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X*XXXX*XXX*  _       Y]XXXX  DEPARTMENTOFLABOR     $   <( hp x (#X< _CFDA_Ԁ17.207 EMPLOYMENTSERVICE  ^  _CFDA_Ԁ17.801 DISABLEDVETERANSOUTREACHPROGRAM(_DVOP_)  D   _CFDA_Ԁ17.804 LOCALVETERANSEMPLOYMENTREPRESENTATIVE *z PROGRAM(_LVER_)   `  $ E+ ` hp x (#  X(#E I.  PROGRAMOBJECTIVES    E.` hp x (#X(#E EmploymentService(ES)General  l  TheUnitedStatesEmploymentService(USES)isestablishedwithintheDepartmentofLabor j  andpromotestheestablishmentandmaintenanceofanationalsystemofpublicemployment P  serviceoffices. 6  ThebasicpurposeoftheEmploymentServicesystemistoimprovethefunctioningofthe   nationslabormarketsbybringingtogetherindividualswhoareseekingemploymentand z  employerswhoareseekingworkers.TheobjectivesoftheEmploymentServiceprogramareto: `  (1)provideemploymentrelatedservicestounemployedindividualsandotherjobseekers;(2) F  referqualifiedjobapplicantsandprovidetechnicalassistancetoemployers;(3)performa ,| varietyofemploymentrelatedactivitiestofacilitatetheprovisionofbasicservicestoindividuals b andemployers;and(4)participateinalaborclearinghouseforinterstateactivities(20_CFR_ H sections652.2and652.3). .  DisabledVeteransOutreachProgram(_DVOP_)   Theobjectivesofthe_DVOP_Ԁareto:(1)providejobsandjobtrainingopportunitiesfordisabled : andotherveteransthroughcontactswithemployers;(2)promoteanddeveloponthejobtraining  p andapprenticeshipandotheronthejobtrainingpositionswithinFederaljobtraining(e.g.,WIA, V VAprograms);(3)provideoutreachtoveteransthroughallcommunityagenciesand < organizations;(4)provideassistancetocommunitybasedgroupsandorganizationsand " appropriategranteesunderotherFederalandfederallyfundedemploymentandtraining  programs;(5)developlinkageswithotheragenciestopromotemaximumemployment   opportunitiesforveterans;and(6)providejobplacement,counseling,testing,jobreferralto ! eligibleveterans,especiallydisabledveteransoftheVietnamera,utilizingacasemanagement j" approachtoservices,whereverapplicable. P#  LocalVeteransEmploymentRepresentativeProgram(_LVER_)  $N  Theobjectivesofthe_LVER_Ԁprogramareto(1)providejobdevelopment,placement,andsupport &! servicestoveteransand(2)ensurethatthereislocalsupervisionofStateEmployment '" Service/JobServicecompliancewithFederalregulations,performancestandards,andgrant x(#  agreementprovisionsincarryingoutrequirementsof38_USC_Ԁ4104inprovidingveteranswith ^)$!  themaximumemploymentandtrainingopportunities. D*%"   XE.` hp x (#X(#E&   II.  PROGRAMPROCEDURES     XE.` hp x (#X(#E ESProgram  ^ FederalfundsaregrantedtotheStatesforestablishingandmaintaininglocalpublicemployment  \ officesthroughwhichtheStatesadministerbothFederalandstateemploymentservice B programs.';  ( TheStateagencyresponsiblefortheprovisionofemploymentservices,genericallyreferredtoas   theStateWorkforceAgency(_SWA_),mustsubmitafiveyearplanforprovidingservicesand l  activitiesauthorizedbySection7(a)oftheAct,throughtheGovernor,totheDepartmentof R  Labor(20_CFR_Ԁsection652.211).ThispartoftheStateplanissubmittedunderSection112of 8  WIA.TheGovernorhasdiscretiontochoosevariousapproachestoplanningtheutilizationof n  fundsreservedbySection7(b)oftheAct._SWA_ԀarealsoreferredtoasStateEmployment T  SecurityAgencies(_SESAs_). :   _LVER_Ԁand_DVOP_ԀPrograms    GrantfundsareprovidedtoStateemploymentsecurityagenciesforemploying_LVERs_Ԁandother F  staffateachServiceDeliveryPoint(_SDP_)wherethepubliclaborexchangefunctionisofferedin ,| ordertoensurethateligibleveteransreceivemaximumemploymentandtrainingopportunities. b Priorityisgiventodisabledveterans,veteransoftheVietnamera,andothereligibleveteransby H givingthempreferenceovernonveteransintheprovisionofemploymentandtrainingservices . availableateach_SDP_Ԁwherethepubliclaborexchangefunctionisoffered(20_CFR_Ԁsection  1001.120).   SourceofGoverningRequirements  X ThisprogramisauthorizedbytheWagner_Peyser_ԀAct,(Act)asamendedbytheWorkforce V InvestmentActof1999(WIA)(Pub.L.105220)(29_USC_Ԁ49etseq.;38_USC_Ԁchapters41and < 42(veteransprograms)).Implementingregulationsarefoundin20_CFR_Ԁpart652. "  AvailabilityofOtherProgramInformation    OtherprograminformationisavailableontheInternetat4` O  5  +  http://wd% a %a>% b r.doleta.gov/directives/+  _6  7 . ."~  III.  COMPLIANCEREQUIREMENTS  #,  IndevelopingtheauditprocedurestotestcompliancewiththerequirementsforaFederal %  program,theauditorshouldfirstlooktoPart2,MatrixofComplianceRequirements,to p&! identifywhichofthe14typesofcompliancerequirementsdescribedinPart3are V'"  applicableandthenlooktoParts3and4forthedetailsoftherequirements.  <(# B+ ` hp x (#X(#B& ,  A.  ActivitiesAllowedorUnallowed     E.` ` hp x (#X(#E1. ` LaborExchange󀄀FundsallottedtoeachStatemaybeutilizedbythe_SWA_Ԁfora ^ varietyofactivities,consistentwithanapprovedplanpursuanttotheActand D implementingregulations(20_CFR_Ԁsections652.5and652.8(d)).Ataminimum, *z each_SWA_Ԁshallprovidethebasiclaborexchangeelementsdefinedin20_CFR_  ` section652.3.',h   F 2. ` Section7(a)󀄀ServicesandactivitiesprovidedforbySection7(a)oftheActare:    E. ` hp x (#` X(#Ea. Tounemployedindividualsandotherjobseekers:jobsearch,job R  placementandjobinformationservices,includingcounseling,testing, 8  occupationalandlabormarketinformation,assessment,andreferralto n  employers; T  b. Toemployers:asourceforrecruitmentofqualifiedjobapplicants,and   technicalassistanceinresolvingworkforceproblems;and   c. Thefollowingemploymentrelatedactivities: F   ` E.` hp x (# X(#E(1)  Evaluationofprograms; D (2)  DevelopinglinkagesbetweenservicesfundedunderthisActand  relatedFederalorStatelegislation,includingtheprovisionoflabor  exchangeservicesateducationsites; n (3)  Providingemploymentrelatedservicesforworkerswhohave l receivednoticeofpermanentorimpendinglayoff,and R _reemployment_Ԁservicesforworkersinoccupationswhichare 8 experiencinglimiteddemandduetotechnologicalchange,impact  ofimports,orplantclosures;  (4)  DevelopingandprovidingStateandlocallabormarketand b  occupationalinformation; H! (5)  Developingamanagementinformationsystemandcompilingand "F analyzingreportstherefrom;and #, (6)  AdministeringtheworktestfortheStateunemployment %  compensationsystem,andprovidingjobfindingandplacement p&! servicesforunemploymentinsuranceclaimants(29_USC_Ԁ49f(a); V'"  20_CFR_Ԁsection652.210). <(#  ` E.