1 UI Integrity Center UI Directors’ Conference October 6, 2016 New Orleans, LARANDY – Michael is making us a new PowerPoint background that matches our new logo.

2 Center Organizational Structure

3 NASWA/CESER UI Integrity CenterRandy Gillespie Project Director Jim Van Erden Sr. Policy Advisor NASWA/CESER UI Integrity Center Amy Smith Assist. Project Director/ Training Academy Project Manager Michelle Marshel Marketing/ Communications Brian Langley State Engagement Project Manager Sara Hall Phillips Digital Library Project Manager James Cotter Data Hub Project Manager Jon Rickert Portal Administrator Subject Matter Experts Kristin White Digital Library SME Jody McMillan UI IT SME Shirley Gresham Lead Instructional Designer Christine Paquette UI SME Karen Carter Digital Library SME Mark VanOrden IT Consultant 5 Instructional Design Professionals Bill Starks UI SME Maria Noble BPC SME Laura Boyett UI SME

4 Integrity Center Steering Committee5/9/2016 NASWA Members State Title Appt Thru Neil Gorrell Chair WA Employment System Policy & UI Director 12/31/2016 Bradford Ward Vice Chair TX Director II, Office of Investigations 12/31/2017 Jeff Fitzgerald CO UI Director Tom Clendenning FL Director Workforce Services Brenda Nordlund MT Administrator UI Division Evan Littrell NE UI Administrator Benefits Ron Marino NJ Assistant Commissioner Income Security Mickey Ford OH UC Program Administrator Beth Townsand IA Director, Iowa Workforce Development Michelle Beebe UT USDOL Members Brad Wiggins USDOL UI Mgmt. & Program Analyst TBD Subri Raman Div. Chief, Pgm Mgt NYSDOL Members Jim Konicki NY Director of UI Integrity and Quality Control

5 Key to the Center’s overall strategy is to provide easy access to the Center’s tools, services and products via its webpage. The screen shows a draft of the design for our new webpage which is currently under development. Main Page will be the Integrity Page on the UI CoP Single Sign-On Credentials Sub-pages for each major center initiative

6 Login to Workforce GPS website and navigate to UI CoPSelect the Integrity tab to enter the UI Integrity Center website

7 Where: Sheraton Hotel Inner Harbor, Baltimore MarylandWhen: December 7 - 8, 2016 This year’s event theme will focus on innovative solutions that address the root causes of improper payments, successful recovery, prosecution and misclassification efforts, and the progress of UI Integrity Center initiatives and center funded state projects.

8 UI Integrity Investment Improvement Funding2016 Funding Awards: 22 applications were received, total requests of $3.4m Center awarded grants totaling $1.7 million to 8 states Integrity strategies funded include: data matches with public or private sources of information, IP address blocking, identity verification, data visualization and analytics, and behavioral economics in new claimant messaging tools.

9 UI Integrity Investment Improvement FundingPurpose of Pilot Evaluation Reports: Document the processes, procedures, and lessons learned Assess the impact of the pilot on project on integrity outcomes Capturing results that show something doesn’t work is just as important as capturing aspects of the project that work well Pilot Results will also support three broader areas of work for the Center: State integrity portfolio database to maintain awareness of ongoing state integrity initiatives; Documenting lessons learned for the UI Digital Library (UIDL); Successful strategies for the model integrity operations blueprint

10 UI National Integrity Academy

11 Certificates & Career PathwaysThe Academy currently has four of the training certificates under development: UI Operations Integrity UI Fraud Investigations UI Tax Audits UI Program Leadership UI Data Analytics (will begin in 2017)

12 UI Fraud Investigation CertificateTraining for Emerging & Experienced Fraud Investigators UI Fraud Investigations Certificate Fundamentals of Integrity for Fraud Investigators Basic Fraud Investigation instructor led training (3 days) Assess & Prioritize Cases Collect & Weigh Evidence Analyze Data & Test Theories Make & Document Cases Support Appeals & Prosecutions The Fraud Investigation Certificate is the closest to completion. This certificate is appropriate for both new and seasoned fraud investigators. For new fraud investigators, we have built an elearning module designed to ground the learner in basic integrity concepts. The Fundamentals course was completed earlier this year. Then, we have built a 3 day Instructor Led Basic Fraud Investigation course that we are ready to pilot. The state of Maryland has agreed to be our pilot state. The class will be held in Baltimore November 1-3, 2016. We had an overwhelming response for the 24 training slots available so we are planning an overflow class to be held in Maryland sometime later this year. Once the pilot is complete, we will be ready to begin offering the course regionally. We will publish a schedule in the near future. If you are interested in sending staff, please contact your state liaisons. The instructor-led course is divided into five modules taught over the three days. Assess and Prioritize Cases Collect and Weigh Evidence Analyze Data and Test Theories Make and Document Final Determination Support Appeals and Prosecution

