify state best-promising practices in this area and share them broadly. Ensuring Accurate and Complete Filing and Reporting of ETA Required Reports The impact of the pandemic on the UI systems has resulted in some states not timely filing ETA required reports and or inaccurately filing reports with zeros for data. States that have not provided complete and accurate reports need to include in the SQSP Narrative 13 information their plans including timeframes and milestones for addressing this issue and ensuring appropriate reporting in FY 2023. States that have previously transmitted reports with zeros for data that are not correct must amend the re ports to include accurate data. Additionally s tates with inaccurate and or incomplete reporting on all ETA 227 reports Overpayment Detection and Recovery Activities and the 902P report Pandemic Unemployment Assistance specifically Section C. Overpayment Activity and Administration all activity EXCEPT for Identity Theft and Section D. Overpayment Activity Related to Identity ID Theft must report the ir plans to correct the reporting issues in the IAP. Government Performance an d 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 2021 and 2022. As the impact of the pandemic subsides it is important that states refocus their efforts on meeting the performance measures that ensure the UI program is achieving its mission -critical goals. In FY 2023 ETA will continue to work with states to rebuild performance with attention on the following GPRA goals for FY 2023 with targets that the system as a whole is expected to meet. States should continue to strive to reach or e xceed 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.dole ta.gov unemploy docs GPRA Summary Report.asp for the FY 2023 GPRA goals and targets. Percent of Intrastate Payments Made Timely Make Timely Benefit Payments o Target 87 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 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. 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 14 that does not meet established criteria for the SQSP measurement period. The measurement period for the FY 2023 SQSP is April 1 2021 March 31 2022 unless otherwise indicated in Attachment I. 6.UI Performance Criteria. Attachment I lists the performance criteria for the Core Measures Secretary s Standards and other program criteria where Corrective Action Plans CAPs and or Narratives may be expected if annual performance is not acceptable. a.Core Measures. Performance below the acceptable levels of performance ALP for Core Measures is expected to be addressed in a CAP unless otherwise indicated. Additional instructions for Core Measures are as follows The Detection of Overpayments Measure. This measure is the percentage of detectable recoverable overpayments estimated by the Benefit Accuracy Measurement BAM survey that was established for recovery through regular UI Benefit Payment Control BPC program operations. Any state reporting an overpayment detection rate below 50 percent is expected to address the deficiency in a CAP. In addition because most states cannot cost-effectively detect and establish more than 90 percent of estimated overpayments an upper limit of 95 percent has been established for monitoring purposes. States reporting ratios over 95 percent are expected to explain in the Narrative section the reasons for the higher-than-expected ratios. If an overpayment detection rate above 95 percent is the result of improper administration of BAM or BPC activities or misreporting of data on the ETA 227 Overpayment Detection and Recovery Activities report the state is expected to submit a CAP for BAM Overpayment Detection or BPC Overpayment Detection . The CAP is to be designed to produce valid data for the Overpayment Detection Measure. The performance period for the BPC component is the three-year period ending March 31 2022 the performance period for the BAM component is the three- year period ending September 30 2021. Effective Audit Measure. The Effective Audit Measure as noted in UIPL No. 03-11 is a blended measure of the following four factors 1 Percentage of Contributory Employers Audited Annually 2 Percentage of Total Wage Changed as a Result of Audit 3 Percentage of Total Wages Audited and 4 Average Number of Misclassifications Detected Per Audit. Each of the four factors has a minimum standard score that states must attain to pass the Effective Audit Measure as well as an overall combined score that must be met. The measure also requires each state to direct additional emphasis to the factor s that state personnel deem important to the state. An additional two points must be earned among any of the four factors to attain the overall passing score of at least 7.0. Normally a state that does not meet this measure based on Calendar Year CY 2021 data would