Fiscal 2000 State Quality Service Plan instructions

Official full letter: https://oui.doleta.gov/dmstree/uipl/uipl99/uipl_3999.htm

U.S. DEPARTMENT OF LABOR
Employment and Training Administration
Washington, D. C. 20210
CLASSIFICATION: UI
CORRESPONDENCE SYMBOL: TEUPDR
ISSUE DATE: July 8, 1999
RESCISSIONS: None
EXPIRATION DATE: July 31, 2000
DIRECTIVE: UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 39-99 TO: ALL STATE EMPLOYMENT SECURITY AGENCIES FROM: GRACE A. KILBANE, Director, Unemployment Insurance Service SUBJECT: Call Memo for the Fiscal Year (FY) 2000 State Quality Service Plan (SQSP)

1. Purpose. To issue instructions for the State Employment Security Agencies (SESAs) to use in the preparation of the FY 2000 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. 6-99, "Proposed State Quality Service Plan (Draft)."; UIPL No. 37-99, "UI PERFORMS Tier I and Tier II Performance Measures, and Minimum Performance Criteria for Tier I Measures," Federal Register Notice at Volume 64, Number 111 on June 10, 1999, seeking comment on proposed changes to Handbook No. 336.

3. Background. ET Handbook No. 336, (draft) 16th Edition (attached) provides SESAs with FY 2000 planning guidelines and instructions for reporting UI financial and staff year information. The SQSP, formerly called the Program and Budget Plan (PBP), is one of several implementing documents for UI PERFORMS. UIPL No. 41-95, described the genesis of the new system, UI PERFORMS, and the partnership principles on which it is founded. UIPL No. 37-99, dated July 1, 1999, presents the minimum performance criteria for Tier I measures. A third document is a Federal Regulation establishing UI PERFORMS. The regulation is currently in preparation with publication anticipated in Calendar Year 2000. The SQSP represents a new approach to the UI performance management and planning process, while leaving the budget reporting process (Chapter II) largely unchanged from prior years. At the request of stakeholders, it allows for an exchange of information between the Federal and State partners to enhance the ability of the program to reflect their joint commitment to continuous improvement and client centered services, while insuring that key program administration criteria are met.

4. Transition. Under the Paperwork Reduction Act, the Office of Management and Budget has approved until September 30, 1999, the information collection accomplished through Handbook No. 336. The Unemployment Insurance Service (UIS) published a Federal Register Notice at Volume 64, Number 111 on June 10, 1999, seeking comment on proposed changes to Handbook No. 336 as part of the process needed to obtain continued OMB approval for the information collection beyond September 30, 1999. The proposed changes to the Handbook are not expected to increase the reporting burden on the 53 SESAs. The increase in burden from the required narrative is expected to be offset by a reduction in burden from fewer CAPs based on performance measured by Tier II measures, compared to the number of Corrective Action Plans (CAPs) required in response to missed Desired Levels of Achievement (DLAs) under the Quality Appraisal program. The SQSP is designed as a permanent instruction for the annual planning and budget process in each SESA. It will be supplemented each year with a UIPL which will serve as a call memo and initiate the annual process. The call memo will provide specific information and instructions for the planning process each fiscal year.

   Pending OMB approval, SESAs may use the formats that are presented in draft ET Handbook No. 336, 16th Edition for preparing FY 2000 plans, or they may choose to use the formats in the directive titled ET Handbook No. 336, 15th Edition transmitted to SESAs on July 16, 1998.

   SESAs may use ET Handbook No. 336 16th Edition when preparing their FY 2000 plans with the understanding that UIS is fully prepared to make additional changes to the Handbook in response to new comments received this summer from SESAs and other commentators responding to the FRN. UIS has already altered the document to incorporate changes in response to SESA comments on UIPL No. 6-99, dated November 10, 1998. At the recommendation of the Performance Enhancement Group, UIS published the proposed changes to Handbook No. 336 in UIPL No. 6-99 as an additional administrative procedure. A summary of comments is attached.

5. Program Emphasis. The Federal Program Emphasis is a planning guide for the UI program, designating the primary areas in which UIS will focus attention and resources.

   a. Government Performance and Results Act (GPRA). The five-year DOL and the ETA Strategic Plans, as well as the DOL and ETA Annual Performance Plans, form the basis for Program Emphasis. These plans may be found on the DOL webpage, and printed versions are also available. Required by Congress under the GPRA, they 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. ETA is revising the Strategic Plans to reflect the goals and direction embodied in the Workforce Investment Act (WIA). UIS is currently consulting with the States through ICESA on the goals and outcomes.

   The primary DOL goal under which the UI program may be found is: A SECURE WORKFORCE, and the ETA strategic goal that speaks to this is:
   
     Expand the effectiveness of the temporary income maintenance programs in order to meet the needs of the 21st Century economy while continuing to deliver high-quality and timely service to existing customers.
   
   Under this ETA goal, UIS has responded by developing the following preliminary objectives to be attained by the end of FY 2002:
   
   i.
   
         Meet or exceed the Secretary's standard for promptness in paying workers' initial intrastate and interstate claims for UI, and for deciding lower authority appeals.
   
         Increase the rate of UI claimants' reemployment in suitable jobs, as evidenced by their entered employment rates and by a benefit exhaustion rate of 28 percent.
   
         Increase to 40 percent the proportion of unemployed workers, including low-wage and part-time workers, who receive temporary income support (recipiency rate), particularly in States with relatively low recipiency rates.
   
         To promote adequate wage replacement rates, increase the number of States specifying in laws, without restrictions, a maximum weekly benefit amount of at least 2/3 the State's average weekly wage in covered employment to 15.
   
         Increase system solvency by identifying and promulgating appropriate reserve levels (expressed in terms of the Average High Cost Multiple, AHCM) to encourage States to position reserves to sustain benefit payments in case of recession.
   
         The percentage of quarterly UI Tax and Wage Reports filed on a timely basis by employers voluntarily complying with filing and payment dates will improve to 92 percent.
   
   To achieve these outcomes as defined requires State commitment to these objectives. The Department intends to continue its dialogue/discussion with States via ICESA and to encourage voluntary commitment rather than prescribing mandatory action. Strategies include:
   
   - Encourage States to review current policies, procedures and legislation to find opportunities for change that would enable movement towards these goals.
   
   - Provide technical assistance and resources to States to expand service delivery options available to claimants and employers.
   
   - Provide leadership for the review and reform of the UI program.
   
   - Provide leadership for the review and reform of UI administrative financing.
   
   - Explore and improve points of connection between UI and other programs to improve integration of services for our customers.
   

   b. Integrity Programs. The continuous erosion of administrative funding available to the States over the past several years has resulted in a need for State Administrators to prioritize the use of available funding. States understandably have focused on the delivery of payments to claimants as the primary objective of the program. While that was appropriate, it resulted in less emphasis on integrity functions especially in the areas of nonmonetary separation issues determinations; eligibility reviews; benefit overpayments detection and collection and field tax audits.

   Additional funding has been requested in FY 2000 to the States for increased activity in these four integrity areas. This reflects a renewed program emphasis in the administration of the program.
   
   States must utilize new integrity funding for one or more of these four areas, and must use the State Plan Narrative to show in which integrity areas they will use the increased base resources during FY 2000.
   

   c. Year 2000 (Y2K) Automation Modifications. The modification of automated systems within each of the 53 jurisdictions that administers the UI program must continue to be a focus of Federal Program Emphasis for FY 2000. In addition to insuring that our internal systems are compliant, it is vital to insure that all external systems with which SESAs' systems interact are tested to ensure the capability of handling the necessary transactions. SESAs Y2K compliance efforts must encompass an independent verification and validation (IV&V) process to provide assurance that Y2K compliance efforts have been successful.

   In addition, prudent management of the UI system demands that each SESA develop and test business continuity plans (BCCP) to ensure that critical business unctions can continue in the event of automated systems failures due to unanticipated events, either internal or external. SESAs have been advised that they must prepare and test BCCPs which provide for the continuation of at least the critical functions associated with the UI benefits and tax operations.
   
   Finally, UI Administrators should realize that an inability to process workload in a number of business areas could precipitate a general economic downturn, as some economists are warning, compounding the processing problem with significant workload increases.
   

   d. UI Reform. The UI Program is an integral part of the emerging Workforce Development System. It is the largest provider of income maintenance services within that system, and is a major link for unemployed workers to reemployment services and jobs. Even so, this system is over 60 years old, and it must continually assess its strengths and weaknesses in consultation with its various stakeholders. The economy, the workforce, and the workplace have all changed significantly in the last half century. We need to make sure that the UI program is keeping up with these changes and serving both the workers and employers of today. Begun in 1998, this effort will continue to be a program focus for much of FY 2000. As partners in the Federal-State UI system, SESAs have a significant role to play as the point of service delivery for the UI customer.

   The focus of this effort is to examine the program in the context of how well it performs in the following areas:
   
   - Individual Economic Adjustment
   
   - Macroeconomic Stabilization
   
   - Insurance Concept
   
   - Financing Benefits
   
   - Financing Administration
   
   - Federal-State System
   

6. Mandatory Spending Authority Increase. H.R. 1830, introduced May 17, 1999, would provide additional funding to recapture the shortfall between administrative needs and the current baseline through a distribution from the Employment Security Administration Account for fiscal years 2000-02. The bill also includes $20 million for each of the three years to fund start-up costs for States that adopt an alternative base period. The Congress has taken no action on this bill as of the date of this UIPL.

7. Special Planning Requirements for FY 2000. In accordance with the Balanced Budget Act of 1997, the Department will allocate $100 million to the States through a distribution from the Employment Security Administration Account. Each State's share of these funds will be the same percentage as its share of base dollars (less integrity) divided by the total base dollars. Together with $91 million for integrity, this mandatory distribution would partially offset the cumulative discretionary funding cuts for workload increases and inflation. The Treasury Department will distribute the $100 million directly into SESAs' Unemployment Trust Fund accounts after the final allocations have been determined. This special Reed Act distribution may be used only for UI administration.

8. Opportunities for Targeted Funding in FY 2000. Base reserves are included in the President's budget request for the following areas. Special instructions for requesting targeted funds will be issued in separate directives.

   a. Wage Record Initiative. The budget request includes $40 million to encourage the SESAs to expand their wage record files to collect and store workers' full names so that they will better interface with the National Directory of New Hires.

   b. Remote Initial Claims-Taking Grants. The budget request contains $9 million for implementation of claims-taking by telephone or other remote means.

   c. nterstate Connection (ICON) Programmer. Staff years for ICON will not be included in the planning targets this year, but will be funded through a supplemental budget request (SPR) process.

9. Funding Period. Proposed appropriation language provides for obligation of FY 2000 UI allocations by States through December 31, 2000 (with 90 additional days to complete expenditure of funds). However, States may obligate FY 2000 UI funds through September 30, 2002, if such obligations are for automation acquisitions. Therefore, the end of the FY 2000 funding period is December 31, 2000, for UI regular allocations, and September 30, 2002, for automation acquisitions.

10. Data Availability. he Regional Office (RO) will provide SESAs with data reports to judge performance against the Tier I criteria and for Tier II measures. SESAs may also access current performance data on the Internet at http://www.itsc.state.md.us/ as an additional administrative procedure.

11. Deadline for SESA SQSP Submittal. Each RO will set a deadline for SESAs to submit their SQSPS for FY 2000 that balances the time needed for the SESAs to prepare their respective SQSPS, and the time needed for the Regional review.

12. Action Required. SESAs should prepare their SQSPs according to planning and reporting instructions contained in Handbook No. 336.

13. Attachment.

    A. ET Handbook NO 336, 16th Edition (draft)

    B. Summary of Comment Received on UIPL No. 6-99

Official Attachment A, draft ET Handbook No. 336, 16th Edition: https://oui.doleta.gov/dmstree/uipl/uipl99/uipl_3999a1.pdf

Handbook 336
16th Edition

ET HANDBOOK NO. 336

16th Edition
(Draft)

UNEMPLOYMENT INSURANCE
STATE QUALITY SERVICE PLAN (SQSP)
PLANNING AND REPORTING GUIDELINES

TABLE OF CONTENTS

INTRODUCTION

A. Background ........................................ I-1
B. Relationship/Coordination with Other Plans ........ I-3
C. Planning Considerations............................ I-3
D. OMB Approval ...................................... I-4

CHAPTER I - PLANNING

I. Introduction

II. Content and Submittal of SQSP

A. Overview of Process .......................... I-5
B. Content of SQSP .............................. I-7
C. Submittal of SQSP ............................ I-8

III. State Plan Narrative

A. Description ................................ I-10
B. Format and Instructions .................... I-11

IV. Corrective Action/Continuous Improvement Plans

A. Mandatory Corrective Action Plans (CAPs).... I-11
B. Continuous Improvement Plans (CIPs) ........ I-12
C. CAP/CIP Format Completion .................. I-12

V. Performance Measures

A. Tier I (Criterioned) Measures .............. I-14
B. Tier II (Non Criterioned) Measures.......... I-15

VI. Budget Worksheets and Instructions

A. Worksheet UI-1, UI Staff Hours and Travel Staff Years ................................ I-17

B. SF 424, Application for Federal Assistance.. I-17
C. Supplemental Budget Requests (SBRs) ........ I-18

VII. Assurances

A. Assurance of Equal Opportunity (EO) ........ I-21
B. Assurance of Administrative Requirements and Allowable Cost Standards................ I-22

C. Assurance of Management Systems, Reporting, and Record Keeping.......................... I-26

D. Assurance of Program Quality................ I-26
E. Assurance on Use of Unobligated Funds ...... I-26
F. Assurance of Prohibition of Lobbying Costs.. I-27
G. Assurance of Disaster Recovery Capability .. I-27
H. Assurance of Conformity and Compliance...... I-27

VIII. Content Checklist .......................... I-28

CHAPTER II - REPORTING

I. Introduction .................................... II-1

II. Submittal Instructions

A. Use of Computer Printouts in Lieu of
Prescribed Forms. .......................... II-1

B. Electronic submittal........................ II-1
C. Number of Copies and Recipient.............. II-1
D. Frequency and Due Dates .................... II-1
E. ETA Identifying Numbers .................... II-1

III. Reports

A. UI-3, Quarterly UI Contingency Report ...... II-2
B. SF 269, Financial Status Report ............ II-3
C. SF 270, Request for Advance or
Reimbursement .............................. II-4

D. SF 272, Federal Cash Transactions Report.... II-4

IV. Definitions

A. Accrued Expenditures........................ II-4
B. Funding Period.............................. II-4
C. Obligations ................................ II-4
D. Unliquidated Obligations.................... II-6
E. Automation Acquisition...................... II-6
F. ETA Identifying Number...................... II-7
G. Time Distribution Definitions .............. II-7

APPENDIX I -- Planning Forms and Formats

APPENDIX II -- Reporting Forms

INTRODUCTION
The SQSP Handbook provides guidelines for the completion and submittal of the State Employment Security Agency (SESA) State Quality Service Plan (SQSP) for the Unemployment Insurance (UI) program and the reports and data elements to be used for financial reporting of State UI program activities.

A. Background.

UI PERFORMS, the performance management system for the UI Program, was officially announced in August 1995. Unemployment Insurance Program Letter (UIPL) No. 41-95, dated August 24, 1995, outlined a construct for a comprehensive performance management system based on the following:
a significantly improved data collection infrastructure that provides more management information more frequently;
performance measures that include national core criterioned measures (Tier I) and a menu of non-criterioned measures (Tier II) for SESAs to utilize in measuring and improving their program performance;
a dynamic planning process that is State focused; and
a goal of continuous improvement with shared responsibility by both SESA and Federal partners.

The focus of this Handbook is to provide specific guidance regarding the State Quality Service Plan (referred to as the State Plan or the SQSP) which is the manifestation of the performance management system described above. The State Plan is an integral part of the entire performance management system that makes up UI PERFORMS. It is, therefore, critical to understand the broader context in which the State Plan is developed.

1. The Continuous Improvement Cycle. UI PERFORMS embraces the continuous improvement cycle advocated by quality practitioners which is commonly known as the “Plan-Do-Check-Act” cycle. It also is referred to as a “closed loop” continuous improvement cycle. It incorporates a strategic planning process of identifying priorities; ongoing collection and monitoring of valid data to measure performance; identification of areas of potential improvement; and development of specific action steps to improve performance, followed by use of available data to determine if the action steps are successful. The cycle continues indefinitely with the opportunity at any point to reassess priorities, performance, and action that can improve performance.

2. The Performance Measurement System. The system includes Benefits Timeliness and Quality (BTQ) measures, the Tax Performance System (TPS), Cash Management measures, the Benefit Accuracy Measurement (BAM), and Benefit Payment Control (BPC) measures.

3. The Planning Process. UI PERFORMS emphasizes joint responsibility between SESAs and the Employment and Training Administration (ETA) for setting priorities and responding to
performance information both annually and on an ongoing basis.
The relationship between the SESAs and ETA will include the following shared responsibilities:
continued tracking and analysis of performance data;
identification of Federal and SESA priorities;
development of planning directions;
negotiation to determine improvement levels;
development and implementation of strategies for continuous improvement.

To accomplish these ongoing responsibilities will require an enhanced interaction and consultation process between SESAs and ETA. SESAs are also encouraged to include other stakeholders in the ongoing planning process.

4. The State Quality Service Plan. The heart of the UI PERFORMS
   continuous improvement cycle is a restructured plan of service.
   The State Plan is intended to be a dynamic document SESAs can
   utilize as a management tool - much like a business plan - not
   only to ensure strong program performance, but also to guide key
   management decisions, such as where to focus resources. It
   should focus the SESA’s efforts to ensure well-balanced
   performance across the range of UI activities. The State Plan
   also is designed to be flexible to accommodate, among other
   things, multi-year planning and significant changes in
   circumstances during the planning cycle. Although it will be
   developed in cooperation with the Federal partner, the State Plan
   is SESA focused. The Federal role in the process is designed to
   be constructive and supportive.

   Operationally, the State Plan also will serve as the grant
   document through which SESAs receive Federal UI Administrative
   Funding, similar to its predecessor, the Program Budget Plan
   (PBP). To serve this purpose, the SESA will be required to
   submit Budget worksheets and the various assurances required in a
   Federal Grant Document. It is important, however, to emphasize
   that the State Plan is designed to be very different from the
   PBP, both in the process for development and the actual content.

   To be submitted annually, the State Plan is designed to provide
   the structure for recording the following kinds of information:

     the current environment within the SESA impacting UI
     performance (economic factors, legislative emphasis, etc.);
   
     SESA priorities;
   
          responses to Federally identified priorities;
   
          performance assessment information;
   
          continuous improvement targets for both Tier I and
          negotiated Tier II measures;
   
          short and long term strategies for achieving performance
          targets;
   
          required corrective action plans for failure to meet Tier I
          performance criteria;
   
          status of critical program components such as Trust Fund
          integrity; and
   
          SESA strategies for evaluating customer satisfaction and
          gaining customer input to promote continuous improvement.
   
     Electronic transmittal of the SQSP to the Regional Offices is
     envisioned after critical Year 2000 conversion activities are
     complete.
   

B. Relationship/Coordination with Other Plans. The UI program does not stand alone. It is the income replacement component of an overarching effort to return a worker to suitable employment. As such, the SQSP should be developed in concert with other plans which also address the same customer (such as the Wagner-Peyser and Workforce Investment Act plans) to insure a coordinated effort and minimal obstacles for the client in moving from program to program.

