Employment and Training Administration Advisory System U.S. Department of Labor
Washington, D.C. 20210 |
CLASSIFICATION
UI CORRESPONDENCE SYMBOL OWS/OCTA/DPM DATE July 8, 2002 |
ADVISORY: | UNEMPLOYMENT INSURANCE PROGRAM LETTER NO.32-02 |
TO: |
ALL STATE WORKFORCE AGENCIES |
FROM: | GRACE A. KILBANE /s/ Administrator Office of Workforce Secruity |
SUBJECT: | Call Memo for the Fiscal Year (FY) 2003 Unemployment Insurance (UI) State Quality Service Plan (SQSP) |
1. Purpose. To initiate the FY 2003 SQSP process and to issue supplemental instructions for the State Workforce Agencies (SWAs) to use to prepare the FY 2003 SQSP.
2. References. Unemployment Insurance Program Letter (UIPL) No. 41-95, “Draft Narrative Describing the System for Enhancing Unemployment Insurance Performance: The ‘UI PERFORMS’ System;” UIPL No. 37-99, UI PERFORMS Tier I and Tier II Performance Measures and Minimum Performance Criteria for Tier I Measures; ET Handbook No. 336, 17th Edition, “Unemployment Insurance SQSP Planning and Reporting Guidelines;” Workforce Investment Act Final Rule, 20 CFR Parts 652, 660-671, and UIPL 27-02, “Government Performance and Results Act of 1993 (GPRA) Fiscal Year (FY) Unemployment Insurance (UI) Program Goals.”
3. Background. DOL implemented the SQSP nationwide in FY 2001. UIPL No. 41-95 describes the genesis of the UI performance system, UI PERFORMS, and the partnership principles on which it is founded. UIPL No. 37-99, dated July 1, 1999, established the minimum performance criteria for Tier I measures.
The SQSP approaches the
UI performance management and planning process with a focus on continuous
improvement, while leaving the budget reporting and planning process (Chapter
II of ET Handbook 336) largely unchanged from prior years. At the request of state partners, it
promotes an exchange of information between the Federal and state partners,
reflecting their joint commitment to continuous improvement and client-centered
services, with the objective of ensuring that key program administration
criteria are met. Core instructions for
the SQSP are contained in ET Handbook No. 336, 17th Edition. The Handbook is designed as a permanent
instruction for the annual planning and budget process in each state and
provides states with planning guidelines and instructions for reporting UI
financial and staff year information.
The annual Call Memo supplements those instructions and provides
guidance and instructions specific to the year in question.
RESCISSIONS | EXPIRATION DATE |
None | September 30, 2002 |
As one of the workforce
investment system partners, state UI programs may include five-year state UI
program planning information in State Workforce Investment Act (WIA) Unified
Plans. Such states assure that they
will participate in the annual UI PERFORMS SQSP process.
4. Federal Emphasis. As indicated in UIPL 41-95, one of the
Federal partner’s responsibilities is to provide stewardship of the UI system
as a whole, thus requiring a high degree of collaboration and information
sharing between the partners. The Call
Memo not only initiates the process for the states to use to prepare the annual
SQSP, it is the vehicle by which the Federal partner shares information that
identifies the areas in which the Employment and Training Administration (ETA)
will focus attention and resources for overall UI program planning. The five-year DOL and the ETA Strategic
Plans, as well as the DOL and ETA Annual Performance Plans (APPs), form the
basis for the Federal Emphasis. Required
by Congress under the Government Performance and Results Act of 1993 (GPRA),
the Strategic Plans and APPs are an integral part of the budget process. They are outcome-driven and require a
commitment from all DOL programs to attain expressed goals and outcomes.
The current DOL and ETA
Strategic Plans cover the period Fiscal Years (FY) 1999-2004. These strategic plans and the DOL and ETA FY
2003 APPs may be found on the DOL and ETA web pages (www.dol.gov
and www.doleta.gov), located within the “About
DOL” or the “About ETA” section.
In December 2001, ETA
redefined its goals to achieve a simple yet balanced expression of GPRA’s
intent to reflect UI’s benefit payment, tax and reemployment facilitation
responsibilities. The primary DOL
strategic goal under which the UI program may be found is A SECURE WORKFORCE
and the ETA goals that speak to this are under Outcome Goal 2.2, Protect
Worker Benefits:
Make timely and accurate
benefit payments to unemployed workers,
facilitate the
reemployment of unemployment insurance claimants, and
set up unemployment tax
accounts promptly for new employers.