be required to develop a CAP. However since many states transferred audit staff to work in benefit functions during the COVID-19 pandemic states will not need to develop CAPs if they failed the EAM based on CY 2021 data. Instead states that failed the EAM must describe in the SQSP Narrative the steps they will take to pass the EAM. 15 Improper Payments Measure . The Improper Payments Measure is defined as U C overpaid plus U C underpaid divided by the total amount of U C paid. It is based on estimates from th e results of the BAM survey of paid U C claims in the State UI Unemployment Compensation for Federal Employees and Unemployment Compensation for Ex -Servicemembers programs . The Payment Integrity Information Act PIIA of 2019 codified in 31 U.S.C. 3351 et seq . repealed and replaced the Improper Payments Information Act of 2002 and the subsequent statutory amendments the Improper Payments Elimination and Recovery Act IPERA of 2010 and the Improper Payments Elimination and Recovery Improvement Act IPERIA of 2012. PIIA requires agencies to examine the risk of erroneous payme nts in all programs and activities they administer. This Federal law defines the term improper payment as A any payment that should not have been made or that was made in an incorrect amount including an overpayment or underpayment under a statutory contractual administrative or other legally applicable requirement and B includes i any payment to an ineligible recipient ii any payment for an ineligible good or service iii any duplicate payment iv any payment for a good or service not rec eived except for those payments where authorized by law and v any payment that does not account for credit for applicable discounts. PIIA requires Federal programs to report an annual improper payment rate. It also requires agencies to include all i dentified improper payments in the reported estimate regardless of whether the improper payment in question has been or is being recovered see UIPL No. 09 -13 Change 1 for ETA s approved improper payment rate computation methodology . Corrective actions and IAP root causes for FY 2023 are based on ETA s approved computatio n methodology. In accordance with PIIA an ALP of less than 10 percent has been established for the improper payment measure. States are expected to maintain an improper payment rate of less than 10 percent for covered UC programs. This ALP is applicable to the 2021 PIIA performance period July 1 2020 to June 30 2021 . A s tate failing to meet the ALP for the 2021 PIIA performance period will be expected to develop a CAP as part of the FY 2023 SQSP. UI Overpayment Recovery Measure . As explained in UIPL No. 09 -13 the recovery rate is the amount of improper overpayments recovered divided by the amount of improper overpayments identified. The ALP for the recovery rate measure is 68 percent for the 2021 PIIA performance period. The Department will compute future recovery targets based on the mos t recent recovery and other performance data available. The performance period will be based on data from the ETA 227 Overpayment Detection and Recovery Activity Regular and ETA 227 Overpayment Detection 16 and Recovery Activity Emergency Unemployment Compensation EUC for the PIIA 2021 performance period July 1 2020 to June 30 2021 . Pursuant to the UI Reports Handbook ET Handbook No. 401 5th edition the June quarter ET A 227 reports are due August 1 each year . A s tate failing to meet the ALP for the 2021 PIIA performance period will be expected to develop a CAP as part of the FY 202 3 SQSP. b. Secretary s Standards A s tate experiencing p erformance below the criteria for the Secretary s Standards established in regulation at 20 CFR Parts 640 and 650 are required to address the performance issues in a CAP. The Secretary s Standards are listed in Attachment I. c. UI Programs States must address t he following UI Programs as described below State Directory of New Hires SDNH National Directory of New Hires NDNH State BAM operations that based on the BAM Administrative Determination are not compliant with the NDNH matching requi rements in ET Handbook No. 395 5th Edition chapter VI UIPL No. 03 -07 and UIPL No. 03 -07 Change 1 are exp ected to be addressed in a CAP for FY 202 3. Benefit Accuracy Measurement BAM State BAM operations or operational components that based on the BAM Administrative Determination are 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 issu ed on or before May 1 2022 are expected to be addressed in a CAP. This includes paid and denied claim population variances outside established control limits. Tax Performance System TPS To ensure that UI tax operations are in compliance with Feder al reporting and oversight requirements a state s failure to conduct one or more TPS sample reviews will be subject to a CAP. Additionally a tax