Quarterly progress reports for unemployment insurance grants

Accessible letter (https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2015/UIPL_19-15_Acc.pdf):

                                                      CLASSIFICATION
   EMPLOYMENT AND TRAINING ADMINISTRATION             Unemployment Insurance
               ADVISORY SYSTEM                        CORRESPONDENCE SYMBOL
          U.S. DEPARTMENT OF LABOR                    OUI
             Washington, D.C. 20210                   DATE
                                                             August 7, 2015


ADVISORY:        UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 19-15

TO:              STATE WORKFORCE AGENCIES

FROM:            PORTIA WU /s/
                 Assistant Secretary

SUBJECT:         Unemployment Insurance (UI) Supplemental Budget Request (SBR)
                 Activities: Quarterly Program Reporting Form & Instructions

1. Purpose. To notify State Workforce Agencies of the new Employment and Training
   Administration (ETA) Form 9165 for required reporting of quarterly progress and
   implementation updates for UI SBR grants.

2. References.
   • Unemployment Insurance Program Letter (UIPL) No. 10-11, Fiscal Year (FY) 2011
      Unemployment Insurance (UI) Reemployment and Eligibility Assessment (REA) Grants;
   • UIPL No. 26-11, Unemployment Insurance (UI) Supplemental Funding Opportunity for
      Program Integrity and Performance and System Improvements;
   • UIPL No. 10-12, Fiscal Year (FY) 2012 Unemployment Insurance (UI) Reemployment
      and Eligibility Assessment (REA) Grants;
   • UIPL No. 18-12, Unemployment Insurance (UI) Supplemental Funding Opportunity for
      Program Integrity, Performance, and System Improvements;
   • UIPL No. 28-12, Supplemental Funding Opportunity for the Establishment of an
      Unemployment Insurance (UI) Integrity Center of Excellence;
   • UIPL No. 24-13, Unemployment Insurance (UI) Supplemental Funding Opportunity for
      Program Integrity and Performance and System Improvements;
   • UIPL No. 10-14, Fiscal Year (FY) 2014 Unemployment Insurance (UI) Reemployment
      and Eligibility Assessment (REA) Grants;
   • UIPL No. 13-14, Unemployment Insurance (UI) Supplemental Funding Opportunity for
      Program Integrity and Performance and System Improvements;
   • UIPL No. 13-14, Change 1, Unemployment (UI) Supplemental Funding for
      Reemployment and Eligibility Assessment (REA) Programs;
   • UIPL No. 18-14, Fiscal Year 2014 Unemployment Insurance Worker Misclassification
      Prevention and Detection Supplemental Funding Opportunity;
   • UIPL No. 13-15, Fiscal Year (FY) 2015 Unemployment Insurance (UI) Reemployment
      Services and Eligibility Assessment (RESEA) Grants; and
   • UIPL No. 16-15, Unemployment Insurance (UI) Supplemental Funding Opportunity for
      Program Integrity and Performance and System Improvements.
 RESCISSIONS                                         EXPIRATION DATE
 None                                                Continuing
3. Background. In recent years, ETA provided states with SBRs to accelerate actions to
   prevent and reduce improper payments, improve program performance, support states’
   information technology system modernization efforts, and fund other priority initiatives such
   as enhanced reemployment activities and the prevention of worker misclassification. ETA
   announced these supplemental funding opportunities in FY 2011 (UIPLs No. 10-11 and No.
   26-11), FY 2012 (UIPLs No. 10-12, No. 18-12, and No. 28-12), FY 2013 (UIPL No. 24-13),
   FY 2014 (UIPLs No. 10-14, No. 13-14, No. 13-14 Change 1, and No. 18-14), and FY 2015
   (UIPL No. 13-15 and No. 16-15). ETA may continue to offer SBR opportunities in the
   future, based on the availability of funding.

   Currently, each ETA regional office manages project status reporting on SBR grants
   following its own guidelines and procedures. The new ETA Form 9165 was developed for
   use by the National and regional offices to obtain formal project status reports from states to
   ensure consistent monitoring of progress made on projects funded through SBR grants and
   provide any technical assistance that may be required for successful implementation.

