UIPL 10-26.pdf

EMPLOYMENT AND TRAINING ADMINISTRATION

ADVISORY SYSTEM

U.S. DEPARTMENT OF LABOR

Washington, D.C. 20210

CCLASSIFICATION

Unemployment Insurance

CCORRESPONDENCE SYMBOL

OUI/DPM

DDATE

RESCISSIONS

None

EXPIRATION DATE

Continuing

ADVISORY:

TO:

UNEMPLOYMENT INSURANCE PROGRAM LETTER NO.

STATE WORKFORCE AGENCIES

FROM: HENRY MACK, ED.D.

Assistant Secretary

SUBJECT: Announcement of Enhancements to Identity Verification Services and Funding Opportunity to Support State Costs Associated with Participation in Such Services

1. Purpose. To advise states that the U.S. Department of Labor (Department) is enhancing its identity (ID) verification services offering 1 via the U.S. General Services Administration’s (GSA) Login.gov and to announce a new funding opportunity to support state-incurred expenses related to participation in these ID verification services.

Previous communications referred to this original offering as the National Identity Verification Offering (NIDVO).

Going forward, the Department will more generally refer to it as “ID verification services.”

2. Action Requested. The Department’s Employment and Training Administration (ETA) requests that State Workforce Agency Administrators provide the information in this UIPL to appropriate program staff.

States that have previously expressed interest by signing a Data Sharing Agreement (DSA) are identified in one of two groups in Attachment I to this UIPL.

o Group 1. These states signed a DSA on or before June 28, 2024. Group 1 states (25 states) have the opportunity to onboard to the Department’s enhanced ID verification services offering but must do so no later than September 30, 2026.

o Group 2. These states are already utilizing the Department’s previous offering.

ETA will work with each of these states (22 states) to develop a state-specific plan and timeline for transitioning to the enhanced offering. ETA anticipates announcing the deadline for this transition in future guidance.

Funding. States in Group 1 and Group 2 that anticipate needing additional financial support to pay state-specific costs incurred related to participation in this offering should review the funding opportunity announcement in Section 4.d of this UIPL and submit the grant application materials described in Section 4 to https://www.grants.gov/ no later than April 30, 2026, by 11:59 pm Eastern Standard Time.

3. Summary and Background.

a. Summary – ETA is changing its current capabilities to provide states with access to enhanced digital ID verification services through GSA’s Login.gov. States in Group 1 (i.e., states that signed a DSA but not yet onboarded to the service), must complete the process for deploying the enhanced ID verification services offering by September 30, 2026, to be eligible for participation. ETA will work with Group 2 states (i.e., states that are already participating in the ID verification services offering) to identify a timeline to transition to this enhanced service.

As described in Section 4.b. of this UIPL, the Department will continue to pay transaction costs for a period of at least two years after the date the state deploys the Department’s enhanced ID verification services offering, or two years after the publication of this UIPL, whichever is later, and subject to the availability of funding and all applicable agreements being executed.

This UIPL supersedes the prior deployment deadline for ID verification services and the period of time that funding will be available to pay transaction costs, which were first established in UIPL No. 11-23, Change 1, and UIPL No. 11-23, Change 2.

Section 4.d of this UIPL describes a funding opportunity to support state-incurred expenses related to participation in these ID verification services.2 States must submit grant applications in accordance with the instructions under Section 4.e. of this UIPL no later than April 30, 2026, by 11:59 pm Eastern Standard Time.

This offering is funded by an appropriation under ARPA (Pub. L. 117-2), which was enacted on March 11, 2021, and included a $2,000,000,000 appropriation to the Secretary of Labor (Secretary) to, among other things, detect and prevent fraud. The Fiscal Responsibility Act (FRA) (Pub. L. 118-5), signed into law on June 3, 2023, rescinded $1,000,000,000 of the unobligated ARPA funds.

b. Background – ETA is committed to reducing fraud, waste, and abuse across the nation’s workforce programs and UI system, which includes ensuring UI benefits are provided only to eligible workers, in a timely manner, and in a manner that supports the reemployment of UI claimants. ETA recognizes the importance of continued and strategic investment in ID verification services for states to use to ensure UI benefits are provided only to eligible individuals.

On July 13, 2023, the Department issued UIPL No. 11-23 announcing the opportunity for states to access government-operated ID verification services offered by GSA to verify identities online through Login.gov and to verify identities in-person at participating USPS retail locations nationwide. On April 29, 2024, the Department issued UIPL No.

