Unemployment Insurance (UI) State Quality Service Plan (SQSP)

ET HANDBOOK NO. 336

18^th Edition

UNEMPLOYMENT INSURANCE

STATE QUALITY SERVICE PLAN

PLANNING AND REPORTING GUIDELINES

TABLE OF CONTENTS

INTRODUCTION

A. Background i

B. Relationship/Coordination with Other Plans iii

C. Partnership Principles iv

D. Planning Considerations v

E. OMB Approval v

CHAPTER I ‑ PLANNING

1. INTRODUCTION

2. OVERVIEW OF PROCESS

1. Schedule I-1

2. Annual Call Memorandum I-1

3. Financial Guidelines and Planning Targets I-2

4. Performance Measures I-2

5. Performance Assessment I-3

6. State Plan Preparation I-3

7. SQSP Review and Approval I-3

3. CONTENT AND SUBMITTAL OF SQSP

1. Content of the SQSP I-4

2. Submittal of the SQSP I-5

3. STATE PLAN NARRATIVE

A. Description I-5

B. Format and Instructions I-7

5. CORRECTIVE ACTIONS PLANS

A. Description I-7

B. CAP Format Completion I-8

6. BUDGET WORKSHEETS AND INSTRUCTIONS

1. Worksheet UI-1, UI Staff I-9

2. SF 424, Application for Federal Assistance I-9

3. Supplemental Budget Requests (SBRs) I-9

VII. ASSURANCES

1. Assurance of Equal Opportunity (EO) I-13

2. Assurance of Administrative Requirements and

Allowable Cost Standards I-14

3. Assurance of Management Systems, Reporting, and Record Keeping I-17

4. Assurance of Program Quality I-18

5. Assurance on Use of Unobligated Funds I-18

6. Assurance of Prohibition of Lobbying Costs I-18

7. Drug-Free Workplace I-19

8. Assurance of Disaster Recovery Capability I-19

9. Assurance of Conformity and Compliance I-19

10. Assurance of Automated Information Systems Security I-19

11. Assurance of Confidentiality I-20

VIII. SQSP CONTENT CHECKLIST

1. SQSP Submittal I-21

2. SBR Submittal I-22

CHAPTER II - REPORTING

I. INTRODUCTION

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. Program Management Systems Document Numbers II-1

III. REPORTS

A. UI-3, Quarterly UI Above-base Report II-2

B. SF 9130, Financial Status Report II-2

C. SF 270, Request for Advance or Reimbursement II-3

IV. DEFINITIONS

A. Accrued Expenditures II-3

B. Funding Period II-4

C. Obligations II-4

D. Unliquidated Obligations II-5

E. Automation Acquisition II-5

F. PMS Document Numbers II-6

G. Time Distribution Definitions II-6

APPENDIX I -- Planning Forms and Formats

A. Sample CAP Format 1

B. State Plan Narrative Outline 2

C. SQSP Signature Page 4

D. Worksheet UI-1 (ETA 8623A) 5

E. Instructions for the UI-1 6

F. SF-424, Application for Federal Assistance 7

G. Instructions for the SF-424 11

H. SF-424A, Budget Information – Non-Construction Programs 13

I. Instructions for the SF 424A 15

J. SF-424B, Assurances – Non-Construction Programs 17

APPENDIX II -- Reporting Forms and Formats

A. Worksheet UI-3 1

B. Instructions for the UI-3 3

C. Financial Status Report, ETA 9130 7

D. Instructions for the ETA 9130 8

E. Request for Advance or Reimbursement, SF-270 16

F. Instructions for the SF-270 17

APPENDIX III -- Performance Measures and UI Programs

A. UI Performs Core Measures 1

B. UI Performs Management Information Measures 2

C. Unemployment Insurance Programs 5

APPENDIX IV – Information Technology Security Guidelines

A. Contingency Planning 1

B. Risk Management 5

C. System Security Planning 11

D. Sample Plan Formats ...…………………………………..…………………...18

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