Attachment to
UIPL 6-87
Quality Control Special Studies
Q. What is a Special Study?
A. Special studies are a means by which SESAs may direct some of their QC resources to investigate specific aspects of the UI claims process. They can be classified into general areas. The following descriptions are illustrative only and do not exhaust projects that would be considered special studies.
1) Modification of the Sampling Methodology. SESAs might find it more efficient to adopt a cluster sampling or stratified sampling design in response to the geographic distribution of the workload, seasonal pattern of claims, or economic characteristics of the SESA (for example, claims concentrated in a few industries).
2) Augmented Samples. SESAs might want to increase the sample size to investigate a particular characteristic or problem. This could involve increasing the sample size for claims processed in specific local offices, where error rates are high, or examining claims in certain industries that are prone to higher than average error rates.
3) Data Analysis. SESAs might want to collect additional data for analysis. For example, SESAs might investigate the relationship between processing errors and seasonal, demographic, or UI system factors. These statistical studies might require special data collection efforts in addition to the core QC program.
Q. Can Special Studies be a test of a new system or procedure or undertaken for corrective action purposes?
A. No, Special Studies by definition are not in themselves corrective action but comprise additional or supplemental data gathering from a sampling of work products.
A new system or procedure could be the subject of a Special Study. For example, a Special Study could evaluate the effectiveness of the new system or procedure, by reviewing the quality of the work produced or examining its process. The development or implementation of the new system or procedure would not be approved as a Special Study, however, unless the development involved the analysis of the QC data (e.g., an error-prone profile).
Q. Is there a limit to the number of Special Studies that a SESA can undertake?
A. There is no limit other than the very practical one of the financial resources available to the SESA.
Q. Is there a limit to the duration or time period needed to complete a Special Study?
A. The Department has not established any arbitrary limits on the duration or time frame for a Special Study. The duration of a Special Study will be established by the mutual agreement of the SESA and the Federal partner in the approval process.
Q. Can Special Studies be approved by the Regional Office and/or can a Special Study request be sent directly to the National Office?
A. All Special Study proposals must be sent to the appropriate Regional Office for review. Regions will comment on the Special Study, and within to working days will submit to the National Office the SESA proposal and regional comments. The National office is the approving organization.
Q. Can a Special Study proposal consist solely of a review of prior cases for additional operational data and analysis?
A. No, SESAs were given resources for an analyst position to conduct analysis of QC case datA. The review of closed cases to gain additional insight into operational issues is the on-going responsibility of the QC staff and would not qualify as a special study.
Q. Can Special Study proposals be reviewed in draft to reduce SESA work on a proposal that would not be approved anyway? Will the Regional Office or National Office work with a SESA to develop a proposal?
A. Yes, the National Office and Regional Office can work with a SESA to develop a proposal. The National Office is willing to review or comment on draft proposals and/or assist in the preparation of final proposals.
Q. Are there ways to get a Special Study approved other than by the preparation of a proposal?
A. No, there is no procedure for prior or informal approval of a Special Study proposal.
Q. Would strictly "research type" studies be approved?
A. For the most part, research studies would go beyond the scope of QC Special Studies. Special Studies should be designed to evaluate UI work products and gather data regarding the effectiveness of that process.
Q. Would a Special Study to do error prone profiling be approved?
A. Profiling is an area where a Special Study can be approved. The function of developing a profile from QC data is a likely assignment for the analyst and the testing of the profile could be accomplished by using the profile on the normal QC sample prior to investigation to identify claimants with a high probability of error. The analysis of the effectiveness of the tested profile would also be a QC analyst function.
Q. Is there a time period for submitting proposals each year?
A. Proposals can be submitted at any time.
Q. Can a Special Study apply to only one SESA or must it address issues that apply to several SESAs?
A. Special Studies are generally envisioned to provide more detailed or specific data on SESA specific issues and do not have to apply to other SESAs. Joint Special Studies have not been precluded.
Q. Are reports, data, and analysis resulting from Special Studies required to be submitted to the National Office? If yes, is the information to be held confidential or will it be made public?
A. Reports, data and analysis from Special Studies will be required by the National Office. The data will be protected as SESA data and requests for-access to any data would be referred to the SESA. The procedures and methods used in the Special Study, however, may be made available to other SESAs to assist them in their attempts to resolve similar issues.
Q. Can a SESA create a permanent Special Study staff that would work on evaluating QC activities without approval for specific special studies?
A. As stated in UIPL 29-86, in order for a SESA to implement a Special Study, it is necessary for the SESA to submit a specific proposal to the Regional Office for approval by the National Office. Each Special Study must be submitted for approval on an individual basis. Therefore, in order to maintain a permanent Special Study staff, it would be necessary for the SESA to continuously submit and receive approval for a new Special Study that would start immediatley upon completion of the preceding Special Study.
Q. If a-SESA's QC investigators can finish their QC cases fast enough, can they use the extra time available to conduct Special Studies that have not been approved ?
A. If the SESA's QC unit completes all of their assigned QC cases according to the ETA methodology, they can perform any other UI function with their extra time. SESAs are encouraged, however, to at least consult with the National office before undertaking any activities that are of the same scope as Special Studies. One of the reasons for the Special Study proposal review process is to insure that proper statistical techniques are being implemented. Without this review, a SESA could conceivably spend a great deal of time and effort on a study and not be able to produce statistically valid results.
Q. Is it possible that a SESA could be denied approval for a Special study because all of the funding has been allocated to Special Studies in other SESAs?
A. No, since there is no "national pool" of Special Study funds. Each SESA receives its allocation for core QC investigations. It can only divert some of this allocation if a Special Study has been approved. There are no additional resources per se to be distributed for Special Studies.
Q. Would it be possible for a SESA to have a Special Study approved that would involve utilizing persons outside of the QC unit, such as from another unit within UI?
A. Whatever resources a SESA wants to use for a Special Study beyond the QC unit is a SESA decision.
Q. Are there any plans to provide a system whereby all SESAs will know what Special Studies in other SESAs have been approved, as well as what the results are from the evaluation of completed Special Studies?
A. Data from Special Studies will not be shared with other SESAs without SESA approval. Requests for results will be referred to the SESA doing the Special Study. Special Study methods and topics will be available to other SESAs.