Under Outcome Goal 2.2,
ETA’s FY 2003 APP identifies four performance goals, each with one indicator,
that focus on the objective of improving the operational performance and
effectiveness of the state UI programs in meeting the mission to provide
economic security for workers and their families. The achievement of the indicators by the end of the fiscal year
will determine the attainment of the following performance goals:
1. Payment Timeliness: 91 percent of all intrastate first payments
will be made within 14/21 days;
2. Payment Accuracy: Work to improve payment accuracy. A measure and baseline will be established in FY 2002;
3. Facilitate Reemployment: A measure and baseline will be established
during FY 2002 for the reemployment of UI claimants; and
4. Establish Tax Accounts Promptly: 80 percent of new employer
determinations of tax liability will be made within 90 days of the end of the
first quarter in which they become liable for the tax.
Performance goals
numbers 2 and 3 are under development and targets for FY 2003 will be announced
in a separate advisory.
Achieving these outcomes
requires the combined efforts of the Federal and state partners. ETA intends to foster and encourage
effective management and innovation, and to work cooperatively with states to
achieve continuous improvement rather than prescribing mandatory action.
5. Program Performance. Strategies to improve operational
performance are centered largely on the development and implementation of UI PERFORMS. DOL’s underlying strategic approach is to
focus efforts on raising the performance of states where performance is below
minimum criteria while continuing to develop and implement processes and
systems which support continuous improvement above such minimum performance
levels and promote performance excellence.
The Department will concentrate its technical assistance efforts in
states that repeatedly fall below the minimum criterion for Tier I measures.
States are reminded that
the SQSP design not only permits but encourages the development of multi-year
corrective action plans (CAPs) and continuous improvement plans (CIPs) so that
efforts which, due to their size, scope or complexity must extend beyond a
fiscal year, can be realistically portrayed.
Out-year portions of such multi-year plans need not provide quarterly
targets or milestones as are required for the SQSP year but should provide
sufficient information so that the anticipated progression of activity and
results is understood.
6. Performance Criteria for FY 2003. UIPL No. 37-99 establishes the minimum
performance criteria for Tier I measures and their effective dates and
indicates that changes in the First Payment and Lower Authority Appeals
Timeliness measures would depend upon promulgation of the final UI PERFORMS
regulation. Since regulations are still
pending, the Secretary’s Standards are still in effect for the FY 2003
SQSP. The attached table displays the
Tier I measures and effective dates.
7. Targeted Funding and Special Planning
Considerations for FY 2003.
Funds are included in the President’s budget request for the following
areas. Special instructions for these
targeted funds will be issued in separate advisories.
a. Remote UI Access Grants. The budget request contains $9 million for
grants that promote access to the UI system by telephone, Internet or other
remote means.
b. Reemployment Service Grants to States. The FY 2003 ETA budget request for Employment
Service (ES) grants to states includes $35 million for grants to states to
provide reemployment services to UI claimants.
These funds are allocated to each state employment service agency
largely on the basis of UI first payments.
8. Funding Period. Proposed appropriation language provides
for obligation of FY 2003 UI allocations by states through December 31, 2003
(with 90 additional days to complete expenditure of funds). However, states may obligate FY 2003 UI
funds through September 30, 2005, if such obligations are for automation
acquisitions. Therefore, the end of the
FY 2003 funding period is December 31, 2003, for UI regular allocations, and
September 30, 2005, for automation acquisitions.
9. Data Availability. The Regional Office (RO) will provide
states with data reports to judge performance against the Tier I and Tier II
measures and the GPRA goals. States may
also access current performance data on the Internet at https://ows.doleta.gov.
10. Deadline for State SQSP Submittal. Each RO will set a deadline for states
to submit their SQSPs for FY 2003 that balances the time needed for the states
to prepare their respective SQSPs and the time needed for the RO review.
11. Electronic Submission of the SQSP. States are encouraged to submit the SQSP
electronically but should contact the RO SQSP Coordinator prior to submittal to
identify and coordinate specific details.
Generally, plans may be submitted in MS Word 2000 or an earlier
version. Standard forms required as part
of the budget reporting process (Chapter II of ET Handbook 336) are available
in PDF format and may be downloaded from the Office of Management and Budget
website at www.omb.gov. If electronic signatures are approved by
the state for use in the submission of legal documents to the National Office
and ROs, states may submit the SQSP signature page electronically. States that do not submit an electronic
signature page must submit the signature page in hard copy by mail or facsimile
by the deadline set by the RO.
12. Action Required. State Administrators are requested to:
a. Make this information available to
appropriate staff;
b. Prepare their SQSP in accordance with this
UIPL and the planning and reporting
instructions contained in ET Handbook No. 336,
17th Edition;
c. Ensure state review of and commitment to
plans submitted;
d. Coordinate specifics with the appropriate
RO, if electing to utilize electronic submission of the plan; and
e. Submit FY 2003 SQSP to the appropriate RO by
the date specified by the Regional Administrator.
13. Inquiries. Questions should be directed to the
appropriate Regional Office.
14. Attachment. Tier I Measures Criterion Table.