This coordination will most likely be apparent in the SESA State Plan Narrative portion of the SQSP. Mandatory corrective action plans will relate specifically to unacceptable performance for nationally criterioned measures of UI program performance.

C. Planning Considerations. This section provides information for SESAs to use in developing their SQSPs.

1. State Agency Resource Planning Targets for UI.

a. Financial Guidelines. SESAs will prepare UI SQSPs according to financial guidelines transmitted with target funding levels provided by the Regional Offices.

b. Changes and Revisions to Targets. Regional Offices may negotiate necessary changes and revisions to target funding levels with State agencies.

c. Final Allocations. Final allocations may contain increases
or decreases from the target funding level, which may require some revisions to submitted or approved State Plans.

2. State Flexibility. Once final allocations have been received, SESAs are required to meet the base workloads allocated, including all activities, but have the flexibility to use the total dollars approved by ETA among the various UI program categories as they deem appropriate. However, for purposes of determining certification of contingency funding for workload above the base, the base staff year levels for claims activities as allocated by ETA will be used. Note that this flexibility does not include special allocations.

3. SESA Financial Reporting System. ETA does not prescribe the use of any specific accounting and reporting system by the SESAs.
SESAs are free to use any accounting system that meets the standards for State grantee financial management systems prescribed by Federal Regulations at 29 CFR 97.20. However, SESAs must be able to report UI financial information in the form and detail described in Chapter II of this Handbook.

D. OMB Approval.

The Office of Management and Budget (OMB) has approved ET Handbook No.
336 for use through 09/30/99, according to the Paperwork Reduction Act of 1995, under OMB No.1205-0132.

CHAPTER I - PLANNING
I. INTRODUCTION.

Chapter I of the SQSP Handbook provides guidelines for the completion and submittal of the SESA SQSP for the UI program and instructions for the Supplemental Budget Request (SBR) process for extraordinary funding.

II. CONTENT AND SUBMITTAL OF SQSP.

A. Overview of Process.

While the SQSP process is ongoing throughout the year, the formal plan submittal occurs once each year in conjunction with the funding cycle and utilizes the following process:

1. Annual Call Memo. Each year, formal SQSP plan submittal will be initiated with an announcement memorandum (call memo). SESAs should carefully review the annual call memo.

This memo will specify the dates relevant to the SQSP process for the approaching Fiscal Year; summarize Federal Program Emphasis for the year; and identify any special planning requirements in effect for the Fiscal Year. It also will explain opportunities for increased, targeted funding made available on an annual basis in the President’s budget if such opportunities exist.

a. Schedule. The significant activities and dates relating to the submittal and subsequent approval of the annual SQSP are estimated to be:

Activity
│Approximate Date
───────────────────────────────────────┼───────────────────────────
──────
1.SESAs submit UI-1 (UI Staff Hours and │Early April
Travel Staff Years)
│
───────────────────────────────────────┼───────────────────────────
──────
2.Annual “Call Memo” Issued
│Late May
───────────────────────────────────────┼───────────────────────────
──────
3.Regional Offices send financial │Late June
guidelines and planning targets to SESAs │
───────────────────────────────────────┼───────────────────────────
──────
4.SESAs submit original and two copies of │Mid August
signed SQSP to Regional Office.
│
───────────────────────────────────────┼───────────────────────────
──────
5.Regional Office notification to SESAs of │Late September
SQSP approval
│
───────────────────────────────────────┼───────────────────────────
──────
6.Regional Offices notify National Office │No later than Sept 30
of approved SQSPs
│

b. Federal Program Emphasis. The Federal Program Emphasis, which may be found in the annual call memo which initiates the SQSP each year, summarizes the primary areas in which the Federal partner will focus attention and resources for the planning year. The five-year Department of Labor (DOL) and ETA Strategic Plans, and the DOL and ETA Annual Performance Plans, form the basis for the Federal Program Emphasis.
Required by Congress under the Government Performance and Results Act, the Federal plans are developed in consultation with stakeholders and are an integral part of the Federal budget process. They establish program performance goals and outcomes and identify strategies and performance objectives to attain them.

Accordingly, SESAs will want to review the current versions of these planning documents before developing their annual SQSPs. These documents may be found on the DOL and ETA webpage, http://www.doleta.gov.
Printed versions also are available through the Regional Offices.

c. Special Planning Requirements. Any special planning considerations or requirements for the planning year will be identified in the call memo.

2. Financial Guidelines and Planning Targets. Each year the
   Regional Offices provide preliminary allocations and any
   special financial instructions for the year together with
   the deadline for plan submission.

3. Performance Assessment.

   a. Continuous Assessment. In the SQSP process, both the
   Federal partner and the SESA will routinely access
   performance data to monitor program performance and
   initiate corrective action/continuous improvement
   effort whenever they appear to be warranted. The term
   Corrective Action Plan (CAP) is used to denote plans
   developed in response to data showing SESA performance
   below the minimum performance criteria established for
   Tier I measures, or in response to Program Reviews
   conducted during the year by the Federal partner, or in
   response to egregiously poor performance in Tier II
   measures. The term Continuous Improvement Plan (CIP)
   is used to denote plans developed with the intent to
   raise performance levels for Tier II performance
   measures, which do not have established minimum
   criteria, or for Tier I performance levels already
   above the established minimum criteria. Although
   performance may be viewed, and judged, at specific
   points in time (e.g., weekly, monthly, quarterly,
   etc.), each assessment reviews performance over time
   and focuses not only on average performance for the
   period in question, but also on the trend of
   performance over the period reviewed (e.g., was
   performance declining or improving, sustained or
   erratic).

   b. Annual Assessment. An annual assessment will augment
   the ongoing continuous improvement process, and will
   form the basis for continuous improvement planning and
   corrective action planning for the SQSP. This annual
   assessment will utilize the most recent 12-month
   performance data reasonably available. For data
   reported monthly or quarterly, the assessment will

          include the 12 months ending March 31 of each year.
          For data reported annually, the assessment will be
          based on data reported for the most recent complete
          calendar year (or other full 12-month period, per
          reporting requirements).
   
          ETA will make all data available to the States in June,
          but SESAs on their own have continuous access to the
          data resident on the State SUN computer system, or from
          the Information Technology Support Center (ITSC)
          website at http://www.itsc.state.md.us/.   Subsequent
          performance data that becomes available during the plan
          development period (e.g., April, May, June data) should
          be utilized to refine plans before final submission and
          approval.
   
     c.   SESA/Regional Negotiation. SESAs and Regional
          Administrators must agree on, before the annual SQSP is
          signed, the specific areas for which the SESA will
          submit CIPs in the SQSP. These negotiations encompass
          Tier II performance measures and Tier I performance
          above the established minimum criteria.    CAPs are
          mandatory if performance is unsatisfactory and an
          effective plan is not already in place for: 1) program
          reviews conducted during the year by the Federal
          partner, 2) required reports, 3) BAM requirements, 4)
          TPS requirements, or for Tier I measures.
   

   4. SESA SQSP Preparation. SESAs must prepare and transmit an
      annual SQSP in accordance with the instructions in this
      Handbook and in the annual SQSP call memo.

   5. SQSP Review & Approval. Regional Offices shall review SQSPs
      for completeness, and to make sure that they are in accord
      with the instructions, and that they reflect negotiated
      agreements. This review may result in the RO initiating
      additional discussion or obtaining clarification. A plan
      that the Regional Administrator deems unsatisfactory, i.e.,
      failing to meet the requirements identified in this
      Handbook, and for which resolution of differences has not
      been achieved, shall be returned to the SESA for revision
      without approval.

B. Content of SQSP.

The Annual SQSP must contain the elements/documents listed below:

1. Transmittal Letter. SESA Administrators must prepare and send a cover letter to the appropriate Regional Office transmitting all the required SQSP documents.

2. State Plan Narrative. A summary and one or more brief
   focused narratives, in a prescribed format, addressing each
   major planning element (goal, objective, functional or
   programmatic area) upon which the SESA plans to focus during
   the program year must be prepared and included in the SQSP.

   The State Plan Narrative provides the vehicle for sharing
   with the Federal partner State/SESA specific efforts that
   impact on the administration of the UI Program, indicating
   how the SESA intends to address Federal Program Emphasis
   areas, and identifying desired technical assistance. Much
   as the Federal partner has done by defining Program Emphasis
   annually, the State Plan Narrative allows the SESA to
   designate elements on which it intends to focus in the
   coming year, and describe how those elements are
   incorporated into a cohesive and comprehensive plan for
   administration of the UI Program.

   Section III., State Plan Narrative, provides a detailed
   description and instructions for the format and content of
   the narratives. A sample narrative is contained in Appendix
   I.

3. Corrective Action/Continuous Improvement Plans.

   a. CAPs. SESAs must complete and submit CAPs for:

     1.   Performance that did not meet criteria established
          for Tier I measures for the annual measurement
          period, and remains uncorrected prior to the
          preparation of the SQSP;
   
     2.   Egregious poor performance identified by an
          analysis of results from Tier II measures;
   
     3.   Consistent failure to timely or accurately submit
          any Federally-required reports;
   
     4.   Uncorrected deficiencies identified in program
          reviews conducted by the State or ETA;
   
     5.   Failure to meet Federal requirements identified in
          the administration of BAM (20 CFR Part 602 and ET
          Handbook 395) which remain uncorrected; and,
   
     6.   Failure to fully complete all parts of the TPS, as
          required in ET Handbook 407, Revenue Quality
          Control.
   

   b. CIPs. Supporting a continuous improvement
   environment, the SQSP allows for the optional

     submission of CIPs which focus on performance which is
     not deficient, but for which a SESA and Regional Office
     see the opportunity to attain an enhanced goal in
     service delivery. States, on their own initiative, or
     as a result of negotiations initiated by the Regional
     Office, are encouraged to prepare CIPs for Tier II
     measures, or Tier I measures above base requirements.
     The preparation of such plans may be useful to indicate
     new goals or SESA program emphasis. Such CIPs are
     considered part of the SQSP.
   
     The CAP/CIP format is found in Appendix I.
   

4. Budget Worksheets. SESAs must complete required budget
   forms and plan for administration based on projected
   allocations received from the Federal partner, and
   Congressional action.

   All SESAs must complete Worksheet UI-1 and SF 424, and SF
   424B. SESAs must complete the SF 424A only if they vary the
   quarterly distribution of base claims activity staff years.

   SESAs must submit the Worksheet UI-1 by April 1 of each year
   separately from the August SQSP submittal. SESAs must
   include SF 424, SF 424A (if necessary), and SF 424B in the
   August SQSP submittal.

   Completion instructions and facsimiles of these forms are
   located in Appendix I.

5. Organizational Chart. The SESA must submit a new
   organizational chart if its organizational structure has
   changed in the last year. This organization chart must
   conform to the requirement for delivery of service through
   public employment offices, or such other designated
   providers as the Secretary may authorize; show the SESA's
   configuration from the Governor of the State down to the
   point of Employment Service and UI customer service
   delivery; and provide sufficient detail to show each
   organizational unit involved and the title of the unit
   manager.

6. Drug-Free Workplace Certification (29 CFR Part 98). SESAs
   must submit a copy of the signed Drug-Free Workplace
   certification to the Regional Office with the SQSP.

7. Lobbying Certification (29 CFR Part 93). SESAs must submit
   a signed copy of the Lobbying certification to the Regional
   Office with the SQSP.

8. Signature Page. SESA Administrators must sign and date the

          Signature Page located in Appendix I. By signing the
          Signature Page, the SESA Administrator certifies that the
          SESA will comply with all the assurances contained in the
          SQSP guidelines. Therefore, it is not necessary for SESAs
          to include written assurances with their SQSP submittals.
   

   C. Submittal of SQSP.

     SESAs must submit an original and two signed copies of the SQSP
   

   to their Regional Office by the date the Region has specified. A SQSP
   Content Checklist located at the end of this chapter shows all the
   documents which comprise the entire SQSP. Each SESA must insure that
   those documents appropriate to its plan are submitted to minimize the
   potential for a delay in the approval and funding process. Electronic
   transmittal of the SQSP is envisioned after critical Year 2000
   conversion activities are complete.

III. STATE PLAN NARRATIVE.

A vital element of the SQSP is the newly created opportunity it provides for SESAs to share their key program objectives for the coming year, and the strategies the State intends to utilize to achieve those objectives. Of necessity, the SESAs engage in an annual planning process and set priorities for the coming year. The State Plan Narrative provides a vehicle for sharing the results of that process with the Federal Partner, in a mutually agreed-upon format.
In addition, it provides an opportunity to report on the integration and coordination with other internal and external plans which serve the same client.

A. Description.

The State Plan Narrative consists of an overview and one or more brief focus narratives or summaries, in a prescribed format (see Appendix I), addressing each major planning element (goal, objective, functional or programmatic area) upon which the SESA plans to focus during the fiscal year. To the extent feasible, these key program objectives will include elements identified as areas of Federal Program Emphasis.

The overview should not be a lengthy document. Focus narratives also should be concise, and serve only as a springboard for additional information. A more detailed discussion with Regional Office staff already may have occurred, or may occur as a follow up. However, in order to develop Regional and National Office support for its objectives, the SESA needs to provide a minimum amount of information relative to the categories defined in a format that allows for follow-up and tracking.

Below are the components to be included in the State Plan Narrative. These components may be addressed in either the overview or a focus narrative as best describes the State’s direction and plans:

• The strategic direction the SESA has adopted to ensure continuous program improvement.

• A brief description of the current SESA environment that has a direct impact on UI program performance. Examples of environmental factors include economic conditions, political climate, labor/business relationships, and State legislative issues.

• Assessment of program performance in prior program years.

• State-identified continuous improvement targets for the coming year and strategies for accomplishing them.

• Responses to the Secretary of Labor’s areas of program emphasis.

• Information on the SESA approach to maintaining solvency of the State’s unemployment fund.

• Information on the SESA strategy for evaluating customer satisfaction and including customer input to promote continuous improvement.

B. Format and Instructions.

The State Plan Narrative format and instructions are contained in Appendix I along with a completed sample. The format is intended to provide SESAs flexibility in conveying their overall direction and emphases while providing for future electronic transmittal.

IV. CAP/CIP.

These plans consist of a narrative section and milestone summary completed and submitted in the format in Appendix I. Each CAP/CIP must be titled and numbered as indicated in Section V below.

A. Mandatory CAPs.

SESAs must complete and submit CAPs for:

1. Performance Deficiencies. Performance that did not meet criteria established for Tier I measures for the annual measurement period and remains uncorrected prior to the preparation of the SQSP.

In many instances, performance deficiencies will have been identified prior to the annual assessment with a CAP already in existence to remedy the problem. Accordingly, the SQSP will not, in many instances, require development of a new CAP unless progress on an existing plan is not on target, does not adequately address milestones for the plan year, or is determined by the Regional Office to be no longer adequate to address the extent of the deficiency as revealed by the annual assessment. Such CAPs (i.e., adequate, existing CAPs) will be incorporated into the SQSP submission along with revised CAPs and CAPs addressing newly identified deficiencies.

2. Egregious Poor Performance. Conspicuously bad performance identified by an analysis of Tier II measures.

3. Reporting Deficiencies. Consistent failure to timely or accurately submit any Federally-required reports.

4. Program Review Deficiencies. Uncorrected deficiencies identified in program reviews conducted by the State, or ETA. Examples of such program reviews include Federal programs (UCFE, UCX, etc.), Data Validation, BPC, Internal Security, UI Automation Support Account (UIASA) monitoring, and State Audits.

5. BAM Requirement Deficiencies. Failure to meet Federal requirements identified in BAM which remain uncorrected.
The Regional Office will notify the SESAs when, based on the annual BAM administrative determination, States must prepare a CAP covering any failure to meet Federal BAM requirements.
The CAP must specify measures to be taken for correcting the problem(s) in question and provide projected dates for the completion of each step in the plan. The BAM requirements are contained at 20 CFR Part 602 and in the Benefits Accuracy Measurement State Operations Handbook (ET Handbook 395).

6. TPS Requirement Deficiencies. A CAP is required for a SESA that has not fully completed all parts of the TPS as required in ET Handbook 407, Revenue Quality Control.

B. CIPs.

Supportive of a continuous improvement environment, the SQSP allows for the submission of CIPs which focus on performance that meets or exceeds minimum criteria, but for which a SESA and Regional Office see the opportunity to attain an enhanced goal in service delivery. States, on their own initiative, or due to negotiations initiated by the Regional Office, are encouraged to
prepare CIPs for Tier II measures, or Tier I measures above base requirements. The preparation of such plans may be useful to indicate new goals or SESA program emphasis. CIPs are part of the SQSP, and must reference the number and title of the measure as found in section V of this Chapter.

C. CAP/CIP Format Completion.

When developing a CAP/CIP for deficient performance or continuous improvement, the prescribed format includes the data elements listed below. Sample formats are contained in Appendix I.

1. Narrative. The narrative section must address items a-e below.

a. An explanation of the reason(s) for the deficiency.
For CIPs, this explanation may be omitted.

b. The performance goal target expressed as a percentage.

c. A description of the actions/activities which will be undertaken to improve performance.

d. If a plan was in place the previous fiscal year and performance has not improved as specified in the plan, an explanation of why the actions contained in that plan were not successful in improving performance, and an explanation of why the actions now specified will be more successful.

e. A brief description of plans for monitoring and assessing accomplishment of planned actions and for controlling quality after achieving performance goals.

If the desired improvement will not be accomplished by the end of the fiscal year for which the plan is submitted, the SESA must provide: (1) an estimate of where performance will be at the end of the fiscal year; (2) major actions remaining to be taken in subsequent fiscal years; and (3) a projection as to when the performance goal will be achieved, or the program review deficiency or Federal BAM or TPS deficiency will be corrected.

2. Milestones. The SESA must list both specific milestones (key corrective action or improvement activities) and the completion date for each milestone in the space provided.
Milestones must be established for each core element of the SESA’s corrective action/improvement plan and be of sufficient number and frequency to facilitate State and Regional plan oversight and assessment during the fiscal
year. It is anticipated that one or more milestones for
each quarter would permit such progress tracking and assessment during the fiscal year through State and Regional follow-up schedules.

NOTE: Milestones should be concise and specify key actions necessary to be accomplished throughout the planning year to implement the SESA's proposals for achieving its corrective action/improvement goals. SESAs also may wish to identify performance milestones that reflect the performance level they anticipate will result from completion of planned activities.

3. Assembly. CAPs/CIPs must be arrayed in the same order in which they appear in the following list of Tier I/Tier II measures.

V. PERFORMANCE MEASURES.

UI PERFORMS incorporates two tiers of performance measures. Tier I measures are those measures that are considered to be critical indicators of the overall performance of the program. If minimum performance levels for them are not met, it signals fundamental impairment in program operations, and triggers a requirement that a CAP be submitted. Tier II measures represent a menu of additional measures on which Federal data are collected and which, together with Tier I, measures provide a complete picture of the full UI program.
SESAs are encouraged to routinely monitor performance data on both Tier I and Tier II measures and to achieve continuous improvement in overall unemployment compensation performance by establishing improvement targets for as many measures as possible.