` ` hp x (#X(#E&   3. ` Section7(b)󀄀ServicesandactivitiesprovidedforbySection7(b)oftheActare:   E. ` hp x (#` X(#Ea. Performanceincentivesforpublicemploymentserviceofficesand ^ programs,consistentwithperformancestandardsestablishedbythe D Secretary; *z b. Servicesforgroupswithspecialneedscarriedoutpursuanttojoint  ( agreementsbetweentheEmploymentServiceandthelocalworkforce   investmentboardandChiefElectedOfficial(s),orotherpublicagenciesor   privatenonprofitorganizations;and',   c. ExemplarymodelsfordeliveringtraditionalEmploymentService 8  ProgramservicesunderSection7(a)oftheAct(29_USC_Ԁ49f(b)). n   E.` ` hp x (# X(#E4. ` Section7(d)󀄀Inadditiontotheactivitiesdescribedunder2and3,above,Section   7(d)oftheActauthorizes_SWAs_Ԁtoperformsuchotheractivitiesasshallbe   specifiedincostreimbursementagreementswiththeSecretaryofLabororwith   anyFederal,State,orlocalpublicagency,orWIAadministrativeentity,or ~  privatenonprofitorganization(29_USC_Ԁ49f(d)). d 5. ` Section7(e)Section7(e)providesthatallservicesauthorizedunder7(a)shall b beprovidedaspartofaonestopdeliverysystemestablishedbytheState(29 H _USC_Ԁ49f(e)). . 6. ` _DVOP_󀄀_DVOP_Ԁincludesawidevarietyofservicesdirectlyrelatedtomeetingthe  employmentneedsofdisabledandothereligibleveteransasdefinedat38_USC_ r 4103A(b)(1).Theseservicesinclude,butarenotlimitedto,thefollowing: X  E. ` hp x (#` X(#Ea. Developmentofjobandjobtrainingopportunitiesthroughcontactswith V employers; < b. Outreachactivitiestolocateeligibleveterans;  c. Provisionofassistancetocommunitybasedorganizationsandappropriate H! granteesunderotherFederalandfederallyfundedemploymentand ."~ trainingprogramsinprovidingsuchservices; #d d. Provisionofvocationalguidanceandvocationalcounselingservices;and $  e. Provisionofservicesasacasemanager. p&!   E.` ` hp x (# X(#EAcompletelistofallowableservicesappearsat38_USC_Ԁ4103A(c). (n#  7. ` _DVOP_ԀUnallowableActivities󀄀_DVOP_Ԁprogramspecialistsshallbeassignedonly )% tothosedutiesdirectlyrelatedtomeetingtheemploymentneedsofeligible *&  veterans(38_USC_Ԁ4103A(b)(1)). +&  8. ` _LVER_󀄀_LVER_Ԁsupervisestheprovisionofavarietyofservicestoeligible   veterans.Theseservicesinclude,butarenotlimitedtothefollowing(38_USC_  4104): |  E. ` hp x (#` X(#Ea. Maintainregularcontactwithcommunityleaders,employers,labor *z unions,trainingprograms,andveteransorganizationsforthepurposeof  `  ` E.` hp x (# X(#E(1)  keepingthemadvisedofeligibleveteransandeligiblepersons   availableforemploymentandtraining,and   (2)  keepingeligibleveteransandeligiblepersonsadvisedof R  opportunitiesforemploymentandtraining; 8   ` E. ` hp x (#X(#Eb. Providedirectly,orfacilitatetheprovisionof,laborexchangeservices 6  includingintakeandassessment,counseling,testing,jobsearch   assistance,andreferralandplacement;and   c. Assist,throughautomateddataprocessing,insecuringandmaintaining `  currentinformationregardingavailableemploymentandtraining F  opportunities. ,|   E.` ` hp x (# X(#EAcompletelistofallowableservicesappearsat38_USC_Ԁ4104(b). *  B+ ` hp x (#` X(#B G.  Matching,LevelofEffort,Earmarking     E.` ` hp x (#X(#E 1. ` Matching 󀄀NotApplicable 6  2 ` LevelofEffort 󀄀NotApplicable 4  3. ` Earmarking    TenpercentofeachStatesWagner_Peyser_ԀActallotmentshallbereservedbythe @ _SWA_ԀtoprovideservicesandactivitiesauthorizedbySection7(b)oftheAct & v (29_USC_Ԁ49f(b)).  !\  B+ ` hp x (#` X(#B L.  Reporting  "    E.` ` hp x (#X(#E 1. ` FinancialReporting  h$  E. ` hp x (#` X(#Ea. SF269,FinancialStatusReport󀄀TheSF269isusedfortheES &f! programs.Itisnotusedforthe_DVOP_Ԁand_LVER_Ԁprograms. &L" b. SF270,RequestforAdvanceorReimbursement󀄀NotApplicable (# c. SF271,OutlayReportandRequestforReimbursementforConstruction X*% Programs󀄀NotApplicable >+& d. SF272,FederalCashTransactionsReport󀄀Paymentsunderthisprogram ,<( aremadebytheDepartmentofHealthandHumanServices,_Payment -") ManagementSystem.ReportingequivalenttotheSF272isaccomplished  throughthePaymentManagementSystemandisevidencedbythe_PSC_  272seriesofreports. | e. VETS300,CostAccountingReport,_DVOP_/_LVER_ԀPrograms(OMBNo. *z 12050240)󀄀Aseparatequarterlyreportisrequiredforeachofthe_DVOP_  ` and_LVER_Ԁprograms.  F   X?( ` hp x (# X(#? 2. ` PerformanceReporting      XE. ` hp x (#` X(#Ea. ETA9002,QuarterlyReports(OMBNo.12050240)isusedtoreport R  services,activities,andoutcomesofserviceforalljobseekersand 8  veterans.Thisreportissubmittedquarterlybeginningwiththequarter n  endingSeptember30,2002.However,duetothedelaysinherentinthe T  usesofwagerecordtaxfiles,thereportsduefortheSeptember30,2003 :  quarterwillbethefirstreportinwhichthefollowingkeylineitemsfor   EmploymentRateoutcomedatawillbeincludedinthequarterlyreport.    Keylineitems󀄀ThefollowinglineitemsinETA9002C,Performance d OutcomesJobSeekers/Employerscontaincriticalinformation: J   ` E.` hp x (# X(#E(1)  Item7EnteredEmploymentRate H (2)  Item10EmploymentRetentionRateatSixMonths   ` E. ` hp x (#X(#Eb. TheVeteransEmploymentandTrainingServiceVETS200Quarterly T Reports(OMBNo.12050240)areasubsetoftheETA9002.Thedata : reportedcontainsthesimilardataelementsastheETA9002,butonly  p applytotheactivitiesof_LVER_Ԁand_DVOP_Ԁstaff.Thisreportissubmitted V quarterlybeginningwiththequarterendingSeptember30,2002. < However,duetothedelaysinherentintheusesofwagerecordtaxfiles, " thereportsduefortheSeptember30,2003quarterwillbethefirstreport  inwhichthefollowingkeylineitemsforEmploymentRateoutcomedata   willbeincludedinthequarterlyreport. !  Keylineitems󀄀ThefollowinglineiteminVETS200(C)containcritical 2# information: $h   ` E.` hp x (# X(#EItemb.25EnteredEmploymentFollowingS/AServicesRate %!   ` E.` ` hp x (#X(#ETherulesandguidelinesforESandVeteransprogramreportingarecontainedin t'" ETAHandbookNo.406ETA9002andVETS200DataPreparationHandbook, Z(# (OMBNo.12050240)availableontheInternetat @)$  4c ` O  5  +  http://_www.wo%b\% d %dAX% e rkforcesecurity.doleta.gov_%e_X% f %fX% g /_dmstree_/handbooks/406/406_r_4_24_0 &*v%! 2._pdf_+Wices  6WWap  7  W.  +\&"  X?( ` hp x (#` X(#? 3. ` SpecialReporting 󀄀NotApplicable  , (# hYi] X  E.` hp x (#` X(#E DEPARTMENTOFLABOR   $   B+ hp x (#X(#B_CFDA_Ԁ17.225 UNEMPLOYMENTINSURANCE(UI) ^  $ XK.` hp x (#  X(#KI.  PROGRAMOBJECTIVES  \   XE.