11-23, Change 1, which announced that the Department would pay for transaction costs for ID verification for participating states for at least the later of: two years after the date the state deploys; or two years after the date of issuance of that UIPL, subject to the availability of funding and all applicable agreements being executed. UIPL No. 11-23, Change 1, also required a state to enter into a DSA with the Department by June 28, 2024, to remain eligible for the offering. On January 13, 2025, UIPL No. 11-23, Change

2, established a deadline of December 31, 2025, for remaining eligible states to implement at least one of the ID verification services offerings with the Department paying transaction costs for two years.

4.

Guidance.

a. Enhancements to ID Verification Services Offering. The Department is enhancing its

ID verification services offering by providing (1) services through Login.gov at the ID Assurance Level IAL2, and (2) the ability for individuals to select the USPS in-person proofing option as part of the Login.gov workflow, rather than as a standalone service.

i. Certified IAL2. IAL2 is designed to limit scaled and targeted attacks and to protect against basic evidence falsification, evidence theft, and social engineering tactics.3 IAL2 requires collection of additional evidence and provides a more rigorous process for validating that evidence and verifying the ID. The Login.gov IAL2-compliant process requires front-end online verification of some information about an individual before they can proceed with either of the online ID verification methods available through Login.gov or USPS in-person verification. For online Login.gov verification, an individual verifies their ID by taking a selfie, which is then compared to the photo identification provided by the individual (such as a driver’s license).

3 National Institute of Standards and Technology (NIST), https://pages.nist.gov/800-63-4.

ii.

USPS Offering within Login.gov. The USPS offering within Login.gov is a hybrid online/in-person service. An individual must first create an authentication-only Login.gov account using an email address and a password.4

Login.gov requires multi-factor authentication (MFA), such as face or touch unlock, PIV/CAC card, physical security key, authentication application, text or voice message, or backup codes, as an additional security measure.

Certain information is then verified online before the individual receives a barcode that allows them to finish the process at a participating USPS location.

iii. Individual Data Reporting No Longer Required. The Department will no longer require states to report individual-level data, as described in Section 4.c.iii. of UIPL No. 11-23, Change 2, to the Department. This change was previously announced to participating states in an email from ETA’s Office of Unemployment Insurance administrator on April 16, 2025.

iv. Non-Digital ID Verification Option. As a reminder, states are required to provide a non-digital ID verification option to all individuals who seek to apply for, receive, or maintain UI benefits and services, or who need accommodation. The enhanced ID verification system will make the in-person USPS verification option available through Login.gov, which requires some front-end online verification before an individual can select in-person verification and will no longer constitute a non-digital option. As such, participating states are required to provide a non-digital option separate from the Department’s ID verification services offering.

Additionally, when a state is requiring the completion of ID verification, the state must provide information to individuals outlining each of the different ID verification processes, including both digital and non-digital methods offered by the state and the steps required to complete each process.

b. Deploying ID Verification Services. This guidance supersedes the deployment deadline for ID verification services and the timing of the two year period during which funding will be available to pay transaction costs, which were first established in UIPL No. 11-23, Change 1, and UIPL No. 11-23, Change 2. The Department will continue to pay transaction costs for a period of at least two years after the date the state deploys the Department’s enhanced ID verification services offering, or two years after the publication of this Unemployment Insurance Program Letter (UIPL), whichever is later, and subject to the availability of funding and all applicable agreements being executed.

i. Group 1. Effective with the publication of this guidance, states that signed a DSA on or before June 28, 2024, and choose to onboard, must do so by September 30, 2026.

These states will be onboarded to the enhanced ID verification services offering that is described in Section 4.a. of this UIPL.

As a reminder, before the state can implement ID verification services, the following process must be completed in sequential order (with an estimated duration of 8–10 weeks from start to finish). Additionally, if the previously signed DSA is expired, the state will be asked to sign a new DSA and then will need to sign a new Partnership Addendum (PA).