   The information to be collected in this report is frequently requested by the public and ETA
   makes the status of projects, such as those related to program integrity projects, available on
   a quarterly basis via a Web site, http://www.dol.gov/dol/maps/map-ipia.htm. The ETA 9165
   report is expected to provide consistency in how states report implementation status of SBR
   projects. ETA will use this information to track progress made by the states and assess the
   impact on program operations and performance.

4. Reporting Requirements. State workforce agencies are required to submit ETA 9165
   reports on active SBR grants by e-mail to their ETA regional office no later than 45 days
   after the end of each reporting quarter. Should the due date of the report fall on a Saturday,
   Sunday, or holiday, the report is due the previous business day. Additionally, states must
   electronically submit the 9130 report (OMB Control Number 1205-0461) to their ETA
   regional office quarterly.

   The information gathered through the new ETA 9165 report will include the funded SBR
   project title and purpose, project timeline and milestones, and a narrative description of the
   project’s implementation status. It will also include explanations of any delays in
   implementation; proposals for addressing any problems that caused the delay and new project
   timelines, if applicable; a self-reported designation of the implementation status (i.e.
   complete/ahead of schedule/on schedule/or behind schedule); and a discussion of identified
   technical assistance needs for the successful completion of the project.

   Within 30 days of receiving the report, an ETA Federal Project Officer will review and
   accept the report and contact the state if clarifications are needed. The accepted reports will
   then be saved in ETA’s online grants management system as part of the official grant file.




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5. Implementation Timeline for Reporting. The following implementation timeline will be
   used for the ETA 9165 reports:

   •   Starting with the quarter ending September 30, 2015, state workforce agencies must
       report on all active SBR projects funded under UIPLs No. 28-12, No. 10-14, No. 13-14,
       No. 13-14 Change 1, and No. 18-14. States must submit these reports to their regional
       office no later than Friday, November 13, 2015.

   •   For the quarter ending December 31, 2015, the states must provide updates to the
       quarterly reports previously filed, and submit new reports on any ongoing core SBR
       projects, Reemployment Eligibility Assessments (REAs), or consortium SBR projects
       funded under UIPLs issued in FYs 2011, 2012 and 2013 that are not yet completed.
       States must submit these reports to their regional office no later than Friday, February 12,
       2016.

   •   In addition, states receiving new grants under UIPL No. 13-15, No. 16-15, or other FY
       2015 SBR funding opportunities must start reporting on all projects in the quarter ending
       December 31, 2015. States must submit these reports to their regional office no later than
       Friday, February 12, 2016.

   •   Subsequently, states must provide quarterly updates to these reports according to the
       schedule below, which is published in the attached instructions:

                              Reporting                       Due
                              Quarters                        Dates
                   October 1st – December 31st        February 14th
                   January 1st – March 31st           May 15th
                   April 1st – June 30th              August 14th
                   July 1ST – September 30th          November 14th

                   Should the due date of the report fall on a Saturday, Sunday, or holiday,
                    the report is due the previous business day.

   States should refer to their grant award letter for each fiscal year award to identify the
   projects that are core SBR, REA, or consortium SBR projects. For SBRs provided to state
   consortia for IT modernization projects, the lead state is expected to provide the status report
   on behalf of the partner states.

   ETA may request that a state complete an ETA 9165 report for individual SBR projects
   categorized as incentive, focus, or optional strategies in FYs 2011, 2012, and 2013. This
   could occur, for example, if ETA has concerns that there is a financial issue that should be
   monitored, such as a short liquidation deadline. An ETA Federal Project Officer will notify
   the state if a report is requested for one of these ongoing projects, and the state will include
   the report as part of the next quarter’s submission. In future years, the reporting

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   requirements will apply to all SBR projects funded, including any incentive, focus, or
   optional strategies.

   States must ensure that an ETA 9165 report is provided for each project covered by the
   reporting requirements. For example: a state is implementing four projects under UIPL No.
   13-14 and one ongoing core project under UIPL No. 18-12. For the first quarter that the
   ETA 9165 is due (ending September 30), the state must submit four documents to report on
   each project activity funded under UIPL No. 13-14. In the second quarter (ending December
   31), the state must update the four report documents provided earlier and must submit one
   new document to report on the core activity funded under UIPL No. 18-12. The state must
   continue to submit updates for each of these five documents in each ensuing quarter until the
   project is completed.