` hp x (#X(#E TheregularUnemploymentCompensation(UC),UnemploymentCompensationforFederal   Employees(_UCFE_),andUnemploymentCompensationforEx_Servicemembers_Ԁ(_UCX_)   programsprovidebenefitstounemployedworkersforperiodsofinvoluntaryunemploymentand   helpstabilizetheeconomybymaintainingthespendingpowerofworkerswhiletheyare l  betweenjobs.UCprogramscoveralmostallwageandsalariedworkers.Duringperiodsofhigh R  unemployment,theExtendedBenefits(_EB_)programpays_EB_Ԁforanadditional(orextended) 8  periodoftimetoeligibleunemployedworkerswhohaveexhaustedtheirentitlementtoUC, n  _UCFE_,or_UCX_. T  StatesmustensurefullpaymentofUC whendue,andmustdenypaymentswhennotdue   (42_USC_Ԁ503(a)(1)).     XE.` hp x (#X(#E II.  PROGRAMPROCEDURES  F    XE.` hp x (#X(#ETheUIprogram,alsoreferredtoasUC,initiallyconsistedsolelyoftheregularStateprograms. D However,UCcoveragewasextendedtoFederalcivilianemployeesin1954bythe_UCFE_ * program(Pub.L.83767),andtoexmembersoftheArmedForcesin1958bythe_UCX_  program(5_USC_Ԁ85018525;Pub.L.85848).TheFederalStateExtendedUnemployment  CompensationAct(_EUCA_)of1970(Pub.L.91373;26_USC_Ԁ3304note)providedforan_EB_  program(20_CFR_Ԁpart615). r ThestructureoftheFederalStateUIProgrampartnershipisbaseduponFederallaw;however,it  p isimplementedprimarilythroughStatelaw.Unlessotherwisenoted,responsibilitiesoftheU.S. V DepartmentofLabor(DOL)include:(1)allocatingavailableadministrativefundsamongStates; < (2)administeringtheUnemploymentTrustFund(_UTF_)throughtheU.S.Departmentofthe " Treasuryandmonitoringactivitiesofthe_UTF_;(3)establishingprogramperformancemeasures;  (4)monitoringStateperformance;(5)ensuringconformityandsubstantialcomplianceofState   lawandoperationswithFederallaw;and(6)settingbroadoverallpolicyforprogram ! administration.StateUIprogramoperationsareconductedbytheStateWorkforceAgency j" (_SWA_)"thegenericnamefortheagencythathasresponsibilityfortheStatesEmployment P# Securityfunction)._SWAs_ԀarealsoreferredtoasStateEmploymentSecurityAgencies(_SESAs_). 6$ Stateresponsibilitiesinclude:(1)establishingspecific,detailedpoliciesandoperating %4! procedureswhichcomplywiththerequirementsofFederallawsandregulations;(2)determining &" theStateUItaxstructure;(3)collectingStateUIcontributionsfromemployers(commonly '#  called unemploymenttaxes);(4)determiningclaimanteligibilityanddisqualification (#! provisions; |)$" (5)makingpaymentofUCbenefitstoclaimants;(6)managingtheprogramsrevenueand b*%# benefitadministrativefunctions;(7)administeringtheprogramsinaccordancewithestablished H+&$  policiesandprocedures;and(8)enactingStateUClawthatconformswithFederalUClaw. .,~'%  XE.` hp x (#X(#ENote:Informalreferencesarefrequentlymadetoeligibilityfor weeksofUC.The   auditoriscautionedeligibilityisactuallyforamaximumdollaramountofUC,whichis  inaccuratelyreferredtoasreceiptofUCforagivennumberofweeks. |  XE.` hp x (#X(#E ProgramFunding  *z UCpaymentstoclaimantsarefundedbyStateUItaxesoncoveredemployers(threeStateshave  ( provisionsforemployeetaxes),andreimbursementsfromFederalentities,certainState   governments,politicalsubdivisionsandinstrumentalitiesoftheStates,federallyrecognized   Indiantribes,andqualifiednonprofitorganizations.While experienceratedUItaxeson   employersaretheprimarysourceofrevenueforbenefits,someemployersmakedirect p  reimbursementstotheStateforUCpaymentsmadeontheirbehalfratherthanpayingUItaxes. V  Stategovernments,politicalsubdivisionsandinstrumentalitiesoftheStates,andqualifiednon <  profitorganizationsmayreimbursetheStateforUCbenefitspaidbythe_SWA_;however,they "r  mayelecttobecontributoryemployers(i.e.,remitStateUItaxes)inlieuofreimbursingthe X  State.Also,Statesarereimbursedfromthe_UTF_Ԁfor_UCFE_Ԁand_UCX_Ԁpaidbythe_SWA_Ԁon >  behalfofvariousFederalentities.ProgramadministrationisfundedbyaFederalUItaxon $ coveredemployers(seebelow).Generally,theemploymentcoveredbyStateUItaxesand   FederalUItaxesarethesame;however,therearespecificdifferences.  StateUItaxesandreimbursementsareusedalmostexclusivelyforthepaymentofregularUC N andtheStateshareof_EB_Ԁtoeligibleclaimants.AllUItaxesandreimbursementsremittedby 4 employerstotheStatesaredepositedinStateaccountsinthe_UTF_._SWAs_Ԁperiodicallydraw j fundsfromtheir_UTF_ԀaccountsforthepurposeofmakingUCpayments. P TheFederalUnemploymentTaxAct(_FUTA_)imposesaFederaltaxoncoveredemployers.  Currently,the_FUTA_Ԁtaxoncoveredemployment(generallyemploymentsubjecttoaStateUI  tax)is6.2percentofthefirst$7,000ofcoveredemployeewages.Employers,however,receive z twocreditsagainstthe_FUTA_Ԁtax.OnecreditisequaltotheamountofStateUItaxpaidbythe ` employer.TheemployerreceivesthiscreditwhentheStateUIlaw,anditsapplication, F conformsandsubstantiallycomplieswith_FUTA_Ԁrequirements.Asecondcreditisawardedonly ,| toemployersinStateswhichhaveafederallyapprovedexperienceratedStateUItaxsystem.  b AllStatescurrentlymeettheFederalcriteriaforbothcreditstobeapplicabletotheStates  H employers.Thetwocreditscombinedcannotexceed5.4percentoftaxableemployeewages. !. _FUTA_Ԁrevenuesfromtheremaining0.8percentarecollectedbytheIRSanddepositedintothe # generalfundoftheU.S.Treasury,whichbystatuteareappropriatedtothe_UTF_._FUTA_ r$ revenuesareusedprimarilytofinanceFederaland_SWA_Ԁadministrativeexpenses,theFederal X%  shareof_EB_,andadvancestoStateswhose_UTF_Ԁaccountbalancesareloworexhausted.DOL >&!! allocatesavailableadministrativegrantfunds(asappropriatedbyCongress)toStatesbasedon $'t"" forecastedworkloadandcostsandadjustedforincreasesordecreasesinworkloadduringthe  (Z##  currentyear. (@$$ &    SynopsisofRegularUnemploymentCompensationProgram   TheregularUCprogramprovidesUCcoverageofmostwageandsalaryworkersineachState, ^ theDistrictofColumbia,PuertoRico,andtheVirginIslands.Exceptforprovisionsnecessaryto D complywithFederallaw,theprovisionsofStateUIlawsvarygreatly,includingtheirqualifying *z requirementsandmethodsusedtocomputeUCamounts.  ` TheperiodduringwhichaclaimantmayreceiveUCisreferredtoasthe benefityear.Inall   butoneState,abenefityearlastsoneyearfromtheeffectivedateoftheclaim.Thetotalregular   UCthataclaimantmayreceiveinabenefityeariscomputedbythe_SWA_Ԁinadollaramount.A   claimantmaydrawUCagainstthemaximumbenefitamountallowableforthebenefityear p  duringperiodsofunemploymentthatoccurduringthebenefityear.UnderStateUIlaws,the V  total(maximum)UCaclaimantisentitledtovarieswithincertainlimitsaccordingtothe <  workerswagesinthebaseperiod(see_III.E_, Eligibility).Reducedbenefitsmaybepaidfor "r  weeksofpartialunemployment.InsomeStates,theweeklyUCbenefitpaymentisaugmented X  byadependentsallowance,whichmaybepaidforeachdependentuptoamaximumnumberof >  dependents.'  $  SynopsisofExtendedBenefitsProgram   Anintervalofhighunemploymentatacertainlevelwill triggeronaperiodofnotlessthan13 0 consecutiveweeksduringwhichtheStatewillmakeextendedpaymentstoeligibleunemployed f workerswhohaveexhaustedtheirentitlementtoregularcompensation(20_CFR_Ԁsection615.11). L Withcertainqualifications,_EB_Ԁispayableatthesamerateastheclaimantsregular 2 compensationamount(20_CFR_Ԁsection615.6).The_EB_ԀperiodisdeterminedbytheStatein  whichtheoriginalclaimwasestablished(_EUCA_Ԁsection202(a)(2),20_CFR_Ԁsection615.2(k)(2)).  Areductionintheunemploymentratewill triggerofftheperiodforthepaymentof_EB_.  Aclaimantmayreceive_EB_Ԁequaltothelesserofthefollowingamounts:(1)onehalfthetotal B amountofregularcompensation,includingdependentsallowances,(2)13timestheweekly (x amountofregularcompensation,or(3)39timestheweeklyamountofregularcompensation ^ reducedbytheamountofRegularCompensationpaidtotheclaimant(_EUCA_,section202(a)(2), D 20_CFR_Ԁsection615.7(b)).However,thequalifyingandbenefitprovisionsofthe_EB_Ԁprogram  * changeiftheunemploymentrateassumesabenchmarklevelestablishedin_EUCA_.While_EB_ ! arepayableunderthetermsandconditionsofStatelaw,_FUTA_ԀrequiresthatStateUIlaw " conformtocertainprovisionsof_EUCA_Ԁ(26_USC_Ԁ3304(a)(11)). # StatesarereimbursedwithFederalfundsforonehalfthecostof_EB_Ԁpaidtoclaimantsbythe :%  _SWAs_,withthefollowingexceptions:(1)_EB_Ԁpaidtoformer_UCFE_Ԁand_UCX_Ԁclaimantsare100  &p!  percentreimbursablefromFederalfunds;and(2)_EB_ԀpaidtoformeremployeesoftheState 'V"! government,andpoliticalsubdivisionsandinstrumentalitiesoftheState,andfederally '<#" recognizedIndiantribesarenotreimbursablefromFederalfunds.Reimbursementswillbe ("$# proratedforclaimantswhohademploymentinboththeprivateandpublicsectorsduringtheir )%$  baseperiods.Thefirstweekof_EB_ԀisreimbursabletotheStateonlyiftheStaterequiresthe *%% firstweekinanindividualsbenefityearbeanunpaid waitingweek(_EUCA_Ԁsection204; +&& 20_CFR_Ԁsection615.14).Theauditorshouldreferto20_CFR_Ԁsection615.14foracomplete j,'' explanationofwhen_EB_ԀisnotreimbursedtotheState. P-(( &  EmployerExperienceRating   Statesannuallycomputean experienceratingforcontributing,ortaxremitting,employers. ^ TheexperienceratingisthedominantfactorinthecomputationofanemployersStateUItax D rate.Whilemethodsofcomputationdiffer,thekeyfactorinmostmethodologiesistheamount *z ofUCpaidbythe_SWA_ԀwithinatimeperiodspecifiedbyStateUIlaw,toclaimantswhoare  ` formeremployeesoftheemployer.Also,variousmethodsareusedbythe_SWAs_Ԁtoidentify  F whichoneormoreoftheclaimantsformeremployerswillbe chargedwiththeUCpaidtothe  , claimant.'    Synopsisof_UCFE_Ԁand_UCX_ԀPrograms  p  For_UCFE_,thequalifyingrequirements,determinationofUCbenefitamounts,anddurationof n  UCaregenerallydeterminedundertheapplicableStatelaw,whichisgenerallytheStatein T  whichtheofficialdutystationwaslocated(5_USC_Ԁchapter85;20_CFR_Ԁpart609). :  The_UCX_ԀprogramcombineselementsoftheapplicableStatelawandfactorsuniquetothe_UCX_   program,suchas schedulesofremuneration(20_CFR_Ԁsection614.12),whichmustbe ~  consideredbythe_SWA_Ԁinmakingitsdeterminationsofeligibility,UCbenefitamountsand d duration(5_USC_ԀChapter85;20_CFR_Ԁpart614). J Statesarereimbursedfromthe_UTF_ԀforUCpaidto_UCFE_Ԁand_UCX_Ԁclaimants.Onaquarterly H basis,Statesreport_UCFE_Ԁand_UCX_ԀpaidtotheDOL,whichisresponsibleforobtaining . reimbursementtothe_UTF_ԀfromtheappropriateFederalagencies.   SourceofGoverningRequirements  r TheFederalStateUnemploymentInsurance(UI)programpartnershipisprovidedforbyTitles  p III,IX,andXIIoftheSocialSecurityActof1935(SSA)(42_USC_Ԁ501,1101,1321,etseq.)and V theFederalUnemploymentTaxAct(_FUTA_)(26_USC_Ԁ3301etseq.).Programregulationsare < foundin20_CFR_Ԁparts601through616. "  AvailabilityofOtherProgramInformation    AdditionalinformationontheUIprogramscanbefoundontheInternetat ."~ 4j O  5  +  http://ows%gX% k %k% l .d%l% m %m6% n oleta.gov/+sEm  6`tor  7 . #d   XE.` hp x (#X(#E III.  COMPLIANCEREQUIREMENTS $    XE.` hp x (#X(#EIndevelopingtheauditprocedurestotestcompliancewiththerequirementsforaFederal p&! program,theauditorshouldfirstlooktoPart2,MatrixofComplianceRequirements,to V'" identifywhichofthe14typesofcompliancerequirementsdescribedinPart3are <(#  applicableandthenlooktoParts3and4forthedetailsoftherequirements.  ")r$ &   A.  ActivitiesAllowedorUnallowed    XE.` hp x (#X(#EAdministrativegrantfundsmaybeusedonlyforthepurposesandintheamounts ^ necessaryforproperandefficientadministrationoftheUIprogram(SSA,section D 303(a)(8);42_USC_Ԁ503(a)(8)). *z  XE.` hp x (#X(#E E.  Eligibility '  (   E.` ` hp x (#X(#E 1. ` EligibilityforIndividuals     E. ` hp x (#` X(#Ea. GeneralAuditApproachforUIBenefitPayments󀄀_SWAs_Ԁarerequiredby 4  20_CFR_Ԁ602.11(d)tooperateaBenefitsAccuracyMeasurement(BAM) j  programtoassesstheaccuracyofUIbenefitpaymentsanddeniedclaims. P  Specifically,the_SWA_sBAMunitdrawsaweeklysampleofpayments 6  anddeniedclaims,reviewstherecords,andcontactstheclaimant,   employers,andthirdparties(eitherinperson,bytelephone,orbyfax)to   verifyalltheinformationpertinenttothepaidordeniedclaimthatwas   sampled.Forclaimsthatwereoverpaid,underpaid,orerroneously ~  denied,theBAMinvestigatordeterminestheamountofpaymenterroror d forerroneouslydeniedclaimsthepotentialeligibilityoftheclaimant,the J causeofandtheresponsibilityforanypaymenterror,thepointintheUI 0 claimsprocessatwhichtheerrorwasdetected,andactionstakenbythe f agencyandemployerpriortothepaymentthatisinerror.Federal L regionalofficestaffreviewa_subsample_Ԁofcompletedcaseseachyearin 2 eachState.Nationalofficestafffurtherreviewasmallsampleofcasesand  providecommentstotheregionsontheirmonitoring.BAMcoversUC,  _UCFE_,and_UCX_Ԁ(20_CFR_Ԁsection602.11(d)).   DuetothecomplexityoftheUIbenefitpaymentoperations,itisunlikely B theauditorwillbeabletosupportanopinionthatUIbenefitpaymentsare (x incompliancewithapplicablelawsandregulationswithoutrelyingonthe ^ _SWA_ssystemsandinternalcontrols.AdditionalinformationonBAM D proceduresandhistoricaldatacanbeobtainedfromthe_SWA_Ԁstate  * contactslistedintheAugust30,2002,FederalRegisternoticetitled ! FederalStateUnemploymentCompensationProgram:Availabilityof " BenefitAccuracyMeasurementProgramResults(67FR55879). #  b. RegularUnemploymentCompensationProgram󀄀UnderStateUIlaws,a :%  workersbenefitrightsdependontheamountoftheworkerswages  &p!  and/orweeksofworkincoveredemploymentina baseperiod.While 'V"! mostStatesdefinethebaseperiodasthefirst4ofthelast5completed '<#" calendarquarterspriortothefilingoftheclaim,otherbaseperiodsare ("$# used.Toqualifyforbenefitsaclaimantmusthaveearnedacertain )%$ amountofwages,orhaveworkedacertainnumberofweeksorcalendar *%% quarterswithinthebaseperiod,ormeetsomecombinationofwageand +&& employmentrequirements.A waitingperiodisa_noncompensable_ j,'' periodofunemploymentinwhichtheworkerwasotherwiseeligiblefor P-(( benefits.MostStatesrequireawaitingperiodofoneweekoftotalor  partialunemploymentbeforeUCispayable.   