UIPL39-99_Attach1.pdf

ETA Advisory File Text

ET HANDBOOK NO. 336 CHAPTER I - PLANNING Handbook 336 16th Edition ET HANDBOOK NO. 336 16 th 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 finan cial reporting of State UI program activities. R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 manageme nt 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 in tegral 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 improveme nt 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 i mprove 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 measure s. 3. The Planning Process . UI PERFORMS emphasizes joint responsibility between SESAs and the Employment and Training Administration ETA for setting priorities and responding to R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING performance information both annually and on an ongoing basis. The rel ationship 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 submi t 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 ot her 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 performanc e. 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 categ ories 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 doe s 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. R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING This memo will specify the dates relevant to the SQSP process for the a pproaching 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 bas is 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 t o 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 plannin g 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 Feder al 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. R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING Accordingly S ESAs 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 Region al 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 war ranted. 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 t he 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 meas ures 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING include the 12 months ending March 31 of each year. For data reported annually the assessment will be based on data reported fo r 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 Ti er 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 report s 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 d iscussion 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. R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 ye ar 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 iden tifying 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 g oal 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 plan s 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 offic es 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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. Eac h 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 engag e 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 opp ortunity 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. R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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. R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 Automa tion 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 cove ring 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 goa l in service delivery. States on their own initiative or due to negotiations initiated by the Regional Office are encouraged to R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING prepare CIPs for Tier II measures or Tier I measures above base requirements. The preparation of such plans may be u seful 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 acti ons 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 b e 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 cor rective 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING each quarter would permit such progre ss 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 performa nce 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 comple te 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 targ ets 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 Federa l 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 t he 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 T ier I minimum performance criteria so during the specified transition period ETA will not initiate formal action against a R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING State with performance below a criterion if the State submits a satisfactory corrective action plan and shows evidence of cont inuing 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 con junction 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 negoti ated 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 th ese 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 Apr il 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 S BRs 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 instruct ions 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 quarter ly 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 gr ant 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 cause d 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 d isapproval 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 fi t 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 pro ject 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. R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 S BR 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 projec ted 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 unle ss 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-fille d. 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 ad d-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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 assistan ce 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 m ust 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 th e 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. SES As must clearly identify automation acquisition items in the SBR. 2 Travel . The request may include NPS R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 ma y 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 . R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 Signatur e 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 b elow. 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 Civ il 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 u tilize 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 im plementation 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 per sons 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. R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 Requ irements 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 tr avel 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 o f 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 fo r 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING approval for certain types of budget change s. 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 amort ized 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 Of fice 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 similarl y 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 ca ses 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 de fined 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 2 9 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 re views 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 t he end of the 3 rd 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 S tates. 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. R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 i n 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 authorize d 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 transmissio n 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 quarte r 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 Distrib ution Definitions. PROGRAM 1 ETA IDENTIFYING NO .2 3 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 Unemployme nt 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 ge nerate 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 curren t 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 t he 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 aga inst 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 fo urth 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 su bcontractors 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 3 rd 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 langua ge. 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 obliga tions 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 requisition s 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 c ontrol 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 centra l 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING funding year. When items or services are ordered through a central procurement agency with delive ry 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 th e 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 req uest 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. Autom ation 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING equipment such as data storage devices document scanners data entry equipment terminal controllers and data terminal equi pment 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 s witchboards 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 co nversion 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 develo pment 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 us ers 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. Th e following reflects the program categories used on the UI-3 worksheet and the CAS time distribution functions and codes R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING as an example of what a state might submit as its plan narrative for a plan year. Note that all actio n 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 sys tem. 