1) Policy Review (PR): ETA assesses whether the state is following the requisite due process requirements for the ID verification based on the state’s answer to the Policy Review questions. (Duration: Estimated 14 calendar days)

2) Partnership Addendum (PA): The state and ETA execute a PA to the DSA, which sets out the specific requirements, terms, and obligations of the participating state and ETA for participation in the ID verification services offering. (Duration:

Estimated 14 calendar days)

3) Technical Implementation: The state works with the Department’s Office of the Chief Information Officer to conduct the necessary information technology implementation activities, including development of a web page to refer individuals to the service. (Duration: Estimated 4–6 weeks)

ii. Group 2. ETA will work with states that are already utilizing the Department’s previous offering to develop a state-specific plan for transitioning to the enhanced offering. The Department will work with each state to identify an appropriate timeline for this transition, and anticipates announcing a deadline for completion of the transition in future guidance. Additionally, if the previously signed DSA is expired, the state will be asked to sign a new DSA and then will need to sign a new PA.

c. Participation Guidelines. For purposes of transparency, ETA is highlighting certain elements from the PA in this UIPL; this list does not reflect all content included in the

PA.

i. Ensuring Appropriate Internal Controls are in Place. If the state elects to participate in the enhanced ID verification services offering so that an individual will directly enter their identity information into the Department-hosted system rather than having such information transferred from the state’s records, the state must agree to crossmatch ID information received from the ID verification services against the state’s identity information and investigate discrepancies where appropriate. ETA has added this requirement to the PA template detailed in Section 4.b. above.

ii. Two-Year Renewal Cycle. The Department is continuing to transition from annual renewals to a two-year DSA and PA renewal cycle to reduce the administrative burden on both the Department and the states.

iii. Importance of Communication and Partnership during ID Verification Services Offering Participation. As the process by which ID verification services are conducted within the UI program continues to evolve and change, it is critical for states to openly communicate and provide robust feedback to the Department on their participation experience. It is essential that states work in partnership with the Department to address issues and share information regarding fraud to further strengthen the offering as fraud activity continually evolves. This partnership and process is memorialized in the PA.

iv. Partnership Addendum Update. As described in UIPL No. 11-23, Change 2, states must provide due process rights for all individuals, including individuals who verify their identity through the ID verification services offering. ETA has added the following language to the PA:

If the Department or state UI agency identifies any ID verification compliance issues related to participation in the ID verification services offering before, during, or after the implementation of Login.gov, the state will:

a) Work in partnership with ETA to identify options to become compliant;

b) Meet identity verification compliance standards described in relevant guidance within 12 months of this executed Addendum or on a timeline agreed upon between the ETA and the state; and

c) Maintain an open line of communication with ETA regarding potential barriers to becoming compliant and/or challenges encountered/positive practices implemented in the process of or as a result of becoming compliant.

ETA also added the following language to the PA regarding ETA’s roles and responsibilities:

a. Notify the state UI Agency of any compliance issues identified related to participation in the ID verification services offering, including sufficient detail documenting the issue(s); and

b. Serve as a strategic partner and collaborator in ensuring the state UI agency takes the necessary actions to meet such compliance requirements.

d. Funding Opportunity for State-Specific Costs. Recognizing that states may incur participation expenses beyond the transaction costs paid by the Department, ETA is offering grants of up to $400,000 to states in Group 1 and Group 2 to support participation in the enhanced ID verification services offering. Attachment I lists states in each group.

i. Allowable Uses. States must use the funds made available under this UIPL to implement the enhanced ID verification services offering using Login.gov described in this announcement.

The permissible uses for these funds include staff and technical costs to implement, enhance, and continue participation in the Department’s enhanced ID verification services offering.

e. Application Instructions. The state must complete the grant application as described below.

i. Condition of Receiving Grant Funds. By submitting the application, the state must agree to the following conditions:

a. Disclosure to the Department’s Office of Inspector General (DOL-OIG). The state will disclose confidential unemployment compensation (UC) information to DOL-OIG. As discussed in UIPL No. 04-17, Change 1, states must refer allegations that they reasonably believe constitute UC fraud, waste, abuse, mismanagement, or misconduct to the DOL-OIG. As a condition of receiving a grant under this subsection, the state agrees to provide all confidential UC information to DOL-OIG for purposes of investigating fraud and performing audits through weeks of unemployment ending on or before the end of the period of performance (to include any extension of the grant) as described in this UIPL.

b. The completed grant application and all supporting materials must be submitted through https://www.grants.gov/. The full application packet must include:

1. A completed SF-424;

2. A completed SF-424A;

a. If indirect cost is indicated on the SF-424A, then a Negotiated Indirect Cost Rate Agreement (NICRA) is required;