TobeeligibletoreceiveUC,allStatesprovidethataclaimantmustbe D ableandavailableforwork(i.e.,mustbeinthelaborforce; *z unemploymentmustbecausedbylackofsuitablework;andtheclaimant  ` mustbelegallyauthorizedtowork).Aclaimantmustnotbeunemployed  F forsuchactsasleavingvoluntarilywithoutgoodcause,dischargefor  , misconductconnectedwithwork,andrefusalofsuitablework.    c. _EB_ԀProgram󀄀Toqualifyfor_EB_,aclaimantmusthaveexhaustedRegular p  Compensation(20_CFR_Ԁsection615.4(a)).Tobeeligibleforaweekof V  _EB_,aclaimantmustapplyforandbeableandavailabletoacceptsuitable <  work,ifoffered.Whatconstitutessuitableworkisdependentona "r  required_SWA_sevaluationoftheclaimantsemploymentprospects.An X  _EB_Ԁclaimantmustmakea systematicandsustainedefforttoseekwork >  andmustprovide tangibleevidencetothe_SWA_Ԁthatheorshehasdone $ so(_EUCA_Ԁsection202(a)(3);20_CFR_Ԁsection615.8).   d. _UCFE_Ԁand_UCX_ԀPrograms󀄀For_UCFE_,theclaimantseligibilityand h benefitamountwillgenerallybedeterminedinaccordancewiththeUI N lawoftheStateoftheclaimantslastdutystation(20_CFR_Ԁsection609.8). 4 For_UCX_,aclaimantseligibilityisdeterminedinaccordancewiththeUI j lawoftheStateinwhichtheclaimantfilesafirstclaimafterseparation P fromactivemilitaryservice(20_CFR_Ԁsection614.8). 6  E.` ` hp x (# X(#E 2. ` EligibilityforGroupofIndividualsorAreaofServiceDelivery 󀄀Not  Applicable z  X E.` hp x (#` X(#E 3. ` Eligibilityfor_Subrecipients_ 󀄀NotApplicable (x  X XE.` hp x (#X(#E G.  Matching,LevelofEffort,Earmarking  &  XE.` ` hp x (#X(#E 1. ` Matching 󀄀ShareableCompensationProgram(_EB_) !  FromitsUItaxrevenues,theStateisrequiredtopayeitherzeropercent(_UCFE_, 2# _UCX_),50percent(_EB_)or100percent(regularcompensation)oftheUCpaidby $h the_SWA_Ԁtoeligibleclaimants. $N  TheStateisrequiredtoprovide50percentoftheamountspaidtothemajorityof &! eligible_EB_Ԁclaimants(thosenotcoveredbyFederallaworspecialprovisionsof '" Statelaw)(20_CFR_Ԁsections615.2and615.14(a)).Those_EB_Ԁamountspaidbythe x(#  _SWA_,andwhicharenottheresponsibilityoftheState,arereimbursabletothe ^)$! Statefromthe_UTF_Ԁ(20_CFR_Ԁsection615.14).Thefirstweekof_EB_Ԁis D*%" reimbursabletotheStateonlyif,inadditiontootherrequirements,theState *+z&# requiresthefirstweekofanindividualsbenefityeartobean unpaidwaiting ,`'$ week(_EUCA_Ԁsection204;20_CFR_Ԁsection615.14). ,F(% The50percentshareof_EB_ԀforwhichtheStateisresponsibleisproratedforthose  claimantswhosebaseperiodincludeswagesfrombothpublicandprivatesector  employment. |   2. ` LevelofEffort 󀄀NotApplicable *z  3. ` Earmarking 󀄀NotApplicable  (   E.` hp x (#` X(#E&  L.  Reporting      E.` ` hp x (#X(#E 1. ` FinancialReporting  4   InstructionsforreportingfinancialandprogramactivitiesarecontainedinET 2  Handbook336,17thEdition,StateQualityServicePlansforUnemployment   InsuranceOperationsandintheETHandbook401,3rdEdition,Unemployment   InsuranceReportsHandbook401.The_SWA_Ԁmayfilecertainreports   electronically.'  z    E. ` hp x (#` X(#Ea. SF269,FinancialStatusReport󀄀AseparateSF269issubmittedforeach (x  ofthefollowing:UIAdministration,UINationalActivities(excluding ^  cooperativeagreements),RegularTradeBenefits,_NAFTA_ԀBenefits,and D UAProjects(administrationandbenefits). *   E.` ` hp x (# X(#Eb. SF270,RequestforAdvanceorReimbursement󀄀NotApplicable    E. ` hp x (#` X(#Ec. SF271,OutlayReportandRequestforReimbursementforConstruction 6 Programs󁄀NotApplicable l d. SF272,FederalCashTransactionsReport󀄀Paymentsunderthisprogram  aremadebytheDepartmentofHealthandHumanServices,Payment  ManagementSystem(PMS).ReportingequivalenttotheSF272is  accomplishedthroughthePMSandisevidencedbythe_PSC_Ԁ272E,Major | ProgramStatement. b  e. ETA2112,UIFinancialTransactionSummary(OMBNo.12050154)󀄀A "` monthlysummaryoftransactions,whichaccountforallfundsreceivedin, "F passedthrough,orpaidoutoftheStateunemploymentfund(PageII11 #, ofETHandbook401). $  f. ETA581,ContributionOperations(OMBNo.12050178)󀄀Quarterly p&! reportonvolumeof_SWA_Ԁwork,performanceindeterminingthetaxable V'" statusofemployers,andotherinformationpertinenttotheoverall <(#  effectivenessofthetaxprogram(PageII21ofETHandbook401). ")r$ &   g. ETA191,FinancialStatusof_UCFE_/_UCX_Ԁ(OMBNo.12050162)  Quarterlyreporton_UCFE_Ԁand_UCX_Ԁexpendituresandthetotalamountof  benefitspaidtoclaimantsofspecificFederalagencies(PageII31ofET | Handbook401). b h. ETA227,OverpaymentDetectionandCollectionActivities(OMBNo.  ` 12050173)󀄀Quarterlyreportonresultsof_SWA_Ԁactivitiesinprincipal  F detectionareasofbenefitpaymentcontrol(PageIV31ofETHandbook  , 401).'    E.` ` hp x (# X(#E 2. ` PerformanceReporting 󀄀NotApplicable p  & F 3. ` SpecialReporting  n   ETA2208A,QuarterlyUIContingencyReport(OMBNo.12050132)󀄀Quarterly   reportofstaffyearsworkedandpaidbyprogramcategory.Keylineitemsare   1through7ofSectionA.TheauditorisnotexpectedtotestSectionsBthrough   E.'F ~   E.` hp x (#` X(#E N.  SpecialTestsandProvisions  ,|  X 1. ` EmployerExperienceRating  *  X XE.` hp x (#X(#E ComplianceRequirement 󀄀CertainbenefitsaccruetoStatesandemployerswhenthe  StatehasafederallyapprovedexperienceratedUItaxsystem.AllStatescurrentlyhave n anapprovedsystem.Forthepurposeofproperadministrationofthesystem,the_SWA_ T maintainsaccounts,orsubsidiaryledgers,onStateUItaxesreceivedorduefrom : individualemployers,andtheUCbenefitschargedtotheemployer.  p Theemployers experiencewiththeunemploymentofformeremployeesisthe  dominantfactorinthe_SWA_ԀcomputationoftheemployersannualStateUItaxrate.The  computationoftheemployersannualtaxrateisbasedonStateUIlaw(26_USC_Ԁsection  3303).    AuditObjective 󀄀ToverifytheaccuracyoftheemployersannualStateUItaxrateand ."~ todetermineifthetaxratewasproperlyappliedbytheState. #d  SuggestedAuditProcedures  $    XE.