function that is not sampled will be included in the number of total failing functions as measured by Tax Qu ality Part A no more than three tax functions may fail TPS review and Part B a tax function cannot fail for three consecutive years . Exceptions include universes that are too small to support a sample S an Experience Rate sample that was not sche duled for review during the performance year E or the granting of a temporary waiver by the RO W . Program Review Findings Charts should be noted accordingly. Data Validation DV 17 The normal deadline for submitting DV results is June 10 of a performance year. Due to the ongoing COVID-19 pandemic that deadline has been extended to August 10 2022. DV items that fail to pass validation or that are due but not submitted are expected to be addressed in the state s FY 2023 SQSP. Non- submitted items include failure to certify that Module 3 of the DV Benefits and Tax Handbooks are up-to-date during the April 1 June 10 2022 certification window. Any DV items due for Validation Year VY 2022 that did not pass or were not submitted by the August 10 2022 deadline are expected to be addressed in a CAP for FY 2023. ROs will monitor states every three years on cycles coinciding with the Data Validation Years. They will assess the accuracy of the states DV results considered passing or not due as of the time of the monitoring review to verify that the states are properly implementing the DV program. DV items submitted as passing but which a monitoring review determined to have failed must also be addressed in the SQSP. All subsequent SQSP cycles will address items changed from pass to fail in the previous year s monitoring review. d.UI Program Integrity and the IAP Beginning with the FY 2023 SQSP submission states will use the new Word document template to develop their IAPs. The IAP will no longer be included in the Excel CAP Workbook. The new template provides states with a format that is conducive for developing comprehensive detailed and actionable IAP. The IAP template will guide states in developing their IAPs and allow states more flexibility to clearly articulate their integrity plans and actions while also ensuring all key IAP topics are addressed. States are expected to report their planned activities to prevent detect reduce and recover fraud and UI improper payments in their IAPs which are submitted each year as part of the annual SQSP submission. The purpose of the IAP is for the state to provide a comprehensive and detailed plan outlining the agency s UI integrity strategies including plans and actions to combat fraud reduce improper payments and improve the recovery of overpayments. States are expected to address each of the following topics including specific National Priorities and additional integrity strategies as outlined below as part of IAPs for the FY 2023 SQSP submission. Topic 1 - The specific topics areas identified under the Combatting Fraud Strengthening Identity Verification Improving Prevention Detection and Recovery of Improper and Fraudulent Overpayments and Reducing the UI Improper Payment Rate National Priority outlined in Section 4 of this UIPL. oState use of tools services strategies process improvements and or procedural changes adopted by the state to combat fraud verify identities and enhance recovery efforts. States are expected to identify which tools solutions and service provider s are used in the state s fraud management operations including 18 but not limited to the following areas data analysis identity verification fraud prevention and detection and cybersecurity. o State use of UI Integrity Center resources with a particul ar focus on state connection to the IDH and use of its datasets to cross -match U C claims and aid in the prevention and detection of fraud . o State use of required and recommended cross -matches and overpayment recovery activities as outlined in UIPL No. 23 -20 including any additional effective cross - matching and recovery activities and identified best practices . o State use and employer participation in SIDES . o State 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 . Topic 2 - State plans and actions to address the state s top three improper payment root causes in 2021 for PIIA purposes . Topic 3 - State coordination and collaboration with DOL -OIG and other state and Federal law enforcement agencies to investigate and prosecu te UI fraud . Topic 4 - State plans to strengthen program integrity in UI tax operations including current activities and plans to identify and prevent worker misclassification State Unemployment Tax Act Dumping and Fictious Employer schemes and de velopment use of effective employer audit strategies i.e. use of remote audits . Topic 5 - State plans and actions to strengthen internal security and ensure that all appropriate internal controls and processes are in place and are adequate to assess internal risks and threats ensure program integrity and minimize program vulnerabilities see UIPL No . 