81 FR 42729 - Agency Information Collection Activities; Comment Request; Unemployment Insurance Benefits Operations State Self-Assessment Report of Responses

DEPARTMENT OF LABOR
Employment and Training Administration

Federal Register Volume 81, Issue 126 (June 30, 2016)

The Department of Labor (DOL), Employment and Training Administration (ETA) is soliciting comments concerning a proposed extension for the authority to conduct the information collection request (ICR) titled, ``Unemployment Insurance Benefits Operations State Self-Assessment Report of Responses.'' In 2014, ETA embarked on a major multi-year initiative to reengineer its program accountability processes for state unemployment insurance (UI) benefits operations by integrating peer reviews with new operational review processes that recognizes both Federal and state capacity and ensures that the UI program is administered with a focus on accountability and integrity. Recognizing the need to assess and adequately monitor state UI benefit program operations in the 53 jurisdictions with state UI programs, the ETA has developed a new comprehensive state self-assessment tool, which is a set of questionnaires related to state UI benefits operations. The new collection has two distinct and complimentary purposes: (1) Assisting state UI agencies in making improvements to their UI benefits operations; and (2) assisting ETA in oversight and monitoring of state UI benefit program operations. This comment request is part of continuing Departmental efforts to reduce paperwork and respondent burden in accordance with the Paperwork Reduction Act of 1995 (PRA), 44 U.S.C. 3501 et seq.

[Federal Register Volume 81, Number 126 (Thursday, June 30, 2016)]
[Notices]
[Pages 42729-42730]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-15467]



[[Page 42729]]

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DEPARTMENT OF LABOR

Employment and Training Administration


Agency Information Collection Activities; Comment Request; 
Unemployment Insurance Benefits Operations State Self-Assessment Report 
of Responses

ACTION: Notice.

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SUMMARY: The Department of Labor (DOL), Employment and Training 
Administration (ETA) is soliciting comments concerning a proposed 
extension for the authority to conduct the information collection 
request (ICR) titled, ``Unemployment Insurance Benefits Operations 
State Self-Assessment Report of Responses.'' In 2014, ETA embarked on a 
major multi-year initiative to reengineer its program accountability 
processes for state unemployment insurance (UI) benefits operations by 
integrating peer reviews with new operational review processes that 
recognizes both Federal and state capacity and ensures that the UI 
program is administered with a focus on accountability and integrity. 
Recognizing the need to assess and adequately monitor state UI benefit 
program operations in the 53 jurisdictions with state UI programs, the 
ETA has developed a new comprehensive state self-assessment tool, which 
is a set of questionnaires related to state UI benefits operations. The 
new collection has two distinct and complimentary purposes: (1) 
Assisting state UI agencies in making improvements to their UI benefits 
operations; and (2) assisting ETA in oversight and monitoring of state 
UI benefit program operations.
    This comment request is part of continuing Departmental efforts to 
reduce paperwork and respondent burden in accordance with the Paperwork 
Reduction Act of 1995 (PRA), 44 U.S.C. 3501 et seq.

DATES: Consideration will be given to all written comments received by 
August 29, 2016.

ADDRESSES: A copy of this ICR with applicable supporting documentation; 
including a description of the likely respondents, proposed frequency 
of response, and estimated total burden may be obtained free by 
contacting Betty Castillo, Chief of the Division of Unemployment 
Insurance Operations, by telephone at (202) 693-3029, (this is not a 
toll-free number), TTY 1-877-889-5627, or by email at 
[email protected].
    Submit written comments about, or requests for a copy of, this ICR 
by mail or courier to the U.S. Department of Labor, ETA Office of 
Unemployment Insurance, FPB Room S-4524, 200 Constitution Ave. NW., 
Washington, DC 20210; by email: [email protected]; or by Fax (202) 
693-3229.

    Authority: 44 U.S.C. 3506(c)(2)(A).