` ` hp x (#X(#Ea. ` Experienceratingsystemsaregenerallyhighlyautomatedsystems.These p&! systemscouldcontainerrorsthatarematerialintheaggregate,butwhicharenot V'" susceptibletodetectionsolelybysampling.Iferrorsaredetected,samplingmay <(# notbethemosteffectiveandefficientmeanstoquantifytheextentofsucherrors. ")r$ Forthisreason,theauditorshouldhaveathoroughunderstandingoftheoperation *X%  ofthesesystems,andisstronglyencouragedtoconsidertheuseofcomputer *>&!  assistedauditingtechniques(_CAATs_)totestthesesystems. +$'" b. ` Onatestbasis,reconcilethesubsidiaryemployeraccountswiththeStatesUI   generalledgercontrolaccounts.  c. ` Traceasampleoftaxesreceivedandbenefitspaidtopostingstotheapplicable D employeraccounts.Verifytheproprietyofanynonchargingofbenefitspaidto *z anemployeraccount.  ` d. ` Traceasampleofpostingstoemployeraccountstodocumentationoftaxes   receivedandbenefitspaid.   e. ` Onatestbasis,recomputeemployerexperiencerelatedtaxrates. R   X E.` hp x (#` X(#E 2. ` MatchwithIRS940_FUTA_ԀTaxForm  P   X XE.` hp x (#X(#E ComplianceRequirement 󀄀Statesarerequiredtoannuallycertifyforeachtaxpayerthe   totalamountofcontributionsrequiredtobepaidundertheStatelawforthecalendaryear   andtheamountsanddatesofsuchpaymentsinorderforthetaxpayertobeallowedthe z  creditagainstthe_FUTA_Ԁtax(26_CFR_Ԁsection31.3302(a)3(a)).Inordertoaccomplish `  thiscertification,Statesannuallyperformamatchofemployertaxpaymentswithcredit F  claimedforthesepaymentsontheemployersIRS940_FUTA_Ԁtaxform(IRSDoc.No. ,| 6581, SpecificationsforaNationwideSystemforComputerizedCertificationofState b _FUTA_ԀCredits,revisedannually). H  AuditObjective 󀄀DeterminewhethertheStateproperlyperformedthematchtosupport  itscertificationofState_FUTA_Ԁtaxcredits.   SuggestedAuditProcedures  :   XE.` ` hp x (#X(#Ea. ` AscertaintheStatesproceduresforconductingtheannualmatch. 8 b. ` Obtainandexaminedocumentationsupportingtheannualmatchprocessfromthe  groupofemployersStateunemploymenttaxpaymentsusedbytheStateinits | matchprocess. b  c. ` Forasampleofemployerpayments: "`  E. ` hp x (#` X(#E(1) Verifythatthetaxpaymentsmetthestatedcriteriafor_FUTA_Ԁtaxcredits # allowance(e.g.,timelystateunemploymenttaxfilingsandpayments). $  (2) ComparetheauditresultstotheStatesreportedannualmatchresults. R&!   E.` hp x (# X(#E& X  IV.  OTHERINFORMATION    XE.` hp x (#X(#EStateunemploymenttaxrevenuesandthegovernmental,tribal,andnonprofit ^ reimbursementsinlieuofStatetaxes(StateUIfunds)mustbedepositedtothe D UnemploymentTrustFundintheU.S.Treasury,onlytobeusedtopaybenefitsunderthe *z federallyapprovedStateunemploymentlaw.ThisComplianceSupplementincludes  ` severalcompliancerequirementsthatmustbetestedwithregardtotheseStateUIfunds.  F Consequently,StateUIfundsaswellasFederalfundsshallbeincludedinthetotal  , expendituresof_CFDA_Ԁ17.225whendeterminingTypeAprograms.StateUIfunds   shouldbeincludedwithFederalfundsontheScheduleofExpendituresofFederal   Awards.AfootnotetotheScheduletoindicatetheindividualStateandFederalportions    ofthetotalexpendituresfor_CFDA_Ԁ17.225isencouraged. t   X3p x (#X(#3'X ^  "r  ohpi   DEPARTMENTOFLABOR     B( hp x (#X(#B _CFDA_Ԁ17.235 SENIORCOMMUNITYSERVICEEMPLOYMENTPROGRAM  ^ E+ ` hp x (# X(#E I.  PROGRAMOBJECTIVES   \ E.` hp x (#X(#EToprovide,foster,andpromoteusefulparttimeworkopportunities(usually20hoursperweek)   incommunityserviceactivitiesforlowincomepersonswhoare55yearsofageandolder.To   theextentfeasible,theprogramassistsandpromotesthetransitionofprogramenrolleesinto   unsubsidizedemployment.AuthorizedbytheOlderAmericansActof1965(theAct),as l  amended(42_USC_Ԁ3056etseq.;20_CFR_Ԁpart641). R    XE.` hp x (#X(#E II.  PROGRAMPROCEDURES  P    XE.` hp x (#X(#EToallotprogramfundsforuseineachState,theDepartmentofLabor(DOL)utilizesastatutory   formulabasedonthenumberofpersonsaged55andover,percapitaincome,andholdharmless   considerations.Programgrantsareawardedtoeligibleapplicants,whichincludeStates,U.S. z  Territories,andpublicandprivatenonprofitentitiesotherthanpoliticalparties(Section506of `  theAct).Therelativeamountoffundingforeachtypeofeligibleapplicanthashistorically F  occurredatproportionsof22percenttoStateagenciesand78percentto10nationalsponsors. ,| Theoneyeargrantperiodmaybeextendedthroughagrantmodification.Theprogramyearis b July1toJune30. H   XE.` hp x (#X(#E III.  COMPLIANCEREQUIREMENTS     XE.` hp x (#X(#E IndevelopingtheauditprocedurestotestcompliancewiththerequirementsforaFederal T program,theauditorshouldfirstlooktoPart2,MatrixofComplianceRequirements,to : identifywhichofthe14typesofcompliancerequirementsdescribedinPart3are  p applicableandthenlooktoParts3and4forthedetailsoftherequirements.  V  A.  ActivitiesAllowedorUnallowed     E.` ` hp x (#X(#E1. ` Allowableactivitiesinclude,butarenotlimitedto:outreach,orientation, b  assessment,counseling,classroomtraining,jobdevelopment,communityservice H! assignments,paymentofwagesandfringebenefits,training,supportiveservices, ."~ andplacementinunsubsidizedemployment. #d 2. ` Lobbyingandbuildingrepairsandacquisitioncosts,exceptfor(1)laborinvolved $  intheminorandnecessaryremodelingofpublicfacilitiesforthebenefitofthe %  projectand/orcommunityand(2)theminorrehabilitationorrepairofhousesof &! lowincomepersonsbyenrollees,arespecificallyprohibited(20_CFR_Ԁsection t'"  641.403). Z(# _  B+ ` hp x (#` X(#B&   E.  Eligibility     E.` ` hp x (#X(#E 1. ` EligibilityforIndividuals  ^  Persons55yearsorolderwhosefamilyislowincome(i.e.,incomedoesnot  \ exceedthelowincomestandardsdefinedin20CFRsection641.102)areeligible B forenrollment(20CFRsection641.305(b)).Lowincomeunder20CFRsection  ( 641.102meansanincomeofthefamilywhich,duringtheprecedingsixmonths   onanannualizedbasisortheactualincomeduringthepreceding12months,   whicheverismorebeneficialtotheapplicant,isnotmorethan125percentofthe   povertylevelsestablishedandperiodicallyupdatedbytheU.S.Departmentof p  HealthandHumanServices.(Thepovertyguidelinesareissuedeachyearinthe V  FederalRegisterandtheDepartmentofHealthandHumanServicesmaintainsa <  pageontheInternetwhichprovidesthepovertyguidelines "r  (4qgr O  5  +  http://www.aspe.hhs.gov/p%nT% r overty/index.shtml+r |  6& : pri  7inh ).Inaddition,anindividualwho X  receives,orisamemberorafamilywhichreceives,regularcashwelfare >  paymentsshallbedeemedtohavealowincomeforpurposesofthispart. $ Enrolleeeligibilityisredeterminedonanannualbasis(20CFRsection   641.305(e)(1)).'