3. A completed Full Project Plan (a template is provided in Attachment II of this UIPL); and

4. A budget narrative (a summary of what should be included is outlined in Attachment IV of this UIPL).

f. Period of Performance. Funds under this UIPL will have a 36-month period of performance which begins on January 1, 2026, and ends December 31, 2028. Grant funds may only be used for the costs of allowable activities incurred no earlier than the beginning of the calendar quarter preceding the calendar quarter of the award issuance.

g. Review and Selection Process. For the discretionary grant awards funded under this UIPL, prior to issuance, and annually thereafter, awards will be subject to review by one or more senior appointees of the Department, or their designees, according to the process described in Executive Order 14332, “Improving Oversight of Federal Grantmaking.”

h. Reporting Requirements. As a requirement of a grant awarded under this UIPL, states must submit the following quarterly reports:

i. ETA 9178-ARPA – a quarterly narrative progress report containing updates on the process of implementing the enhanced ID verification services detailed by each allowable activity. The form ETA 9178-ARPA is provided as Attachment V to this

UIPL. 5

5 OMB Approval. Section 2116(a) of the CARES Act, 5 U.S.C. 9032(a), states that “Chapter 35 of Title 44, United States Code, (commonly referred to as the ‘Paperwork Reduction Act of 1995’) shall not apply to the provisions of, and the amendments made by, this subtitle.” As the OMB approval process is waived for these reporting instructions, these instructions should be considered final.

ii. ETA 9130 (OMB Control No. 1205-0461 Expiration Date: 07/31/2028) – a quarterly financial report.

i. OMB Information Collection Statement. In general, under the Paperwork Reduction Act of 1995 (PRA), no person is required to respond to a collection of information unless such collection displays a valid OMB control number. However, Section 2116 of the CARES Act provides that the PRA does not apply to Subtitle A of Title II of Division A of the CARES Act. ARPA amended Subtitle A of Title II of Division A of the CARES Act by adding Section 2118, which provides funding and authority for these grants to states. Thus, the PRA does not apply to information collections required for these grants.

5. Inquiries. Please direct inquiries to the appropriate ETA Regional Office.

6. References.

Division B, Title I, Section 24, of the Fiscal Responsibility Act of 2023 (Pub. L. 118-5);

American Rescue Plan Act of 2021 (ARPA), including Title IX, Subtitle A, Crisis Support for Unemployed Workers (Pub. L. 117-2);

Executive Order 14332, “Improving Oversight of Federal Grantmaking,” issued August 7, 2025, https://www.federalregister.gov/documents/2025/08/12/2025-15344/improving-oversight-of-federal-grantmaking;

UIPL No. 11-23, Change 2, National Identity (ID) Verification Offering (NIDVO) – Announcing a Deadline to Implement NIDVO Services and Providing Additional Participation Instructions, issued January 13, 2025, https://www.dol.gov/agencies/eta/advisories/uipl-11-23-change-2;

UIPL No. 11-23, Change 1, Announcing an Extension of Period of Time that Funding will be Available to Cover Transaction Costs and Announcing the Establishment of a Deadline for States to Enter into Data Sharing Agreements (DSAs) for the National Identity Verification Offering (NIDVO) Established in Unemployment Insurance Program Letter (UIPL) No. 11-23, issued April 29, 2024, https://www.dol.gov/agencies/eta/advisories/uipl-11-23-change-1;

UIPL No. 11-23, Announcement of Grant Opportunities and National Identity (ID) Verification Offering under the American Rescue Plan Act (ARPA), issued July 13, 2023, https://www.dol.gov/agencies/eta/advisories/uipl-11-23;

UIPL No. 04-17, Change 1, Requirement for States to Refer Allegations of Unemployment Compensation (UC) Fraud, Waste, Abuse, Mismanagement, or Misconduct to the Department of Labor’s (Department) Office of Inspector General’s (DOL-OIG) and to Disclose Information Related to the Coronavirus Aid, Relief, and Economic Security (CARES) Act to DOL-OIG for Purposes of UC Fraud Investigation and Audits, issued August 3, 2021, https://www.dol.gov/agencies/eta/advisories/unemployment-insurance-program-letter-no-04-17-change-1; and NIST SP 800-63, Digital Identity Guidelines, https://pages.nist.gov/800-63-4/.

7. Attachment(s).

Attachment I – States in Group 1 and Group 2.

Attachment II – Identity Verification Services – Full Project Plan Template.

Attachment III – Instructions for completing the SF-424 and SF-424a.

Attachment IV – Budget Information Narrative.

Attachment V – ETA 9178 ARPA.

