Exhibit 4, Department of Labor Notice of Award, Award# UI382372255A55-01-00, Case 1:26-cv-01505-EMR, Document 1-5 (Filed 10/09/26)
Summary
Exhibit 4, filed October 9, 2026 as Document 1-5 in Case 1:26-cv-01505-EMR: a Department of Labor Notice of Award, Award# UI382372255A55-01-00, FAIN# UI382372255A55, with a federal award date of 04/15/2022. The award goes to the Wisconsin Department of Workforce Development under the American Rescue Plan Act (ARPA), P.L. 117-2, for the project titled American Rescue Plan-UI Tiger Team Grant, Assistance Listing Number 17.225, Unemployment Insurance, and obligates $2,384,239.00 in federal funds, all direct cost, for a budget period and period of performance of 01/01/2022 to 09/30/2023. The form is marked an administrative copy, not the official award document. The exhibit runs 99 pages and closes with a letter from Deputy Secretary Pamela McGillivray stating that on September 15, 2023 DWD received an additional $263,413 under UIPL 11-23, budgeted to support a mobile application project.
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Case 1:26-cv-01505-EMR Document 1-5 Filed 10/09/26 Page 1 of 99
EXHIBIT 4
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Department of Labor Notice of Award
Award# UI382372255A55-01-00
FAIN# UI382372255A55
Federal Award Date: 04/15/2022
Recipient Information Federal Award Information
1. Recipient Name 11. Award Number
Wisconsin Department of Workforce Development UI382372255A55-01-00
12. Unique Federal Award Identification Number (FAIN)
201 E. WASHINGTON AVENUE
UI382372255A55
MADISON, WI 53703-2866 13. Statutory Authority
(608) 267-7196 American Rescue Plan Act (ARPA), P.L. 117-2
14. Federal Award Project Title
2. Congressional District of Recipient AMERICAN RESCUE PLAN-UI TIGER TEAM GRANT
90
3. Payment System Identifier (ID)
1396006449A6 15. Assistance Listing Number
4. Employer Identification Number (EIN) 17.225
396006449
16. Assistance Listing Program Title
5. Data Universal Numbering System (DUNS) Unemployment Insurance
809448012
6. Recipient’s Unique Entity Identifier (UEI) 17. Award Action Type
DCPVMWRT3DR4 New
7. Project Director or Principal Investigator 18. Is the Award R&D?
No
MR. JIM CLEMSON
JIM.CLEMSON@DWD.WISCONSIN.GOV Summary Federal Award Financial Information
(608) 707-6609
19. Budget Period Start Date 01/01/2022 - End Date 09/30/2023
20. Total Amount of Federal Funds Obligated by this Action $2,384,239.00
8. Authorized Official
20a. Direct Cost Amount $2,384,239.00
MR. ROBERT CHERRY 20b. Indirect Cost Amount $0.00
DEPUTY SECRETARY
21. Authorized Carryover $0.00
ROBERT.CHERRY@DWD.WISCONSIN.GOV
(608) 267-3200 22. Offset $0.00
23. Total Amount of Federal Funds Obligated this budget period $0.00
Federal Agency Information
24. Total Approved Cost Sharing or Matching, where applicable $0.00
ETA Office of Grants Management
25. Total Federal and Non-Federal Approved this Budget Period $2,384,239.00
9. Awarding Agency Contact Information 26. Period of Perfomance Start Date 01/01/2022 - End Date 09/30/2023
CHANTA FERRELL
27. Total Amount of the Federal Award including Approved
ferrell.chanta@dol.gov
Cost Sharing or Matching this Period of Performance $2,384,239.00
202-693-3622
28. Authorized Treatment of Program Income
10.Program Official Contact Information
JEAN GROCHOWSKI
29. Grants Management Officer – Signature
Program Official
SERENA BOYD
30. Remarks
**NOT THE OFFICIAL AWARD DOCUMENT** Administrative copy ONLY. Contact the Financial Assistance Awarding Officer for the official signed agreement
and any subsequent modifications.
Page 1
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Department of Labor Notice of Award
Award# UI382372255A55-01-00
FAIN# UI382372255A55
Federal Award Date: 04/15/2022
Recipient Information 33. Approved Budget
(Excludes Direct Assistance)
Recipient Name I. Financial Assistance from the Federal Awarding Agency Only
Wisconsin Department of Workforce Development II. Total project costs including grant funds and all other financial participation
201 E. WASHINGTON AVENUE a. Salaries and Wages $0.00
MADISON, WI 53703-2866
b. Fringe Benefits $0.00
(608) 267-7196
c. Total Personnel Costs $0.00
d. Equipment $0.00
Congressional District of Recipient
90 e. Supplies $0.00
Payment Account Number and Type f. Travel $0.00
1396006449A6
Employer Identification Number (EIN) Data g. Construction $0.00
396006449 h. Other $2,384,239.00
Universal Numbering System (DUNS)
i. Contractual $0.00
809448012
Recipient’s Unique Entity Identifier (UEI) j. TOTAL DIRECT COSTS $2,384,239.00
DCPVMWRT3DR4
k. INDIRECT COSTS $0.00
31. Assistance Type l. TOTAL APPROVED BUDGET $2,384,239.00
Formula Grant
m. Federal Share $2,384,239.00
32. Type of Award
Other n. Non-Federal Share $0.00
34. Accounting Classification Codes
FY-ACCOUNT NO. DOCUMENT ADMINISTRATIVE OBJECT CFDA AMT ACTION FINANCIAL APPROPRIATION
NO. CODE CLASS NO. ASSISTANCE
050179830X1D20220179001622ARP002A0000AOWS00AOWS00 UI38237MO0 ETA 410010 17.225 $2,384,239.00 0179830X1D
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Fiscal Year (FY) 2022 Tiger Teams American Rescue Plan
Act (ARPA) Unemployment Insurance Grant Program
TERMS AND CONDITIONS
TABLE OF CONTENTS
1. Order of Precedence ................................................................................................................ 3
2. Federal-State Agreements/State Plans.................................................................................... 3
3. Grant Expenditure Period....................................................................................................... 3
4. Federal Project Officer……………………………………………………………………………………………...4
5. Approved UI Project Synopsis................................................................................................... 4
6. Approved Budget ..................................................................................................................... 4
7. Return of Funds ....................................................................................................................... 4
8. Evaluation, Data, and Implementation .................................................................................. 5
9. Cost Limitation Restrictions ................................................................................................... 5
a. Single Audit Submission Deadline Extension Related to COVID-19 ........................................ 5
b. Budget Flexibility ...................................................................................................................... 5
c. Consultants ................................................................................................................................ 6
d. Non-Federal Share (Match or Cost Share) ................................................................................. 6
e. Travel ......................................................................................................................................... 6
f. Travel – Foreign......................................................................................................................... 6
g. Travel – Mileage Reimbursement Rates .................................................................................... 6
10. Administrative Requirements ................................................................................................. 6
a. SF-424, Application for Federal Assistance, and SF-424B, Assurances and Certifications....... 6
b. Audits......................................................................................................................................... 7
c. Revisions to the Uniform Guidance ........................................................................................... 7
d. Closeout/Final Year Requirements .............................................................................................. 7
e. Required Disclosure to DOL-OIG ............................................................................................. 8
f. Equipment .................................................................................................................................. 8
g. Federal Funding Accountability and Transparency Act (FFATA) ............................................. 8
h. Monitoring, Technical Assistance, and Additional Specific Conditions of Award ................ 11
i. Personally Identifiable Information ........................................................................................... 12
j. Pre-Award ................................................................................................................................ 12
k. Procurement ............................................................................................................................. 12
l. Program Income ....................................................................................................................... 12
m. Recipient Integrity and Performance Matters ........................................................................... 12
n. Reports.................................................................................................................................... 14