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 paym ent 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. R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 Millio n 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 operation al. This administrative cost savings will permit expanded service hours to be offered to claimants to include R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING evenings and weekends. Remote claims filing and expanded service hours have been the most frequently requested changes on the last two cust omer 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. R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 ele ment 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 S ecretary 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 bene fit 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 F or 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING explanat ion 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 fi scal 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 a nd 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 F or 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 rem aining 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 t he 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 reflec t 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 W ORKSHEET UI-1 UI STAFF HOURS AND TRAVEL STAFF YEARS State Fiscal Year Date R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 1. Travel S taff 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 W orked 4. Hours Paid 5. Annual Hours Per Staff Year and Quarterly Distribution Hours Per Staff Year Annual First Second Third Fourth a. Hours W orked b. Hours Paid Comments ETA 8623A June 1994 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING INSTRUCTIONS FOR THE UI-1 Public Reporting Burden for the collection of this information is estimated to average 60 minutesper response including time for reviewing instructions searching existing data sources gatheringand 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 o f 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 revi ewing 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 Proje ct 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 revie w 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 aw ard 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 usin g 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 requ ire that this authorization be submitted as part of the application. SF 424 REV 4.88 Back. R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING INSTRUCTIONS FOR THE SF-424A R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 revi ewing 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 Proje ct 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 s hown 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 activit y. 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 pr ovide 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 Colu mn 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 pertain ing 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 provid e adequate space for all breakdown of data required. However when more than one sheet is used the first page should R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING Section A Column g Line 5. For suppleme ntal 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 estim ated 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. R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 Fed eral 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 existin g 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 revi ewing 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 Proje ct 0348-0040 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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. I f 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 Standa rds 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 displa ced 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 purc hase 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 His toric 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 accord ance 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 Comp letion 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 co ntinued check box R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 Progra m 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 2. Initial Claims Third Tier 3. Weeks Cla imed 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 Lin es 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 Contin gency PS PB Rate R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 Lin e 9 Line 10 Line 11 Section D SAVE Workload Certification Standard Hours Quarterly Year-to-Date Yearly Claims Activity a Workload b MPU c 1. Initial Claims 2. Other Staff Years Specify 3. Total Staff Years Worked Line 1 Line 2 4. Staff Years Paid Line 3 x Experienced Leave 5. PS PB Enti tlement Line 4 x PS PB Rate 6. Support Entitlement Line 5 x SAVE Support Percentage 7. Other Specify 8. Total SAVE Dollar Costs Line 5 Line 6 Line 7 Section E Additional Benefits Contingency Entitlement Certification R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 Redetermination s 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 Cont ingency Support Percentage 11. Other Specify 12. To tal 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 ongoi ng operational costs related to the SAVE program. The electronic version of this form appears slightly different on the computer screen than the one R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING included in these instructions which is provided for display only. States should submit their reports electronically. There is minimal data entry ne cessary 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 explai n 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 upo n 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 al located 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 b e 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 lea ve 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 quar terly 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING as a ratio of staff hours in the year and applying this ratio to the annual rate. For the Trade program Sta tes 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 cap ture 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 progr am. 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 technic al 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 an alyzing 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. R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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. R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 mu lti-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 c olumn 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 n umber 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 memoran dum FM providing Resource Planning Targets and Guidelines R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 q uarterly 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 leav e 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 R egular 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. R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 f iscal 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 SAV E 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 s ystem 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 SA VE 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 all ocations. 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. R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 s uch 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 fu nding 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 sam e 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. R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 payme nts 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 decrea se 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 performance s 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 inco me 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. R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 expe nse 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. 4. 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. 6. Enter the employer identification number assigned by the U.S. Internal Revenue Service or the FICE institution code if requested by the Federal agency. 7. This space is reserved for an account number or other identifying number that may be assigned by the recipient. 8. 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 reimbu rsement 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. R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 c ash 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 subrecipi ents. 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 p roperty 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 applicabl e 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING 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 rev iewing 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 Proje ct 0348-0000 W ashington 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 th e 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 adjust ment 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 R 6 94 ET HANDBOOK NO. 336 CHAPTER I - PLANNING days cash requirements are on hand provide an explanation under Remarks as to why the draw down was made prematurely or other r easons 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 repo rt 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 pap er if additional space Is required . R 6 94