A. TIER I (Criterioned) Measures.

Tier I, or criterioned measures, are key indicators of core performance of the UI program. They were selected to provide coverage of the major areas of UI performance in both the benefits and tax areas based on the Federal UI law requirements, and key indicators for customer service including timeliness, accuracy, and quality. The DOL sought SESA and public comment on proposed minimum performance criteria for the Tier I measures through UIPL 4-99, dated October 20, 1998, and through a Federal Register Notice at 63 FR 63544, dated November 13, 1998, and intends to publish final criteria by June 1999. Once established the criteria for the Tier I measures will represent minimum acceptable levels of performance - floor levels below which the SESA’s customers would not be getting acceptable service. SESA performance measured by Tier I measures will be the basis for formal Departmental action when criteria are not met. DOL intends to provide various periods for transition to the new Tier I minimum performance criteria, so during the specified transition period ETA will not initiate formal action against a

State with performance below a criterion if the State submits a satisfactory corrective action plan and shows evidence of continuing progress in its achievement.

B. TIER II (Non-Criterioned) Measures.

Tier II measures, like Tier I measures, are routinely reported by the SESA using Federal definitions found in ETA Handbook 401, but have no nationally established Federal criteria for judging the adequacy of the SESA’s performance. Instead, in conjunction with the Regional Office, and as part of the annual planning process, the SESA will identify Tier II measures that need or to which it wishes to provide special attention. The vehicle for enhancing performance in these areas is a CIP negotiated between the SESA and the Regional Office. The SESA will identify strategies for improvement and reach agreement with the Regional Office for a numerical performance goal for the measure for the year.

However, as provided in Federal UI Law, the Secretary of Labor retains full authority to address cases of egregious poor performance in a State. Egregious performance, defined as conspicuously bad performance, will be judged by the Regional Office by comparing the SESA’s performance against annual goals established in the SQSP, and by noting performance that falls substantially below the national performance for a non-criterioned measure. The vehicle for enhancing deficient performance in these areas is through a CAP as described in paragraph IV.A. above.

Note: Definitions for existing Tier II measures are found in ETA Handbook 401.

UI PERFORMS Tier II Measures

Benefits Payment Timeliness Measures

1. Intrastate UI First Payments Timeliness*
2. Interstate UI First Payments Timeliness*
3. UI First Payments Timeliness (Partials/Part Totals)
4. UCFE First Payments Timeliness
5. UCX First Payments Timeliness
6. Continued Weeks Payments Timeliness*
7. Continued Weeks Payments Timeliness (Partials/Part Totals)
8. Workshare First Payments Timeliness
9. Workshare Continued Weeks Payment Timeliness
10. Intrastate Separation Determinations Timeliness
11. Intrastate Nonseparation Determinations Timeliness

12. Interstate Separation Determinations Timeliness

13. Interstate Nonseparation Determinations Timeliness

14. Nonmonetary Issue Detection Timeliness
15. Nonmonetary Determinations Implementation Timeliness

Appeals Timeliness Measures

16. Implementation of Appeals Decision Timeliness
17. Employer Tax Appeal Timeliness [to be developed]
18. Lower Authority Appeals, Case Aging
19. Higher Authority Appeals, Case Aging

Combined Wage Claims Timeliness Measures

20. Combined Wage Claim Wage Transfer Timeliness
21. Combined Wage Claim Billing Timeliness
22. Combined Wage Claim Reimbursements Timeliness

Tax Timeliness Measures

23. Contributory Employer Report Filing Timeliness
24. Reimbursing Employer Report Filing Timeliness
25. Securing Delinquent Contributory Reports Timeliness
26. Securing Delinquent Reimbursing Reports Timeliness
27. Resolving Delinquent Contributory Reports Timeliness
28. Resolving Delinquent Reimbursing Reports Timeliness
29. Contributory Employer Payments Timeliness
30. Reimbursing Employer Payments Timeliness
31. Successor Status Determination Timeliness (within 90 days of Quarter
    End Date)
32. Successor Status Determination Timeliness (within 180 days of Quarter
    End Date)

Appeals Quality Measures

33. Lower Authority Appeals Due Process Quality
34. Higher Authority Appeals Quality - [to be developed]

Tax Quality Measures

35. Employer Tax Appeals Quality - [to be developed]
36. Delinquent Reports Resolution Quality
37. Collection Actions Quality
38. Turnover of Contributory Receivables to Tax Due
39. Turnover of Reimbursing Receivables to Tax Due

40. Writeoff of Contributory Receivables to Tax Due

41. Writeoff of Reimbursing Receivables to Tax Due

42. Contributory Accounts Receivable as a Proportion of Tax Due
43. Reimbursing Accounts Receivable as a Proportion of Tax Due
44. Field Audits Quality
45. Field Audit Penetration, Employers
46. Field Audit Penetration, Wages
47. Percent Change as a Result of Field Audit

Benefits Accuracy Measures

48. Paid Claim Accuracy
49. Denied Claim Accuracy [under development]

Tax Accuracy Measures

50. Posting New Determinations Accuracy
51. Successor Determinations Accuracy
52. Posting Successor Determinations Accuracy
53. Inactivating Employer Accounts Accuracy
54. Posting Inactivations Accuracy
55. Employer Reports Processing Accuracy
56. Contributory Employer Debits/Billings Accuracy
57. Reimbursing Employer Debits/Billings Accuracy
58. Employer Credits/Refunds Accuracy
59. Benefit Charging Accuracy
60. Experience Rating Accuracy

Benefit Payment Control Measures

61. Benefit Payment Control, Establishment Effectiveness [under
    development]
62. Benefit Payment Control, Collection Effectiveness [under development]

VI. BUDGET WORKSHEETS AND INSTRUCTIONS.

This section contains instructions SESAs will need to prepare resource requests for administering the UI program during the Fiscal Year.
Budget worksheets are on pre-numbered pages in Appendix I. Only two UI program operations worksheets (UI-1 and SF 424) are required.
State agencies must prepare and submit the UI-1 (via UIRR) for staff hours and travel staff year estimates, and the SF 424 for base level planning and supplemental grant requests.

A. Worksheet UI-1, UI Staff Hours and Travel Staff Years.

A facsimile of Worksheet UI-1 and associated form completion
instructions are found in Appendix I. These data are required for the development of annual base planning targets. The UI-1 worksheet is due in the National Office (Attn.: TEUFA) by April 1 of each year.

B. SF 424, Application for Federal Assistance.

The regulation at 29 CFR 97.10 requires the use of the OMB Standard Form (SF) 424, Application for Federal Assistance, or other forms approved by OMB under the Paperwork Reduction Act of 1995, for an application for grant funds by State grantees. ETA requires that States use the SF 424 for submitting applications for UI base grants and supplemental budget requests (SBRs). The SF 424 must be filled out according to its instructions.

1. Procedures for Submission. States must submit a separate SF 424 and SF 424B for each request for base funding and each SBR. A separate SF 424A also may be required as described in sub-paragraph 2.b., below. In addition, States which submit SBRs must provide supporting justification and documentation.

2. Forms Completion Instructions. States must follow the standard instructions in completing SFs 424, 424A and 424B; however, States are not required to complete all items on the SF 424 and 424A. A facsimile of these forms and completion instructions are found in Appendix I. The following are specific guidelines for completing SFs 424 and 424A.

a. SF 424. States are not required to complete Items 3, 4, 9, 12, and 14 for base grants and SBRs. States must complete the remaining items. In Item 8, all SBRs are considered to be revisions. In Item 12, the title of the project must refer to either the base grant or SBR title and number. SBRs must be numbered sequentially within the fiscal year, e.g., 00-1, 00-2, etc.

b. SF 424A. States must complete Items 1, 6, and 16 for SBRs. States are not required to complete this form for base grants, unless they vary the number of base claims activity staff years paid by quarter; States that do so must show the quarterly distribution in Item 23 (Remarks).

C. SBRs.

The UI appropriation language authorizes supplemental funding related to expenditures due to State law changes enacted after the base allocation is provided. In addition, ETA may on occasion award supplemental funds for specific items not funded

in the base allocations.

1. Allowable/Unallowable Costs.

   a. Allowable Costs. SESAs may submit SBRs only for
   one-time costs that are not a part of base or
   contingency. SBR funds may be used only for the
   purposes identified in the SBR and/or any modifications
   to the original agreement approved by the grant
   officer.

   b. Unallowable Costs. SBR funds may not be used for
   ongoing costs, such as maintenance of software and
   hardware, or ongoing communications costs. In
   addition, SBRs may not be used to pay for salary
   increases, even when these increases are caused by a
   law change.

2. Guidelines for Preparing SBR Supporting Documentation. ETA
   will evaluate and approve all SBRs on the basis of
   supporting documentation and justification provided.
   Insufficient justification may delay processing and result
   in partial or total disapproval of the SBR.

   a. Supporting Documentation. SBRs may address a variety
   of projects whose scope cannot be fully anticipated.
   At a minimum, the SBR supporting documentation must
   contain the following five elements; however, these
   guidelines will not perfectly fit every SBR. SESAs
   should use them as a minimum starting point.

     1)   Summary. For larger projects, the SBR should
          contain a summary (1-2 paragraphs) that explains
          what the funds will accomplish. It should
          identify major capital expenditures including
          hardware, software, and telecommunications
          equipment; staff in excess of base staff; contract
          staff; and other purchases. It should also state
          what the final product or results will be when the
          funds have been expended.
   
     2)   Commitment to Complete Project. ETA cannot assure
          the availability of future Federal supplemental
          funds. Applicants must agree to continue efforts
          to complete the SBR project, and to supply any
          additional funds necessary to complete the project
          in a timely manner. This assurance is necessary
          to ensure that projects begun with federal funds
          are not abandoned due to a lack of additional
          federal funding.
   

3) Schedule. If the project activities haven’t been
completed, the SBR must include a projected
schedule. The schedule should provide the
projected dates for significant activities from
start to completion.

4) Amount of Funding Requested. The total dollar
amount of the SBR must be included. The costs of
specific program modules or tasks also must be
listed.

5) Description of the Proposed Fund Usage. The SBR
must contain a full description of how the funds
are to be used and why the proposed expenditures
represent the best use of funds for the SESA. For
each specific program module or task, the SBR must
include costs for:

 (a)   Staff. The request must identify both
       one-time SESA staff needs (in excess of base
       staff) and contract staff needs. Staff needs
       must include the type of position (e.g.,
       program analysts), the expected number of
       staff hours, and the projected hourly cost
       per position.

       (1)   SESA Staff. Any staff costs are
             allowable only for additional staff, not
             staff previously funded by the SESA's
             base grant. Costs incurred by regular
             SESA staff assigned to the project on a
             temporary basis may not be funded by the
             SBR unless those positions are
             “back-filled.” The request may include
             costs for staff that conduct training;
             however, personal services (PS) and
             personal benefit (PB) costs for staff
             attending training are not allowable
             unless those positions are back-filled.
             Unless otherwise justified, regular,
             Administrative Staff and Technical
             Services (AS&T), and contingency staff
             year costs must be based on the State PS
             and PB rate approved for the current
             year's UI grant. If not itemized in the
             SBR, standard add-on costs for support
             and AS&T staff must be based on the
             rates approved for the current year's
             base allocation.

       (2)   Contractor Staff.   For contract staff,

        the SESA must supply documentation
        including the estimated positions and
        hours, and the anticipated costs. SESAs
        electing to negotiate with the ITSC or
        other available sources for technical
        assistance must supply the same
        information normally requested for all
        contract staff, including the type of
        position, the expected staff hours, and
        the costs.

(b) Non-Personal Services (NPS). SESAs either may identify itemized one-time SESA NPS needs or may calculate staff-related NPS costs by formula. If not itemized in the SBR, staff-related NPS costs (excluding data processing and other needs) must be based on the rates approved for the current year's base allocation.

(1) Hardware, Software, and
Telecommunications Equipment. This section must include any hardware, software, and/or telecommunications equipment purchases that are a part of the request. Descriptions must show that the sizing and capabilities of the proposed purchases are appropriate for the SESA. SESAs that receive SBR funds for specific items, and subsequently determine that other items are more suitable, may substitute those items if they submit an amendment to the SBR documenting the appropriateness of the purchase, and the grant officer approves the substitution. Substitutions must be in line with the overall goals of the project.

SBRs sometimes include requests for items covered under the definition of automation acquisition in Chapter II.
The obligation and expenditure periods for these funds are longer than the periods for regular UI base and contingency funds. SESAs must clearly identify automation acquisition items in the SBR.

(2) Travel. The request may include NPS
travel costs; however, PS and PB costs for staff while on travel are not allowable.

(3) Other. The request may include one-time costs for other activities, not identified above, anticipated to be obtained from vendors, such as telephone companies, Internet service providers, and telecommunications providers.

b. Additional Required Items for Law Change SBRs. SBRs for law changes must contain the following information:

1) The specific bill number of enactment, and effective date of law change.

2) Relevant provisions as an attachment.

3) Costs per legislative provision and a narrative explaining why costs were or will be incurred for each provision, e.g., implementing tax rate changes; increasing the maximum benefit amount; or creating an alternative base period.

4) If a legislative provision benefits both UI and non-UI activities, the SBR must contain a statement certifying that the request is consistent with the State’s approved cost allocation plan and is only for costs which, under Federal law, may be funded from UI grants.

c. Supplementary Items. Some SBRs are for large-scale, complex projects that may be accomplished over a period of years. The following items are not required, but would be helpful in the SBR evaluation process:

1) Use of Technology. If applicable, the request should describe how the SESA will use technology in this project, including the technical appropriateness of the hardware, software, and/or telecommunications equipment for integration with the SESA's current operating systems.

2) Strategic Design. The SBR should include a description of the strategic design of the project as evidence of a well-thought-out analysis of operations.

3) Measurable Improvements Expected in UI Operations. The request should identify the areas in which services could be improved through implementation of the proposed project. Measurable improvements may include accomplishing necessary work using fewer steps, doing work more quickly, incorporating work steps which are not currently accomplished, or reducing the amount of error which presently occurs in the work product.

4) Supporting Materials. SESAs may attach any additional materials which they believe will enhance the content of the
SBR.

VII. Assurances.

The SESA Administrator, by signing the SQSP Signature Page, certifies that the SESA will comply with the following assurances, and that the SESA will institute plans or measures to comply with the following requirements. A facsimile of the Signature Page appears in Appendix I. Since the Signature Page incorporates the assurances by reference into the SQSP, States should not include written assurances into their SQSP submittal. The assurances are identified and explained in Paragraphs A - H below.

A. Assurance of Equal Opportunity (EO).

As a condition to the award of financial assistance from ETA, the SESA must assure that the operation of its program, and all agreements or arrangements to carry out the programs for which assistance is awarded, will comply with Title VI of the Civil Rights Act of 1964, as amended; Section 504 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975, as amended; and the Americans with Disabilities Act of 1990.
Further, the SESA must assure that it will establish and utilize such methods of administration as give reasonable guarantee of compliance with the above equal opportunity and nondiscrimination laws and regulations regarding the services it provides and employment. These methods of administration must, at a minimum, include:

1. Designation of a Responsible Employee. The SESA must
designate an individual to coordinate its EO responsibilities. Sufficient staff and resources (determined on a case-by-case basis) must be assigned to this individual to ensure effective implementation of his or her responsibilities.

2. Notification. The SESA must take affirmative steps to
   inform applicants, participants, and employees:

   a. that it does not discriminate in admission, access,
   treatment, or employment; and

   b. of their right to file a complaint and how to do so.

   Methods of notification of this information may include,
   among other things, display of posters, placement of notices
   in local offices, and publication of notices in, among other
   things, newsletters, newspapers, or magazines.

3. Monitoring. The SESA must develop and implement a system
   for periodically monitoring the compliance status of its
   local offices.

4. Grievance System. The SESA must establish procedures for
   resolving complaints alleging discrimination on the basis of
   handicap in services or employment filed with its local
   offices. The procedures must comply with the appropriate
   provisions of the regulations implementing Section 504 of
   the Rehabilitation Act of 1973 at 29 CFR 32.45. All other
   discrimination complaints are filed directly with the U.S.
   Department of Labor, Office of Civil Rights.

5. Accessibility. The SESA must assure that the
   services/programs provided in the local offices are
   accessible to handicapped individuals. The program
   information must be available to hearing and vision impaired
   persons and, as necessary, to persons of limited
   English-speaking ability.

6. Corrective Action. The SESA must establish procedures for
   taking prompt corrective action regarding any noncompliance
   finding of a local office.

7. Record Keeping. The SESA must ensure that characteristics
   data (e.g., race, sex, national origin, age, handicap
   status) are maintained in local offices' records on
   applicants, participants, and employees and that such
   records are sufficient to determine whether that local
   office is in compliance with Federal nondiscrimination and
   equal opportunity statutes and regulations.

B. Assurance of Administrative Requirements and Allowable Cost Standards.

The SESA must comply with administrative requirements and cost principles applicable to grants and cooperative agreements as specified in 20 CFR Part 601 (Administrative Procedure), 29 CFR Part 93 (Lobbying Prohibitions), 29 CFR Part 96 (Audit Requirements), 29 CFR Part 97 (Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments), and OMB Circular A-87 (Revised), 60 FR 26484 (May 17, 1995), further amended at 62 FR 45934 (August 29, 1997) (Cost Principles for State, Local, and Indian Tribal Governments), and with administrative requirements for debarment and suspension applicable to subgrants or contracts as specified in 29 CFR Part 98 (Debarment and Suspension). The cost of State staff travel to regional and national meetings and training sessions is included in the grant funds. The SESA assures that State staff will attend mandatory meetings and training sessions, or return unused funds.

States that have subawards to organizations covered by audit requirements of OMB Circular A-133 (Revised) (Audit Requirements of Institutions of Higher Education and Other Non-Profits) must (1) ensure that such subrecipients meet the requirements of that circular, as applicable, and (2) resolve audit findings, if any, resulting from such audits, relating to the UI program.

The SESA also assures that it will comply with the following specific administrative requirements.

1. Administrative Requirements.

a. Program Income. Program income is defined in 29 CFR 97.25 as gross income received by a grantee or subgrantee directly generated by a grant supported activity, or earned only as a result of the grant agreement during the grant period. States may deduct costs incidental to the generation of UI program income from gross income to determine net UI program income.
UI program income may be added to the funds committed to the grant by ETA. The program income must be used only as necessary for the proper and efficient administration of the UI program. Any rental income or user fees obtained from real property or equipment acquired with grant funds from prior awards shall be treated as program income under this grant.

b. Budget Changes. Except as specified by terms of the specific grant award, ETA, in accordance with the regulations, waives the requirements in 29 CFR 97.30(c)(1)(ii) that States obtain prior written
approval for certain types of budget changes.

c. Real Property Acquired with Reed Act Funds. The requirements for real property acquired with Reed Act or other non-Federal funds and amortized with UI grants are in UIPL 39-97, dated September 12, 1997, and in 29 CFR 97.31 to the extent amortized with UI grants.

d. Equipment Acquired with Reed Act Funds. The requirements for equipment acquired with Reed Act or other non-Federal funds and amortized with UI grants are in UIPL 39-97, dated September 12, 1997, and in 29 CFR 97.31 to the extent amortized with UI grants.

e. Real Property, Equipment, and Supplies.

1) Real property, equipment, and supplies acquired under prior awards are transferred to this award and are subject to the relevant regulations at 29 CFR Part 97.