SUPPLEMENTARY INFORMATION: The DOL, as part of continuing efforts to 
reduce paperwork and respondent burden, conducts a pre-clearance 
consultation program to provide the general public and Federal agencies 
an opportunity to comment on proposed and/or continuing collections of 
information before submitting them to the Office of Management and 
Budget (OMB) for final approval. This program helps to ensure requested 
data can be provided in the desired format, reporting burden (time and 
financial resources) is minimized, collection instruments are clearly 
understood, and the impact of collection requirements can be properly 
assessed.
    The self-assessment report contains responses to a series of in-
depth questions on functional and program areas within state UI 
benefits operations. ETA has developed questionnaires for the following 
fifteen functional and program areas within UI benefit operations: (1) 
Adjudications/Benefits Timeliness and Quality Reviews; (2) Benefit 
Payment Control; (3) Continued Claims and Eligibility Reviews; (4) Data 
Validation; (5) Disaster Unemployment Assistance; (6) Intake Claims--
Unemployment Compensation for Ex-Servicemembers; (7) Intake Claims--
Unemployment Compensation for Federal Employees; (8) Intake Initial 
Claims--Combined Wage Claims; (9) Intake--Initial Claims; (10) Internal 
Security; (11) Lower Authority Appeals and Higher Authority Appeals; 
(12) Overarching Operational Matters; (13) Short-Time Compensation; 
(14) Trade Readjustment Allowances; and (15) Worker Profiling and 
Reemployment Services and Reemployment Services and Eligibility 
Assessments. Each functional or program area questionnaire of the self-
assessment tool covers nine operational elements (where applicable for 
the specific functional or program area). The operational elements are: 
(1) Procedures, Policies and Confidentiality; (2) Training; (3) 
Workload Analysis and Management Controls; (4) Performance Management; 
(5) Information Technology; (6) Claimant and Employer Access and 
Communication; (7) Operational Efficiency and Resource Allocation; (8) 
Staffing and Merit Staffing; and (9) Fiscal Management. Instructions 
have also been developed describing the overall use of the tool as well 
as separate sets of instructions for each functional or program area 
questionnaire.
    As previously noted, the new Unemployment Insurance Benefits 
Operations State Self-Assessment Report of Responses has two distinct 
and complimentary purposes: (1) Assisting state UI agencies in making 
improvements to their UI benefits operations; and (2) assisting ETA in 
oversight and monitoring state UI benefit program operations.
    State Use: At the conclusion of the self-assessment review, the 
results should be shared with state UI Administrators and appropriate 
program managers. The state's practices in all functional or program 
areas should be reviewed thoroughly to identify issues which may be the 
cause of poor operational performance as well as areas where the state 
is performing well. If training needs are identified, appropriate 
training curriculum should be developed and delivered to staff. The 
functional and program area questions may also be used to identify 
policies and procedures that are outdated and which should be brought 
up-to-date and published for appropriate staff to use. Use of self-
assessment data can help to create a culture that supports both 
positive and negative feedback in planning and managing change. 
Administrators should also use the review results as a means to confirm 
the state's proper use of merit staff, its management of administrative 
grant funds, its continuity of operations plans, and other related 
business practices that are essential to the state's benefits 
operations. The state agency leadership should also use the self-
assessment review results to identify any successful or promising 
practices occurring in the state UI operations that can be shared with 
other states. Such identified practices can be shared on the UI 
Community of Practice operated by ETA.
    ETA Use: The state self-assessment responses will support periodic 
reviews conducted by ETA staff, by which they assess the state's 
activities in relation to State and Federal laws and regulations, 
including the state's compliance with Federal requirements. The 
information gathered from the self-assessments will enable ETA Regional 
Office staff to work with the state to identify areas where performance 
improvements are needed. The results will be used to inform ETA's 
technical assistance efforts nationally and with individual states, and 
will enable a more robust and effective

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collection and dissemination of state best practices. Information on 
states' operational issues that will be gathered from the report of 
responses of the states' self-assessments, as well as information on 
the states' timeliness and quality performance measures, improper 
payment rates, and information from ETA Regional Office monitoring and/
or technical assistance efforts, will be used by ETA in identifying 
``high priority'' states. States that are deemed to be ``high 
priority'' will be subject to more intensive monitoring and technical 
assistance from ETA related to its benefits operations and the state 
will be required to address identified issues in a corrective action 
plan submitted as part of the State's Quality Service Plan.
    Section 303(a)(6) of the Social Security Act, 42 U.S.C. 503(a)(6) 
authorizes this information collection.
    This information collection is subject to the Paperwork Reduction 
Act (PRA). A Federal agency generally cannot conduct or sponsor a 
collection of information, and the public is generally not required to 
respond to an information collection, unless it is approved by the OMB 
under the PRA and displays a currently valid OMB Control Number. In 
addition, notwithstanding any other provisions of law, no person shall 
generally be subject to penalty for failing to comply with a collection 
of information that does not display a valid Control Number. See 5 CFR 
1320.5(a) and 1320.6.
    Interested parties are encouraged to provide comments to the 
contact shown in the ADDRESSES section. Comments must be written to 
receive consideration, and they will be summarized and included in the 
request for OMB approval of the final ICR. In order to help ensure 
appropriate consideration, comments should mention the ``Unemployment 
Insurance Benefits Operations State Self-Assessment Report of 
Responses.''
    Submitted comments will also be a matter of public record for this 
ICR and posted on the Internet, without redaction. The DOL encourages 
commenters not to include personally identifiable information, 
confidential business data, or other sensitive statements/information 
in any comments.
    The DOL is particularly interested in comments that:
     Evaluate whether the proposed collection of information is 
necessary for the proper performance of the functions of the agency, 
including whether the information will have practical utility;
     Evaluate the accuracy of the agency's estimate of the 
burden of the proposed collection of information, including the 
validity of the methodology and assumptions used;
     Enhance the quality, utility, and clarity of the 
information to be collected; and
     Minimize the burden of the collection of information on 
those who are to respond, including through the use of appropriate 
automated, electronic, mechanical, or other technological collection 
techniques or other forms of information technology, e.g., permitting 
electronic submission of responses.
    Agency: DOL-ETA.
    Type of Review: ``NEW''.
    Title of Collection: Unemployment Insurance Benefits Operations 
State Self-Assessment Report of Responses.
    Form: Not Applicable.
    OMB Control Number: XXXX-0NEW.
    Affected Public: State Government.
    Estimated Number of Respondents: 53.
    Frequency: Annually.
    Total Estimated Annual Responses: 53.
    Estimated Average Time per Response: 2,080 hours.
    Estimated Total Annual Burden Hours: 110,240 hours.
    Total Estimated Annual Other Cost Burden: $8,902,982.20.

Portia Wu,
Assistant Secretary for Employment and Training, U.S. Department of 
Labor.
[FR Doc. 2016-15467 Filed 6-29-16; 8:45 am]
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