o. Requirements for Conference and Conference Space............................................................... 15
p. Subawards ................................................................................................................................ 15
q. Supportive Services & Participant Support Costs..................................................................... 15
r. System for Award Management (SAM)................................................................................... 15
s. Vendor/Contractor ................................................................................................................... 17
t. Whistleblower Protection.......................................................................................................... 17
u. Telecommunications ................................................................................................................ 18
v. Intellectual Property Rights ...................................................................................................... 19
w. Domestic Preferences for Procurements................................................................................... 19
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11. Program Requirements ......................................................................................................... 19
12. FY 2022 Federal Appropriations Requirements ................................................................. 20
a. Requirement to Provide Certain Information in Public Communications ................................ 20
b. Fair Labor Standards Act Amendment for Major Disasters ..................................................... 20
c. Health Benefits Coverage for Contraceptives .......................................................................... 21
d. Privacy Act .............................................................................................................................. 21
e. Prohibition on Contracting with Corporations with Felony Criminal Convictions .................. 21
f. Prohibition on Contracting with Corporations with Unpaid Tax Liabilities ............................. 21
g. Prohibition on Procuring Goods Obtained Through Child Labor ............................................. 22
h. Prohibition on Providing Federal Funds to Association of Community Organizations for
Reform Now (ACORN) .......................................................................................................... 22
i. Reporting of Waste, Fraud and Abuse...................................................................................... 22
j. Requirement for Blocking Pornography................................................................................... 22
k. Restriction on Health Benefits Coverage for Abortions ........................................................... 22
l. Restriction on Lobbying/Advocacy.......................................................................................... 22
m. Publicity................................................................................................................................... 23
n. Restriction on the Promotion of Drug Legalization.................................................................. 23
o. Restriction on Purchase of Sterile Needles or Syringes ............................................................ 23
p. Salary and Bonus Limitations .................................................................................................. 23
13. Public Policy ........................................................................................................................... 24
a. Architectural Barriers ............................................................................................................... 24
b. Drug-Free Workplace ............................................................................................................... 24
c. Executive Orders ...................................................................................................................... 24
d. Flood Insurance........................................................................................................................ 25
e. Hotel-Motel Fire Safety ........................................................................................................... 25
f. Prohibition on Trafficking in Persons ...................................................................................... 26
g. Veterans’ Priority Provisions ................................................................................................... 27
h. Promoting Equitable Delivery of Government Benefits and Equal Opportunity...................... 28
i. Harassment Prohibited ............................................................................................................. 28
14. Technical Assistance, Resources, and Information ............................................................. 29
15. Attachments............................................................................................................................ 30
Attachment A: SF-424
Attachment B: Project Synopsis
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1. Order of Precedence
In the event of any inconsistency between the terms and conditions of this Notice of
Award (NOA) and other requirements, the following order of precedence shall apply:
I. American Rescue Plan Act of 2021 (ARPA)
II. Title II, Subtitle A, the Coronavirus Aid Relief, and Economic Security (CARES)
Act
III. H.R. 2471, the Consolidated Appropriations Act, 2022
IV. Title III of the Social Security Act.
V. Other Federal applicable Federal statutes
VI. Implementing Regulations.
VII. Executive Orders and Presidential Memoranda.
VIII. The Office of Management and Budget (OMB) Guidance, including the Uniform
Guidance at 2 CFR 200 and 2900.
IX. The U.S. Department of Labor (DOL)/Employment and Training
Administration (ETA) Directives.
X. Terms and conditions of this award.
2. Federal-State Agreements/State Plans
As a condition for receipt of funds under this Grant Funding Agreement, the Grantee
agrees to comply with the approved State Quality Service Plan (SQSP) and/or any other
agreements/plans required for the receipt of funds.
3. Grant Expenditure Period
4. The expenditure period for these administrative funds is without fiscal year limitations
for American Rescue Plan Act of 2021 under Sections 2118 of the CARES Act. These UI
Tiger Teams grant funds must be obligated by states by September 30, 2023, and liquidated
within 90 days thereafter. Funds may be used for improving UC systems and processes
that achieve: preventing, detecting, and recovering funds from fraud; promoting
equitable access; and ensuring the timely payment of benefits as well as activities to
reduce workload backlogs, for all UC programs.
American Rescue Plan Act of 2021 (ARPA)(Section 2118). This program provides
funds that promote equitable access to UC programs, which include eliminating
administrative barriers to benefit applications, reducing state workload backlogs,
improving the timeliness of UC payments to eligible individuals, and ensuring equity in
fraud prevention, detection, and recovery activities.
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access to PMS, contact the DOL, ETA, Office of Financial Administration via email at:
ETA-ARteam@dol.gov for further assistance.
8. Evaluation, Data, and Implementation
As the grant award recipient, the grant recipient must cooperate during the
implementation of a third-party evaluation. This means providing DOL or its authorized
contractor with the appropriate data and access to program operating personnel and
participants in a timely manner.
9. Cost Limitation Restrictions
a. Single Audit Submission Deadline Extension Related to COVID-19
In OMB Memorandum M-20-17, OMB offered an extension of Single Audit submission
deadlines for fiscal years ending June 30, 2020 to allow recipients and subrecipients a
responsible transition to normal operations. This flexibility was extended through
December 31, 2020 by OMB Memorandum 20-26.
In OMB Memorandum M-21-20, Appendix 3, Item IX, OMB has offered an additional
extension of Single Audit submission deadlines for fiscal years ending June 30, 2021.
Award recipients and subrecipients that have not yet filed their single audits with the
Federal Audit Clearinghouse as of March 19, 2021 that have fiscal year-ends through
June 30, 2021 may delay the completion and submission of the Single Audit reporting
package, as required under 2 CFR 200.501 (Audit Requirements), to six (6) months
beyond the normal due date. This extension does not require individual recipients and
subrecipients to seek approval for the extension by the cognizant or oversight agency
foraudit; however, recipients and subrecipients should maintain documentation of the
reason for the delayed filing.
b. Budget Flexibility
Grant recipients are not permitted to make transfers that would cause any funds to be
used for purposes other than those consistent with this Federal program. Any budget
changes that impact the SOW and agreed upon outcomes or deliverables require a request
for modification and approval from the Grant Officer.