13 Fraud Investigations CertificateClass Activities Scenarios applying critical thinking and decision-making skills Class discussions and peer-to-peer presentations Analysis of sample phone interview and other audio clips Interview role-playing The instructor-led course is very interactive and engaging. We use a variety of strategies to engage the learner: Scenarios based on real cases, class discussions and learner presentations, analysis of recorded interviews, role-playing and practice through the analysis of case studies designed to mimic a real fraud investigation. (The colored boxes on this screen will build as Laura talks (& clicks) each one) Case studies Develop theories based on initial data Create an evidence-gathering plan Analyze evidence and decide next steps Make a final determination

14 Fraud Investigations CertificateInternet Search Tools for UI Fraud Investigations URLs and tools for: People search engines Court/incarceration records Social media Address views Locator tools Death records And more… We built this course with the intent of making it useful and applicable to the daily job activities of a UI Fraud Investigator. To that end, we developed a number of tools and job aids that are designed to be used outside of the training environment, on the actual job. Examples include checklists, written steps, flow charts, tables, and work sheets. This job aid lists websites and Internet tools that are particularly helpful for UI fraud investigators. One example is the list of websites that can help an investigator see the external view of an address and confirm that an address actually exists. (Note: This screen has an animation that blows up a section of the document. Wait for it. )

15 Fraud Investigations CertificateOther Checklists and Job Aids Interviewing Techniques Supporting an Appeal Supporting a Prosecution Writing a Case Report We have created other tools and checklists learners can take back and use on the job Examples include a tool on interviewing techniques and checklists on the steps Fraud Investigators should take to support appeals, prosecutions and to write strong case reports.

16 UI Fraud Investigation CertificateTraining for Emerging & Experienced Fraud Investigators UI Fraud Investigations Certificate Scalable eLearning modules covering specific topics Identity Theft Schemes Fictitious Employer Schemes Employer Fraud Schemes Modules are case study driven simulations Case studies are based on real & recent cases (identifying information has been changed) The certificate is capped off with the three Complex UI Fraud Investigations eLearning simulation modules. These modules address: Identity Theft Schemes Fictitious Employer Schemes Employer Fraud Schemes. The modules are designed to be taken by experienced fraud investigators or new fraud investigators who have completed the Fundamentals and ILT trainings. The cases are based on real life, current cases (identifying information changed) provided by state SMEs and require a learner to make decisions and respond to questions based on the information provided.

17 How Can My Staff Access Training?Before Academy webpage launch Contact your State Liaison for enrollment assistance Training to be released on rolling schedule starting late 2016 through 2018 and beyond In addition to the fraud investigation certificate, we are actively developing the course modules and lessons for the other 3 certificates. Training will be released on a rolling schedule through 2018 and beyond as we identify other needed training topics. As Randy showed you previously, the Center is launching its homepage soon. The Academy will have its own webpage accessible via the Center’s homepage. Until the Academy’s webpage is launched, contact your state liaison for enrollment information and assistance.

18 Integrity Academy EnrollmentAfter Academy webpage launch Learners access training through Academy’s web portal Enrollment requires supervisor approval Learning Management System assigns training based on user’s role & enrollment request All learner’s will enroll through the Integrity Center’s web portal using the Academy tab Supervisor approval of registration is required. - Helps management oversee staff activities Learning Management System assigns training based on enrollment application. Learning Management System (LMS) manages the administration and delivery of the Academy’s courses. This platform enables state staff to: Access eLearning on their own schedule Identify and participate in instructor-led training opportunities Access supplemental course materials

19 What Can My Staff Do Now To Prepare?Update registrations with the UI Community of Practice https://www.workforcegps.org/ Watch for outreach material for specific information on courses and their availability Watch for the launch of the Academy’s webpage Watch for the Academy’s online enrollment portal