14 -17 . Topic 6 - State plans and actions to balance the need to id entify and prevent fraudulent activity while ensuring that eligible individuals with legitimate claims get the benefits they are entitled to when they are due. Topic 7 - If the state has not provided complete and accurate overpayment reporting on the ETA 227 reports Overpayment Detection and Recovery Activities and the ETA 902P report Pandemic Unemployment Assistance Activities specifically Section C. Overpayment Activity and Administration all activity EXCEPT for Identity Theft and Section D. Overpayment Activity Related to Identity ID Theft of the ETA 902P report the state must provide information on plans for improvement including timeframes and milestones for addressing the issue and ensuring complete accurate and time ly reporting in FY 2023. In FY 2022 ETA began requiring states to provide a six -month update to the IAP covering the first two quarters of the FY October March when submitting the SQSP 19 quarterly update for the quarter ending March 31st. The six -mon th update to the IAP continues to be required for FY 2023 although the IAP update will not be required to be developed using the Excel CAP Workbook. States will develop the six -month IAP update in the IAP Word document template and submit it at the same time the state submits the SQSP quarterly update for the quarter ending March 31 st. The purpose of the six -month update is for a state to provide a progress report on all integrity strategies outlined in the IAP and must include details on any new fraud p revention strategies solutions and or activities changes to existing integrity strategies plan or strategy delays and or challenges in implementing the IAP positive outcomes and identified successes. ETA will continue to provide technical assistan ce to states to support their integrity activities through guidance webinars individual state technical assistance and in partnership with the UI Integrity Center. e. Other UI Performance States are expected to address the following performance deficiencies in the SQSP Narrative unless otherwise indicated . Failure to meet reporting requirements . Invalid recording of the Issue Detection Date IDD and Determination Date DD . The validity of the UI Performs nonmonetary determina tion 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 fro m 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 . f. Future Performance Requirements In FY 2021 ETA published UIPL No. 07 -21 that announced a new reemployment core measure Reemployment rate in the 2 nd Quarter after Program Exit for RESEA Participants. This new core measure is designed to focu s on RESEA program performance given that the RESEA program is now permanently authorized within the context of the broader workforce development system. The measure aligns with the WIOA primary indicators of performance and will utilize data that states already report for the E mployment Service program and will assist ETA and states in assessing state performance related to the employment outcomes of RESEA participants. 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 expected to submit CAP s for FY 202 3 SQSP s. 20 UIPL No. 07-21 also announced two new program performance measures that are meant to assist states in managing reemployment performance but are not core measures and do not have associated acceptable levels of performance. 7. Planning Requirements for FY 202 3. 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 B iennial and Alternate Year SQSP submittals significant activities and dates relating to the submittal and approval of the SQSP are outlined in 336 ET Handbook No. 336 18 th Edition Change 4 and this UIPL. This year FY 202 3 all states will submit a Biennial SQSP. SQSP Preparation States must use the Excel CAP Workbook to develop their CAPs for the SQSP submissions. States must also use the Excel CAP Workbook for reporting updates to specific CAP milestones and its performance each quarter. States must also use the new IAP template to develop their IAP and provide the IAP updates. The RO will provide states with the Excel Workbook and IAP template with specific instructions relevant to this Biennial SQSP submittal . SQSP Assurances and App roval By signing the SQSP Signature Page a state certifies that it will comply with the assurances listed in ET Handbook No. 336 18 th Edition Change 4 and will institute plans or measures to comply with the requirements for each of the assurances . 