As directed in 2 CFR 200.308(e), for programs where the Federal share is over the
Simplified Acquisition Threshold (SAT) (currently $250,000), the transfer of funds
among direct cost categories or programs, functions, and activities is restricted such that
if the cumulative amount of such transfers exceeds or is expected to exceed 10% of the
total budget as last approved by the Federal awarding agency, the recipient must receive
prior approval from the Grant Officer. Any changes within a specific cost category on the
SF424(a) do not require a grant modification unless the change results in a cumulative
transfer among direct cost categories exceeding 10% of total budget. It is recommended
that the assigned FPO review any within-line changes to the grant award recipient’s
budget prior to implementation to ensure they do not require a modification.
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For programs where the Federal share of the project is below the SAT of $250,000,
recipients are not required to obtain the Grant Officer’s approval when transferring funds
among direct cost categories.
c. Consultants
For the purposes of this grant award, the ETA’s Grant Officer has determined that fees
paid to a consultant who provides services under a program shall be limited to $750.00 a
day (representing an eight-hour workday). Such costs must be reasonable, allocable and
allowable to the program. Any fees paid in excess of this amount cannot be paid without
prior approval from the Grant Officer.
d. Non-Federal Share (Match or Cost Share)
This grant award does not include a match requirement.
e. Travel
This award waives the prior approval requirement for domestic travel as contained in 2
CFR 200.475. For domestic travel to be an allowable cost, it must be necessary,
allowable, reasonable, allocable and conform to the non-Federal entity’s written policies
and procedures. All travel must also comply with Fly America Act (49 USC 40118),
which states in part that any air transportation, regardless of price, must be performed by,
or under a code-sharing arrangement with, a U.S. Flag air carrier if service provided by
such carrier is available.
f. Travel – Foreign
Foreign travel is not allowable except with prior written approval from the Grant Officer
through the process described in 2 CFR 200.407 and 2 CFR 2900.16. All travel, both
domestic and Grant Officer approved foreign travel, must comply with the Fly America
Act (49 USC 40118), which states in part that any air transportation, regardless of price,
must be performed by, or under a code-sharing arrangement with, a U.S. Flag air carrier
if service provided by such carrier is available.
g. Travel – Mileage Reimbursement Rates
Pursuant to 2 CFR 200.475(a), all award recipients must have policies and procedures in
place related to travel costs; however, for reimbursement on a mileage basis, this Federal
grant award cannot be charged more than the maximum allowable mileage
reimbursement rates for Federal employees. Mileage rates must be checked annually at
www.gsa.gov/mileage to ensure compliance.
10. Administrative Requirements
a. SF-424, Application for Federal Assistance, and SF-424B, Assurances and
Certifications
The signed SF-424, Application for Federal Assistance, has been included as an
attachment to this grant award. The individual that signed the SF-424 on behalf of the
applicant is considered the Authorized Representative of the applicant. As stated in block
21 of the SF-424 form, the signature of the Authorized Representative on the SF-424
certifies that the grant award recipient is in compliance with the Assurances and
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Certifications form SF-424B (available at
http://apply07.grants.gov/apply/forms/sample/SF424B-V1.1.pdf). The grant award
recipient does not need to submit the SF-424B form separately.
b. Audits
Organization-wide or program-specific audits must be performed in accordance with
Subpart F, the Audit Requirements of the Uniform Guidance. DOL awards recipients that
expend $750,000 or more in a year from any Federal awards must have an audit
conducted for that year in accordance with the requirements contained in 2 CFR 200.501.
OMB’s approved exception at 2 CFR 2900.2 expands the definition of ‘non-Federal
entity’ to include for-profit entities and foreign entities. As such, for-profit and foreign
entities that are recipients/subrecipients of a DOL award must adhere to the Uniform
Guidance at 2 CFR 200, including Subpart F. Audits of direct award recipients that are
for-profit and foreign entities must be submitted directly to: USDOL ETA-OGM, Attn:
Audit Resolution, 200 Constitution Ave NW, Room N4716, Washington, DC 20210. All
other audit reports are submitted through the Federal Audit Clearinghouse.
c. Revisions to the Uniform Guidance
The Office of Management and Budget issued revisions to 2 CFR parts 25, 170, 183, and
200 (the Uniform Guidance) on August 13, 2020 and February 22, 2021 (technical
correction). These revisions became effective November 12, 2020, except for the
amendments to §§ 200.216 and 200.340, which were immediately effective on August
13, 2020. The grant award recipient must operate in compliance with these revised
regulations. Please note that the section numbering in the Uniform Guidance has
changed in some instances, and this Terms & Conditions document has been updated
accordingly.
d. Closeout/Final Year Requirements
At the end of the grant period, the award recipient will be required to close the grant with
the ETA. The grant recipient will be notified approximately 15 days prior to the end of
the period of performance that the closeout process will begin when the period of
performance ends. See https://www.dol.gov/agencies/eta/grants/management/closeout
for further information on the closeout process. The recipient’s responsibilities at
closeout may be found at 2 CFR 200.344. During the closeout process, the grant recipient
must be able to provide documentation for all direct and indirect costs that are incurred.
For instance, if an organization is claiming indirect costs, the required documentation is a
NICRA or CAP issued by the grant recipient’s FCA. For those approved to utilize a de
minimis rate for indirect costs, the grant agreement is sufficient documentation. Not
having documentation for direct or indirect costs will result in costs being disallowed and
subject to debt collection.
The only liquidation that can occur during closeout is the liquidation of accrued
expenditures (NOT obligations) for goods and/or services received during the grant
period (2 CFR 2900.15).
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e. Required Disclosure to DOL-OIG
As discussed in UIPL No. 04-17, Change 1, states must refer allegations which they
reasonably believe constitute UC fraud, waste, abuse, mismanagement, or misconduct to
the DOL-OIG. Additionally, states are required to disclose confidential UC information
related to the CARES Act, as amended, to the DOL-OIG for the purpose of UC fraud
investigations and audits for the entire pandemic relief period, which for most states will
be weeks of unemployment beginning after January 27, 2020 through weeks of
unemployment ending before September 6, 2021. States may use funds awarded under
this UIPL, UI administrative grant under Section 302(a), SSA, or another source of
funding to pay for this disclosure. See 20 C.F.R. 603.8(b).
f. Equipment
The requirement that grant recipients obtain prior approval from the Federal Grantor
agency for all purchases of equipment (as described in 2 CFR 200.439) is waived in
accordance with 2 CFR 200.308(c)(4) and 20 CFR Part 683.200, and approval
authority is delegated to the Governor. Notwithstanding this waiver, the Grantor
reserves the right to reimpose the requirement of prior approval by the Grantor, after
providing advance notice to the State (Grantee).
g. Federal Funding Accountability and Transparency Act (FFATA)
1. Reporting of first-tier subawards.
I. Applicability. Unless the grant award recipient is exempt as provided in
paragraph [4.] of this award term, the grant recipient must report each action
that equals or exceeds $30,000 in Federal funds for a subaward to an non-
Federal entity or Federal agency (see definitions in paragraph [5.] of this
award term).
II. Where and when to report.
I. The Federal entity or Federal agency must report each obligating action
described in paragraph [1.i.] of this award term to https://www.fsrs.gov.