Attachment I

I-1

States in Group 1 and Group 2

Funding Amount: Up to $400,000 per state, as described in Section 4.d. of this UIPL.

Group 1

Alabama Arizona California Delaware District of Columbia

Georgia Illinois Iowa Kentucky Louisiana

Michigan Missouri Montana Nevada New Jersey

New York Pennsylvania Puerto Rico Rhode Island South Dakota

Tennessee US Virgin Island Vermont Washington Wyoming

Total # of States 25 Sub-Total $ Amount Available $10,000,000

Group 1 states are those that had an active Data Sharing Agreement on or prior to the June 28, 2024, deadline. Group 1 states now have the opportunity to implement the enhanced Identity (ID) verification services offering but must do so no later than September 30, 2026.

Group 2

Alaska Arkansas Colorado Connecticut Hawaii

Indiana Kansas Maine Maryland Massachusetts

Nebraska New Hampshire New Mexico North Carolina Ohio

Oklahoma Oregon South Carolina Texas Utah

West Virginia Wisconsin

Total # of States 22 Sub-Total $ Amount Available $8,800,000

Group 2 states have been utilizing NIDVO and will need to transition to the enhanced ID verification services offering with Login.gov. ETA will work with each of these states to develop a state-specific timeline for this change.

Attachment II

II-1

Identity Verification Services – Full Project Plan Template

Instructions: States must complete the application using the suggested format and instructions below for the projects/activities for which the state is seeking funding.

This application is to be combined with a completed SF-424, a SF-424A, and Budget Narrative covering all projects/activities (see Section 4.e of this UIPL).

Grant funding for Identity (ID) Verification Services Offering with Login.gov

State Name:

Total Funds Requested:

Name, Title, and Address of Grant Notification Contact (Typically the State Workforce Agency Administrator) Name:

Title:

Address:

Name, E-Mail Address, and Phone Number of Grant Project or Fiscal Manager Name:

E-Mail Address:

Telephone Number:

Provide the following information for the project (add additional rows as needed) Individual Workload Project/Activity Name

Total Cost of Workload Project/Activity

Proposed Completion Date

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Name of Funding Activity or Activities

Amount of Funding Request for the Activity or Each Activity

State Contact

Name:

E-Mail Address:

Telephone Number:

Description of Activity or Activities

Project Timeline for Each Activity

Description of Costs:

State Agency Staff Costs:

Type of Position Total Hours Cost Per Hour Total

Contract Staff Costs:

Type of Position Total Hours Cost Per Hour Total

Hardware, Software and Telecommunications Equipment:

Item Description Cost Per Item Quantity Total

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Other Costs:

Item Cost Explanation

Application Instructions

Name of Funding Activity or Activities: Provide the name of the proposed project/activity to be carried out.

Amount of Funding Requested for the Activity or Each Activity: Provide the total amount of funds requested in this individual project/activity.

State Contact: Provide name, telephone number, and e-mail address of the individual who can answer any questions relating to the proposal.

Description of Activity or Activities: Provide a brief description of the project/activity for which the state is seeking funding and explain how the project/activity will support strengthening the integrity of UC programs for the participating state.

Project Timeline for Each Activity: Provide a list of the dates and the milestones for each project/activity. The timeline should include the completion of the work, the designation of specific tasks to appropriate parties, the issuance of a request for proposal, if appropriate, the projected start date, the proposed dates to begin and complete testing (if necessary), and the proposed date for full implementation of the project/activity. These milestones and dates will be used to monitor the implementation of the project/activity.

Any additional work needed to identify and provide progress on the identified outcome metric should be included in this project/activity timeline.

Description of Costs: Provide an explanation of all costs included in the project/activity.

1. State Agency Staff Costs: Use the table format provided in this attachment to request state staff to support project/activity implementation.

2. Contract Staff Costs: Use the table format provided in this attachment to request contract staff to support project/activity implementation.

3. Hardware, Software, and Telecommunications Equipment: Provide an itemized

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list of hardware, software, and telecommunications equipment including the cost per item and the number of each item requested. A description of each item must provide any information needed to identify the specific item and a description of the size and capacity of each item if applicable.

4. Other Costs: Identify each item of cost not covered elsewhere and provide the expected cost per item. The need for each item must be explained.