2) For super-microcomputer systems and all associated components which were installed in States for the purpose of Regular Reports, Benefits Accuracy Measurement, and other UI Activities, the requirements of 29 CFR Part 97 apply. The National Office reserves the right to transfer title and issue disposition instructions in accordance with paragraph (g) of Federal regulations at 29 CFR 97.32. States also will certify an inventory list of system components which will be distributed annually by ETA.

f. Standard Form 272, Federal Cash Transactions Report.
In accordance with 29 CFR 97.41(c), SESAs are required to submit a separate SF 272 for each sub- account under the Department of Health and Human Services (DHHS) Payment Management System. However, SESAs are exempt from the requirement to submit the SF 272A, Continuation Sheet.

2. Exceptions and Expansions to Cost Principles. The following
   exceptions or expansions to the cost principles of OMB
   Circular No. A-87 (Revised) are applicable to SESAs:

   a. Employee Fringe Benefits. As an exception to OMB
   Circular A-87 (Revised) with respect to personnel
   benefit costs incurred on behalf of SESA employees who
   are members of fringe benefit plans which do not meet
   the requirements of OMB Circular No. A-87 (Revised),
   Attachment B, item 11, the costs of employer

   contributions or expenses incurred for SESA fringe
   benefit plans are allowable, provided that:

   1) For retirement plans, all covered employees joined
   the plan before October 1, 1983; the plan is
   authorized by State law; the plan was previously
   approved by the Secretary; the plan is insured by
   a private insurance carrier which is licensed to
   operate this type of plan in the applicable State;
   and any dividends or similar credits because of
   participation in the plan are credited against the
   next premium falling due under the contract.

   2) For all SESA fringe benefit plans other than
   retirement plans, if the Secretary granted a time
   extension after October 1, 1983, to the existing
   approval of such a plan, costs of the plan are
   allowable until such time as the plan is
   comparable in cost and benefits to fringe benefit
   plans available to other similarly employed State
   employees. At such time as the cost and benefits
   of an approved fringe benefit plan are equivalent
   to the cost and benefits of plans available to
   other similarly employed State employees, the time
   extension will cease and the cited requirements of
   OMB Circular A-87 (Revised) will apply.

   3) For retirement plans and all other fringe benefit
   plans covered in (1) and (2) of this paragraph,
   any additional costs resulting from improvements
   to the plans made after October 1, 1983, are not
   chargeable to UI grant funds.

b. UI Claimant's Court Appeals Costs. To the extent authorized by State law, funds may be expended for reasonable counsel fees and necessary court costs, as fixed by the court, incurred by the claimant on appeals to the courts in the following cases:

1) Any court appeal from an administrative or judicial decision favorable in whole or in part for the claimant;

2) Any court appeal by a claimant from a decision which reverses a prior decision in his/her favor;

3) Any court appeal by a claimant from a decision denying or reducing benefits awarded under a prior administrative or judicial decision;

4) Any court appeal as a result of which the claimant
is awarded benefits;

5) Any court appeal by a claimant from a decision by a tribunal, board of review, or court which was not unanimous;

6) Any court appeal by a claimant where the court finds that a reasonable basis exists for the appeal.

c. Reed Act. Payment from the SESA's UI grant allocations, made into a State's account in the Unemployment Trust Fund for the purpose of reducing charges against Reed Act funds (Section 903(c)(2) of the Social Security Act, as amended (42 U.S.C.
1103(c)(2)), are allowable costs provided that:

1) The charges against Reed Act funds were for amounts appropriated, obligated, and expended for the acquisition of automatic data processing installations or for the acquisition or major renovation of State-owned real property (as defined in 29 CFR 97.3); and

2) With respect to each acquisition or improvement of property, the payments are accounted for as credit against equivalent amounts of Reed Act funds previously withdrawn under the respective appropriation.

d. Prior Approval of Equipment Purchases. As provided for in OMB Circular No. A-87 (Revised), Attachment B, item 19, the requirement that grant recipients obtain prior approval from the Federal grantor agency for all purchases of equipment (as defined in 29 CFR 97.3) is waived and approval authority is delegated to the SESA Administrator.

C. Assurance of Management Systems, Reporting, and Record Keeping.

The SESA assures that:

1. Financial systems provide fiscal control and accounting procedures sufficient to permit timely preparation of required reports, and the tracing of funds to a level of expenditure adequate to establish that funds have not been expended improperly (29 CFR 97.20).

2. The financial management system and the program information system provide Federally-required reports and records that are uniform in definition, accessible to authorized Federal
and State staff, and verifiable for monitoring, reporting, audit, and evaluation purposes.

3. It will submit reports to ETA as required in instructions issued by ETA and in the format ETA prescribes.

4. The financial management system provides for methods to insure compliance with the requirements applicable to procurement and grants as specified in 29 CFR Part 98 (Debarment and Suspension), and for obtaining the required certifications under 29 CFR 98.510(b) regarding debarment, suspension, ineligibility, and voluntary exclusions for lower tier covered transactions.

D. Assurance of Program Quality.

The SESA assures that it will administer the UI program in a manner that ensures proper and efficient administration. "Proper and efficient administration" includes performance measured by ETA through Tier I measures, Tier II measures, program reviews, and the administration of the UI BAM, BTQ measures, and TPS program requirements.

E. Assurance on Use of Unobligated Funds.

The SESA assures that non- automation funds will be obligated by December 31 of the following fiscal year, and liquidated within 90 days thereafter. ETA may extend the liquidation date upon written request. Automation funds must be obligated by the end of the 3rd fiscal year, and liquidated within 90 days thereafter.
ETA may extend the liquidation date upon written request.
Failure to comply with this assurance may result in disallowed costs from audits or review findings.

F. Assurance of Prohibition of Lobbying Costs.

The SESA assures that, in accordance with the DOL Appropriations Act, no UI grant funds will be used to pay salaries or expenses related to any activity designed to influence legislation or appropriations pending before the Congress of the United States.

G. Assurance of Disaster Recovery Capability.

The SESA assures that it will maintain a Disaster Recovery plan.

H. Assurance of Conformity and Compliance.

The SESA assures that the State law will conform to, and its administrative practice will substantially comply with, all Federal UI law requirements, and that it will adhere to DOL directives.

VIII. Content Checklist.

The SQSP Content Checklist shows all the documents which comprise the entire SQSP listed by submittal and in order of assembly. Each SESA must insure that those documents appropriate to its plan are submitted to minimize the potential for a delay in the approval and funding process.

APRIL SUBMITTAL
UI-1 - UI Staff Hours and Travel Staff Years

AUGUST SUBMITTAL (Main)

1. Transmittal Letter

2. State Plan Narrative
   Summary
   Program Focus Summaries

3. CAPs
   Tier I Deficient Performance
   Tier II Egregious Poor Performance
   Reporting Deficiencies

          Program Review Deficiencies:
   
               (a)   Federal Program Reviews (UCFE, UCX, etc.)
               (b)   BPC Reviews
               (c)   Internal Security Reviews
               (d)   Workload Validation
               (e)   Automation Grants
               (f)   Other
   
          BAM Requirement Deficiencies:
   
               (a)   Organization
               (b)   Authority
               (c)   Written Procedures
               (d)   Format
               (e)   Sample--Selection and Investigation
               (f)   Case Completion Timeliness
   
          TPS Requirement Deficiencies
   

4. CIPs

          Tier I - Continuous Improvement (Negotiated or State Option)
   
      Tier II - Continuous Improvement (Negotiated or State Option)
   

5. Budget Worksheets/Forms:

      SF 424, SF 424 (A) & (B) - Application For Federal Assistance
   

6. Organization Chart

7. Certifications

      Drug-Free Workplace
      Lobbying
   

8. Signature Page

SBR SUBMITTAL (As Appropriate)

1. Transmittal Letter

2. Budget Worksheets/Forms:

      SF 424, SF 424 (A) & (B) - Application For Federal Assistance
   

3. Supporting Documentation
   Summary
   Commitment to Complete Project
   Schedule
   Description of Proposed Fund Usage
   Amount of Funding Requested
   Expenditures

4. Additional SBR Documentation (Law Change SBRs only)
   Bill Number and Effective Date
   Relevant Provisions
   Costs & Narrative by Legislative Provision
   UI only Statement

5. Optional Supplementary Items (Large-scale, Complex Projects)
   Technical Approach
   Strategic Design
   Measurable Improvements Expected
   Supporting Materials

                 CHAPTER II - REPORTING
   

I. Introduction.

Chapter II of the SQSP Handbook provides guidelines for the reports
and data elements to be used for financial reporting of State Unemployment Insurance (UI) program activities.

II. Submittal Instructions.

A. Use of Computer Printouts in Lieu of Prescribed Forms.

SESAs may submit financial report information on computer printouts instead of the SFs 269, 270, 272, and 424. However, such printouts must contain the identical information and format as the report forms, including the certification and authorized signature blocks, and adhere to submittal requirements described below.

B. Electronic Submittal.

States submit the UI-3 worksheet through UIRR. This ensures that this report is consistent with reported workload and entitlement is calculated uniformly. UIRR makes output reports available for review and correction before electronic transmission to the National Office. Electronic submittal is not available for Standard Forms.

C. Number of Copies and Recipient.

For all Standard Forms (e.g., SF 269, SF 424), submit an original and 2 copies to the ETA Regional Office. The National Office electronically receives UIRR reports, which the Regions also may access.

D. Frequency and Due Dates.

The UI-3 worksheet and SF 269 are due within 30 days after the end of the reporting quarter. The SF 272 is due within 15 working days after the end of the reporting period. Contingency advance requests are due within 10 working days of the quarter to which they pertain. The request form, SF 270, is a voluntary report.

E. ETA Identifying Numbers.

The following is a list of codes to be used by Regions in issuing obligational authority and by SESAs when using the SF 269 and when drawing cash. Definitions of program categories on the UI-3 are provided in Section IV., Paragraph H, Time Distribution Definitions.

PROGRAM1
│ETA IDENTIFYING NO.2, 3
──────────────────────────────────────────┼──────────────────────── ─────

 UI Operations                                    │       9210X

───────────────────────────────────────────┼─────────────────────── ──────
UI PERFORMS │ 9210X
───────────────────────────────────────────┼─────────────────────── ──────
Systematic Alien Verification Entitlement (SAVE) │ 99210X
Program
│
───────────────────────────────────────────┼─────────────────────── ──────
Trade Adjustment Assistance (TAA) and North │ 9210X
American Free Trade Agreement - Transitional │ Adjustment Assistance (NAFTA-TAA) Benefits │
Administration.
│
───────────────────────────────────────────┼─────────────────────── ──────
UI National Activities │ 9211X
───────────────────────────────────────────┼─────────────────────── ──────
TAA Benefits │ 9226X
───────────────────────────────────────────┼─────────────────────── ──────
NAFTA-TAA Benefits │ 9173X
───────────────────────────────────────────┼─────────────────────── ──────
Disaster Unemployment Assistance (DUA)4 │ 9235X thru 9245X

III. Reports.

Facsimiles of the forms and completion instructions can be found in Appendix II. Additionally, Standard Forms may be downloaded from www.whitehouse.gov/omb/index.html/grants/.

A. UI-3, Quarterly UI Contingency Report.

1. Purpose. This report provides information to ETA on the number of staff years worked and paid for various UI program categories, and provides the basis for determining contingency and SAVE entitlements.

2. Reporting Instructions. SESAs are required to report the number of quarterly staff years worked and paid and the number of year-to-date staff years paid. ETA does not prescribe the type of time distribution reporting system used by SESAs to generate the required data. However, the system used must be capable of providing data in the required detail, and the data must fairly and accurately represent the utilization of staff years. Data must be traceable to supporting documentation, e.g., time distribution and cost reports. SESAs using sampling,
allocation, and estimating techniques to spread actual hours to the UI programs must have documentation describing the techniques and procedures being used.

3. Report Completion Instructions. SESAs are to enter only data which cannot be obtained elsewhere in UIRR, which performs most calculations.

B. SF 269, Financial Status Report.

This report is a government-wide standard form prescribed for use by OMB Circular No. A-102, and by Department of Labor Regulations at 29 CFR 97.41(b). A separate SF 269 is submitted each quarter for each fiscal year of funds (including the current fiscal year), until such time as all unliquidated obligations (resources on order) have been liquidated and a final SF 269 is submitted.
States submit a final SF 269 when all financial activity has ceased and the unobligated balance is zero, and the following equation is satisfied: Obligational Authority = accrued expenditures = cash received.

ETA is requiring States to report administrative expenditures on the accrued expenditure basis, per 29 CFR 97.41(b)(2). The SF 269 submitted for unemployment insurance benefit payments for DUA, TAA and NAFTA-TAA must be reported on the cash basis, i.e., actual cash benefits paid during the reporting period.

SF 269s are to be submitted only for the following:

• Unemployment Insurance Operations. All UI administrative funds are to be included on the SF 269, including funds for TAA and NAFTA-TAA benefits administration, but excluding UI National Activities and cooperative agreements. UI program income and associated costs also must be reported on the SF-269. On line 12 (Remarks), enter accrued expenditures (quarter) and obligations (year-to-date) separately according to staff costs and NPS costs.
Expenditures/obligations must reflect charges against only current year funds. Charges against prior year funds (including carry-over funds) are to be reflected on the separate SF 269 for that year.

• UI National Activities. (Separate for each year)

• TAA Benefits. (Separate for each year)

• NAFTA-TAA Benefits. (Separate for each year)

• DUA Administration and Benefits. (Separate SF 269s for each disaster number and by Administration and Benefits)

C. SF 270, Request for Advance or Reimbursement.

This report is a Government-wide standard form prescribed for use by OMB Circular No. A-102, and by Department of Labor Regulations at 29 CFR 97.41(d). This is a voluntary report which States may use to request contingency advances for only the fourth quarter of each fiscal year.

D. SF 272, Federal Cash Transactions Report.

A facsimile of form SF 272 and completion instructions can be found in Appendix II. In accordance with 29 CFR 97.41(c), SESAs are required to submit the SF 272, Federal Cash Transactions Report, under the DHHS Payment Management System. However, SESAs are exempt from the requirement to submit the SF 272A, Continuation Sheet.

IV. Definitions.

A. Accrued Expenditures.

This term is defined in 29 CFR 97.3 as: "charges incurred by the grantee during a given period requiring the provision of funds for: (1) goods and other tangible property received; (2) services performed by employees, contractors, subgrantees, subcontractors, and other payees; and (3) other amounts becoming owed under programs for which no current services or performance is required, such as annuities, insurance claims, and other benefit payments."

The term "Outlays" on the SF 269 has the same meaning as accrued expenditures under the accrual basis of reporting.

B. Funding Period.

Non-automation funds must be obligated by December 31 of the following fiscal year, and liquidated within 90 days thereafter.
ETA may extend the liquidation date on written request.
Automation funds must be obligated by the end of the 3rd fiscal year, and liquidated within 90 days thereafter. ETA may extend the liquidation date on written request. The annual call memo will specify the specific funding period for the plan year and any special provisions contained in the appropriation language.

C. Obligations.

Obligations are the sum of outlays and unliquidated obligations (resources on order).

Guidelines for establishing obligations in the UI program are listed below:

1. Obligations must be intended to meet a bona fide need of the
   funding period in which the need arises, or to replace stock
   used in the funding period. To comply with this guideline,
   purchase orders, requisitions, and contracts recorded as
   obligations must be firm, complete, and must request prompt
   delivery of materials or services. Do not include in the
   amounts reported as obligations administrative reservations,
   such as reservations for contemplated procurements in the
   form of requisitions within the SESA, invitations for bids,
   or any other similar arrangements.

2. Where an obligation is definite but the precise amount is
   not known, it may be estimated.

3. States must obligate allocations for regular operations of
   the UI program -- whether base or contingency funded -- as
   specified in paragraph IV.B. above.

4. Generally, obligations should be supported by a valid
   purchase order or other binding agreement, in writing,
   between the parties, for goods to be delivered or services
   to be performed. Purchase orders are to be included only to
   the extent that their issuance, together with previous or
   subsequent action by the other party, constitutes an offer
   and acceptance that has become a binding agreement. Such
   orders (and requisitions) may not be regarded as issued as
   long as they remain within the control of the issuing
   agency.

5. If the SESA issues purchase orders directly to a vendor,
   obligations must be recorded and reported on the basis of
   the purchase orders.

6. For purchases placed with another State agency which are
   required by State law or regulation, an exception is made to
   the requirement for supporting a transaction by a valid
   purchase order or binding agreement in writing. Where the
   State law or regulations mandatorily require the State
   agency to procure the specific materials, requisitions of
   State agencies may be treated as purchase orders, and
   obligations must be recorded and reported on the basis of
   the requisitions issued to the central procurement agency.

7. When procurement from a central procurement agency is
   optional, obligations may be recorded on the basis of
   requisitions issued by the SESA, provided: (a) there is
   documentary evidence (such as a store stock catalog) that
   the items are normally stocked, and (b) the requisition is
   for a bona fide need of the funding period in which the need
   arises, or it is for replacement of stock used in the

     funding year. When items or services are ordered through a
     central procurement agency with delivery to the SESA direct
     from the vendor, obligations must be recorded on the basis
     of purchase orders issued by the central agency.
   

D. Unliquidated Obligations.

This term on the SF 269, for reports prepared on an accrued expenditure basis, is defined in 29 CFR 97.3 as: “the amount of obligations incurred by the grantee for which an outlay has not been recorded." The term "unliquidated obligations" has the same meaning as "resources on order" had in the past. SESAs must report valid unliquidated obligations on the SF 269 for the UI program.

SESAs should periodically review unliquidated obligation amounts to determine their validity. Obligations must not be carried on the State agency's books unless the agency is reasonably certain that payment of the obligation will be required at a later date.

Federal regulations at 29 CFR 97.23(b) require that States must liquidate all obligations incurred under a grant not later than 90 days after the end of the funding period (see paragraph IV.B. above) unless extended by the Federal agency at the request of the grantee. Thus, States must obtain written approval from ETA to retain unliquidated non- automation acquisition obligations beyond 6 months after the end of the fiscal year or automation acquisition obligations beyond 2 years and 90 days after the end of the fiscal year. State requests for extension of the deadline for expending funds must be in writing and executed prior to the regular deadlines for fund expenditure.

F. Automation Acquisition.

The term "automation acquisition" is defined as the costs of goods and services directly related to the automation of UI operations. Automation goods consist of computers and their peripheral and auxiliary equipment and associated software.
Automation data processing services are those services necessary to support the acquisition of those ADP goods. The term does not include maintenance and other costs relating to current operations and services.

Given the fast pace of technological developments, the list of products covered by this definition will change with time; therefore, no definitive list can be provided. The following list is illustrative of what is meant by the definition, but is not all-inclusive:

1. Hardware: central processing units; front-end processing units; minicomputers; microcomputers; and related peripheral
equipment, such as data storage devices, document scanners, data entry equipment, terminal controllers, and data terminal equipment; computer-based word processing systems other than memory typewriters; equipment and systems for computer networks; equipment and systems for communications, which includes voice, radio, images, optical, data, and video; related items such as switchboards, PBX units, multiplexers, FAX, modems, digital computer service units, channel service units, channel extenders, protocol converters, VSAT, satellite, encryption and voice response units.