II. For subaward information, the recipient must report no later than the end
of the month following the month in which the obligation was made.
(For example, if the obligation was made on November 7, 2010, the
obligation must be reported by no later than December 31, 2010.)
III. What to report. The grant award recipient must report the information about
each obligating action that the submission instructions posted at
https://www.fsrs.gov specify.
2. Reporting total compensation of recipient executives for non-Federal entities.
I. Applicability and what to report. The grant award recipient must report total
compensation for each of their five most highly compensated executives for
the preceding completed fiscal year, if—
I. the total Federal funding authorized to date under this Federal award is
equals or exceeds $30,000 as defined in 2 CFR 170.320;
II. in the preceding fiscal year, the grant recipient received—
(A) 80% or more of the annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject
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to the Transparency Act, as defined at 2 CFR 170.320 (and
subawards); and
(B) $25,000,000 or more in annual gross revenues from Federal
procurement contracts (and subcontracts) and Federal financial
assistance subject to the Transparency Act, as defined at 2 CFR
170.320 (and subawards); and
III. The public does not have access to information on the compensation of
the executives through periodic reports filed under section 13(a) or 15(d)
of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or
Section 6104 of the Internal Revenue Code of 1986. (To determine if the
public has access to the compensation information, see the U.S. Security
and Exchange Commission (SEC) total compensation filings at
https://www.sec.gov/answers/execomp.htm.)
II. Where and when to report. The grant award recipient must report executive
total compensation described in paragraph [2.a.] of this award term:
a. As part of your registration profile at http://www.sam.gov.
b. By the end of the month following the month in which this award is
made, and annually thereafter.
3. Reporting of Total Compensation of Subrecipient Executives.
I. Applicability and what to report. Unless the grant recipient is exempt as
provided in paragraph [4.]of this award term, for each first-tier non-Federal
entity subrecipient under this award, the grant award recipient shall report the
names and total compensation of each of the subrecipient's five most highly
compensated executives for the subrecipient's preceding completed fiscal
year, if—
I. in the subrecipient's preceding fiscal year, the subrecipient received—
(A) 80% or more of its annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject
to the Transparency Act, as defined at 2 CFR 170.320 (and
subawards); and
(B) $25,000,000 or more in annual gross revenues from Federal
procurement contracts (and subcontracts), and Federal financial
assistance subject to the Transparency Act (and subawards); and
II. The public does not have access to information on the compensation of
the executives through periodic reports filed under Section 13(a) or
15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a),
78o(d)) or Section 6104 of the Internal Revenue Code of 1986. (To
determine if the public has access to the compensation information, see
the SEC total compensation filings at
https://www.sec.gov/answers/execomp.htm.)
II. Where and when to report. The grant award recipient must report subrecipient
executive total compensation described in paragraph [3.a] of this award term:
I. To the recipient.
II. By the end of the month following the month during which the grant
recipient make the subaward. For example, if a subaward is obligated on
any date during the month of October of a given year (i.e., between
October 1 and 31), the grant recipient must report any required
compensation information of the subrecipient by November 30 of that
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year.
4. Exemptions.
If, in the previous tax year, the grant award recipient had gross income, from all
sources, under $300,000, the grant recipient is exempt from the requirements to
report:
a. Subawards, and
b. The total compensation of the five most highly compensated executives of any
subrecipient.
5. Definitions.
For purposes of this award term:
a. Federal Agency means a Federal agency as defined at 5 U.S.C. 551(1) and
further clarified by 5 U.S.C. 552(f).
b. Non-Federal Entity means all of the following, as defined in 2 CFR part 25:
I. A Governmental organization, which is a State, local government, or
Indian tribe;
II. A foreign public entity;
III. A domestic or foreign nonprofit organization; and
IV. A domestic or foreign for-profit organization.
c. Executive means officers, managing partners, or any other employees in
management positions.
d. Subaward:
I. This term is used as a legal instrument to provide support for the
performance of any portion of the substantive project or program for
which the grant recipient received this award and that the grant recipient
as the recipient award to an eligible subrecipient.
II. The term does not include the grant award recipient procurement of
property and services needed to carry out the project or program (for
further explanation, see [2 CFR 200.330]).
III. A subaward may be provided through any legal agreement, including an
agreement that the grant recipient or a subrecipient considers a contract.
e. Subrecipient means a non-Federal entity or Federal agency that:
I. Receives a subaward from the grant award recipient under this award;
and
II. Is accountable to the grant recipient for the use of the Federal funds
provided by the subaward.
f. Total compensation means the cash and noncash dollar value earned by the
executive during the recipient's or subrecipient's preceding fiscal year and
includes the following (for more information see 17 CFR 229.402(c)(2)):
I. Salary and bonus.
II. Awards of stock, stock options, and stock appreciation rights. Use the
dollar amount recognized for financial statement reporting purposes with
respect to the fiscal year in accordance with the Statement of Financial
Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared
Based Payments.
III. Earnings for services under non-equity incentive plans. This does not
include group life, health, hospitalization or medical reimbursement
plans that do not discriminate in favor of executives, and are available
generally to all salaried employees.
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IV. Change in pension value. This is the change in present value of defined
benefit and actuarial pension plans.
V. Above-market earnings on deferred compensation which is not tax-
qualified.
VI. Other compensation, if the aggregate value of all such other
compensation (e.g. severance, termination payments, value of life
insurance paid on behalf of the employee, perquisites or property) for
the executive exceeds $10,000.
h. Monitoring, Technical Assistance, and Additional Specific Conditions of
Award
All grant recipients, including states and territories managing the Unemployment
Insurance programs, are subject to 2 CFR 200.208, Specific conditions, which indicates
that the Federal awarding agency may adjust specific award conditions as needed. A
specific condition is based on an analysis of the following factors:
(1) Based on the criteria in §200.206, Federal awarding agency review of risk
posed by applicants;
(2) The applicant or recipient's history of compliance with the general or specific
terms and conditions of a Federal award;
(3) The applicant or recipient's ability to meet expected performance goals as
described in §200.211; or
(4) A responsibility determination of an applicant or recipient.
Additional Federal award conditions may include items such as the following:
(1) Requiring payments as reimbursements rather than advance payments;
(2) Withholding authority to proceed to the next phase until receipt of evidence of
acceptable performance within a given performance period;
(3) Requiring additional, more detailed financial reports;
(4) Requiring additional project monitoring;
(5) Requiring the non-Federal entity to obtain technical or management
assistance; or
(6) Establishing additional prior approvals.
Grant recipients may be required to obtain technical or management assistance through
an established provider/contractor that has been selected or hired by DOL that may
include in-person or remote assistance.