20 State Engagement EffortsUnemployment Insurance Integrity Detailed Assessment Report October 2016 Unemployment Insurance Integrity Assessment Report October 2015

21 State Engagement Efforts

22 State Engagement Efforts

23 State Engagement Efforts

24 Suspicious Actor Repository (SAR)The SAR is envisioned to collect “suspicious actor” information and aggregate a master file Compare claims Perform queries The SAR will serve as the foundation for the Integrity Data Hub (IDH) Interfaces to additional databases for cross-matching Support expanded data analysis/analytics

25 SAR Operation Collect Suspicious Actor Data Perform Query/Matching Data entry screen Upload (.csv, .xls) SAR Login Bus. Rules/ Due Diligence SAR Tab Collect Suspicious Actor Data State ID Address Phone Bk Acct + Rtg IP + Time Stamp State Eff Date Inactive Date Suspicious Actor Data Elements SAR dBase Created D/T Modified D/T State UI System Bus. Rules/ Due Diligence ID 3 Address Phone Bk Acct + Rtg IP + Time Stamp State Eff Date Inactive Date ID 2 ID 1 Engine (Basic Xmatch) Parsed Initial & Continued Claims State UI System Perform Query/Matching ID 1 Address Flag, # - St , # - St. ID 3 IP + Time, #-St Report Slide shows the framework of the SAR as it is currently being developed. A more detailed presentation of the SAR will occur as we progress in its development. State POC data SAR Login 1-off query entry screen Real-Time

26 SAR Pilot States Maryland Nebraska Montana Idaho Utah New York FloridaTexas Iowa (recently added) Update Mark’s title and contact information

27 SAR Benefits Leverages the efforts of multiple workforce agenciesFocuses on addressing identity theft Provides expanded visibility into potential multi-state fraud activity Automated flagging of suspicious data Designed for ease of implementation by all states Size Technology Allows states to process the information as appropriate Utilizes a flexible architecture to provide expanded capability

28 SAR Development

29 SAR Timeline Jan 16 Feb 16 Mar 16 Apr 16 May 16 Jun 16 Jul 16 Aug 16Sep 16 Oct 16 Nov 16 Dec 16 Jan 17 Feb 17 Mar 17 Requirements Dev. Technical Arch./Design Development Testing Documentation Go Live ID/Engage Pilot States Establish Agreements Validate Requirements with States Evaluation Base Functional Rqmts. Architecture/Detailed Design Final System Development ID Technical Resources Testing Documentation Go Live SAR Announcement Kickoff Roles/Data Sharing Functionality/Reporting/User Interface Evaluation

30 IDH Vision SAR RFI

31 UI Digital Library for Integrity (UIDL)Sara: The UI Digital Library for Integrity will be a consolidated online repository of unemployment insurance integrity information. The UIDL will be integrated and accessible through the UI Community of Practice. The primary purpose of the library is to offer states access to comprehensive resources that will support their efforts to prevent and detect improper payments and fraud, and recover any improper payments made within their UI programs. We want the library be a one-stop shop for UI integrity information that is easy to use and search, and that assists states in doing their jobs. We also hope that our users might be inspired by what they see and learn there, and that they will come away with ideas for new integrity initiatives in their own states.

32 Ideas. Information. Inspiration.Why a Digital Library? Consolidated Organized Easy to search and save Librarian support Ideas. Information. Inspiration. Sara: The library will be a consolidated space for relevant integrity resources, making it easier to find items of interest and necessity. You will be able to use the library to learn what other states have been doing, and to get new ideas for integrity initiatives and tools. We also expect that the library will save you time, because it will bring together helpful resources that are well-organized and easily searchable, so you won’t need to look in so many different places for integrity information. The library also will allow users to establish accounts to save resources of particular interest to the user. The UIDL will be actively managed by dedicated librarians who will continuously develop the collections. One of the things that makes the UIDL unique is that the librarians are working collaboratively with members of the UI community to understand the specific research needs they have that the UIDL can serve. I’d like to introduce you to one of our librarians now, and invite her to say a few words. Please meet Kristin White…

33 Meet Our Librarians! Karen Carter Kristin WhiteMasters of Library and Information Science Rutgers University Kristin White Masters of Library and Information Science University of Denver Hi, I am Kristin, nice to meet you! I am a DLSME working on the development of the UIDL. I have been a digital librarian since 2011. Karen Carter is the other DLSME working on this project. She also a digital librarian and has been working in information services for over 10 years. Our role is to actively support the research needs of the library users to ensure the best user experience possible. We are here to be a resource for the UI community and to assist with all technical aspects of the UIDL. Basically, we are here to help you all be more awesome than you already are!