2. Software: programs and routines used to employ and control the capabilities of automated and communication systems such as operating systems, compilers, assemblers, utilities, library routines, maintenance routines, applications, converters, conversion routines, knowledge-based systems, artificial intelligence systems, decision support systems, executive information systems, and encryption and networking programs.

3. Services: one-time costs for staff, service bureaus, or contract services directly related to the initial acquisition of automation systems, including those relating to feasibility studies, systems design, application software and system development; and the transportation, installation, training, and maintenance of such items which directly relate to the initial acquisition.

F. ETA Identifying Numbers.

Because some SESAs have moved to accounting systems other than CAS, ETA established uniform accounting codes for use by all SESAs in reporting back to ETA. While the uniform codes are based on the current CAS fund ledger code structure, non-CAS users may establish whatever account/code classification system they wish to use in their accounting systems. However, the SF 269s submitted to ETA must contain the ETA identifying number(s) shown in Section II.E., and they must be used in identifying cash drawdowns by program through the Department of Health and Human Services' Payment Management System.

G. Time Distribution Definitions.

The definitions of the UI program categories contained in the UI base allocations and Quarterly Financial Report (UI-3) are a combination of UI functions previously defined in ET Handbook No.
362 (SESA Accounting Manual), Volume II, Chapter IV. The following reflects the program categories used on the UI-3 worksheet and the CAS time distribution functions and codes:

UI-3

Associated Time Distribution Functional Activity Codes (under Project Code 210 unless otherwise stated)

Claims Activities

Initial Claims (200)
Weeks Claimed (Includes ERP) (200)
Nonmonetary Determinations (230)
Multi-claimant Services (238)
Appeals (240)

Employer Activities

Wage Records (260)
Tax (Includes Tax Travel) (300)

UI PERFORMS

UI PERFORMS (Function 461 and/or Project Code 213)

UI Support/AS&T

Benefits/Appeals Travel (235)
Benefit Payment Control (270)
UI Support (400)
Internal Security (459)
Interstate Activities (460)
AS&T (100, 120, 150)

TAA and NAFTA-TAA Benefit Administration (Project Code 219)

Use only Claims Activities codes 200, 230, 238, and 240 (see above) under Project Code 219)

Other

Reserved for special categories

APPENDIX I

PLANNING FORMS AND FORMATS

STATE PLAN NARRATIVE FORMAT

STATE PLAN NARRATIVE
(State Name - FY xxxx)

Provide a short, concise summary of the SESA’s key direction and strategies for the plan year. This summary should identify the cohesive elements which underlie the State’s annual plan and give context to the focus summaries prepared.

(Note: Length likely to be from 1 to 3 pages)

FOCUS SUMMARY # 1 (Number sequentially)

Fiscal Year Identify applicable fiscal │State Identify State
year, e.g., 2000
│

1. Objective #x: (Number sequentially)

Provide a short, concise statement of the objective selected for focus, and the strategies planned to achieve it. Objectives may be single or multi-year in nature.

2. Outcome Expected/Target Population:

Provide a statement of the outcome expected and the target population impacted.

3. Cost/Benefit Assessment:

Provide an assessment of cost/benefit.

4. Milestones/Intermediate Accomplishments:

Identify milestones/intermediate accomplishments that the SESA will use to monitor progress toward goal. It is anticipated that one or more milestones will be identified for each quarter of the plan year.

5. Assistance:

Summary request for any Federal partner assistance (primarily non-financial) that would help the SESA attain its goal.

SAMPLE STATE PLAN NARRATIVE
The following sample of a State Plan Narrative for the fictional state of Columbia consists of an overview and five focus summaries. It is offered

as an example of what a state might submit as its plan narrative for a plan year. Note that all action need not necessarily be completed during a given planning cycle.

STATE PLAN NARRATIVE
Columbia - FY 2000

Columbia plans several efforts designed to increase equity and access to the UI Program. These include working to obtain a decrease in the earnings requirement for low wage and part time workers, and adopting a telephone Initial Claim processing system.

In the area of Initial claim payment promptness, Columbia is committed to performance above the mandatory standards because prompt payment is so critical to unemployed workers faced with the loss of income. We believe we can achieve a 92% first payment level for our clients, and have committed to that goal in our plan to the Governor. Although we have completed a Continuous Improvement Plan for this issue, due to its importance and level of priority in our overall plans, we note it here in our State Plan Summary and as a Focus Area as well.

Because nothing is more vital to the Unemployment Insurance program than the ability to pay benefits and process claims, our continued commitment to Y2K modifications must be included in the plan for this year as well. We are confident that we will be ready to process our workload when we begin to use that data element.

We continue to work to insure linkages with other service providers as we move toward a one stop system of service for our clients. No significant revision to services impacting claimants in Columbia is envisioned for this fiscal year. As such, no specific focus narrative addresses this issue. Nevertheless, we are committed to working with stakeholders and other agencies, since we recognize that Unemployment Insurance is a necessary component of any such effort.

Columbia has an unemployment fund solvency measure in excess of 1X the high cost multiple, and has determined that no further action in that area is needed at this time.

We have implemented a process to measure Customer Satisfaction through random surveys to help focus the agency on future program needs.

Finally, we have decided to focus on the Federal Strategic Goal of increasing the percentage of quarterly UI Tax and Wage Reports filed on a timely basis by employers by assisting Columbia’s employers to attain voluntary compliance. This multi-year process will not be achieved in this fiscal year, but we are committed to starting this process with stakeholders’ involvement.

FOCUS SUMMARY #1

Fiscal Year 2000 │State Columbia

1. Objective #1: Columbia plans to obtain legislation necessary to lower
   the earnings requirement needed to qualify for UI Benefits so that access to UI Benefits is increased in the State of Columbia.

2. Outcome Expected/Target Population: Access to benefits for 1,000 low
   wage earners who do not currently qualify.

3. Cost/Benefit Assessment: It is anticipated that 10% of invalid claims
   will be able to be validated with this change. That will impact 1,000 claimants, with an average pay out per claim estimated as $2,300. Total Trust Fund impact of $2.3 Million is projected.

4. Milestones/Intermediate Accomplishments:

   1) Run Fiscal projections by 11/30/99
   2) Prepare Legislative Package (Draft Language & explanatory
   material) by 12/30/99
   3) Obtain Advisory Council Approval by 3/30/2000
   4) Obtain Sponsor by 6/30/2000
   5) Legislation introduced by 9/30/2000
   6) Enact Legislation by 4/30/2001

5.Assistance: Research Data for level of access in other States, both current and projected, as requested.

FOCUS SUMMARY #2

Fiscal Year 2000
│State Columbia

1. Objective # 2: Adapt the Claim Processing System for Telephone
   Initial Claims so that resulting improved efficiency will permit increased service hours without an increase in cost.

2. Outcome Expected/Target Population: Revise the procedure and method
   of initial claim taking for all claimants in the State of Columbia so that this process is done by telephone in three Regional processing centers.

3. Cost/Benefit Assessment: Start up cost for installation of a toll
   free telephone system is estimated at $1.5 million; however, it is expected that ongoing administrative cost for this process will be decreased by 14% annually when fully operational. This administrative cost savings will permit expanded service hours to be offered to claimants to include

evenings and weekends. Remote claims filing and expanded service hours have been the most frequently requested changes on the last two customer satisfaction surveys.

4. Milestones/Intermediate Accomplishments:

   1) Define system requirements by 12/30/99
   2) Obtain bids for telephone system installation by 2/15/2000
   3) Secure leases for three processing centers by 3/30/2000
   4) Complete system test by 6/30/2000
   5) Complete Staff training by 7/30/2000
   6) Implement Statewide by 9/1/2000

5.Assistance: It would be helpful if a National Lessons Learned/Best Practices meeting of all states could be convened so that those who have converted to telephone processing could provide information to states who are in the development stage.

FOCUS SUMMARY #3

Fiscal Year 2000 │State Columbia

1. Objective # 3: Achieve an initial claim promptness performance level
   of 92%, because we recognize the need to make benefits available even more rapidly than required under the Secretary’s Standards in this area.

2. Outcome Expected/Target Population: All initial claim first payments
   will be expedited for unemployed workers who file initial claims and are eligible for benefits.

3. Cost/Benefit Assessment: It is expected that current staff can
   achieve this continuous improvement effort for workers of our State because of advancements in technology currently in place.

4. Milestones/ Intermediate Accomplishments:

   1) Revise procedures to place emphasis on initial payment by
   1/01/2000

   2) Increase performance to 90% for Second Calendar Quarter 2000

   3) Increase performance to 91% for Third Calendar Quarter 2000

   4) Increase performance to 92% for Fourth Calendar Quarter 2000

5. Assistance: None required.

                        FOCUS SUMMARY #4
   

Fiscal Year 2000
│State Columbia

1. Objective # 4: Manage the Y2K project so that all operational
   automated programs will allow processing and payment when using the Year 2000 data element .

2. Outcome Expected/Target Population: As the FY 2000 plan is being
   prepared Columbia is at step 3 of our action plan: Complete Initial Claim changes by 5/30/99. We will complete review and revision of all programs that access the Year 2000 data element prior to January 3, 2000, at which point the computation will be needed to calculate Benefit Year Ending Date. All other required changes will be completed, tested, and implemented by 9/30/99. All claimants in the State of Columbia who file claims during Calendar Year 2000 and after will be affected.

3. Cost/Benefit Assessment: It is expected that this project will cost
   $2.5 million to complete in Columbia. The cost of not taking this action is the possibility of total system collapse, and the inability to pay benefits when due as required by Secretary’s Standards.

4. Milestones/Intermediate Accomplishments:

   1) Prioritize system requirements by 10/30/98
   2) Complete and test Benefit Year Ending process by 1/03/99
   3) Complete Initial Claim changes by 5/30/99
   4) Complete Continued Claim changes by 9/30/99
   5) Complete testing by 10/30/99
   6) Complete implementation by 11/30/99

5. Assistance: Funding assistance in accordance with previously submitted
   SBR for Y2K conversion is expected to be sufficient in Columbia.

                        FOCUS SUMMARY #5
   

Fiscal Year 2000 │State Columbia

1. Objective # 5: Increase the percentage of quarterly UI Tax and Wage
   Reports filed on a timely basis by employers through voluntary compliance from the current 89% to 92% in 2003.

2. Outcome Expected/Target Population: Focusing on employers who are both
   customers and investors in the US Labor system will increase satisfaction. In addition, program performance can be enhanced by the elimination of missing data.

3. Cost/Benefit Assessment: This investment in the employer community

component of the UI system can be done with minimal cost by refocusing leadership efforts currently in existence. The expedited claim processing that will occur is a definite benefit for claimants, as well as employers who are required to do double work when wage information is missing and must be obtained on an exception basis.

4. Milestones/Intermediate Accomplishments:

   1) Review and revise all employer tax and wage reports and establish
   employer representatives by 12/30/99

   2) Establish an employer hotline for problem resolution by
   3/30/2000.

   3) Develop promotional material and begin stakeholder meetings to
   focus the employer community on this issue by 6/30/2000

   4) Make technical assistance available to employers by 9/30/2000

   5) Increase performance to 90% by 12/31/2001

   6) Increase performance to 91% by 12/31/2002

   7) Increase performance to 92% by 12/31/2003

5. Assistance: Regional and National office assistance with Technical
   innovations that could be of help to employers in Columbia would be welcome.

                      CORRECTIVE ACTION PLAN FORMAT
   
                                CORRECTIVE ACTION PLAN
   

State: │Federal Fiscal Year:
───────────────────────────────────────────┬──────────┴───────────────────────
───────
MEASURE: │Performance Level:
│Current 12/31 3/31 6/30 9/30
(For Tier I and Tier II measures use descriptor │
contained in Section V of Chapter I of the SQSP │(For Tier I and Tier II measures identify the
Handbook)
│performance level as a percentage)
───────────────────────────────────────────┴──────────────────────────────────
───────
NARRATIVE:

Provide an explanation of the reason(s) for the deficiency; a description of the actions/activities which will be undertaken to improve performance and, if a plan was in place the previous fiscal year, an

explanation of why the actions contained in that plan were not successful in improving performance, and an explanation of why the actions now specified will be more successful.

If the desired improvement will not be accomplished by the end of the current fiscal year, also indicate the major actions remaining to be taken in subsequent fiscal years, and a projection as to when the performance goal will be achieved or the program review deficiency or failed Federal BAM or TPS requirement will be corrected.
───────────────────────────────────────────┬──────────────────────────────────
───────
│ Completion Date
MILESTONES: (Number sequentially)
├──────────┬──────────┬─────────┬───────── │ 12/31 │ 03/31 │ 06/30 │ 09/30
───────────────────────────────────────────┼──────────┼──────────┼─────────┼──
───────
Milestones should be established for each core │ │ │ │ element of the SESA’s corrective action plan and │ │ │ │ be of sufficient number and frequency to facilitate │ │ │ │ State and Regional plan oversight and assessment │ │ │ │ during the fiscal year. It is anticipated that one or │ │ │ │ more milestones for each quarter would permit │ │ │ │ such progress tracking and assessment during the │ │ │ │ fiscal year through State and Regional follow-up │ │ │ │
schedules. │ │ │ │
│ │ │ │
SESAs also may wish to identify performance │ │ │ │ milestones that reflect the performance level they │ │ │ │ anticipate will result from completion of planned │ │ │ │
activities. │ │ │ │
│ │ │ │
{} If continued, check box │ │ │ │

CONTINUOUS IMPROVEMENT PLAN FORMAT

CONTINUOUS IMPROVEMENT PLAN

State: │Federal Fiscal Year:
───────────────────────────────────────────┬──────────┴───────────────────────
───────
MEASURE: │Performance Level:
│Current 12/31 3/31 6/30 9/30
(For Tier I and Tier II measures use descriptor │
contained in Section V of Chapter I of the SQSP │(For Tier I and Tier II measures identify the
Handbook)
│performance level as a percentage)
───────────────────────────────────────────┴──────────────────────────────────

───────
NARRATIVE:

Provide a description of the actions/activities which will be undertaken to improve performance and, if a plan was in place the previous fiscal year which was unsuccessful in improving performance, an explanation of why the actions contained in that plan were not successful, and why the actions now specified will be more successful.

If the desired improvement will not be accomplished by the end of the current fiscal year, also indicate the major actions remaining to be taken in subsequent fiscal years, and a projection as to when the performance goal will be achieved.

───────────────────────────────────────────┬──────────────────────────────────
───────
│ Completion Date
MILESTONES: (Number sequentially)
├──────────┬──────────┬─────────┬───────── │ 12/31 │ 03/31 │ 06/30 │ 09/30
───────────────────────────────────────────┼──────────┼──────────┼─────────┼──
───────
Milestones should be established for each core │ │ │ │ element of the SESA’s continuous improvement │ │ │ │ plan and be of sufficient number and frequency to │ │ │ │ facilitate State and Regional plan oversight and │ │ │ │ assessment during the fiscal year. It is anticipated │ │ │ │ that one or more milestones for each quarter would │ │ │ │ permit such progress tracking and assessment │ │ │ │ during the fiscal year through State and Regional │ │ │ │
follow-up schedules. │ │ │ │
│ │ │ │
SESAs also may wish to identify performance │ │ │ │ milestones that reflect the performance level they │ │ │ │ anticipate will result from completion of planned │ │ │ │
activities. │ │ │ │
│ │ │ │
│ │ │ │
{} If continued, check box │ │ │ │

US Department of Labor Employment and Training Administration

Exp. Date 09/30/99
OMB Approval #1205-0132

WORKSHEET UI-1 │UI STAFF HOURS AND TRAVEL STAFF YEARS
───────────────────────────┼─────────────────────────────┬─────────┬──
────────
State │Fiscal Year │Date
───────────────────────────┼─────────────────────────────┼────────────
────────

1. Travel Staff Years │2. Type of Leave Hours │No. of Hours
   ───────────────────────────┼─────────────────────────────┼────────────
   ────────
   a. Benefits │ a. Holiday │
   ───────────────────────────┼─────────────────────────────┼────────────
   ────────
   │ b. Annual │
   ───────────────────────────┼─────────────────────────────┼────────────
   ────────
   (Itinerant Claims) │ c. Sick │
   ───────────────────────────┼─────────────────────────────┼────────────
   ────────
   b. Appeals │ d. Other (Specify) │
   ───────────────────────────┼─────────────────────────────┼────────────
   ────────
   │ e. Total (a thru d) │
   ───────────────────────────┼─────────────────────────────┼────────────
   ────────
   c. Tax │3. Hours Worked │
   ───────────────────────────┼─────────────────────────────┼────────────
   ────────
   │4. Hours Paid │
   ───────────────────────────┴─────────────────────────────┴────────────
   ────────
   5. Annual Hours Per Staff Year and Quarterly Distribution
   ───────────────────────────┬──────────┬─────────┬────────┬─────────┬──
   ────────
   Hours Per Staff Year │Annual │First │Second │Third │Fourth
   ───────────────────────────┼──────────┼─────────┼────────┼─────────┼──
   ────────
   a. Hours Worked │ │ │ │ │
   ───────────────────────────┼──────────┼─────────┼────────┼─────────┼──
   ────────
   b. Hours Paid │ │ │ │ │
   ───────────────────────────┴──────────┴─────────┴────────┴─────────┴──
   ────────
   Comments

                                                                          ETA 8623A (June 1994)
   
                                 INSTRUCTIONS FOR THE UI-1
   

Public Reporting Burden for the collection of this information is estimated to average 60 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collec tion of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Unemployment Insurance Service/ETA, U.S. Department of Labor, Room S-4231, 200 Constitution Avenue, N. W., Washington, D.C. 20210, and Paperwork Reduction Project (1205-0132).

Please type or print legibly. The following general instructions explain how to use the form itself.

Item Entry_______

1a. Enter the estimated staff years paid needed for benefits travel for itinerant claims taking.

1b. Enter the estimated staff years paid needed for appeals travel.

1c. Enter the estimated staff years paid needed for tax travel.

2. Enter the estimated number of staff leave hours by type (holiday, annual,
   sick, and other) and total leave hours per position.

3. Enter the estimated number of staff hours worked per position.

4. Enter the number of staff hours paid per position (the sum of items 2.e and
   3).

5a. Enter the annual staff year hours worked and distribution by quarter.
The
annual hours for this item must equal the annual hours for item 3.

5b. Enter the annual staff year hours paid and distribution by quarter.
The
annual hours for this item must equal the annual hours for item 4.

ETA 8623A (June 1994) Back

INSTRUCTIONS FOR THE SF-424

Public reporting burden for this collection of information is estimated to average 45 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden esitmate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0043), Washington, DC 20503.

PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET. SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY

This is a standard form used by applicants as a required factsheet for preapplications and applications submitted for Federal assistance. It will be used by Federal agencies to obtain applicant certification that States which have established a review and comment procedure in response to Executive Order 12372 and have selected the program to be included in their process, have been given an opportunity to review the applicant's submission.

Item: Entry:

1. Self-explanatory.

2. Date application submitted to Federal agency (or State if applicable)
   & applicant's control number (if applicable).

3. State use only (if applicable).

4. If this application is to continue or revise an existing award, enter
   present Federal identifier number. If for a new project, leave blank.

5. Legal name of applicant, name of primary organizational unit which
   will undertake the assistance activity, complete address of the
   applicant, and name and telephone number of the person to contact on
   matters related to this application.