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i. Personally Identifiable Information
The grant award recipient(s) must recognize and safeguard Personally Identifiable
Information (PII) except where disclosure is allowed by prior written approval of the
Grant Officer or by court order. Award recipients must meet the requirements in TEGL
No. 39-11, Guidance on the Handling and Protection of PII, can be found at
http://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=7872.
j. Pre-Award
All costs incurred by the award recipient prior to the start date specified in the grant
award issued by the Department are incurred at the recipient’s own expense.
k. Procurement
The Uniform Guidance (2 CFR 200.317) require States (as defined at 2 CFR 200.1) to
follow the same procurement policies and procedures it uses for non-Federal funds. The
state must comply with 2 CFR 200.321, 200.322, and 200.323 and ensure that every
purchase order or other contract includes any clauses required by § 200.327. The grant
award recipient(s) must also follow the requirements regarding the competitive selection
of One-Stop Operators at WIOA Sections 121(d) and 123.
l. Program Income
The “Addition” method as described in 2 CFR 200.307 must be used in allocating any
program income generated for this grant award. The grant award recipient must expend
all program income prior to drawing down any additional funds as required at 2 CFR
200.305(b)(5) and 2 CFR 200.307(e). Any program income found remaining at the end of
period of performance must be returned to ETA. In addition, the grant award recipient(s)
must report program income on the quarterly financial report using the ETA-9130 report.
m. Recipient Integrity and Performance Matters
1. If the total value of the currently active grants, cooperative agreements, and
procurement contracts from all Federal awarding agencies exceeds $10,000,000 for
any period of time during the period of performance of this Federal award, then the
grant award recipient during that period of time must maintain the currency of
information reported to the System for Award Management (SAM) that is made
available in the designated integrity and performance system (currently the Federal
Awardee Performance and Integrity Information System (FAPIIS)) about civil,
criminal, or administrative proceedings described in Paragraph 2 of this award term
and condition. This is a statutory requirement under Section 872 of Public Law 110-
417, as amended (41 U.S.C. 2313). As required by Section 3010 of Public Law 111-
212, all information posted in the designated integrity and performance system on or
after April 15, 2011, except past performance reviews required for Federal
procurement contracts, will be publicly available.
2. Proceedings about which the grant recipient must report. Submit the information
required about each proceeding that:
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a. Is in connection with the award or performance of a grant, cooperative agreement,
or procurement contract from the Federal Government;
b. Reached its final disposition during the most recent 5-year period; and
c. Is one of the following:
I. A criminal proceeding that resulted in a conviction, as defined in Paragraph 5.
of this award term;
II. A civil proceeding that resulted in a finding of fault and liability and paying a
monetary fine, penalty, reimbursement, restitution, or damages of $5,000 or
more;
III. An administrative proceeding, as defined in Paragraph 5. of this award term,
that resulted in a finding of fault and liability and grant recipient payment of
either monetary fine or penalty of $5,000 or more or a reimbursement,
restitution, or damages in excess of $100,000; or
IV. Any other criminal, civil, or administrative proceeding if:
(A) It could have led to an outcome described in Paragraph 2.c.I, II, or III of
this award term;
(B) It had a different disposition arrived at by consent or compromise with
an acknowledgment of fault on the grant recipient’s part; and
(C) The requirement in this award term to disclose information about the
proceeding does not conflict with applicable laws and regulations.
3. Reporting procedures. Enter in SAM, Entity Management area (formerly CCR), or
any successor system, the FAPIIS information that SAM requires about each
proceeding described in Paragraph 2. of this award term. The grant award recipient
does not need to submit the information a second time under assistance awards that
were received if the recipient already provided the information through SAM
(formerly CCR) because the recipient was required to do so under Federal
procurement contracts that the recipient was awarded.
4. Reporting frequency. During any period of time when the grant award recipient is a
subject to the requirement in paragraph 1. of this award term, the grant recipient must
report FAPIIS information through SAM no less frequently than semiannually
following the initial report of any proceedings for the most recent 5-year period,
either to report new information about any proceeding(s) that the grant recipient has
not reported previously or affirm that there is no new information to report.
5. Definitions. For purposes of this award term:
a. Administrative proceeding means a non-judicial process that is adjudicatory in
nature in order to make a determination of fault or liability (e.g., SEC
Administrative proceedings, Civilian Board of Contract Appeals proceedings, and
Armed Services Board of Contract Appeals proceedings). This includes
proceedings at the Federal and State level. It does not include audits, site visits,
corrective plans, or inspection of deliverables.
b. Conviction, for purposes of this award term, means a judgment or conviction of a
criminal offense by any court of competent jurisdiction, whether entered upon a
verdict or a plea, and includes a conviction entered upon a plea of nolo contendere.
c. Total value of currently active grants, cooperative agreements, and procurement
contracts includes —
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I. Only the Federal share of the funding under any award with a recipient cost
share or match; and
II. The value of all options, even if not yet exercised.
n. Reports
All ETA grant award recipients are required to submit quarterly financial and narrative
progress reports for each grant award.
a. Quarterly Financial Reports. All ETA grant award recipients are required to
report financial data on the ETA-9130 Financial Report. ETA-9130 reports are
due no later than 45 calendar days after the end of each specified reporting
quarter. Reporting quarter end dates are March 31, June 30, September 30, and
December 31. A final financial report must be submitted no later than 45 calendar
days after the quarter encompassing the grant award end date ends, or 45 calendar
days after the completion of the quarter in which all funds have been expended,
whichever comes first. For grants awarded before November 12, 2020, a closeout
ETA-9130 report must be submitted no later than 90 calendar days after the grant
period of performance ends. For grants awarded after November 12, 2020, a
closeout ETA-9130 report must be submitted no later than 120 calendar days after
the grant period of performance ends. See 2 CFR 200.344. A closeout report will
be submitted during the closeout process. For additional guidance on ETA’s
financial reporting, reference TEGL 20-19 and
https://www.doleta.gov/grants/pdf/ETA-
9130_Financial_Reporting_Resources.pdf
The instructions for accessing both the online financial reporting system and the
HHS PMS can be found in the transmittal memo accompanying this NOA.
b. Quarterly Narrative Progress Reports. Grant recipients must provide a narrative
Quarterly Progress Report (ETA 9178-ARPA) and Quarterly Financial Report
(ETA 9130) containing updates on the progress and implementation of each grant
project. The form ETA 9178-ARPA is provided in Attachment V. ETA will use
the ETA 9178-ARPA report to track each state’s progress towards implementing
the strategy/activity and achieving the identified outcome metric(s) as described in
Section 4.c of this UIPL with ARPA funds, ensuring that a state’s use of funds is
consistent with the permissible activities outlined in Section 4.b. of this UIPL.
States must provide ETA with an ETA 9178-ARPA narrative update that identifies
the specific issue(s) a state’s proposed activities will impact and report specific
outcome metrics as they relate to the activities (see Section 4.b. of this UIPL).
Refer to Attachment V for instructions for completion and the timeline of
submission for the ETA 9178-ARPA.
