Unemployment Insurance State Quality Service Plan Planning and Reporting Guidelines

Forms and Documents

Document Name	Status
Form ETA 8623-A Unemployment Insurance State Quality Service Plan Planning and Reporting Guidelines (SQSP) Form and Instruction	Modified
30-day FRN (1205-0132) published.pdf Supplementary Document	2021-01-15
Social Security Act §303.pdf Supplementary Document	2020-12-28
Social Security Act §302.pdf Supplementary Document	2020-12-28
29 CFR § 97.40 - Monitoring and reporting program performance.pdf Supplementary Document	2020-12-28
1205-0132 Supporting Statement 12 28 2020.docx Supporting Statement A	2020-12-28
60-day FRN (1205-0132) published.pdf Supplementary Document	2020-12-28

IC Document Collections

IC ID	Document Title	Status
12980	Unemployment Insurance State Quality Service Plan Planning and Reporting Guidelines (SQSP) Form and Instruction	Modified

ICR Details

OMB Control No: 1205-0132	ICR Reference No: 202011-1205-001
Status: Received in OIRA	Previous ICR Reference No: 201911-1205-002
Agency/Subagency: DOL/ETA	Agency Tracking No: 012-05-01-05-01-2035-00
Title: Unemployment Insurance State Quality Service Plan Planning and Reporting Guidelines
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 01/15/2021

	Requested	Previously Approved
Expiration Date	36 Months From Approved	02/28/2021
Responses	1,166	773
Time Burden (Hours)	3,975	3,304
Cost Burden (Dollars)	0	0

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Abstract: The State Quality Service Plan (SQSP) is one of several implementing documents for UI PERFORMS, that allows for an exchange of information between the Federal and State partners to enhance the ability of the program to reflect the joint commitment to continuous improvement and client centered services.

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Authorizing Statute(s): US Code: 42 USC 503(a),(b) Name of Law: Social Security Act
   US Code: 42 USC 502 Name of Law: Social Security Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 23865	04/29/2020
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 4128	01/15/2021
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Unemployment Insurance State Quality Service Plan Planning and Reporting Guidelines (SQSP)	ETA 8623-A	ET Handbook No. 336

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ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	1,166	773	0	393	0	0
Annual Time Burden (Hours)	3,975	3,304	0	671	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The current burden for the SQSP submittal for 53 SWAs is 1166 total annual responses and 3975 total annual burden hours. This reflects an increase in burden from the previously approved 773 total annual responses and 3,304 total annual burden hours. This change is due to the following: 1) Each SWA is required to submit 1 CAP for each deficiency. Based on FY 2020, a total of 477 CAPs were submitted from SWAs. This is an increase of 45 CAPs 2) Within the Biennial SQSP planning cycle, CAPs are developed with a 24-month window. Previously, states switched between the Biennial and Alternate Year SQSP each year, but on alternating schedules. With that schedule, only half of the states (27) submitted the Biennial SQSP each year and half the total CAPs (216) were submitted. Beginning with the FY 2021 SQSP, all states are on the same schedule. Therefore, every other year, all 53 SWAs must submit the Biennial SQSPs with all CAPs (477). In short, the burden reflects hours for all CAPs for all 53 SWAs. The schedule change was approved with a non-substantive change request to OMB. 3) The UI Program Integrity Action Plan (IAP) must discuss the root causes of improper payments and present the state’s strategies to address these causes. The IAP has been revised to include additional strategies for UI National Priorities, CARES Act, and High Dollar Overpayments. 4) The quarterly reporting burden is an estimated average based on the time it takes to prepare a milestone updates required for a particular quarter for a particular CAP. Not all milestone require updates every quarter. Therefore, the burden is reduced from 8 to 4 hours. Also, quarterly reporting is now based on total CAPs (477). Additionally, states will provide mid-year updates to the UI Integrity Action Plan. 5) The CAP and Quarterly Reporting Workbook was revised to include separate tabs for the Biennial IAP and Alternate Year IAP. 6) ET Handbook No. 336 has been revised to include: • The Assurance of Disaster Unemployment Assistance. No additional burden needed to be included for this Assurance. • Formatting changes to improve the flow of information. No change in burden.

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Annual Cost to Federal Government: $212,444

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 01/15/2021

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