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 . State s are encouraged to use the DUA training modules available on the NASWA learning platform at 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 d eveloped and or maintained DUA Standard Operating Procedures for use during a major disaster declaration . States may contact their RO for a copy of a DUA Standard Operating Procedure template. See TEN No. 13 -21 for additional information. 21 8.Tiger Team Grant Funds and Consultative Assessments. In the SQSP Narrative Response section states must detail their status as it relates to the opportunity for grant opportunities following a consultative assessment for fraud prevention and detection promoting equitable access and ensuring the timely payment of benefits including backlog reductions for all UC programs as announced including backlog reductions for all UC programs as announced in UIPL No. 02-22 with an amended deadline under UIPL No. 02- 22 Change 1 . If your state has not done so yet but plans to express interest for this consultative assessment prior to September 30 2022 please provide the anticipated timeframe. If your state has either expressed interest for this consultative assessment or has already been through the consultative assessment please provide an update on the status of that engagement. In addition if your state is actively implementing projects resulting from the consultative assessment please provide in detail the progress on those activities as well as any challenges or barriers your state is facing. If your state has not yet expressed interest for this consultative assessment and has no plans to do so by the September 30 2022 deadline please detail why. Please include your state s current efforts in process improvement technology improvement and operations enhancements in the areas of fraud prevention and detection promoting equitable access and ensuring the timely payment of benefits including backlog reductions for all UC programs. 9.Waiving Recovery of Overpayments where Appropriate. As states are resolving backlogs they may identify situations where individuals received benefits to which they were not entitled i.e. establish an overpayment . As noted in UIPL No. 20-21 Change 1 seeking recovery of overpayments from individuals who did not commit fraud and were without fault in receiving the overpayment especially in light of the economic effects of the pandemic creates an extraordinary hardship on working families. The authority to waive recovery of overpayments under the regular UC program is a matter of state law. When establishing overpayments under the temporary CARES Act UC programs the Department strongly encourages states to exercise the authority to waive recovery when both conditions set forth in the CARES Act as amended are satisfied 1 payment was done without fault on the part of the individual and 2 repayment would be contrary to equity and good conscience. We remind states that to consider a waiver of the recovery of an overpayment the state must first establish an overpayment and under no circumstances may a state waive recovery activities for a fraudulent overpayment. Within the context of the CARES Act UC programs states are permitted to use blanket waivers under the seven scenarios described in Attachment I to UIPL No. 20-21 Change 1. States may also submit requests for additional blanket waiver scenarios within the context of the CARES Act UC programs by submitting Attachment II to UIPL No. 20-21 Change 1. These approved blanket waiver scenarios permit a state under the limited authorized circumstances to process the waiver of recovery for individual overpayments that do not require additional fact-finding or submission of individual requests. These scenarios also permit the state to process the waiver of recovery for multiple overpayments meeting one of the approved scenarios simultaneously based on a single set of facts. If overpayments 22 covered by the seven approved scenarios were processed individually it could result in the same amount of overpayments not being recovered i.e. recovery still being waived but at a greater cost and inefficiency to the state because of the workload generated from processing individual waivers. Overpayments occurring outside of the scope of the approved scenarios may still be considered for waiving repayment on an individual case-by-case basis to ensure the two conditions described in the preceding paragraph are satisfied. 10.Coordination with DOL-OIG. States must refer allegations which they reasonably believe constitute UC fraud waste abuse mismanagement or misconduct to the DOL-OIG. States are also required to disclose confidential UC information related to the CARES Act as amended to the DOL-OIG for the purpose of UC fraud investigations and audits for the entire pandemic relief period see UIPL No. 04-17 Change 1 . Additionally as a condition of receiving funding under UIPL No. 22-21 the 50 participating states are required to disclose all confidential UC information to DOL-OIG for purposes of both investigating fraud and performing audits through weeks of unemployment ending before December 31 2023. 