Attachment III

III-1

Instructions for Completing the SF-424 and SF-424A

Application for Federal Assistance (SF-424)

Use the current version of the form for submission. Expired forms will not be accepted. SF-424, Expiration Date 03/31/2029, Office of Management and Budget (OMB) Control No. 4040-0004 (Grants.gov).

Section # 8, APPLICANT INFORMATION:

Legal Name: The legal name must match the name submitted with the System for Award Management (SAM). Please refer to instructions at https://sam.gov/SAM/.

Employer/Tax Identification Number (EIN/TIN): Input your correct 9-digit EIN and ensure that it is recorded within SAM.

Unique Entity Identifier (UEI): On April 4, 2022, the DUNS Number was replaced by the Unique Entity Identifier (UEI), or the Entity ID, a non-proprietary identifier requested in and assigned by the SAM at SAM.gov. Before submitting, a state must also ensure its registration with SAM.gov is current. (SAM replaced the Central Contractor Registry.) States can find instructions for registering with SAM at https://sam.gov/content/entity-registration. An awardee must maintain an active SAM registration with current information at all times during which it has an active Federal award or an application under consideration. To remain registered in the SAM database after the initial registration, states must review and update the registration at least every 12 months from the date of initial registration. Failure to register with SAM and maintain an active account will result in a rejection of your submission.

Address: Input your complete address including Zipcode+4; Example: 20110- 0831. For lookup, use the link at https://tools.usps.com/go/ZipLookupAction_input.

Organizational Unit: Input appropriate Department Name and Division Name, if applicable.

Name and contact information of person to be contacted on matters involving this application: Provide complete and accurate contact information including telephone number and email address for the point of contact.

Section # 9, Type of Applicant 1: Select Applicant Type: Input “State Government”

Section # 10, Name of the Federal Agency: Input “Employment and Training Administration”

Section # 11, Catalog of Federal Domestic Assistance Number: Input “17.225”;

CFDA Title: Input “Unemployment Insurance”

Section # 12, Funding Opportunity Number and Title: Input UIPL No. XX-XX.

Section # 13, Competition Identification Number: Leave Blank.

Section # 14, Areas Affected by Project: Input the place of performance for the project

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implementation; Example “NY” for New York. This should be in the form of an attached document or PDF or entered into the field manually; it cannot be blank.

Section # 15, Descriptive Title of Applicant’s Project:

Input the same UIPL number as provided in Section # 12.

Additionally, input: “State acknowledges and agrees to provide all confidential UC information to DOL-OIG for purposes of investigating fraud and performing audits through weeks of unemployment ending on or before the end of the period of performance”.

Section # 16, Congressional Districts of

a. Applicant: Input the Congressional District of your home office. For lookup, use link at www.house.gov with Zip code + 4.

b. Program/Project: Input the Congressional District where the project work is performed. If it is the same place as your home office, input the congressional district for your home office. For lookup, use link at www.house.gov with Zipcode+4.

Section # 17, Proposed Project Dates.

a. Start Date: Input a valid start date for the project.

b. End Date: Input a valid end date for the project.

Section # 18, Estimated Funding ($): Input the applicable funding allotment.

Section #s 19 – 20: Complete as per instructions for Form SF-424.

Section # 21, Authorized Representative: Please select the “I AGREE” check box and provide complete information for your authorized signatory including contact information such as telephone number and email address. If your Authorized Representative has changed from your previous application submission for this program, please include a letter from higher-level leadership authorizing the new signatory for the application submission.

Remember to have the SF-424 signed and dated by the Authorized Representative.

Budget Information - Non-Construction Programs (SF-424A)

Use the current version of the form for the submission. Expired forms will not be accepted. SF 424A, Expiration Date 06/30/2028, OMB Control No. 4040-0006 https://apply07.grants.gov/apply/forms/sample/SF424A-V1.0.pdf.

Section B – Budget Categories: Ensure that TOTALS in Section 6, Object Class Categories matches the Estimated Funding requested in the SF-424.

If indirect charges are specified in Section 6, Object Class Categories, then include either:

a) The approved indirect cost rate with a copy of the Negotiated Indirect Cost Rate Agreement (NICRA), a description of the base used to calculate indirect costs along with the amount of the base, and the total indirect costs requested;

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OR

b) For those applicant states that meet the requirements to use the 10 percent de minimis rate as described in 2 C.F.R. 200.414(f), a description of the modified total direct cost base (see 2 C.F.R. 200.1 for definition) used in the calculation along with the amount of the base, and the total indirect costs requested based on the 15 percent de minimis rate.