6. OMB Approval. The Quarterly Narrative Progress Report for UI SBR Activities has been
   approved by the Office of Management and Budget (OMB) in accordance with the
   Paperwork Reduction Act of 1995. The OMB Control Number is 1205-0517 with an
   expiration date of May 31, 2018.

7. Action Requested. State administrators should distribute this advisory to appropriate staff.

8. Inquiries. Questions should be directed to the appropriate regional office.

9. Attachment.
   • Unemployment Insurance Supplemental Budget Request Activities: Quarterly Program
      Reporting Form and Instructions
   • Form ETA-9165




                                               4

Attachment 1: quarterly reporting instructions (https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2015/UIPL_19-15_Attachment_1_Acc.pdf):

     DOL EMPLOYMENT AND TRAINING ADMINISTRATION


OMB Control Number 1205-0517
Expiration Date: 05/31/2018




Unemployment Insurance Supplemental Budget Request
Activities:
Quarterly Program Reporting Form & Instructions




Prepared By
Employment and Training Administration
United States Department of Labor




Public Burden Statement
This reporting requirement is approved under the Paperwork Reduction Act of 1995. Persons are not required to respond to
this collection of information unless it displays a currently valid OMB number. Public reporting burden for this collection of
information is estimated to average 10 hours for the first two quarterly reports and an average of 5 hours for future quarterly
reports, including time for reviewing instructions, searching existing data sources, gathering and reviewing the collection of
information. Responses will be used for general program oversight, evaluation, and performance assessment. Send comments
regarding this burden estimate or any other aspect of this collection, including suggestions for reducing this burden, to the U. S.
Department of Labor, Employment and Training Administration, Office of Performance and Technology, 200 Constitution
Avenue, NW, Room S-5206, Washington, D.C. 20210.




                                                                1
       DOL EMPLOYMENT AND TRAINING ADMINISTRATION



I.     GENERAL INSTRUCTIONS

       Recipients of funding for Unemployment Insurance Supplemental Budget Request (SBR) activities
       are required to submit quarterly progress reports to the United States Department of Labor’s
       Employment and Training Administration (USDOL/ETA) in order to comply with the reporting and
       record keeping requirements of these grants. Each state recipient of SBR funds must submit a
       narrative Quarterly Progress Report (QPR) containing updates on the progress and implementation
       of each grant project as listed in the award letter. The instructions and performance reporting
       form (ETA 9165) for completing this report can be found under Section II and Appendix A of these
       instructions. Should changes in definitions resulting from new legislation or related regulations
       occur, appropriate revisions will be issued to reflect these changes.

II.    REPORT FORMS AND INSTRUCTIONS

       The QPR provides narrative updates on the implementation of projects as described in each state’s
       statements of work and a self-assessment of the status of each project per quarter. The
       instructions for states to complete the QPR can be found under Appendix A. The format for the
       QPR can be found in Attachment A.

III.   DUE DATES

       All quarterly reports under Section II are due to ETA no later than 45 days after the end of each
       reporting quarter. The table below shows the expected due dates for each reporting quarter.

                                   Reporting                          Due
                                   Quarters                          Dates
                       October 1st – December 31st          February 14th
                       January 1st – March 31st             May 15th
                       April 1st – June 30th                August 14th
                       July 1ST – September 30th            November 14th

        Should the due date of the report fall on a Saturday, Sunday, or holiday, the report is due the
        previous business day.

IV.    SUBMISSION PROCEDURES

        Information contained in the UI SBR quarterly reports (ETA 9165) must be submitted by email
        directly to the ETA regional office. An ETA Federal Project Officer will review and accept the
        report within 30 days of receipt, saving the document in ETA’s online grants management system
        as part of the official grant file. A grantee must specifically request approval through the Federal
        Project Officer prior to submitting any modifications to a submitted report. The modification will
        then be reviewed by the Federal Project officer and submitted to the ETA national office for
        comment and approval.



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DOL EMPLOYMENT AND TRAINING ADMINISTRATION



                                       Appendix A

                   Instructions for Completing the
           Quarterly Narrative Progress Report (ETA 9165)
    Unemployment Insurance Supplemental Budget Request Activities


SBR General Information
State Name:
Grant Number:
Report Quarter Ending:
Date of Submission:
Project Name: This is the name of the funded project identified in the grant statement of
work. States shall complete one full report (Parts A-I) per funded project.
UIPL Number: This is the number of the UI Program Letter from which the supplemental
funding was obligated.