34 Helpful Collections Survey Question: Out of the following library collection categories, which do you think will be most helpful to you in your position? (Please select all that apply) Kristin: As we work through the development of the library, a primary focus is on making sure that it contains content that will be beneficial to our UI community users. We want the UIDL to be a *used* resource. The UI Integrity Center recently released an online content survey to a wide variety of UI staff in leadership and integrity-related positions. The survey was targeted towards better understanding what types of library resources would be useful to UI staff in different positions. [The survey targeted UI Directors, Tax Chiefs or Supervisors, Benefits Chiefs or Supervisors, Appeals Chiefs or Supervisors, Policy or Legislative Staff, BAM supervisors, BPC supervisors, Auditor supervisors, Recovery supervisors]. We received an outstanding number of responses from 192 individuals in 27 states, plus Washington, DC, and Puerto Rico – this was an amazing response, so thank you very much! In one of the questions, we asked respondents to tell us which library collections would be most helpful to them in their positions. Respondents were allowed to select more than one answer, which is why the percentages shown here exceed 100%. As you can see, the top 5 responses were: Root Causes The UI Program Knowledge Bank Benefit Fraud Successful Practices & Innovation And, the top response was, Laws & Legislation The UI Program Knowledge Bank will include Integrity Case Studies, Legacy Stories, Lessons Learned, State Testimonials, and a sub-collection called “My Best Mistake.” The purpose of this collection is to try capture and share the tacit knowledge of the staff who operate the key processes to support continuity and effective and successful UI operations. We expect this to be especially useful as tenured UI staff in the state and federal systems approach retirement, and as UI programs undergo the cyclical staffing changes or reorganizations that occur with shifts in workload and funding. If we do a deep dive into the Successful Practices & Innovation collection, we will find a robust collection of resources that describe different things the states have done to improve integrity through their administrative operations, appeals, benefits, and tax areas, or through partnerships established with other states, agencies, or other entities. We are also planning for the Laws & Legislation collection to contain both enacted law, as well as introduced legislation from both the state and federal levels. This collection also will include legislative analysis. A core focus of our efforts throughout the library has been to ensure that the resources it contains will help states in their integrity programs. We really want to make sure that this is a library of, by, and for the UI community.

35 Information Tool Survey Question:If you had access to a library dedicated to unemployment integrity today, what types of information or research would you look for? Kristin: In trying to understand what kinds of resources would draw state UI people to the UI Digital Library, we posed this question in our recent survey: If you had access to a library dedicated to unemployment integrity today, what types of information or research would you look for? This word cloud shows a portion of the results. Some of the themes that came up again and again were: Best practices in all aspects of the UI program – survey respondents mentioned everything from the level of audit criteria selection, to guidance, laws, and legislation. Recovery practices Practices in combatting UI fraud Root cause analysis Another theme that came up repeatedly was a desire to understand how other states are handling things – how other states respond to IRS regulations regarding certified PEOs; what other states are doing to educate employers about misclassification; how other states handle BAM cases and use BAM info to improve integrity in their UI programs. So, a key point came out of this survey, and I really can’t emphasize this enough – you love it when other states share their information. YOU LOVE IT WHEN OTHER STATES SHARE THEIR INFORMATION. And who wouldn’t? When you’re facing a challenge, or trying to figure out how to implement a complicated regulation or a new program, or trying to get new ideas to move the needle on a particular root cause – what would be better than to be able to tap into the diverse collective wisdom of your community? That is what makes UI conferences so amazing. It’s the networking, it’s the relationship building, it’s the information that is shared, and it’s the opportunity to step outside the experience of your own state and hear about how others are approaching the same or similar challenges. And that’s what we want to do with the UI Digital library. We want it to be a space where you can not only go to access bread and butter resources like federal guidance and integrity data, but where you can also go to learn about how different state UI programs are trying to improve program integrity and reduce their IP rates. The UI Digital Library for Integrity will be a virtual resource to learn about diverse tools and practices for integrity.