Attachment IV

IV-1

Instructions for Budget Information Narrative

The Budget Information Narrative must include the following information:

Each line item on the SF‐424A must list a cost and be explained. Each line item on the SF‐424A pertains to projected costs at the recipient level, except for the Contractual line item. Contractual should include costs at the project operator level.

The total for each line item on the Budget Information Narrative must match the total for each line item on the SF‐424A.

If a grant modification requests realignments within the budget, the narrative must address the reason for the change in each affected line item.

1. Personnel – List all staff positions by title. State the annual salary of each person, the percentage of each person’s time devoted to the project, the amount of each person’s salary funded by the grant, and the total personnel cost for the period of performance.

2. Fringe Benefits – Provide the overall fringe benefit percentage which reflects the recipient’s organizational fringe, and list the components included, such as health insurance, FICA, retirement, etc. Provide the fringe benefit calculation for each staff position listed under the Personnel line item.

3. Travel – Specify the type and purpose of the travel, the number of travelers, approximate mileage, per diem rates, estimated number of trips, and other associated travel costs.

4. Equipment – Identify each item of equipment to be purchased. Equipment has an estimated acquisition cost per unit of $10,000 or more, and a useful life of one year or more. List the quantity and unit cost per item. Items with a unit cost of less than $10,000 are classified as supplies.

5. Supplies – Supplies include all tangible personal property other than “equipment”. Identify supply categories (e.g., office supplies, cell phones, personal tools for disaster clean‐up, etc.).

List the cost associated with each category.

6. Contractual – Identify each project operator and the funding allocation made to the organization.

Provide total projected costs (NOT for each project operator but as a lump sum) for each of the following categories: Administrative Costs, Career Services, Supportive Services, Training (itemize work-based training and classroom training), and Other Costs (itemized).

7. Construction – Construction costs are not allowable costs, so this line must be left as zero.

Minor alterations to adjust an existing space for grant activities (such as a classroom alteration), which the Department does not consider construction may be allowable; such minor alteration costs must be shown on other appropriate lines such as Contractual.

Attachment IV

IV-2

8. Other – List each item in sufficient detail for the Department to determine whether the costs are reasonable or allowable. Costs included under Other should not fit into any other line-item category.

9. Indirect Charges – If charging indirect costs to the grant, this line item must be populated.

Include the current approved Negotiated Indirect Cost Rate Agreement (NICRA), signed by the Federal cognizant agency, as an attachment. Include either the approved indirect cost rate with a copy of the NICRA, a description of the base used to calculate indirect costs along with the amount of the base, and the total indirect costs requested; OR For those applicant states that meet the requirements to use the 15 percent de minimis rate as described in 2 CFR 200.414(f), a description of the modified total direct cost base (see 2 CFR 200.1 for definition) used in the calculation along with the amount of the base, and the total indirect costs requested based on the 15 percent de minimis rate.

Attachment V

V-1

Form ETA 9178-ARPA

U.S. Department of Labor (DOL) Employment and Training Administration Form ETA 9178-ARPA

OMB No. N/A1 Expiration Date: N/A

1 Refer to section 2116(a) of P.L. 116-136, the Coronavirus Aid, Relief, and Economic Security Act, March 27, 2020.

Quarterly Narrative Progress Report American Rescue Plan Act (ARPA) Grants

General Information

State Name: Grant Number: Report Quarter Ending:

Date of Submission:

Project Name: UIPL Number:

Project Contact Information Name: Agency:

Title Address:

Phone: Ext: City:

E-Mail: State: Zip Code:

Project Report

A. Summary of Project Please limit your response to 1000 characters or less.

States must use this section to provide a detailed executive summary of the project/activity/solution (project).

Each funded project will have its own separate quarterly progress report (ETA 9178-ARPA) through the quarter the project ends. States must use this section to provide a short summary of the project’s purpose. This summary should only change during the life of the grant if the state has received an approved modification. Modifications only apply to grants that require a full application.

B. Timeline for Grant Activities and Milestones or Deliverables Please limit your response to 1000 characters or less.

States must use this section to provide the timelines for and the progress in completing grant activities, key milestones, and deliverables for this quarter. A timeline must still be developed for all project activities. The timeline must provide a project flow that includes start and end dates, schedule of activities, and projected outcomes. In order to reap the most benefit from the timeline, the timeline must be updated each quarter noting the actual date of completion as each activity is accomplished. Items to incorporate in the timeline include: project goals, milestones, special events, important deadlines and deliverables.