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o. Requirements for Conference and Conference Space
Conferences sponsored in whole or in part by the grant award recipient are allowable if
the conference is necessary and reasonable for the successful performance of the Federal
Award. The grant award recipients are urged to use discretion and good judgment to
ensure that all conference costs charged to the grant are appropriate and allowable. For
more information on the requirements and the allowability of costs associated with
conferences, refer to 2 CFR 200.432. Recipients will be held accountable to the
requirements in 2 CFR 200.432. Therefore, costs that do not comply with 2 CFR 200.432
will be questioned and may be disallowed.
p. Subawards
A subaward means an award provided by a Pass-Through Entity (PTE) to a subrecipient
for the subrecipient to carry out part of a Federal award received by the PTE. It does not
include payments to a contractor or payments to an individual that is a beneficiary of a
Federal program. A subaward may be provided through any form of legal agreement,
including an agreement that the PTE considers a contract.
The provisions of the Terms and Conditions of this award will be applied to any
subrecipient under this award. The recipient is responsible for monitoring the
subrecipient, ensuring that the Terms and Conditions are in all subaward packages and
that the subrecipient complies with all applicable regulations and the Terms and
Conditions of this award (2 CFR 200.101(b)).
q. Supportive Services & Participant Support Costs
When supportive services are expressly authorized by a program statute, regulation, or
FOA, this award waives the prior approval requirement for participant support costs as
described in 2 CFR 200.456. Costs must still meet the basic considerations at 2 CFR
200.402 – 200.411. Questions regarding supportive services and participant support costs
should be directed to the FPO who is assigned to the grant.
r. System for Award Management (SAM)
SAM is the official federal system that collects, validates, stores, and disseminates
business information about the federal government's trading partners in support of
contract awards, grants, and electronic payment processes. A SAM registration is
required for an entity to be able to apply for federal grants, to request modifications to
existing grants, and to enable them to closeout expiring grants. See Training and
Employment Notice (TEGL) 18-17 for additional guidance.
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Unless the grant award recipient is exempt from this requirement under 2 CFR 25.110,
the grant recipient must maintain current its information in the SAM. This includes
information on the recipient’s immediate and highest level owner and subsidiaries, as
well as on all of the recipient’s predecessors that have been awarded a Federal contract or
Federal financial assistance within the last three years, if applicable, until the grant
recipient submits the final financial report required under this Federal award or receive
the final payment, whichever is later. This requires that the grant recipient review and
update the information at least annually after the initial registration, and more frequently
if required by changes in its information or another Federal award term.
1. Unique Entity Identifier Requirements
If the grant award recipient is authorized to make subawards under this award, then the
grant recipient:
i. Must notify potential subrecipients that no entity (see definitions below) may
receive a subaward from the grant award recipient until the entity has provided its
unique entity identifier to the grant recipient.
ii. May not make a subaward to an entity unless the entity has provided its Unique
Entity Identifier to the grant recipient. Subrecipients are not required to obtain an
active SAM registration, but must obtain a Unique Entity Identifier.
NOTE: At some point, the DUNS Number will be replaced by a new, non-proprietary
identifier requested in and assigned by SAM.gov. This new identifier is being called the
Unique Entity Identifier (UEI), or the Entity ID. Users should continue using the DUNS
Number in UEI fields until further notice. To learn more about SAM’s rollout of the UEI,
please visit gsa.gov/entityid.
2. Definitions
For purposes of this term:
i. SAM is the Federal repository where the grant award recipients must provide
information required for the conduct of business as recipients. Additional
information about registration procedures may be found at the SAM website
(http://www.sam.gov).
ii. Unique entity identifier means the identifier assigned by SAM to uniquely
identify business entities.
iii. Entity, as it is used in this grant award term, includes all of the following, as
defined at 2 CFR Part 25, Appendix A:
a. A non-Federal entity as defined at 2 CFR 200.1 (A State, local
government, Indian Tribe, Institute of Higher Education (IHE), or
nonprofit organization that carries out a Federal award as a recipient or
subrecipient);
b. A foreign organization;
c. A foreign public entity;
d. A domestic for-profit organization; and
e. A Federal agency.
iv. Subaward means:
An award provided by a pass-through entity to a subrecipient for the
subrecipient to carry out part of a Federal award received by the pass-
through entity. It does not include payments to a contractor or payments to
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an individual that is a beneficiary of a Federal program. A subaward may
be provided through any form of legal agreement, including an agreement
that the pass-through entity considers a contract.
v. Subrecipient means:
An entity, usually but not limited to non-Federal entities, that receives a
subaward from a pass-through entity to carry out part of a Federal award;
but does not include an individual that is a beneficiary of such award. A
subrecipient may also be a recipient of other Federal awards directly from
a Federal awarding agency.
3. Existing SAM Registrants
ETA advises grant recipients registered in SAM to review their registration information,
particularly their financial information and points of contact. Assistance is available by
contacting the Federal Service Desk at www.fsd.gov. Grant recipients should contact
ETA at ETAAccountingGrants@dol.gov if they find that payments have been paid to a
bank account other than their registered bank account.
ETA further encourages grant recipients to review the expiration date of their SAM
registration and begin the renewal process well in advance, to ensure that their
registration remains valid. If the grant recipient has not logged in and updated its entity
registration record within at least the past 365 days, its record will expire and go into
inactive status. Timely renewal will ensure that the grant recipient can continue to request
and receive modifications to their existing grants, as well as apply for new funding
opportunities. Further, the DUNS and EIN numbers must remain active until the grant
award closeout process is fully completed.
4. Validation
ETA routinely checks the validity of a grant recipient’s SAM registration and verifies
that the recipient isn’t included on the excluded parties list before making a grant award,
or approving a modification to an existing award. Failure to have an active SAM
registration can delay grant recipients from receiving their initial award or requested
modifications to their existing awards.
s. Vendor/Contractor
The term “contractor,” sometimes referred to as a vendor, is a dealer, distributor,
merchant or other seller providing goods or services that are required to implement a
Federal program (see 2 CFR 200.1). These goods or services may be for an organization's
own use or for the use of the beneficiaries of the Federal program. Additional guidance
on distinguishing between a subrecipient and a contractor (vendor) is provided in 2 CFR
200.331. When procuring contractors for goods and services, DOL/ETA recipients and
subrecipients, must follow the procurement requirements found at 2 CFR 200.319, except
states, pursuant to 2 CFR 200.317,which calls for free and open competition.
t. Whistleblower Protection
This grant award and employees working on this grant award are subject to the
whistleblower rights and remedies established at 41 U.S.C. 4712. The grant award
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recipient shall inform its employees in writing, in the predominant language of the
workforce, of employee whistleblower rights and protections under 41 U.S.C. 4712, as
described in section 3.908 of the Federal Acquisition Regulation (48 CFR 3.908; note
that for the purpose of this term and condition, use of the term "contract," "contractor,"
"subcontract," or "subcontractor" in section 3.908 should be read as "grant," "grantee,"
"subgrant," or "subgrantee"). The recipient shall insert the substance of this clause in all
subgrants and contracts over the Simplified Acquisition Threshold.
u. Telecommunications
Grant recipients must adhere to 2 CFR 200.216 - Prohibition on certain
telecommunications and video surveillance services or equipment. (Effective August
13, 2020)
(a) Recipients and subrecipients are prohibited from obligating or expending loan or
grant funds to: (1) Procure or obtain; (2) Extend or renew a contract to procure or obtain;
or (3) Enter into a contract (or extend or renew a contract) to procure or obtain
equipment, services, or systems that uses covered telecommunications equipment or
services as a substantial or essential component of any system, or as critical technology
as part of any system. As described in Public Law 115-232, section 889, covered
telecommunications equipment is telecommunications equipment produced by Huawei
Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such
entities).