Project Contact Information
Contact Information:
This section is to provide the contact information (i.e., Name, Title, Address, etc.) for the
state official who is the project lead responsible for the day-to-day operation and
implementation of the project. This may be a different person that the project certifying
official.

Project Report
A. Summary of Project
   This section is an executive summary of the project. Each funded SBR project will have
   its own separate quarterly progress report (ETA 9165) through the quarter the project
   ends. Use this section to provide a short summary of the project’s purpose. This
   summary should only change during the life of the grant if the state has received an
   approved modification to the grant Statement of Work.

B. Timeline for Grant Activities, Milestones, and Deliverables
   Use this section to provide the timelines for and the progress in completing grant
   activities, key milestones, and deliverables for this quarter. Use the timeline in the
   grant’s statement of work to identify all major program activities for the entire life of the
   grant. The timeline will paint a picture of project flow that includes start and end dates,
   schedule of activities, and projected outcomes. In order to reap the most benefit from
   the timeline, it is important that it be updated each quarter noting the actual date of
   completion as each activity is accomplished. Items to incorporate in the timeline
   include: project goals, milestones, special events, important deadlines and deliverables.



                                             3
DOL EMPLOYMENT AND TRAINING ADMINISTRATION


C. Project Implementation and Funding Status
   Use this section to provide a description of the implementation of key activities in line
   with the grant’s Statement of Work for the current quarter. Place an ‘X’ in one of the
   four check-boxes provided below to provide an assessment of implementation progress.
   The assessment should be supported by the status narrative noting if the project is on
   schedule, behind schedule, ahead of schedule, or complete this quarter. In addition,
   please provide the funding status for this project for the end of the quarter, including
   the total funding, total obligated, funding balance, and time remaining to expend funds.
   The funding totals should match the quarterly totals reported in the ETA 9130 form.

D. Project Challenges, Risk Mitigation Efforts/Modification Requests, and Technical
   Assistance Needs
   Use this section to summarize any significant challenges to project implementation
   encountered during the quarter, and describe any risk mitigation efforts or actions
   taken to address the identified challenges. In addition, a status update shall be provided
   on the resolution of challenges identified in previous quarters. This section should also
   include any questions you have for DOL and note any identified needs for technical
   assistance from DOL or others. The narrative should also indicate whether the grantee
   is requesting a modification to any project strategies and how the modification request
   changes the original project proposal. If a modification has been requested, the
   narrative should also indicate the status of the modification request. If states have
   nothing to report, that should be specified.

E. Best Practices, Promising New Strategies and Success Stories
   Use this section to describe promising approaches, innovative processes, or grant
   success stories. States may also describe any lessons learned and how those lessons
   learned will be implemented. Throughout the implementation of the project, states
   may discover new strategies that emerge as a result of data-driven continuous
   improvement. As progress is made with a new and promising strategy, or as data is
   gathered to support it, states should document the progress and data each quarter. If
   states have nothing to report, that should be specified.

F. Additional Outcome Information
   This section allows states to report any grant-specific outcomes not captured in other
   sections of the quarterly narrative progress report, including, but not limited to, any
   specific outcomes included in the statement of work.

   Certification
G. Name of Grantee Certifying Official
   Use this section to provide the name of the state official who is certifying submission of
   the report to the Department.

H. Telephone Number
   Provide the area code (###) and telephone number ((###) ###-####) of the authorized
   state official.

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    DOL EMPLOYMENT AND TRAINING ADMINISTRATION



   I. Email Address
      Provide the email address of the authorized state official.


Attachment A – Form ETA-9165 (Word file)




                                               5

Attachment 2: Form ETA 9165 (https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2015/UIPL_19-15_Attachment_2_Acc.pdf):

U.S. Department of Labor                                                                OMB No. 1205-0517
Employment and Training Administration                                          Expiration Date: 05/31/2018
Form ETA-9165
                          Quarterly Narrative Progress Report
              Unemployment Insurance Supplemental Budget Request Activities
                                         SBR General Information
                                                                                        Date of
State Name:                       Grant Number:           Report Quarter Ending:
                                                                                        Submission:

 Project Name:                                          UIPL Number:
                                       Project Contact Information
Name:                                                       Agency:
Title                                                       Address:
Phone:                                       Ext:           City:
                                                                                          Zip
E-Mail:                                                         State:
                                                                                          Code:
                                               Project Report
A. Summary of Project
Please limit your response to 1000 characters or less.
This section is an executive summary of the project. Each funded SBR project will have its own separate
quarterly progress report (ETA 9165) through the quarter the project ends. Use this section to provide a
short summary of the project’s purpose. This summary should only change during the life of the grant if
the state has received an approved modification to the grant Statement of Work.
B. Timeline for Grant Activities and Milestones or Deliverables
Please limit your response to 1000 characters or less.
Use this section to provide the timelines for and the progress in completing grant activities, key
milestones, and deliverables for this quarter. Use the timeline in the grant’s statement of work to identify
all major program activities for the entire life of the grant. The timeline will paint a picture of project
flow that includes start and end dates, schedule of activities, and projected outcomes. In order to reap the
most benefit from the timeline, it is important that it be updated each quarter noting the actual date of
completion as each activity is accomplished. Items to incorporate in the timeline include: project goals,
milestones, special events, important deadlines and deliverables.
C. Project Implementation and Funding Status
Please limit your response to 1000 characters or less.
Use this section to provide a description of the implementation of key activities in line with the grant’s
Statement of Work for the current quarter. Place an ‘X’ in one of the four check-boxes provided below to
provide an assessment of implementation progress. The assessment should be supported by the status
narrative noting if the project is on schedule, behind schedule, ahead of schedule, or complete this quarter.
In addition, please provide the funding status for this project for the end of the quarter, including the total
project funding, total obligated, funding balance, and time remaining to expend funds/expenditure target.
                                                                                            Complete this
State Self-         On Schedule          Behind Schedule         Ahead of Schedule
                                                                                              Quarter
Assessment:
Total Project Funding           Total Obligated             Funding Balance            Expenditure Target

D. Project Challenges, Risk Mitigation Efforts/Modification Requests, and Technical Assistance
   Needs
Please limit your response to 1500 characters or less.
Use this section to summarize any significant challenges to project implementation encountered during
the quarter, and describe any risk mitigation efforts or actions taken to address the identified challenges.
In addition, a status update shall be provided on the resolution of challenges identified in previous
quarters. This section should also include any questions you have for DOL and note any identified needs
for technical assistance from DOL or others. The narrative should also indicate whether the grantee is
requesting a modification to any project strategies and how the modification request changes the original
project proposal. If a modification has been requested, the narrative should also indicate the status of the

Page 1 of 2                                                                                    Quarterly Narrative Report
U.S. Department of Labor                                                                               OMB No. 1205-0517
Employment and Training Administration                                                         Expiration Date: 05/31/2018
Form ETA-9165
modification request. If states have nothing to report, that should be specified.
E. Best Practices, Promising New Strategies and Success Stories
Please limit your response to 1000 characters or less.
Use this section to describe promising approaches, innovative processes, or grant success stories. States
may also describe any lessons learned and how those lessons learned will be implemented. Throughout
the implementation of the project, states may discover new strategies that emerge as a result of data-
driven continuous improvement. As progress is made with a new and promising strategy, or as data is
gathered to support it, states should document the progress and data each quarter. If states have nothing
to report, that should be specified.
F. Additional Outcome Information
Please limit your response to 1000 characters or less.
This section allows states to report any grant-specific outcomes not captured in other sections of the
quarterly narrative progress report, including, but not limited to, any specific outcomes included in the
statement of work.
                                                         Certification
Name of Grantee Certifying Official:
Phone:
E-Mail Address:

This reporting requirement is approved under the Paperwork Reduction Act of 1995, OMB Control No. 1205-0517, expiring
05/31/2018. Persons are not required to respond to this collection of information unless it displays a currently valid OMB
number. Public reporting burden for this collection of information is estimated to average 10 hours for the first two quarterly
reports and an average of 5 hours for future quarterly reports, including time for reviewing instructions, searching existing data
sources, gathering and reviewing the collection of information. The reason for the collection of information is general program
oversight, evaluation and performance assessment. Send comments regarding this burden estimate or any other aspect of this
collection, including suggestions for reducing this burden, to the U. S. Department of Labor, Employment and Training
Administration, Office of Performance and Technology, 200 Constitution Avenue, NW, Room S-5206, Washington, D.C. 20210.




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