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C. Project Implementation and Funding Status Please limit your response to 1000 characters or less.

States must use this section to provide a description of the implementation of key activities and/or project status for the current quarter. Place an ‘X’ in one of the four checkboxes provided below to provide an assessment of implementation progress. The assessment must be supported by the status narrative noting if the project is on schedule, behind schedule, ahead of schedule, or complete this quarter. Once the project is marked as complete this quarter, the state is no longer required to submit an ETA 9178-ARPA report for the project. In addition, please provide the funding status for this project for the end of the quarter, including the total project funding, total obligated, funding balance, and time remaining to expend funds/expenditure target.

State Self- Assessment:

On Schedule Behind Schedule Ahead of Schedule Complete this

Quarter

Total Project Funding Total Obligated Funding Balance Expenditure Target

D. Project Challenges, Risk Mitigation Efforts/Modification Requests, and Technical Assistance Needs

Please limit your response to 1000 characters or less.

States must use this section to summarize any significant challenges to project implementation encountered during the quarter, and describe any risk mitigation efforts or actions taken to address the identified challenges. In addition, a status update must be provided on the resolution of challenges identified in previous quarters. This section should also include any questions you have for DOL and note any identified needs for technical assistance from DOL or others. The narrative must also indicate whether the grantee is requesting a modification to any project strategies and how the modification request changes the original project proposal. If a modification has been requested, the narrative must also indicate the status of the modification request. Modifications only apply to grants that require a full application. If states have nothing to report, that should be specified.

E. Best Practices, Promising New Strategies and Success Stories Please limit your response to 1000 characters or less.

States must use this section to describe promising approaches, innovative processes, or grant success stories.

States must also describe any lessons learned and how those lessons learned will be implemented. Throughout the implementation of the project, states may discover new strategies that emerge as a result of data-driven continuous improvement. As progress is made with a new and promising strategy, or as data is gathered to support it, states must document the progress and data each quarter. If states have nothing to report, that must be specified.

F. Additional Outcome Information Please limit your response to 1000 characters or less.

This section requires states to report grant-specific outcomes not captured in other sections of the quarterly narrative progress report, including, but not limited to, outcomes measuring service delivery, outcomes measuring fraud detection and prevention, outcomes measuring backlog reduction, specific outcomes included in the grant application.

Certification Certification Name of Grantee Certifying Official:

Phone:

E-Mail Address:

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Instructions to Complete ETA 9178-ARPA

Contact Information:

This section is to provide the contact information (i.e., Name, Title, Address, etc.) for the state official who is responsible for the day-to-day operation and implementation of the project. This may be a different person tha the certifying official.

Certification:

Name of Certifying Official

Use this section to provide the name of the state official who is certifying submission of the report to the U.S. Department of Labor (Department).

Telephone Number Provide the area code and telephone number ((###) ###-####) of the authorized state official.

Email Address Provide the email address of the authorized state official.

General Instructions States receiving ARPA Grant Funds are required to submit quarterly progress reports to the Department’s Employment and Training Administration (ETA) in order to comply with the reporting and record keeping requirements of these funds. Each state recipient of funds must submit a narrative Quarterly Progress Report (QPR) containing updates on the progress and implementation of the project(s) undertaken as a result of the funding.

Report Form and Instructions The QPR provides narrative updates on the implementation of project(s) undertaken as a result of the funding and the status of each project per quarter.

Due Dates All quarterly reports are due to ETA no later than 45 days after the end of each reporting quarter. The table below shows the expected due dates for each reporting quarter.

Reporting Quarters Due Dates October 1st – December 31st February 14th

January 1st – March 31st May 15th

April 1st – June 30th August 14th

July 1ST – September 30th November 14th

Should the due date of the report fall on a Saturday, Sunday, or holiday, the report is due the previous business day.

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Submission Procedures Information contained in the quarterly report (ETA 9178-ARPA) must be submitted by email directly to the ETA Regional Office. An ETA Federal Project Officer will review and accept the report within 30 days of receipt.

OMB Approval. Section 2116(a) of the CARES Act, 5 U.S.C. 9032(a), states that “Chapter 35 of Title 44, United States Code, (commonly referred to as the ‘Paperwork Reduction Act of 1995’) shall not apply to the provisions of, and the amendments made by, this subtitle.” As the OMB approval process is waived for these reporting instructions, these instructions should be considered final.