(i) For the purpose of public safety, security of government facilities, physical security
surveillance of critical infrastructure, and other national security purposes, video
surveillance and telecommunications equipment produced by Hytera Communications
Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology
Company (or any subsidiary or affiliate of such entities). (ii) Telecommunications or
video surveillance services provided by such entities or using such equipment. (iii)
Telecommunications or video surveillance equipment or services produced or provided
by an entity that the Secretary of Defense, in consultation with the Director of the
National Intelligence or the Director of the Federal Bureau of Investigation, reasonably
believes to be an entity owned or controlled by, or otherwise connected to, the
government of a covered foreign country. (b) In implementing the prohibition under
Public Law 115-232, section 889, subsection (f), paragraph (1), heads of executive
agencies administering loan, grant, or subsidy programs shall prioritize available
funding and technical support to assist affected businesses, institutions and organizations
as is reasonably necessary for those affected entities to transition from covered
communications equipment and services, to procure replacement equipment and
services, and to ensure that communications service to users and customers is sustained.
(c) See Public Law 115-232, section 889 for additional information. (d) See also
§200.471.
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v. Intellectual Property Rights
The Federal Government reserves a paid-up, nonexclusive and irrevocable license to
reproduce, publish or otherwise use, and to authorize others to use for federal purposes: i)
the copyright in all products developed under the grant, including a subgrant or contract
under the grant or subgrant; and ii) any rights of copyright to which the grant award
recipient, subrecipient or a contractor purchases ownership under an award (including but
not limited to curricula, training models, technical assistance products, and any related
materials). Such uses include, but are not limited to, the right to modify and distribute
such products worldwide by any means, electronically or otherwise.
Federal funds may not be used to pay any royalty or license fee for use of a copyrighted
work, or the cost of acquiring by purchase a copyright in a work, where the DOL/ETA
has a license or rights of free use in such work, although they may be used to pay costs
for obtaining a copy which is limited to the developer/seller costs of copying and
shipping.
If revenues are generated by selling products developed with grant funds, including
intellectual property, these revenues are considered as program income. Program income
must be used in accordance with the provisions of this grant award and 2 CFR 200.307.
The following language must be on all workforce products developed in whole or in part
with grant funds:
“This workforce product was funded by a grant awarded by the U.S.
Department of Labor (DOL)’s Employment and Training Administration
(ETA). The product was created by the recipient and does not necessarily
reflect the official position of DOL/ETA. DOL/ETA makes no guarantees,
warranties, or assurances of any kind, express or implied, with respect to
such information, including any information on linked sites and including,
but not limited to, accuracy of the information or its completeness,
timeliness, usefulness, adequacy, continued availability, or ownership.
This product is copyrighted by the institution that created it.”
w. Domestic Preferences for Procurements
As appropriate and to the extent consistent with law, the non-Federal entity should, to the
greatest extent practicable under a Federal award, provide a preference for the purchase,
acquisition, or use of goods, products, or materials produced in the United States
(including but not limited to iron, aluminum, steel, cement, and other manufactured
products). The requirements of 2 CFR Part 200.322 must be included in all subawards
including all contracts and purchase orders for work or products under this award.
11. Program Requirements
Unemployment Insurance Program Letter (UIPL) No. 2-22 contains the program
requirements for this award.
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12. FY 2022 Federal Appropriations Requirements
a. Requirement to Provide Certain Information in Public Communications
Pursuant to P.L. 116-260, Division H, Title V, Section 505, when issuing statements,
press releases, requests for proposals, bid solicitations and other documents describing
projects or programs funded in whole or in part with Federal money, all non-Federal
entities receiving Federal funds shall clearly state:
1. The percentage of the total costs of the program or project which will be financed
with Federal money;
2. The dollar amount of Federal funds for the project or program; and
3. The percentage and dollar amount of the total costs of the project or program that
will be financed by non-governmental sources.
The requirements of this term are separate from those in 2 CFR Part 200 and, when
applicable, both must be complied with.
b. Fair Labor Standards Act Amendment for Major Disasters
Pursuant to P.L. 116-260, Division H, Title I, Section 108, the Fair Labor Standards Act
of 1938 (FLSA) will apply as if the following language was added to Section 7 (the
Maximum Hours Worked Section). This language specifically relates to occurrences of a
major disaster (as declared or designated by the state or federal government) and are
applied for a period of two years afterwards. The language is as follows:
“(s)(1) The provisions of this section [maximum hours worked] shall not apply for
a period of 2 years after the occurrence of a major disaster to any employee—
(A) employed to adjust or evaluate claims resulting from or relating to such major
disaster, by an employer not engaged, directly or through an affiliate, in
underwriting, selling, or marketing property, casualty, or liability insurance
policies or contracts;
(B) who receives from such employer on average weekly compensation of not
less than $591.00 per week or any minimum weekly amount established by the
Secretary, whichever is greater, for the number of weeks such employee is
engaged in any of the activities described in subparagraph (C); and (C) whose
duties include any of the following:
(i) interviewing insured individuals, individuals who suffered injuries or other
damages or losses arising from or relating to a disaster, witnesses, or physicians;
(ii) inspecting property damage or reviewing factual information to prepare
damage estimates;
(iii) evaluating and making recommendations regarding coverage or
compensability of claims or determining liability or value aspects of claims;
(iv) negotiating settlements; or
(v) making recommendations regarding litigation.
(2) The exemption in this subsection shall not affect the exemption provided by
section 13(a)(1) [of the FLSA].
(3) For purposes of this subsection—
(A) the term ‘major disaster’ means any disaster or catastrophe declared or
designated by any State or Federal agency or department;
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(B) the term ‘employee employed to adjust or evaluate claims resulting from or
relating to such major disaster’ means an individual who timely secured or
secures a license required by applicable law to engage in and perform the
activities described in clauses (i) through (v) of paragraph (1)(C) relating to a
major disaster, and is employed by an employer that maintains worker
compensation insurance coverage or protection for its employees, if required by
applicable law, and withholds applicable Federal, State, and local income and
payroll taxes from the wages, salaries and any benefits of such employees; and
(C) the term ‘affiliate’ means a company that, by reason of ownership or control
of 25% or more of the outstanding shares of any class of voting securities of one
or more companies, directly or indirectly, controls, is controlled by, or is under
common control with, another company.”
c. Health Benefits Coverage for Contraceptives
Federal funds may not be used to enter into or renew a contract which includes a
provision for prescription drug coverage unless the contract also includes a provision for
contraceptive coverage. This requirement does not apply to contracts with 1) the religious
plans Personal Care’s HMO and OSF HealthPlans, Inc. and 2) any existing or future plan
if the carrier for the plan objects to such coverage on the basis of religious beliefs.