36 How Can I Use the Digital Library?Access Content: Learn about other states’ tools, practices, and initiatives Research law and legislative trends View data and reports Access federal guidance and handbooks Read articles and studies Review conferences, presentations, and webinars Read/watch others’ legacy stories and lessons learned from integrity initiatives Sara: So, there are lots of different types of content that the library will include… You’ll be able to learn about other states’ tools, practices, experiences, and initiatives Research state and federal laws, as well as legislative trends You’ll also be able to use the library as a one-stop shop through which you can access integrity-related data, reports, and federal guidance and handbooks Read news articles, view media videos, read studies and reports released by governmental agencies or non-profit organizations From the library, you’ll also be able to view the videos and presentations from conferences, or listen to the recordings from webinars You’ll also be able to read or watch others’ legacy stories – that valuable knowledge that comes from years of working in the program – and consider the lessons learned from other states’ integrity initiatives – what went well, and what they learned from the process. We hope that the library will bring virtual access to the kind of resources that currently are most easily accessed through conferences: Again, Ideas. Information. Inspiration.

37 How Can I Use the Digital Library?Leverage the Library’s Features: Save resources Share resources Sign up for RSS Feeds Chat with librarians Submit or suggest new resources Sara: Here are some of the things that users will be able to do as they access resources through the UI Digital Library And as I say all this, please know that the library will continue to grow and change over time – adding both new features and new resources. To begin with, the UIDL will allow users to: Save resources to your individual user account Share resources with others via Stay on top of particular topics, by signing up for RSS feeds to receive alerts of new additions to library collections Get help with research, finding resources by ing or chatting with the UIDL’s librarians You can also submit or suggest new resources that you’d like to see added to the library. And this brings me to a very important point for the library… the UIDL can be an amazing resource, and we at the Integrity Center are dedicated to make it be just that. But we can’t do it alone. In order for the library to be successful, we need states to participate. In the weeks and months ahead, we’ll be reaching out to the UI programs in every state to ask for your help with the content. You might help us by sharing some resources that you already have. This might include, for instance, information for claimants, information for employers, fraud resources, or appeals information. This could also include content that your office has already created for your own use, but that is not generally available outside your office. This might include things like: policies, organizational structure information, internal whitepapers or analyses, or internal dashboards or metrics. If this sound a bit complex, please don’t worry. Our library team will guide and support you, giving you tips for the kinds of resources that you might share, and even providing templates if you are going to create new content. We also want you to know that we absolutely want to make sure that we have the state’s or office’s permission to make the content available to the UI community. We will always get the state’s consent before posting resources that come from them.

38 What Can I Do Right Now? Think about how you can contribute to the UIDL Don’t forget to update your registration with the UI Community of Practice! https://www.workforcegps.org/ Contact us with questions or ideas: Sara: Now I know that, having heard all of this, some of you might be raring to go, excited and antsy to log onto the UI Digital Library. The UIDL is not available yet, as we’re just beginning development of the system, but we’ll be sure to keep you all posted on the library’s status. We are, however, hard at work building the stacks right now. We have a goal of 5,000 resources available at go-live, and there are some things that you can do to help us and to help you in advance of the UIDL’s implementation. First, you can think about different ways that your state can contribute to the Digital Library. Do you have an amazing staffperson who has been with you for a generation or more, or do you worry about how your office will survive when a certain outstanding staffperson walks out the door? They could be perfect subjects to create legacy stories to add to the library. Have you overhauled your Benefits policies to reduce improper payments? Are you trying out an innovative new cross-match? These are just a very few ideas of some of the kinds of things that could be helpful for us to have in the UIDL; obviously, content is not limited to these! We are looking for content that shares ideas about how your state has approached an integrity issue, or that could be used to inform states’ integrity processes. There are many ways to approach this ask, and we welcome your thoughts and your creativity. And while you’re thinking about what your state might be able to contribute to the library, now would be a great time to reconnect with the UI Community of Practice, which will function as the gateway into all of the Integrity Center’s applications, including the UI Digital Library. The UI CoP had a platform upgrade earlier this year, so if it’s been a while since you have been on the site, or if you or your staff have never been on the site, now would be good time to register or re-register. The parent site into the UI Community of Practice is Workforce GPS, and can be accessed through the web address shown here. And finally, please don’t hesitate to contact me or our digital librarians by sending us an at We welcome your questions and your contributions at any point. Thank you!

39 Questions & Comments