11.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 2023 SQSP into the Combined State Plan upon ETA s approval of the SQSP but no later than October 31 2022. 12.UI Technical Assistance Resources. The following resources provide states with information and support for UI program activities. a.Staff from ETA s Regional Offices and the Office of Unemployment Insurance. b.UI Information Technology Support Center. 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 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 in implementing 23 strategies to ensure program integrity to prevent detect and recover improper payments and to reduce fraud in the UC programs. 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 focus on operations communications process flows and technologies that support timeliness of UC payments 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 access to funding to implement those recommendations. e.Fraud and Equity Funded Efforts. ETA is committed to supporting states by providing funding and investing in the most innovative and successful tools activities and resources to combat fraud and promote equitable access in UC programs. Funding opportunities have been provided to states under UIPLs No. 28-20 28-20 Change 1 28-20 Change 2 22-21 and 23-21. 13.Funding Period. The Department s proposed FY 2023 appropriation language for State UI and Employment Service Operations allows for obligation of UI allocations by states through December 31 2023 with 90 additional days to liquidate the obligations and complete the expenditure of funds. Under this proposed language which mirrors language that all recent- year appropriation acts have contained states would be able to obligate FY 2023 UI funds through September 30 2025 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 2023 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. 14.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 . 15.SQSP Submittal Deadlines. Each ETA RO will set a date and inform states of the deadline to submit their SQSPs for FY 2023. 16.Electronic Submission of the SQSP. States must submit the SQSPs electronically and should contact their RO SQSP Coordinators before submittal to coordinate specific details. Standard forms required as part of the budget reporting process Chapter II of ET Handbook 24 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. 17.Inquiries. Please direct inquiries to the appropriate ETA RO. 18.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. 10-22 Fiscal Year FY 2022 Funding Allotments and Operating Guidance for Unemployment Insurance UI Reemployment Services and Eligibility Assessment RESEA Grants issued January 21 2022 https wdr.doleta.gov directives corr doc.cfm DOCN 9998 UIPL No. 02-22 Change 1 Extension of Time for States to Express Interest in the Grant Opportunity Announced in Unemployment Insurance Program Letter UIPL No. 2-22 to Support States Following a Consultative Assessment for Fraud Detection and Prevention Promoting Equitable Access and Ensuring the Timely Payment of Benefits including 25 Backlog Reduction for all Unemployment Compensation UC Programs issued February 16 2022 https wdr.doleta.gov directives corr doc.cfm DOCN 8539 UIPL No. 02-22 Grant Opportunity to Support States Following a Consultative Assessment for Fraud Detection and Prevention Promoting Equitable Access and Ensuring the Timely Payment of Benefits including Backlog Reduction for all Unemployment Compensation UC Programs issued November 2 2021 https wdr.doleta.gov directives corr doc.cfm DOCN 6683 UIPL No. 01-22 Announcing the Availability of an Incarceration Data Exchange and Instructions to Access the Data Exchange between the Unemployment Insurance UI Interstate Connection Network ICON and the Social Security Administration SSA Prisoner Update Processing System PUPS issued October 29 2021 https wdr.doleta.gov directives corr doc.cfm DOCN 4115 UIPL No. 23-21 Grant Opportunity for Promoting Equitable Access to Unemployment Compensation UC Programs issued August 17 2021 https wdr.doleta.gov directives corr doc.cfm DOCN 7400 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 Change 1 Additional State Instructions for Processing Waivers of Recovery of Overpayments under the Coronavirus Aid Relief and Economic Security CARES Act as Amended issued February 7 2022 https wdr.doleta.gov directives corr doc.cfm DOCN 8527 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 26 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. 22-20 Coronavirus Aid Relief and Economic Security CARES Act of 2020 Short-Time Compensation STC Program Grants issued May 10 2020 https wdr.doleta.gov directives corr doc.cfm DOCN 6220 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. 