6. Enter Employer Identification Number (EIN) as assigned by the Internal
   Revenue Service.

7. Enter the appropriate letter in the space provided.

8. Check appropriate box and enter appropriate letter(s) in the space(s)
   provided:

   --   "New" means a new assistance award.
   
   --   "Continuation" means an extension for an additional
        funding/budget period for a project with a projected completion
   
      date.
   

   -- "Revision" means any change in the Federal Government's financial
   obligation or contingent liability from an existing obligation.

9. Name of Federal agency from which assistance is being requested with
   this application.

10. Use the Catalog of Federal Domestic Assistance number and title of the
    program under which assistance is requested.

11. Enter a brief descriptive title of the project. If more than one
    program is involved, you should append an explanation on a separate
    sheet. If appropriate (e.g., construction or real property projects),
    attach a map showing project location. For preapplications, use a
    separate sheet to provide a summary description of this project.

12. List only the largest political entities affected (e.g; State,
    counties, cities).

13. Self-explanatory.

14. List the applicant's Congressional District and any District(s)
    affected by the program or project.

15. Amount requested or to be contributed during the first funding/budget
    period by each contributor. Value of in-kind contributions should be
    included on appropriate lines as applicable. If the action will result
    in a dollar change to an existing award, indicate only the amount of
    the change. For decreases, enclose the amounts in parentheses. If both
    basic and supplemental amounts are included, show breakdown on an
    attached sheet. For multiple program funding, use totals and show
    breakdown using same categories as item 15.

16. Applicants should contact the State Single Point of Contact (SPOC) for
    Federal Executive Order 12372 to determine whether the application is
    subject to the State intergovernmental review process.

17. This question applies to the applicant organization, not to the person
    who signs as the authorized representative. Categories of debt include
    delinquent audit disallowances, loans and taxes.

18. To be signed by the authorized representative of the applicant. A copy
    of the governing body's authorization for you to sign this application as official representative must be on file in the applicant's office. (Certain Federal agencies may require that this authorization be submitted as part of the application.)

                                       SF 424 (REV 4.88) Back.
    

INSTRUCTIONS FOR THE SF-424A

Public reporting burden for this collection of information is estimated to average 45 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden esitmate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0044), Washington, DC 20503.

PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET. SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY

General Instructions

This form is designed so that application can be made for funds from one or more grant programs. In preparing the budget, adhere to any existing Federal grantor agency guidelines which prescribe how and whether budgeted amounts should be separately shown for different functions or activities within the program. For some programs, grantor agencies may require budgets to be separately shown by function or activity. For other programs, grantor agencies may require a breakdown by function or activity. Sections A,B,C, and D should include budget estimates for the whole project except when applying for assistance which requires Federal authorization in annual or other funding period increments. In the latter case, Sections A,B, C, and D should provide the budget for the first budget period (usually a year) and Section E should present the need for Federal assistance in the subsequent budget periods. All applications should contain a breakdown by the object class categories shown in Lines a-k of Section B.

Section A. Budget Summary Lines 1-4, Columns (a) and (b)

For applications pertaining to a single Federal grant program (Federal Domestic Assistance Catalog number) and not requiring a functional or activity breakdown, enter on Line 1 under Column (a) the catalog program title and the catalog number in Column (b).

For applications pertaining to a single program requiring budget amounts by multiple functions or activities, enter the name of each activity or function on each line in Column (a), and enter the catalog number in Column (b). For applications pertaining to multiple programs where none of the programs require a breakdown by function or activity, enter the catalog program title on each line in Column (a) and the respective catalog number on each line in Column (b).

For applications pertaining to multiple programs where one or more programs require a breakdown by function or activity, prepare a separate sheet for each program requiring the breakdown. Additional sheets should be used when one form does not provide adequate space for all breakdown of data required. However, when more than one sheet is used, the first page should

provide the summary totals by programs.

Lines 1-4, Columns (c) through (g.)

For new applications, leave Columns (c) and (d) blank. For each line entry in Columns (a) and (b), enter in Columns (e), (f), and (g) the appropriate amounts of funds needed to support the project for the first funding period (usually a year).

For continuing grant program applications, submit these forms before the end of each funding period as required by the grantor agency. Enter in Columns (c) and (d) the estimated amounts of funds which will remain unobligated at the end of the grant funding period only if the Federal grantor agency instructions provide for this. Otherwise, leave these columns blank. Enter in columns (e) and (f) the amounts of funds needed for the upcoming period. The amount(s) in Column (g) should be the sum of amounts in Columns (e) and (f).

For supplemental grants and changes to existing grants, do not use Columns (c) and (d). Enter in Column (e) the amount of the increase or decrease of Federal funds and enter in Column (f) the amount of the increase or decrease of non-Federal funds. In Column (g) enter the new total budgeted amount (Federal and non-Federal) which includes the total previous authorized budgeted amounts plus or minus, as appropriate, the amounts shown in Columns (e) and (f). The amount(s) in Column (g) should not equal the sum of amounts in Columns (e) and (f).

Line 5 - Show the totals for all columns used.

Section B Budget Categories

In the column headings (1) through (4), enter the titles of the same programs, functions, and activities shown on Lines 1-4, Column (a), Section A. When additional sheets are prepared for Section A, provide similar column headings on each sheet. For each program, function or activity, fill in the total requirements for funds (both Federal and non-Federal) by object class categories.

Lines 6a-i - Show the totals of Lines 6a to 6h in each column.

Line 6j - Show the amount of indirect cost.

Line 6k - Enter the total of amounts on Lines 6i and 6j. For all applications for new grants and continuation grants the total amount in column (5), Line 6k, should be the same as the total amount shown in

Section A, Column (g), Line 5. For supplemental grants and changes to grants, the total amount of the increase or decrease as shown in Columns (1)-(4), Line 6k should be the same as the sum of the amounts in Section A, Columns (e) and (f) on Line 5.

Line 7 - Enter the estimated amount of income, if any, expected to be generated from this project. Do not add or subtract this amount from the total project amount. Show under the program narrative statement the nature and source of income. The estimated amount of program income may be considered by the federal grantor agency in determining the total amount of the grant.

Section C. Non-Federal-Resource

Lines 8-11 - Enter amounts of non-Federal resources that will be used on the grant. If in-kind contributions are included, provide a brief explanation on a separate sheet.

Column (a) - Enter the program titles identical to Column (a), Section A. A breakdown by function or activity is not necessary.

Column (b) - Enter the contribution to be made by the applicant.

Column (c) - Enter the amount of the State's cash and in-kind contribution if the applicant is not a State or State agency.
Applicants which are a State or State agencies should leave this column blank.

Column (d) - Enter the amount of cash and in kind contributions to be made from all other sources.

Column (e) - Enter totals of Columns (b), (c), and (d).

Line 12 - Enter the total for each of Columns (b)-(e). The amount in Column (e) should be equal to the amount on Line 5, Column (f), Section A.

Section D. Forecasted Cash Needs

Line 13 - Enter the amount of cash needed by quarter from the grantor agency during the first year.

Line 14 - Enter the amount of cash from all other sources needed by quarter during the first year.

Line 15 - Enter the totals of amounts on Lines 13 and 14.

Section E. Budget Estimates of Federal Funds Needed for Balance of the Project

Lines 16-19 - Enter in Column (a) the same grant program titles shown in Column (a), Section A. A breakdown by function or activity is not necessary. For new applications and continuation grant applications, enter in the proper columns amounts of Federal funds which will be needed to complete the program or project over the succeeding funding periods (usually in years). This section need not be completed for revisions (amendments, changes, or supplements) to funds for the current year of existing grants.

If more than four lines are needed to list the program titles, submit additional schedules as necessary.

Line 20 - Enter the total for each of the Columns (b)(e). When additional schedules are prepared for this Section, annotate accordingly and show the overall totals on this line.

Section F. Other Budget Information

Line 21 - Use this space to explain amounts for individual direct object-class cost categories that may appear to be out of the ordinary or to explain the details as required by the Federal grantor agency.

Line 22 - Enter the type of indirect rate (provisional, predetermined, final or fixed) that will be in effect during the funding period, the estimated amount of the base to which the rate is applied, and the total indirect expense.

Line 23- Provide any other explanations or comments deemed necessary.

SF 424A (4-88)

OMB Approval No. 0348-0040

ASSURANCES--NON-CONSTRUCTION PROGRAMS

Public reporting burden for this collection of information is estimated to average 45 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden esitmate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0040),

Washington, DC 20503.

PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET. SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY

Note: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the awarding agency. Further, certain Federal awarding agencies may require applicants to certify to additional assurances. If such is the case, you will be notified.

As the duly authorized representative of the applicant I certify that the applicant:

1. Has the legal authority to apply for Federal assistance and the
   institutional managerial and financial capability (including funds
   sufficient to pay the non-Federal share of project costs) to ensure
   proper planning management and completion of the project described in
   this application.

2. Will give the awarding agency, the Comptroller General of the United
   States, and if appropriate, the State through any authorized
   representative, access to and the right to examine all records, books,
   papers, or documents related to the award; and will establish a proper
   accounting system in accordance with generally accepted accounting
   standards or agency directives.

3. Will establish safeguards to prohibit employees from using their
   positions for a purpose that constitutes or presents the appearance of
   personal or organizational conflict of interest, or personal gain.

4. Will initiate and complete the work within the applicable time frame
   after receipt of approval of the awarding agency.

5. Will comply with the Intergovernmental Personnel Act of 1970 (42
   U.S.C. 4728-4763) relating to prescribed standards for merit systems
   for programs funded under one of the nineteen statutes or regulations
   specified in Appendix A of OPM's Standards for a Merit System of
   Personnel Administration (5 C. F. R. 900, Subpart F).

6. Will comply with all Federal statutes relating to nondiscrimination.
   These include but are not limited to (a) Title Vl of the Civil Rights
   Act of 1964 (P. L. 88-352) which prohibits discrimination on the basis
   of race, color, or national origin; (b) Title IX of the Education
   Amendments of 1972, as amended (20 U. S. C. 1681-1683 and 1685- 1686)
   which prohibits discrimination on the basis of sex; (c) Section 504
   of the Rehabilitation Act of 1973, as amended (29 U.S.C 794) which
   prohibits discrimination on the basis of handicaps; (d) the Age
   Discrimination Act of 1975, as amended (42 U.S.C. 6101-6107), which

   prohibits discrimination on the basis of age; (e) the Drug Abuse
   Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating
   to nondiscrimination on the basis of drug abuse; (f) the
   Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
   Rehabilitation Act of 1970 (P. L. 91-616), as amended, relating to
   nondiscrimination on the basis of alcohol abuse or alcoholism; (g) 523
   and 527 of the Public Health Service Act of 1912 (42 U. S. C. 290 dd-3
   and 290 ee-3), as amended, relating to confidentiality of alcohol
   and drug abuse patient records; (h) Title VIII of the Civil Rights Act
   of 1968 (42 U.S.C 3601 et seq. ), as amended, relating to
   nondiscrimination in the sale, rental, or financing of housing; (i)
   any other nondiscrimination provisions in the specific statute(s)
   under which application for Federal assistance is being made; and (j)
   the requirements of any other nondiscrimination statute(s) which may
   apply to the application.

7. Will comply, or has already complied, with the requirements of Titles
   II and III of the Uniform Relocation Assistance and Real Property
   Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair
   and equitable treatment of persons displaced or whose property is
   acquired as a result of Federal or Federally-assisted programs. These
   requirements apply to all interests in real property acquired for
   project purposes regardless of Federal participation in purchases.

8. Will comply with the provisions of the Hatch Act (5 U.S.C 1501-1508
   and 7324-7328) which limit the political activities of employees whose
   principal employment activities are funded in whole or in part with
   Federal funds.

9. Will comply, as applicable, with the provisions of the Davis-Bacon Act
   (40 U.S.C 276a to 276a7), the Copeland Act (4O U.S.C 276c and 18 U.S.C
   874), and the Contract Work Hours and Safety Standards Act (40 U.S.C
   327-333), regarding labor standards for Federally-assisted
   construction subagreements.

10. Will comply, if applicable, with flood insurance purchase requirements
    of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L.
    93-234) which requires recipients in a special flood hazard area to
    participate in the program and to purchase flood insurance if the
    total cost of insurable construction and acquisition is $10,000 or
    more.

11. Will comply with environmental standards which may be prescribed
    pursuant to the following: (a) institution of environmental quality
    control measures under the National Environmental Policy Act of 1969
    (P.L. 91-190) and Executive Order (EO) 11514; (b) notification of
    violating facilities pursuant to EO 11738; (c) protection of wetlands
    pursuant to EO 11990; (d) evaluation of flood hazards in floodplains
    in accordance with EO 11988; (e) assurance of project consistency with
    the approved State management program developed under the Coastal Zone

    Management Act of 1972 (16 U.S.C. 1451 et seq.); (f) conformity of
    Federal actions to State (Clear Air) Implementation Plans under
    Section 176(c) of the Clear Air Act of 1955, as amended (42 U.S.C.
    7401 et seq. ); (g) protection of underground sources of drinking
    water under the Safe Drinking Water Act of 1974, as amended (P.L.
    93-523); and (h) protection of endangered species under the Endangered
    Species Act of 1973, as amended (P.L. 93-205).

12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C.
    1271 et seq.) related to protecting components or potential components
    of the national wild and scenic rivers system.

13. Will assist the awarding agency in assuring compliance with Section
    106 of the National Historic Preservation Act of 1966, as amended (16
    U.S.C. 47O), EO 11593 (identification and protection of historic
    properties), and the Archaeological and Historic Preservation Act of
    1974 (16 U.S.C. 469a-1 et seq.).

14. Will comply with P.L. 93-348 regarding the protection of human
    subjects involved in research, development, and related activities
    supported by this award of assistance.

15. Will comply with the Laboratory Animal Welfare Act of 1966 (P.L.
    89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the care,
    handling, and treatment of warm blooded animals held for research,
    teaching, or other activities supported by this award of assistance.

16. Will comply with the Lead-Based Paint Poisoning Prevention Act (42
    U.S.C. 4801 et seq.) which prohibits the use of lead-based paint in
    construction or rehabilitation of residence structures.

17. Will cause to be performed the required financial and compliance
    audits in accordance with the Single Audit Act of 1984.

18. Will comply with all applicable requirements of all other Federal
    laws, executive orders, regulations, and policies governing this
    program.

SIGNATURE OF AUTHORIZED CERTIFYING │TITLE
OFFICIAL
│
│
│
───────────────────────────────────────────────┼───────────────────────────────────
────────
APPLICANT ORGANIZATION
│DATE SUBMITTED
│
│
SF 424B (4-88) BACK

U.S. Department of Labor
SQSP SIGNATURE PAGE

OMB Approval No. 1205-0132 Expires 09/30/99
U.S. DEPARTMENT OF LABOR
│FEDERAL FISCAL YEAR
│STATE
Employment and Training Administration │ │
──────────────────────────────────────┴──────────────────────────┴────
────────
UNEMPLOYMENT INSURANCE
STATE QUALITY SERVICE PLAN
SIGNATURE PAGE
────────────────────────────────────────────────────────────────────── ────────

This Unemployment Insurance State Quality Service Plan (SQSP) is entered into between the Department of Labor, Employment and Training Administration, and

__________.
(SESA’S NAME)

The Unemployment Insurance SQSP is part of the State's overall operating plan and, during this Federal fiscal year, the State agency will adhere to and carry out the standards set forth in Federal UI Law as interpreted by the DOL, and adhere to the Federal requirements related to the use of granted funds.

All work performed under this agreement will be in accordance with the assurances and descriptions of activities as identified in the SQSP guidelines and will be subject to its terms.
──────────────────────────────────────┬──────────────────────────┬────
────────
TYPED NAME AND TITLE │SIGNATURE │DATE
──────────────────────────────────────┼──────────────────────────┼────
────────
SESA ADMINISTRATOR │ │
│
│
│
│
│
│
──────────────────────────────────────┼──────────────────────────┼────
────────
DOL APPROVING OFFICIAL │ │
│
│
│
│
│
│

U.S. Department of Labor
│State │Fiscal Year
Employment and Training Administration │ │ │ │
CONTINUOUS IMPROVEMENT PLAN - │ │
MILESTONE PAGE │ │
───────────────────────────────────────────┴──────────┴───────────────────────
───────
MEASURE ADDRESSED IN THIS PLAN:
Performance Level:
Current 12/31 3/31 6/30 9/30

__________________
_
NARRATIVE

───────────────────────────────────────────┬──────────┬──────────┬─────────┬──
───────
Instructions: Briefly describe milestones and/or │ Completion Date intermediate accomplishments relating to the steps
├──────────┬──────────┬─────────┬─────────
the State will take to achieve the measure │12/31 │03/31 │06/30 │09/30
identified. │ │ │ │
Number steps sequentially. (O=Ongoing) │ │ │ │
──────────────────────────────────────────┼──────────┼──────────┼─────────┼─── ──────
│ │ │ │
│ │ │ │
│ │ │ │
│ │ │ │
│ │ │ │
│ │ │ │
│ │ │ │
│ │ │ │
│ │ │ │
│ │ │ │
│ │ │ │
│ │ │ │
│ │ │ │
│ │ │ │
│ │ │ │
│ │ │ │
│ │ │ │
│ │ │ │
{} If continued, check box │ │ │ │

APPENDIX II

REPORTING FORMS AND FORMATS

U.S. DEPARTMENT OF LABOR
Employment and Training Administration
Exp. Date 09/30/99
OMB Approval 1205-0132
WORKSHEET UI-3
│QUARTERLY UI CONTINGENCY REPORT
─────────────────────────────┴───────────────┬────────────────────────┬──────────
─────────
State │Fiscal Year │Quarter

Section A: Program Staff Year Usage
───────────────────────────────────────────┬──────────────┬───────────────┬──────
─────────
│ Quarter │Year-to-Date
───────────────────────────────────────────┼──────────────┬───────────────┼──────
─────────
Program Category
│(a) SY Worked │(b) SY Paid │(c) SY Paid
───────────────────────────────────────────┼──────────────┼───────────────┼──────
─────────

1. Claims Activities │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼──────
   ─────────
2. Employer Activities │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼──────
   ─────────
3. UI Performs │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼──────
   ─────────
4. Support/AS&T │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼──────
   ─────────
5. Trade Claims Activities │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼──────
   ─────────
6. Other │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼──────
   ─────────
7. Total Staff Years │ │ │

Section B: Regular Contingency Entitlement Certification
─────────────────────────────────────────────────────────────────────────────────
─────────
Standard Hours: Quarterly Year-to-Date Yearly
───────────────────────────────────────────┬──────────────┬───────────────┬──────
─────────
Claims Activity │(a) Workload │(b) MPU │(c) ───────────────────────────────────────────┼──────────────┼───────────────┼────── ─────────

1. Initial Claims (Regular, EB, and STC) │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼──────

─────────

2. Initial Claims (Third Tier) │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼──────
   ─────────
3. Weeks Claimed (Regular, EB, and STC) │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼──────
   ─────────
4. Weeks Claimed (Third Tier) │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼──────
   ─────────
5. Interstate Weeks Claimed (Regular and EB) │ │
   │
   ───────────────────────────────────────────┼──────────────┼───────────────┼──────
   ─────────
6. Interstate Weeks Claimed (Third Tier) │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼──────
   ─────────
7. Nonmonetary Deter. (Regular, EB, and STC) │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼──────
   ─────────
8. Nonmonetary Deter. (Third Tier) │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼──────
   ─────────
9. Appeals (Regular, EB, and STC) │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼──────
   ─────────
10. Appeals (Third Tier) │ │ │
    ───────────────────────────────────────────┼──────────────┼───────────────┼──────
    ─────────
11. Interstate Appeals Taken (IB-101) │ │ │
    ───────────────────────────────────────────┼──────────────┼───────────────┼──────
    ─────────
12. Interstate Referrals │ │ │
    ───────────────────────────────────────────┼──────────────┼───────────────┼──────
    ─────────
13. Multiclaimant Services │ │ │
    ───────────────────────────────────────────┼──────────────┼───────────────┼──────
    ─────────
14. Monetary Redeterminations │ │ │
    ───────────────────────────────────────────┴──────────────┴───────────────┼──────
    ─────────
15. Other Staff Years (Specify) │
    ──────────────────────────────────────────────────────────────────────────┼──────
    ─────────
16. Total Staff Years Worked/Earned = Sum of Lines 1 through 15 │
    ──────────────────────────────────────────────────────────────────────────┼──────
    ─────────
17. Entitlement Staff Years Worked = Line 16 - Base SY Worked ( ) │
    ──────────────────────────────────────────────────────────────────────────┼──────
    ─────────
18. Entitlement Staff Years Paid = Line 17 x Experienced Leave ( ) │
    ──────────────────────────────────────────────────────────────────────────┼──────
    ─────────
19. PS/PB Entitlement $ = Line 18 x Regular Contingency PS/PB Rate ($ )
    │
    ──────────────────────────────────────────────────────────────────────────┼──────

─────────
%) │

20. Support Entitlement $ = Line 19 x Contingency Support Percentage (
    ──────────────────────────────────────────────────────────────────────────┼──────
    ─────────
21. Other $ (Specify) │
    ──────────────────────────────────────────────────────────────────────────┼──────
    ─────────
22. Total Dollar Costs = Line 18 + Line 19 + Line 20 │
    ──────────────────────────────────────────────────────────────────────────┼──────
    ─────────
23. Advance │
    ──────────────────────────────────────────────────────────────────────────┼──────
    ─────────
24. Net Dollar Entitlement = Line 22 - Line 23 │
    CERTIFICATION: I certify to the best of my knowledge and belief that information provided herein is accurate and complete, and was obtained from agency accounting records.