_    2. ` EligibilityforGroupofIndividualsorAreaofServiceDelivery 󀄀Not N Applicable 4  3. ` EligibilityforSubrecipients 󀄀NotApplicable 2  XE.` hp x (#` X(#E G.  Matching,LevelofEffort,Earmarking    XE.` ` hp x (#X(#E 1. ` Matching  >  Thegranteemustcontributematching,incashorinkind,notlessthan10percent < ofthetotalcostoftheproject,exceptthattheFederalGovernmentmaypayall " costsofanyprojectwhichis:    E. ` hp x (#` X(#Ea. Anemergencyordisasterproject; f! b. Aprojectlocatedinaneconomicallydepressedareaasdeterminedbythe #d SecretaryofLaborinconsultationwiththeSecretaryofCommerceand #J theDirectoroftheOfficeofCommunityServicesoftheDepartmentof $0  HealthandHumanServices; %! c. Aprojectwhichisexemptbylaw;or t'" d. AprojectservinganIndianreservationthatcandemonstrateitcannot ")r$ provideadequatenonFederalresources(20CFRsection641.407). *X%   E.` ` hp x (# X(#E 2.1 ` LevelofEffort 󀄀MaintenanceofEffort󀄀Not_Applicable +'! & ,  2.2 ` LevelofEffort 󀄀SupplementNotSupplant   Employmentofanenrolleeshallbeonlyinadditiontobudgetedemployment ^ whichwouldotherwisebefundedbythegrantee,_subgrantee_(s),orhost D agency(_ies_)withoutassistancefromtheAct,andshallnotresultinemployee *z displacement(includingpersonsinlayoffstatus)orsubstituteprojectjobsfor  ` contractedworkorotherFederaljobs(20_CFR_Ԁsection641.325).',  F  & z 3. ` Earmarking     TheamountofFederalfundsexpendedforenrolleewagesandfringebenefits R  shallbenolessthan75percentofthegrant(20_CFR_Ԁsection641.405(b)(2)).'z  8  TheamountofFederalfundsexpendedforthecostsofadministrationduringthe 6  programyearshallbenomorethan13.5percentofthegrant(20_CFR_Ԁsection   641.405).Awaiverofthisrequirementtoincreaseadministrativeexpendituresto   15percentmaybegrantedbytheSecretary(20_CFR_Ԁsection641.405(b)(1)).    B+ ` hp x (#` X(#B& B L.  Reporting  F    E.` ` hp x (#X(#E 1. ` FinancialReporting  D  E. ` hp x (#` X(#Ea. SF269,FinancialStatusReport󀄀Applicable'BF  b. SF270,RequestforAdvanceorReimbursement󀄀NotApplicable P c. SF271,OutlayReportandRequestforReimbursementforConstruction N Programs󀄀NotApplicable 4 d. SF272,FederalCashTransactionsReport󀄀Paymentsunderthisprogram  aremadebytheDepartmentofHealthandHumanServices,Payment x ManagementSystem(PMS).ReportingequivalenttotheSF272is ^ accomplishedthroughPMSandisevidencedbythe_PSC_Ԁ272seriesof D  reports. *!z   X?( ` hp x (# X(#? 2. ` PerformanceReporting 󀄀NotApplicable "(  3. ` SpecialReporting 󀄀NotApplicable $  X3p x (#` X(#3  4&! sotp  DEPARTMENTOFLABOR     B( hp x (#X(#B _CFDA_Ԁ17.245 TRADEADJUSTMENTASSISTANCEWORKERS  ^ E+ ` hp x (# X(#E I.  PROGRAMOBJECTIVES   \ E.` hp x (#X(#EThepurposeoftheTradeAdjustmentAssistance(_TAA_)andNorthAmericanFreeTrade   AgreementTransitionalAdjustmentAssistance(_NAFTA_Ԅ_TAA_)programsistoassistindividuals   whobecomeunemployedorunderemployedasaresultofincreasedimports(or,under_NAFTA_Ԅ   _TAA_Ԁprogram,ashiftofproductiontoMexicoorCanada)toreturntosuitableemployment.The l  TradeAdjustmentAssistanceReformActof2002(_TAA_ԀReformAct),apartoftheTradeActof R  2002(Pub.L.107210),wasenactedAugust6,2002.The_TAA_ԀReformActrepealedthe 8  _NAFTA_Ԅ_TAA_Ԁprogramandcreatedareformed_TAA_Ԁprogram.Theobjectiveofthereformed n  _TAA_Ԁprogramistoassistindividualswhobecomeunemployedorunderemployedasadirector T  indirectresultofincreasedimportsorashiftinproductiontocertainforeigncountriestoreturn :  tosuitableemployment.    II.  PROGRAMPROCEDURES  ~  FundsareprovidedtoStateWorkforceAgencies(_SWAs_)toserveasagentsoftheU.S. ,| DepartmentofLabor(DOL)foradministeringtheworkeradjustmentassistancebenefit b provisionsofthe_TAA_ԀReformAct._SWAs_ԀarealsoreferredtoasStateEmploymentSecurity H Agencies(_SESAs_).Fundsareawardedforthecostsoftraining,jobsearch,relocation,and . administrativecosts.  ThroughtheirOneStopCareerCentersandotherlocaloffices,_SWAs_Ԁarrangefortrainingand r provideweeklytradereadjustmentallowances(_TRA_)foreligibleprogramparticipants.In X addition,eligibleindividualsmayreceive(1)ajobsearchallowance,(2)arelocationallowance, > and(3)atransportationand/orsubsistenceallowanceforthepurposeofattendingapproved $t trainingoutsidethenormalcommutingdistanceoftheirregularplaceofresidence(20_CFR_Ԁpart  Z 617). @ Mostnewprovisionsofthe_TAA_ԀReformActaretobeimplementedwithin90daysofthe   signing,orbyNovember4,2002.Workerscertifiedunder_TAA_Ԁor_NAFTA_Ԅ_TAA_Ԁpetitionsfiled ! priortoNovember4,2002,willcontinuetobeservedundertheprogramregulationsasthey j" wereineffectbeforeNovember4._SWAs_Ԁwillcontinuetofollowtheprogramprocedureslisted P# abovewhenservingworkersunderthereformed_TAA_Ԁprogram,andadditionallyserveasagents 6$ ofDOLforidentifyingpotentiallyeligibleparticipantsandassistingthemtoapplyforthehealth %l  insurancetaxcreditprovisionsofthe_TAA_ԀReformAct. &R!  SourceofGoverningRequirements  '#  ThisprogramisauthorizedbytheTradeActof1974,asamendedbythe_TAA_ԀReformAct(Pub. ^)$! L.107210(19_USC_Ԁ2271etseq.)Implementingregulationsare29_CFR_Ԁpart90,subpartBand D*%"  part617. *+z&# & z  AvailabilityofOtherProgramInformation   Additionalinformationon_TAA_,_NAFTA_Ԅ_TAA_,andreformed_TAA_Ԁprogramproceduresmaybe ^ obtainedthroughtheagencywebsiteat4uinPO  5  +  http://www.%r % v %v6% w doleta.gov/tradeact+6mep  6E6Y6Reim  7 6.'z4 D  III.  COMPLIANCEREQUIREMENTS  B  IndevelopingtheauditprocedurestotestcompliancewiththerequirementsforaFederal   program,theauditorshouldfirstlooktoPart2,MatrixofComplianceRequirements,to   identifywhichofthe14typesofcompliancerequirementsdescribedinPart3are l  applicableandthenlooktoParts3and4forthedetailsoftherequirements.  R  B+ ` hp x (#X(#B A.  ActivitiesAllowedorUnallowed P   XE.` hp x (#X(#E Thefollowingrequirementsapplyto_TAA_,_NAFTA_Ԅ_TAA_,andReformed_TAA_.   1. ` ActivitiesAllowed \   XE.` ` hp x (#X(#EAllowableactivitiesincludejobsearch,relocationassistance,training(including  Z  paymentsfortransportationandsubsistencewhererequiredfortraining),and @  paymentofweeklybenefitstoeligibleparticipants(20_CFR_Ԁsections617.10 &  through.19).    XE.` hp x (#` X(#E2. ` ActivitiesUnallowed j  XE.` ` hp x (#X(#EFundsmustnotbeusedto: h   E. ` hp x (#` X(#Ea. Payfortesting,counseling,andjobplacementservices;however,_TAA_  participantsmaybereceivingtheseservicesthroughotherprograms(20  _CFR_Ԁpart617).  b. Assistanyeligibleindividualandsuchindividualsqualifyingfamily @ membersinenrollinginqualifiedhealthinsurance((Section203(b)of & v Pub.L.107210,116Stat963,August6,2002;29_USC_Ԁ2918(f)).  !\   E.` hp x (# X(#E E.  Eligibility  "    E.` ` hp x (#X(#E 1. ` EligibilityforIndividuals  h$  E. ` hp x (#` X(#Ea.  DepartmentofLaborCertificationandQualifyingSeparations &f!  ` E.` hp x (# X(#E(1)  _TAA_Ԁand_NAFTA_Ԅ_TAA_󀄀Inordertobeeligiblefortrainingand '# otherreemploymentservices,anindividualmustmeetallofthe (# following: )$   ` E.h` hp x (#X(#E(a) h BeanadverselyaffectedworkercoveredunderaDOL >+& certificationforwhichthepetitionwasfiledbefore $,t' November4,2002.  -Z( (b) h Haveaqualifyingseparationwhichoccurred(_i_)onorafter  theimpactdatespecifiedinthecertificationasthe  beginningoftheimportcausedunemploymentor | underemploymentand(ii)beforetheexpirationofthetwo b yearperiodbeginningonthedateonwhichtheSecretaryof H Laborissuedthecertificationforhisorhergroupor,if . ~ earlier,beforetheterminationdate,ifany,specifiedinthe  d certification(Section123(c)(2)ofPub.L.107210,116  J Stat944,August6,2002;19_USC_Ԁ2331note;29_CFR_  0 section90.16).     ` E.` hp x (#hX(#E(2)  Reformed_TAA_󀄀Inordertobeeligiblefortrainingandother t  _reemployment_Ԁservicesunderthereformed_TAA_Ԁprogram,an Z  individualmustmeetallofthefollowing: @    ` E.h` hp x (#X(#E(a) h BeanadverselyaffectedworkercoveredunderaDOL >  certificationforwhichthepetitionwasfiledonorafter $ November4,2002,asindicatedbyapetitionnumberof   TAW50,000orabove.  (b) h Haveaqualifyingseparationwhichoccurred(_i_)onorafter N theimpactdatespecifiedinthecertificationasthe 4 beginningoftheimportcausedunemploymentor j underemploymentand(ii)beforetheexpirationofthetwo P yearperiodbeginningonthedateonwhichtheSecretaryof 6 Laborissuedthecertificationforhisorhergroupor,if  earlier,beforetheterminationdate,ifany,specifiedinthe  certification(Section123(c)(1)ofPub.L.107210,116  Stat944,August6,2002;19_USC_Ԁ2331note).(Section ~ 113ofPub.L.107210,116Stat937,August6,2002;19 d _USC_Ԁ2272;29_CFR_Ԁsection90.16) .  J   E. ` hp x (#hX(#Eb.  QualifyingWages,DurationofEmployment,andTraining   H  ` E.` hp x (# X(#E (1)  _TAA_󀄀Tobeeligibleforweekly_TRA_Ԁpayments,theworkermust: " (a)havebeenemployedatwagesof$30ormoreperweekin # adverselyaffectedemploymentwithasinglefirmorsubdivision r$ ofafirmforatleast26oftheprevious52weeksendingwiththe X%  weekoftheindividualsqualifyingseparation(uptosevenweeks >&!! ofemployerauthorizedleave,uptosevenweeksasafulltime $'t"" representativeofalabororganization,orupto26weeksof  (Z## disabilitycompensationmaybecountedasqualifyingweeksof (@$$ employment);(b)haveexhaustedallUnemployment )&%% Compensationtowhichheorsheisentitled;and(c)beenrolledin * && orhavecompletedanapprovedjobtrainingprogram,unlessa +&'  waiverfromthetrainingrequirementhasbeenissuedaftera ,'( determinationismadethattrainingisnotfeasibleorappropriate  (20_CFR_Ԁsection617.11).   (2)  _NAFTA_Ԅ_TAA_󀄀Tobeeligibleforweekly_TRA_Ԁpaymentsunderthe D _NAFTA_Ԅ_TAA_Ԁprogram,workersmustmeetalltherequirements *z fortheregular_TAA_Ԁprogram.Inaddition,workersmustbe  ` enrolledintheirapprovedtrainingwithinsixweeksoftheissuance  F oftheCertificationorwithin16weeksoftheirmostrecent  , qualifyingseparation,whicheverislater.Waiversfromtraining   arenotauthorizedunderthe_NAFTA_Ԅ_TAA_Ԁprogram(Pub.L.103   182,section250(d)(3)(B)).    (3)  Reformed_TAA_ԀTobeeligibleforweekly_TRA_Ԁpaymentsunder <  thereformed_TAA_Ԁprogram,workersmustmeetallthe "r  requirementsfortheregular_TAA_Ԁprogram.Inaddition,workers X  mustbeenrolledintheirapprovedtrainingwithineightweeksof >  theissuanceofthecertificationorwithin16weeksoftheirmost $ recentqualifyingseparation,whicheverislater,unlessthis   requirementiswaived(Section114(b)and115(c)ofPub.L.107  210,116Stat.939;19_USC_Ԁ2291(a)(5)(A)and(c)).   ` E. ` hp x (#X(#Ec.  MaximumCombinedNumberofWeeksforReceiptofUC,_EB_Ԁand_TRA_  4  ` E.` hp x (# X(#E (1)  _TAA_Ԁand_NAFTA_Ԅ_TAA_󀄀_TRA_Ԁbecomespayabletoeligible 2 claimantsonlyaftertheyhaveexhaustedtheirentitlementto  regularunemploymentcompensationbenefits(UC),including  extendedbenefits(_EB_),ifapplicable.Themaximumcombined  numberofweeksforreceiptofUC,_EB_,and_TRA_Ԁcannotexceed z 52weeks,exceptthatupto26additionalweeksof_TRA_Ԁmaybe ` paidtoprogramparticipantsenrolledinapprovedtraining F (20_CFR_ԁsections617.14and617.15). ,| (2)  Reformed_TAA_󀄀_TRA_Ԁbecomespayabletoeligibleclaimantsonly  * aftertheyhaveexhaustedtheirentitlementtoregular ! unemploymentcompensationbenefits(UC),includingextended " benefits(_EB_),ifapplicable.Themaximumcombinednumberof # weeksforreceiptofUC,_EB_,and_TRA_Ԁcannotexceed52weeks, r$ exceptthatupto52additionalweeksof_TRA_Ԁmaybepaidto X%  programparticipantsenrolledinapprovedtrainingandan >&!! additional26weeksmaybepaidtoprogramparticipantsenrolled $'t"" inremedialtraining(20_CFR_Ԁsections617.14and617.15;Pub.L.  (Z##  107210,section116(a)). (@$$  ` E. ` hp x (#X(#E&   d. MaximumNumberofWeeksforReceiptofApprovedTraining   _TAA_Ԁand_NAFTA_Ԅ_TAA_ԀThemaximumdurationforany_approvable_ ^ trainingprogramis104weeks,andnoindividualshallbeentitledtomore D thanonetrainingprogramunderasingleCertification(20_CFR_Ԁsection *z 617.22(f)(2)).  `   E.` ` hp x (# X(#E 2. ` EligibilityforGroupofIndividualsorAreaofServiceDelivery 󀄀Not   Applicable' f    3. ` Eligibilityfor_Subrecipients_ 󀄀NotApplicable R   XE.` hp x (#` X(#E&  H.  PeriodofAvailabilityofFederalFunds  P   Thefollowingrequirementappliesto_TAA_,_NAFTA_Ԅ_TAA_,andReformed_TAA_.   FundsallottedtoaStateforanyfiscalyearareavailableforexpenditurebytheState \  duringtheyearofawardandthetwosucceedingfiscalyears(Section130ofPub.L.107 B  210,116Stat.942;19_USC_Ԁ2317).'/j (x   XB+ ` hp x (#X(#B L.  Reporting  &   XE.` hp x (#X(#EThefollowingrequirementsapplyto_TAA_,_NAFTA_Ԅ_TAA_,andReformed_TAA_.    XE.` ` hp x (#X(#E 1. ` FinancialReporting  2  E. ` hp x (#` X(#Ea. SF269,FinancialStatusReport󀄀NotApplicable 0 b. SF270,RequestforAdvanceorReimbursement󀄀NotApplicable  c. SF271,OutlayReportandRequestforReimbursementforConstruction < Programs󀄀NotApplicable "r d. SF272,FederalCashTransactionsReport󀄀Dataequivalenttothat   whichisrequiredontheSF272issubmittedelectronicallybythe ! recipient.A_PSC_Ԁ272E,MajorProgramStatement,isissuedbythe " DepartmentofHealthandHumanServices,DivisionofPayment # Managementasconfirmationofwhatwaselectronicallysubmittedtothe h$ FederalgovernmentfortheSF272. N%  e. ETA9023,TradeAdjustmentAssistance,FinancialStatusReport/Request