14-17 States Responsibilities for Internal Security in the Unemployment Insurance Program issued March 23 20217 https wdr.doleta.gov directives corr doc.cfm DOCN 5496 UIPL No. 04-17 Change 1 Requirement for States to Refer Allegations of Unemployment Compensation UC Fraud Waste Abuse Mismanagement or Misconduct to the Department of Labor s Department Office of Inspector General s DOL-OIG and to Disclose Information Related to the Coronavirus Aid Relief and Economic Security CARES Act to DOL-OIG for Purposes of UC Fraud Investigation and Audits issued August 3 2021 https wdr.doleta.gov directives corr doc.cfm DOCN 5817 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 27 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 28 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 TEGL No. 05-21 Fiscal Year FY 2022 Funding Allotments and Operating Guidance for Unemployment Insurance UI Reemployment Services and Eligibility Assessment RESEA Grants issued January 21 2022 https wdr.doleta.gov directives corr doc.cfm DOCN 3134 29 TEN No. 24 -21 Encouragement for States to Use t he Integrity Data Hub IDH available through the Unemployment Insurance UI Integrity Center issued May 5 2022 https wdr.doleta.gov directives corr doc.cfm DOCN 8412 TEN No. 15 -21 Announcing the National Association of State Workforce Agencies NASWA Unemployment Insurance UI Integrity Center s Behavioral Insights Toolkit issued November 17 2021 https wdr.doleta.gov directives corr doc.cfm DOCN 6799 TEN No. 13 -21 State Quality Service Plan Assurances Required for Disaster Unemployment Assistance issued October 19 2021 https wdr.doleta.gov directives corr doc.cfm DOCN 5710 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 Informati on 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 Implementa tion Progre ss 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 18 th 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 5 th Edition UI Report Handbook No. 401 July 2017 . 18. Attachment . Attachment I Measures Programs to be Addressed in the Fiscal Year FY 202 3 State Quality Service Plan SQSP . I-1Attachment I Measures Programs to be Addressed in the Fiscal Year FY 2023 State Quality Service Plan SQSP Core Measures Measurement Period Criteria FY 2023 Requirement First Payment Promptness Apr 1 2021 Mar 31 2022 87 CAP Nonmonetary Determination Time Lapse Apr 1 2021 Mar 31 2022 80 combined score CAP Nonmonetary Determination Quality Nonseparations Apr 1 2021 Mar 31 2022 75 CAP Nonmonetary Determination Quality Separations Apr 1 2021 Mar 31 2022 75 CAP Detection of Overpayments BPC Apr 1 2019 Mar 31 2022 BAM Oct. 1 2018 Sep. 30 2021 50 CAP 95 Narrative If rate over 95 is a result of improper administration of BAM and or BPC 95 CAP Average Age of Pending Lower Authority Appeals Apr 1 2021 Mar 31 2022 30 days CAP Average Age of Pending Higher Authority Appeals Apr 1 2021 Mar 31 2022 40 days CAP Lower Authority Appeals Quality Apr 1 2021 Mar 31 2022 80 CAP New Employer Status Determinations Time Lapse Jan 1 2021 Dec 31 2021 70 CAP Tax Quality Part A Jan 1 2021 Dec 31 2021 No more than 3 tax functions failing Tax Performance System TPS in a year CAP Tax Quality Part B Jan 1 2021 Dec 31 2021 The same tax function cannot fail for 3 consecutive years CAP Effective Audit Measure Jan 1 2021 Dec 31 2021 Score 7 and pass all 4 factors Narrative Improper Payments Measure BAM batches 202027 through 202126 10 CAP UI Overpayment Recovery Measure Jul 1 2020 Jun 30 2021 68 CAP I-2 Secretary s Standards in Regulation Measurement Period Criteria FY 2023 Requirement First Payment Promptness Intrastate 14 21 Days Apr 1 20 21 Mar 31 202 2 87 CAP First Payment Promptness Intrastate 35 Days Apr 1 20 21 Mar 31 202 2 93 CAP First Payment Promptness Interstate 14 21 Days Apr 1 20 21 Mar 31 202 2 70 CAP First Payment Promptness Interstate 35 Days Apr 1 20 21 Mar 31 202 2 78 CAP Lower Authority Appeals 30 Days Apr 1 20 21 Mar 31 202 2 60 CAP Lower Authority Appeals 45 Days Apr 1 20 21 Mar 31 202 2 80 CAP UI Programs etc. Measurement Period FY 2023 Requirement Data Validation Populations Modules Benefits and Tax Apr 1 2021 Mar 31 202 2 Results not submitted by August 10 202 2 CAP Failing incomplete submission by August 10 202 2 CAP Compliance with NDNH matching requirements for BAM Status as of March 31 202 2 CAP BAM operations not compliant with investigative and or method and procedure requirements including construction of valid samples and sample populations Based on the annual determination letter issued on or before May 1 2022 CAP Incorrect recording of the Issue Detection Date and or Determination Date Apr 1 20 21 Mar 31 202 2 Narrative TPS Sample Reviews Jan 1 20 21 Dec 31 20 21 CAP Reporting Deficiencies Narrative UI Program Integrity IAP