Signature Title Date___
ETA 2208A

U.S. DEPARTMENT OF LABOR
Employment and Training Administration
Exp. Date 09/30/99
OMB Approval 1205-0132
WORKSHEET UI-3 (Continued)│QUARTERLY UI CONTINGENCY REPORT
─────────────────────────────┴───────────────┬────────────────────────┬──────────
─────────
State │Fiscal Year │Quarter

Section C: Trade Contingency Entitlement Certification
─────────────────────────────────────────────────────────────────────────────────
─────────
Standard Hours: Quarterly Year-to-Date Yearly ______
───────────────────────────────────────────┬──────────────┬───────────────┬──────
─────────
Claims Activity │(a) Workload │(b) MPU │(c)
───────────────────────────────────────────┼──────────────┼───────────────┼──────
─────────

1. Initial Claims │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼──────
   ─────────
2. Weeks Claimed │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼──────
   ─────────
3. Nonmonetary Determinations │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼──────
   ─────────
4. Appeals │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼──────
   ─────────
5. Trade Redeterminations │ │ │

───────────────────────────────────────────┴──────────────┴───────────────┼──────
─────────

6. Other Staff Years (Specify) │
   ──────────────────────────────────────────────────────────────────────────┼──────
   ─────────
7. Total Staff Years Worked = Sum of Lines 1 through 6 │
   ──────────────────────────────────────────────────────────────────────────┼──────
   ─────────
8. Staff Years Paid = Line 7 x Experienced Leave ( ) │
   ──────────────────────────────────────────────────────────────────────────┼──────
   ─────────
9. PS/PB Entitlement $ = Line 8 x Trade PS, Regular Contingency PB Rate ($ )
   │
   ──────────────────────────────────────────────────────────────────────────┼──────
   ─────────
10. Support Entitlement $ = Line 9 x Trade Support Percentage ( %) │
    ──────────────────────────────────────────────────────────────────────────┼──────
    ─────────
11. Other $ (Specify) │
    ──────────────────────────────────────────────────────────────────────────┼──────
    ─────────
12. Total Trade Dollar Costs = Line 9 + Line 10 + Line 11 │
    Section D: SAVE Workload Certification
    ─────────────────────────────────────────────────────────────────────────────────
    ─────────
    Standard Hours: Quarterly Year-to-Date Yearly ___
    ───────────────────────────────────────────┬──────────────┬───────────────┬──────
    ─────────
    Claims Activity │(a) Workload │(b) MPU │(c)
    ───────────────────────────────────────────┼──────────────┼───────────────┼──────
    ─────────
13. Initial Claims │ │ │
    ───────────────────────────────────────────┴──────────────┴───────────────┼──────
    ─────────
14. Other Staff Years (Specify) │
    ──────────────────────────────────────────────────────────────────────────┼──────
    ─────────
15. Total Staff Years Worked = Line 1 + Line 2 │
    ──────────────────────────────────────────────────────────────────────────┼──────
    ─────────
16. Staff Years Paid = Line 3 x Experienced Leave ( ) │
    ──────────────────────────────────────────────────────────────────────────┼──────
    ─────────
17. PS/PB Entitlement $ = Line 4 x PS/PB Rate ($ ) │
    ──────────────────────────────────────────────────────────────────────────┼──────
    ─────────
18. Support Entitlement $ = Line 5 x SAVE Support Percentage ( %) │
    ──────────────────────────────────────────────────────────────────────────┼──────
    ─────────
19. Other $ (Specify) │
    ──────────────────────────────────────────────────────────────────────────┼──────
    ─────────
20. Total SAVE Dollar Costs = Line 5 + Line 6 + Line 7 │
    Section E: Additional Benefits Contingency Entitlement Certification
    ──────────────────────────────────────────────────────────────────────────────────────────

Standard Hours: Quarterly Year-to-Date Yearly ____
───────────────────────────────────────────┬──────────────┬───────────────┬───────────────
Claims Activity │(a) Workload │(b) MPU │(c)
───────────────────────────────────────────┼──────────────┼───────────────┼───────────────

1. Initial Claims │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼───────────────
2. Weeks Claimed │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼───────────────
3. Nonmonetary Determinations │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼───────────────
4. Appeals │ │ │
   ───────────────────────────────────────────┼──────────────┼───────────────┼───────────────
5. Monetary Redeterminations │ │ │
   ───────────────────────────────────────────┴──────────────┴───────────────┼───────────────
6. Other Staff Years (Specify) │
   ──────────────────────────────────────────────────────────────────────────┼───────────────
7. Total Staff Years Worked = Sum of Lines 1 through 6 │
   ──────────────────────────────────────────────────────────────────────────┼───────────────
8. Staff Years Paid = Line 7 x Regular Contingency Experienced Leave ( )
   │
   ──────────────────────────────────────────────────────────────────────────┼───────────────
9. PS/PB Entitlement $ = Line 8 x Regular Contingency PS/PB Rate ($ )
   │
   ──────────────────────────────────────────────────────────────────────────┼───────────────
10. Support Entitlement $ = Line 9 x Regular Contingency Support Percentage ( %)
    │
    ──────────────────────────────────────────────────────────────────────────┼───────────────
11. Other $ (Specify) │
    ──────────────────────────────────────────────────────────────────────────┼───────────────
12. Total AB Dollar Costs = Line 9 + Line 10 + Line 11 │

                               INSTRUCTIONS FOR THE UI-3
    

Public Reporting Burden for the collection of this information is estimated to average 120 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collec tion of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Unemployment Insurance Service/ETA, U.S. Department of Labor, Room S-4231, 200 Constitution Avenue, N. W., Washington, D.C. 20210, and/or Paper Reduction Project (xxxx-xxxx).

Please type or print legibly. The following general instructions explain how to use the form itself.

General Instructions

This form is designed so that application can be made for funds from one or more grant programs (Regular UI, Trade, SAVE, and Additional Benefits). The SAVE program is funded from base; however, it is included on the UI-3 in order to reimburse ongoing operational costs related to the SAVE program.

The electronic version of this form appears slightly different on the computer screen than the one

included in these instructions, which is provided for display only. States should submit their reports electronically. There is minimal data entry necessary in the current UI-3s. Workloads, MPUs, Staff Years Worked/Earned and Experienced Leave rates (not optional experienced leave rate of SAVE) are all automatically entered. In addition, the electronic version has a "Comments" section to explain entries in the "Other Staff Years" or "Other $" lines, but does not have a block for certification by a State official. States are also urged to use the comment section for explanations of other lines. The "Comments" section is heavily relied upon during the review of the report.

NOTE: Throughout The UI-3 reports, listed as Sections A, B, C, D and E in these instructions, States should enter zero (0) in any cell that must be manually entered but has no data (no activity) for the particular quarter being reported on.

Minutes Per Unit. Minutes per unit (MPUs), based on the most recent cost model studies approved by the National Office for each of the four broadband activities in Lines 1 through 4 in Sections B, C and E, and Lines 7 through 10 in Section B, are allocated in the annual base budget and will be used in the contingency funding process. These budgeted MPU values vary for each State from year to year; however, static MPU values have been established for the following functions:

IB Agent Weeks Claimed (Line 5 and 6, Section B) (See page 9)

IB Agent Appeals (Line 11, Section B)
20.0

Interstate Referrals (Line 12, Section B) 15.0

Redetermination (Line 14, Section B and Line 5, (promulgated in the yearly
Sections C and E)
field memorandum for the
allocations)

SAVE (Line 1, Section D)
6.5

Position Computation. Generally, staff years earned are computed using a workload and minutes per unit formula which determines the number of hours needed to process a given workload and dividing that number by the hours available in the period to be budgeted. This computation yields the number of staff required in the budget period to accomplish the workload. For a calendar quarter, the formulae are expressed as follows:

(Workload x MPU)/(60 x Quarter Hours Paid) = Staff Years Worked/Earned.
Staff Years Worked/Earned x Experienced Leave Factor = Staff Years Paid/Earned.

Experienced Leave Factor. The experienced leave factor is calculated by dividing the quarterly staff years paid/used by the quarterly staff years worked/used for that program activity. Regular UI and Trade contingency have different experienced leave factors. See the explanation below for the method of calculating the SAVE experienced leave factor.

Personal Services/Personnel Benefits (PS/PB) Rate. Attachment II to the field memorandum for the yearly allocations contains the approved annual Regular UI contingency PS/PB rates. These are expressed as annual rates and must be converted to a quarterly equivalent for use on the UI-3. A staff hour conversion factor should be used by determining the number of staff hours in the quarter

as a ratio of staff hours in the year and applying this ratio to the annual rate. For the Trade program, States may use the average experienced personal services rate of staff working in Trade claims activities. Trade personnel benefits will be funded at the same rate as the Regular contingency program. States which have set up a SAVE project code to capture staff years used may use the average experienced personal services rate of staff working in SAVE claims activities, and the Regular contingency personnel benefits rates. All other States should use the same rate as the Regular contingency program.

Support. The support percentage may vary from one year to another and from one program to another. Therefore, the total support percentage will be promulgated in the field memorandum for the yearly allocations.

Section A. Program Staff Year Usage

Lines 1-7, Columns (a) through (c)

Complete this section for current quarter and fiscal year-to-date. This section lists the UI categories to be reported. For each of Lines 1-7 in Section A, enter quarterly staff years worked in Column (a), quarterly staff years paid in Column (b), and year-to-date staff years paid in Column (c). These lines should reflect total staff years. No adjustment should be made for staff years financed with prior year carry-forward funds.

Line 1 - Enter staff years for claims activities including initial claims, weeks claimed, eligibility reviews, nonmonetary determinations, appeals, and multi-claimant services.

Line 2 - Enter staff years for employer activities including wage records, tax and tax travel.

Line 3 - Enter staff years for UI Performs activities, less AS&T.

Line 4 - Enter staff years for support activities for the UI and Trade programs, including benefits and appeals travel, benefit payment control, UI support, internal security, interstate, automation grants staff, and administrative staff and technical services (AS&T), including QC and Trade AS&T. (Note: The current CAS reports which SESAs may use to crosswalk CAS data to the UI-3 do not show AS&T staff years worked in these programs. The SESA should estimate the AS&T staff years worked by analyzing the percentage of AS&T staff years paid charged to these programs.)

Line 5 - Enter staff years for claims activities under the Trade Adjustment Assistance (TAA) provisions of the Trade Act of 1974, as amended, and the North American Free Trade Agreement (NAFTA) "bridge" program.

Line 6 - Enter staff years for special funded activities not included in the above lines (e.g., SAVE), and for activities funded with national activities funds (excluding cooperative agreements).

Line 7 - The sum of the staff years in Lines 1 through 6, for each column, will automatically be entered here.

Section B. Regular Contingency Entitlement Certification

Lines 1-11, Column (a)

Total workload in Section B will include data from the Regular UI, Extended Benefit (EB), and Short- Time Compensation (STC) programs, and, if enacted, third tier programs (e.g., FSB, FSC, and EUC). The following table shows the source of data for total workloads:

Line 1 - Data will automatically be entered from the ETA 5159 Regular, EB and STC report: the sum of lines 101, 102, and 103 for columns 2, 3, 5, and 7 of the Regular and EB reports, and the sum of columns 2 and 3 for line 101 of the STC report.

Line 2 - Data will automatically be entered from the ETA 5159 (Third Tier) report: the sum of lines 101, 102, and 103 for columns 2, 3, 5, and 7.

Line 3 - Data will automatically be entered from the ETA 5159 Regular, EB and STC reports: the sum of lines 201, 202, and 203 for columns 9 and 12 of the Regular and EB reports, and the workload in line 201, column 9 of the STC report.

Line 4 - Data will automatically be entered from the ETA 5159 (Third Tier) report: the sum of lines 201, 202, and 203 for columns 9 and 12.

Line 5 - Data will automatically be entered from the ETA 5159 Regular and EB reports: the sum of lines 201, 202, and 203 for column 11.

Line 6 - Data will automatically be entered from the ETA 5159 (Third Tier) report: the sum of lines 201, 202, and 203 for column 11.

Line 7 - Data will automatically be entered from the ETA 207 Regular and EB reports: the sum of lines 101, 103, and 105 for column 1.

Line 8 - Data will automatically be entered from the ETA 207 (Third Tier) report: the sum of lines 101, 103, and 105 for column 1.

Line 9 - Data will automatically be entered from the ETA 5130 Regular and EB reports: the sum of columns 1 through 6 in line 100.

Line 10 - Data will automatically be entered from the ETA 5130 (Third Tier) report: the sum of
columns 1
through 6 in line 100.

Line 11 - States should enter IB Agent Appeals: the sum of IB-101s sent to liable States.

Line 12 - Data will automatically be entered from the ETA 5159 Regular and EB: column 4 less column 5.

Line 13 - States should enter the number of multi-claimant appeals (not appellants). Line 13 is automatically subtracted from line 9 before Staff Years Worked/Earned are calculated on line 9.

Line 14 - States should enter the number of monetary redeterminations. (Reserved for future use.)

*OMB Approval Numbers: ETA 5159: #1205-0010 expires 5/31/2000; ETA 207: #1205-0150, expires 9/30/2001; ETA 5130: #1205-0172, expires 9/30/2001

Lines 1-12, Column (b)

The appropriate MPU values will be entered automatically. Leave Line 13, Column (b) blank.

Line 14, Column (b)

A 50 MPU value will automatically be entered in column (b). If another MPU value is necessary, the defaulted MPU value can be overwritten.

Lines 1-12, Column (c)

Staff Years Worked/Earned will be calculated by the system using the formula in the General Instructions.

Line 13, Column (c)

States should enter the number of Staff Years Worked/Used for processing multi-claimant activities such as labor dispute determinations for individual claimants or retroactive payments resulting from an appeal decision. The total quarter-to-date multi-claimant staff years used (extracted from the cost distribution report) should be entered in column (c), line 13, Section B. Note: the computer software automatically subtracts the workload count in column (a) line 13 from the workload count (column a) in line 9 before Staff Years/Worked Earned are computed in column (c), line 9.

Line 14, Column (c)

Staff Years Worked/Earned will be calculated by the system using the formula in the General Instructions. (Reserved for future use.)

Line 15 - (Reserved for future use.)

Line 16 - The Total Staff Years Worked/Earned will automatically be calculated from Lines 1 through 15, column (c).

Line 17 - Entitlement Staff Years Worked will automatically be calculated by subtracting Base Staff Years Worked for the given quarter from Staff Years Worked/Earned (Line 16). Base Staff Years Worked will automatically be calculated and entered in the parentheses on line 17. Base Staff Years Worked will be calculated by dividing the Hours per Staff Years Paid by the Hours per Staff Year Worked for the appropriate quarter from the UI-1 to determine the budgeted leave factor; the number of Claims Activity Staff Years Paid will be divided by the budgeted leave factor for that quarter. States which have noted the breakout of quarterly hours in the remarks section of their SF 424-A (See instructions in the yearly field memorandum (FM) providing Resource Planning Targets and Guidelines;
and, the FM used to promulgate the Resource Allocations) may override the defaulted Base Staff Years Worked entered by the system with their own calculated Base Staff Years Worked.

Line 18 - Entitlement Staff Years Paid will automatically be calculated by the system by multiplying the experienced leave factor by the data in Line 17, Column (c). The experienced leave factor will automatically be calculated by dividing the quarterly staff years paid by the staff years worked for claims activities as reported in Line 1, Section A. The experienced leave factor will automatically be entered in the parentheses on Line 18. If part-time or temporary staff do not earn leave, the staff year entitlement in Line 18 will be equal to the entitlement in Line 17.

Line 19 - States should enter the Regular UI Contingency quarterly PS/PB rate which will automatically be multiplied by the data in Line 18.

Line 20 - States should enter the Regular UI Contingency Support percentage which will automatically be multiplied by the data in Line 19.

Line 21 - States should enter other costs relating to special cases. Note these in the comments section.

Line 22 - Total dollar costs, the sum of Lines 19, 20, and 21 will automatically be calculated and input on line 22.

Line 23 - States should enter the amount of the advance received at the beginning of the quarter for quarterly above-base claims operations.

Line 24 - The net dollar entitlement, line 23 will automatically be calculated by subtracting the data in line 23 from the data in line 22 and entered here.

Section C. Trade Contingency Entitlement Certification

Lines 1-5,

Column (a) - States should enter total workload data which will include data from the Regular and NAFTA Trade programs. Its source is State data.

Column (b) - Trade broadband MPU values, which will automatically be entered, are identical to the Regular broadband MPU values, except for Trade weeks claimed, which excludes the weighted MPU value for the Eligibility Review Program (ERP) from the Regular weeks claimed MPU value. The Trade Redetermination MPU value, which should be manually entered, is promulgated in the yearly field memorandum for the allocations.

Column (c) - Staff Years Worked/Earned will automatically be calculated by the system using the formula in the General Instructions.

Line 6 - States should enter other staff years, such as Trade Benefit Travel staff years worked/used.

Line 7 - The sum of Lines 1 through 6 Column (c) will automatically be calculated and entered here.

Line 8 - The System will use the same formula to calculate Staff Years Paid as for Section B, but will calculate the experienced leave factor by using Section A, Line 5. If necessary, this defaulted value can be overwritten.

Line 9 - States should enter the combined Trade PS and Contingency PB rate. The system will multiply this rate by the data in Line 8.

Line 10 - States should enter the Trade Contingency Support percentage. The system will use this data and multiply it by the entry in Line 9.

Line 11 - States should enter other costs relating to Trade Administration - such as precertification activities and newspaper notices - in Line 11. Precertification activities are funded at a rate of up to $750 for each petition filed within the fiscal year. Notices in local newspapers for special worker notifications are fully reimbursed. States should specify all such costs in the "Comments" section.

Line 12 - The system will automatically enter the sum of Lines 9, 10, and 11 here.

Section D. SAVE Entitlement Certification

Line 1

Column (a) - States should enter the number of verifications made during the quarter. The source of this data is line 1 of the Alien Claims Activity Report (Form ETA 9016, OMB Approval Number 1205-0268, expiring October 31, 2001).

Column (b) - The SAVE MPU value will automatically be entered.

Column (c) - Staff Years Worked/Earned will automatically be calculated using the formula in the General Instructions.

Line 2 - (Reserved for future use.)

Line 3 - The sum of Lines 1 and 2 Column (c) will automatically be calculated.

Line 4 - The experienced leave factor will automatically be entered in the parentheses on line 4.
The system will automatically multiply the experienced leave factor by the data in Line 3 to calculate Staff Years Paid. States which have set up a SAVE project code to capture staff years used may use the average experienced leave rate of staff working in SAVE claims activities. If this is done, States may override the defaulted experience leave factor automatically calculated and entered by the system and manually enter their calculated experience leave factor. All other States should use the defaulted experience leave factor which is the same as for Section B.

Line 5 - The PS/PB quarterly rate will automatically be entered in the parentheses on line 5 and
multiplied by the data in Line 4. States which have set up a SAVE project code to capture staff years used may use the PS/PB rate of staff working in SAVE claims activities. States may replace the defaulted rate with the manually calculated rate. All other States should use the same formula as for Section B.

Line 6 - States should enter the SAVE Support percentage in the parentheses on line 6. The system will automatically multiply it by the entry in Line 5.

Line 7 - States should enter other costs relating to the SAVE program - such as computer access charges and equipment, and phone leasing charges. The General Services Administration bills States which use the Immigration and Naturalization Service's (INS) computer data base to verify claimants' immigration status. In addition, some States must lease phone lines and equipment in order to use the INS data base. These costs are fully reimbursed; however, States which are approved to use the ICON (previously called the UI INTERNET) system to obtain access to the INS data base may not claim leased line and equipment costs. States should specify all such costs in the "Comments" section.

Line 8 - The sum of Lines 5, 6, and 7 will automatically be entered here.

Section E. Additional Benefits (AB) Contingency Entitlement Certification

NOTE: Reporting of AB data is not required for statistical purposes, but is necessary in order to calculate the proper entitlement.

Lines 1-5,

Column (a) - States should enter the Total workload which will include data from the AB program.
Its source is State data.

Column (b) - AB broadband MPU values which will automatically be entered are identical to the Regular broadband MPU values. The AB Redetermination MPU value, which should be manually entered, is promulgated in the yearly field memorandum for the allocations.

Column (c)- Staff Years Worked/Earned will automatically be calculated by the system using the formula in the General Instructions.

Line 6 - (Reserved for future use.)

Line 7 - The sum of Lines 1 through 6 Column (c) will automatically be calculated and entered here.

Line 8 - States should enter Staff Years Paid. States should use the same leave formula as for Section B.

Line 9 - States should enter the Regular UI Contingency quarterly PS/PB rate in the parentheses on line 9. The system will multiply this rate by the data in Line 8.

Line 10 - States should enter the Regular UI Contingency Support percentage in the parentheses on line 10. The system will use this data and multiply it by the entry in Line 9.

Line 11 - (Reserved for future use.)

Line 12 - The system will automatically enter the sum of Lines 9, 10, and 11 here.

ETA 2208A

FINANCIAL STATUS REPORT
(Long Form)

Please type or print legibly. The following general instructions explain how to use the form itself. You may need additional information to complete certain items correctly, or to decide whether a specific item is applicable to this award. Usually, such information will be found in the Federal agency's grant regulations or in the terms and conditions of the award (e.g., how to calculate the Federal share, the permissible uses of program income, the value of in-kind contributions, etc.). You may also contact the Federal agency directly.

Item: Entry:
1, 2 and 3. Self-explanatory.

4. Enter the employer identification number assigned by the U.S. Internal Revenue
   Service.

5. Space reserved for an account number or other identifying number assigned by the
   recipient.

6. Check yes only if this is the last report for the period shown in item 8.

7. Self-explanatory.

8. Unless you have received other instructions from the awarding agency, enter the
   beginning and ending dates of the current funding period. If this is a multi-year
   program, the Federal agency might require cumulative reporting through consecutive
   funding periods. In that case, enter the beginning and ending dates of the grant
   period, and in the rest of these instructions, substitute the term "grant period"
   for "funding period."

9. Self-explanatory.

10. The purpose of columns, I, II and III is to show the effect of this reporting
    period's transactions on cumulative financial status. The amounts entered in column
    I will normally be the same as those in column III of the previous report in the
    same funding period. If this is the first or only report of the funding period,
    leave columns I and II blank. If you need to adjust amounts entered on previous
    reports, footnote the column I entry on this report and attach an explanation.

10a. Enter total gross program outlays. Include disbursements of cash realized as program income if that income will also be shown on lines 10c or 10g. Do not include program income that will be shown on lines 10r or 10s.

For reports prepared on a cash basis, outlays are the sum of actual cash disbursements for direct costs for goods and services, the amount of indirect expense charged, the value of in-kind contributions applied, and the amount of cash advances payments made to subrecipients.

For reports prepared on an accrual basis, outlays are the sum of actual cash disbursements for direct charges for goods and services, the amount of indirect expense incurred, the value of in-kind contributions applied, and the net increase or decrease in the amounts owed by the recipient for goods and other property received, for services performed by employees, contractors, subgrantees and other payees, and other amounts becoming owed under programs for which no current services or performances are required, such as annuities, insurance claims, and other benefit payments.

l0b. Enter any receipts related to outlays reported on the form that are being treated as a reduction of expenditure rather than income, and were not already netted out of the amount shown as outlays on line 10a.

10c. Enter the amount of program income that was used in accordance with the deduction alternative.

Note: Program income used in accordance with other alternatives is entered on lines q, r, and s. Recipients reporting on a cash basis should enter the amount of cash income received; on an accrual basis, enter the program income earned. Program income may or may not have been included in an application budget and/or a budget on the award document. If actual income is from a different source or is significantly different in amount, attach an explanation or use the remarks section.

10d, e, f, g, h, i and j. Self-explanatory.

10k. Enter the total amount of unliquidated obligations, including unliquidated obligations to subgrantees and contractors.

Unliquidated obligations on a cash basis are obligations incurred, but not yet paid.
On an accrual basis, they are obligations incurred, but for which an outlay has not yet been recorded.

Do not include any amounts on line 10k that have been included on lines 10a and 10j.

On the final report, line 10k must be zero.

10l. Self-explanatory.

10m. On the final report, line 10m must also be zero.

10n, o, p, q, r, s and t. Self-explanatory.

11a. Self-explanatory.

11b. Enter the indirect cost rate in effect during the reporting period. 11c. Enter the amount of the base against which the rate was applied.

11d. Enter the total amount of indirect costs charged during the report period.

11e. Enter the Federal share of the amount in 11d.

Note: If more than one rate was in effect during the period shown in item 8, attach a schedule showing the bases against which the different rates were applied, the respective rates, the calendar periods they were in effect, amounts of indirect expense charged to the project, and the Federal share of indirect expense charged to the project to date.

U.S.Governrnent Printing Office: 1991--312-071,40223 SF 269 (Rev. 4-88) Black

INSTRUCTIONS FOR SF 270

Please type or print legibly. Items 1, 3, 5, 9, 10, 11c, l1e, 11f, 11g, 11i, 12 and 13 are self-explanatory; specific instructions for other items are as follows:

Item
Entry

2. Indicate whether request is prepared on cash or accrued expenditure basis. All requests for advances shall be
   prepared on a cash basis.

3. Enter the Federal grant number, or other identifying number assigned by the Federal sponsoring agency. If the
   advance or reimbursement is for more than one grant or other agreement, insert N/A; then, show the aggregate
   amounts. On a separate sheet, list each grant or agreement number and the Federal share of outlays made
   against the grant or agreement.

4. Enter the employer identification number assigned by the U.S. Internal Revenue Service, or the FICE (institution)
   code if requested by the Federal agency.

5. This space is reserved for an account number or other identifying number that may be assigned by the recipient.

6. Enter the month, day, and year for the beginning and ending of the period covered in this request. If the request is
   for an advance or for both an advance and reimbursement, show the period that the advance will cover. If the
   request is for reimbursement, show the period for which the reimbursement is requested.

Note: The Federal sponsoring agencies have the option of requiring recipients to complete items 11 or 12, but not both.

Item 12 should be used when only a minimum amount of information is needed to make an advance, and outlay information contained in item 11 can be obtained in a timely manner from other reports.

11. The purpose of the vertical columns (a), (b), and (c), is to provide space for separate cost breakdowns when a
    project has been planned and budgeted by program, function, or activity. If additional columns are needed, use as
    many additional forms as needed and indicate page number in space provided in upper right; however, the
    summary totals of all programs, functions, or activities should be shown in the "total" column on the first page.

11a. Enter in "as of date", the month, day, and year of the ending of the accounting period to which this amount applies.
Enter program outlays to date (net of refunds, rebates, and discounts), in the appropriate columns. For requests prepared on a cash basis, outlays are the sum of actual cash disbursements for goods and services, the amount of indirect expenses charged, the value of in-kind contributions applied, and the amount of cash advances and payments made to subcontractors and subrecipients. For requests prepared on an accrued expenditure basis, outlays are the sum of the actual cash disbursements, the amount of indirect expenses incurred. and the net increase (or decrease) in the amounts owed by the recipient for goods and other property received and for services performed by employees, contracts, subgrantees and other payees.

11b. Enter the cumulative cash income received to date, if requests are prepared on a cash basis. For requests prepared on an accrued expenditure basis, enter the cumulative income earned to date. Under either basis, enter only the amount applicable to program income that was required to be used for the project or program by the terms of the grant or other agreement.

11d. Only when making requests for advance payments, enter the total estimated amount of cash outlays that will be made during the period covered by the advance.

13. Complete the certification before submitting this request.

                                          STANDARD FORM 270 back (REV 2-92)
    
                                INSTRUCTIONS STANDARD FORM 272 (BACK) (Rev 2-92)
    

Public reporting burden for this collection of Information Is estimated to average 120 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0000), Washington, DC 20503.

PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE Of MANAGEMENT AND BUDGET, SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.

Please type or print legibly. Items 1, 2, 8, 9, 10, 11d, 11e, 11h, and 15 are self explanatory, specific instructions for other items are as follows:

Item
Entry_________

3. Enter employer identification number assigned by the U.S. Internal Revenue Service or the FICE (institution) code.

4. If this report covers more than one grant or other agreement, leave Items 4 and 5 blank and provide the
   information on Standard Form 272-A, Report of Federal Cash Transactions--Continue.:

     Enter Federal grant number, agreement number, or other identifying numbers if requested by sponsoring agency.
   

5. This space reserved for an account number or other Identifying number that may be assigned by the recipient.

6. Enter the letter of credit number that applies to this report. If all advances were made by treasury check, enter
   "NA" for not applicable and leave items 7 and 8 blank.

7. Enter the voucher number of the last letter-of-credit payment voucher (Form TUS 5401) that was credited to your
   account.

11a. Enter the total amount of Federal cash on hand at the beginning of the reporting period, including all of the Federal funds on deposit, imprest funds, and undeposited Treasury checks.

11b. Enter total amount of Federal funds received through payment vouchers ( Form TUS 5401 ) that were credited to your account during the reporting period.

11c. Enter the total amount of all Federal funds received during the reporting period through Treasury checks, whether or not deposited.

11f. Enter the total Federal cash disbursements made during the reporting period, including cash received from program income. Disbursements as used here also include the amount of advances and payments less refunds to subgrantees or contractors, the gross amount of direct salaries and wages, including the employee's share of benefits if treated as a direct cost, interdepartmental charges for supplies and services, and the amount to which the recipient is entitled for indirect costs.

11g. Enter the Federal share of program income that was required to be used on the project or program by the terms of the grant or agreement.

11i. Enter the amount of all adjustments pertaining to prior periods affecting the ending balance that have not been included in any lines above. Identify each grant or agreement for which adjustment was made, and enter an explanation for each adjustment under "Remarks." Use plain sheets of paper if additional space is required.

11j. Enter the total amount of Federal cash on hand at the end of the reporting period. This amount should include all funds on deposit, imprest funds, and undeposited funds (line e, less line h, plus or minus line i).

12. Enter the estimated number of days until the cash on hand, shown on line 11j, will be expended. If more than three

    days cash requirements are on hand, provide an explanation under "Remarks" as to why the draw down was
    made prematurely, or other reasons for the excess cash. The requirement for the explanation does not apply to
    prescheduled or automatic advances.

13a. Enter the amount of interest earned on advances of Federal funds but not remitted to the Federal agency. If this includes any amount earned and not remitted to the Federal Sponsoring agency for over 60 days, explain under "Remarks." Do not report interest earned on advances to States.

13b. Enter amount of advance to secondary recipients included In item 11h.

14. In addition to providing explanations as required above, give additional explanation deemed necessary by the
    recipient and for information required by the Federal sponsoring agency in compliance with governing legislation.
    Use plain sheets of paper if additional space Is required .

Official Attachment B: https://oui.doleta.gov/dmstree/uipl/uipl99/uipl_3999a2.htm

UIPL 39-99 Attachment B
Summary of Comment Received on UIPL No. 6-99

At the recommendation of the Performance Enhancement Group as an additional administrative procedure UIS published the proposed changes to Handbook No. 336 in UIPL No. 6-99, "Proposed State Quality Service Plan (Draft)." UIS received comments from California, Florida, Maryland, Massachusetts, Nevada, Pennsylvania. Texas, Virginia, Washington State, and West Virginia. Here is a summary of their comments and the UIS response:

1) Concern about the decision rule for requiring CAPs and Continuous Improvement Plans (CIPs).

Response - CAPs are mandatory if performance is unsatisfactory and an effective plan is not already in place for: 1) program reviews conducted during the year by the Federal partner, 2) required reports, 3) Benefit Accuracy Measurement (BAM) requirements, 4) Tax Performance System (TPS) requirements, or for Tier I measures. Program Letters and Handbooks describe expectations for program reviews, reporting, BAM, and TPS. The criteria for Tier I measures are performance floors below which performance is never acceptable; the criteria are not DLAs.

SESAs and Regional Administrators must agree on the specific areas for which the SESA will submit CIPs in the SQSP. The negotiations encompass Tier II performance measures and Tier I performance above the established minimum criteria.

2) Suggestion that dispute resolution procedures be spelled out.

Response - The remedies available to the State to resolve disputes arising from the SQSP process are not different from those that have always governed the relationship between the Federal-State partners and can be found at 20 CFR Part 601.5.

3) Define "egregious."

Response - Egregious means conspicuously bad performance.

4) Spell out sanctions and formal Department actions.

Response - The sanctions and formal Department actions relating the SQSP process are not different from those that have always governed the relationship between the Federal-State partners and can be found at 20 CFR Part 601.5.

5) Suggestion that program emphasis be provided a year in advance.

Response - the five-year DOL and the ETA Strategic Plans, as well as the DOL and

ETA Annual Performance Plans form the basis for Program emphasis and are available now. See 6.a. below.

6) Suggestion that program emphasis be negotiable.

Response - The Department provides program emphasis to communicate to the States areas considered especially important. By its very nature the establishing of Federal program emphasis does not lend itself to negotiations. The State Plan Narrative section of the SQSP, however, provides a forum for the State to respond to the Federal program emphasis and to articulate its own emphasis.

7) concern about addressing BAM deficiencies.

Response - BAM deficiencies are described in the annual determination letter the Regional Administrator sends to the SESA Administrator each spring.

8) Question concerning the timing of the data to be used in the SQSP.

Response - An annual assessment will augment the ongoing continuous improvement process, and will form the basis for continuous improvement planning and corrective action planning for the SQSP. This annual assessment will utilize the most recent 12-month performance data available. Specifically, for data reported monthly or quarterly, the assessment will include the 12 months ending March 31 of each year. For data reported annually, the assessment will be based on data reported for the most recent complete calendar year (or other 12-month period, per reporting requirements).

9) Disbelief that the reporting burden for the SQSP is similar to PBP.

Response - as explained above, the increase in required narrative is expected to be offset by a reduction in the submission of plans responding to performance measured by Tier II measures, compared to the number of CAPs required in response to DLAs under the Quality Appraisal program.

10) Question concerning whether performance and planning will affect budget allocations, whether there will be awards for exceeding norms, or additional funding if needed.

Response - The Performance Enhancement Group (PEG) will consider the structure of an awards systems to augment UI PERFORMS. It is likely that the system will emphasize recognition awards, rather than monetary awards. On the matter of allocations or additional funding see section 6.d. and section 7 below.

11) Concur that continuous improvement is important part of budget and planning, but have concerns that the State Plan Narratives are attempting to get States to commit in greater detail to better performance when the Federal partner continues to hold back FUTA funds needed to meet increasing workload demands.

Response - UIS is sensitive to SESA concerns about adequate funding for administration of the program. Greater detail in performance planning could inform the ongoing dialogue and will not work to the detriment of the State.

12) Assert that State law and policy inhibit prompt determinations.

Response - The criteria established for determinations promptness take into consideration the time needed for fact finding to make a proper determination. States should continually review their law and policy to be sure it strikes the proper balance between speed of administration and protection of the claimants' and employers' rights.

13) Reviewed the draft and is prepared to institute the plan in FY 2000.

14) Should not require milestones for each quarter.

Response - Milestones must be established for each core element of the SESAs corrective action/improvement plan and be of sufficient number and frequency to facilitate State and Regional plan oversight and assessment during fiscal year. It is anticipated that one or more milestones for each quarter would permit States and Regions to track progress more easily during the fiscal year.

15) The annual assessment of program performance should use the same time period whether the data is reported on a monthly, quarterly, or yearly basis.

Response - Although performance may be viewed, and judged, at specific points in time (e.g., weekly, monthly, quarterly, etc), each assessment reviews performance over time and focuses not only on average performance for the period in question, but also on the trend of performance over the period reviewed (e.g., whether performance was declining or improving, sustained or erratic).

Related guidance

Minimum Disaster Unemployment Assistance weekly benefit amounts, October–December 2026 Guidance · September 30, 2026 Fiscal Year 2027 unemployment insurance state resource planning targets and guidelines Guidance · September 29, 2026 Fiscal Year 2027 unemployment insurance State Quality Service Plan guidance Guidance · September 8, 2026 Fiscal Year 2026 RESEA grant allotments and operating guidance Guidance · July 29, 2026