In implementing this section, any plan that enters into or renews a contract may not
subject any individual to discrimination on the basis that the individual refuses to
prescribe or otherwise provide for contraceptives because such activities would be
contrary to the individuals’ religious beliefs or moral convictions. Nothing in this term
shall be construed to require coverage of abortion or abortion related services.
d. Privacy Act
No funds can be used in contravention of 5 U.S.C. 552a (the Privacy Act) or regulations
implementing the Privacy Act.
e. Prohibition on Contracting with Corporations with Felony Criminal
Convictions
The recipient may not knowingly enter into a contract, memorandum of understanding, or
cooperative agreement with, make a grant to, or provide a loan or loan guarantee to, any
corporation that was convicted of a felony criminal violation under any Federal law
within the preceding 24 months.
f. Prohibition on Contracting with Corporations with Unpaid Tax Liabilities
The grant award recipient may not knowingly enter into a contract, memorandum of
understanding, or cooperative agreement with, make a grant to, or provide a loan or loan
guarantee to, any corporation that has any unpaid Federal tax liability that has been
assessed, for which all judicial and administrative remedies have been exhausted or have
lapsed, and that is not being paid in a timely manner pursuant to an agreement with the
authority responsible for collecting the tax liability.
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g. Prohibition on Procuring Goods Obtained Through Child Labor
Pursuant to P.L. 116-260, Division H, Title I, Section 103, no funds may be obligated or
expended for the procurement of goods mined, produced, manufactured, or harvested or
services rendered, in whole or in part, by forced or indentured child labor in industries
and host countries identified by the DOL prior to December 20, 2019. DOL has identified
these goods and services here: https://www.dol.gov/agencies/ilab/reports/child-labor/list-
of-products.
h. Prohibition on Providing Federal Funds to Association of Community
Organizations for Reform Now (ACORN)
Pursuant to P.L. 116-260, Division H, Title V, Section 521, these funds may not be
provided to the ACORN, or any of its affiliates, subsidiaries, allied organizations or
successors.
i. Reporting of Waste, Fraud and Abuse
No entity receiving federal funds may require employees or contractors of such entity
seeking to report fraud, waste, or abuse to sign internal confidentiality agreements or
statements prohibiting or otherwise restricting such employees or contractors from
lawfully reporting such waste, fraud, or abuse to a designated investigative or law
enforcement representative of a Federal department or agency authorized to receive such
information.
j. Requirement for Blocking Pornography
Pursuant to P.L. 116-260, Division H, Title V, Section 520, no Federal funds may be
used to maintain or establish a computer network unless such network blocks the
viewing, downloading, and exchanging of pornography.
k. Restriction on Health Benefits Coverage for Abortions
Pursuant to P.L. 116-260, Division H, Title V, Section 506 and 507, Federal funds may
not be expended for health benefits coverage that includes coverage of abortions, except
when the pregnancy is the result of rape or incest, or in the case where a woman suffers
from a physical disorder, physical injury, or physical illness, including a life-endangering
physical condition caused by or arising from the pregnancy itself that would, as certified
by a physician, place the women in danger of death unless an abortion is performed. This
restriction does not prohibit any non-Federal entity from providing health benefits
coverage for abortions when all funds for that specific benefit do not come from a
Federal source. Additionally, no funds made available through this grant award may be
provided to a State or local government if such government subjects any institutional or
individual health care entity to discrimination on the basis that the health care entity does
not provide, pay for, provide coverage of, or refer for abortions.
l. Restriction on Lobbying/Advocacy
Pursuant to P.L. 116-260, Division H, Title V, Section 503, no federal funds may be used
to pay the salary or expenses of any grant recipient, or agent acting for such recipient,
related to any activity designed to influence the enactment of legislation, appropriations,
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regulation, administrative action, or executive order proposed or pending before the
Congress or any state government, state legislature or local legislature or legislative body,
other than for normal and recognized executive–legislative relationships or participation
by an agency or officer of a state, local or tribal government in policymaking and
administrative processes within the executive branch of that government.
m. Publicity
Pursuant to P.L. 116-260, Division H, Title V, Section 503, the grant award recipient is
not authorized to use any funds provided under this grant award—other than for normal
and recognized executive–legislative relationships—for publicity or propaganda
purposes, for the preparation, distribution or use of any kit, pamphlet, booklet,
publication, electronic communication, radio, television, or video presentation, designed
to support or defeat legislation pending before the Congress or any state or local
legislature or legislative body, except in presentation to the Congress or any state or local
legislature itself, or designed to support or defeat any proposed or pending regulation,
administrative action, or order issued by the executive branch of any state or local
government, except in presentation to the executive branch of any state or local
government itself.
n. Restriction on the Promotion of Drug Legalization
Pursuant to P.L. 116-260, Division H, Title V, Section 509, no Federal funds shall be
used for any activity that promotes the legalization of any drug or other substance
included in Schedule I of the schedules of controlled substances established under
Section 202 of the Controlled Substances Act except for normal and recognized
executive-congressional communications or where there is significant medical evidence
of a therapeutic advantage to the use of such drug or other substance or that federally
sponsored clinical trials are being conducted to determine therapeutic advantage.
o. Restriction on Purchase of Sterile Needles or Syringes
Pursuant to P.L. 116-260, Division H, Title V, Section 527, no Federal funds shall be
used to purchase sterile needles or syringes for the hypodermic injection of any illegal
drug.
p. Salary and Bonus Limitations
Pursuant to P.L. 116-260, Division H, Title I, Section 105, recipients and subrecipients
shall not use funds to pay the salary and bonuses of an individual, either as direct costs or
as indirect costs, at a rate in excess of Executive Level II. The Executive Level II salary
may change yearly and is located on the OPM.gov website (https://www.opm.gov/policy-
data-oversight/pay-leave/salaries-wages/). The salary and bonus limitation does not apply
to contractors (vendors) providing goods and services as defined in 2 CFR 200.331.
Where States are recipients of such funds, States may establish a lower limit for salaries
and bonuses of those receiving salaries and bonuses from subrecipients, taking into
account factors including the relative cost-of-living in the State, the compensation levels
for comparable State or local government employees, and the size of the organizations
that administer Federal programs involved including ETA programs.
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See TEGL 5-06 for further clarification, available at
http://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2262.
13. Public Policy
a. Architectural Barriers
The Architectural Barriers Act of 1968, 42 U.S.C. 4151 et seq., as amended, the Federal
Property Management Regulations (see 41 CFR 102-76), and the Uniform Federal
Accessibility Standards issued by the U.S. General Services Administration (GSA) (see
36 CFR 1191, Appendixes C and D) set forth requirements to make facilities accessible
to, and usable by, the physically handicapped and include minimum design standards. All
new facilities designed or constructed with grant support must comply with these
requirements.
b. Drug-Free Workplace
The Drug-Free Workplace Act of 1988, 41 U.S.C. 702 et seq., and 2 CFR 182 require
that all award recipients receiving grants from any Federal agency maintain a drug-free
workplace. The award recipient must notify the awarding office if an employee of the
recipient is convicted of violating a criminal drug statute. Failure to comply with these
requirements may be cause for suspension or debarment.
c. Executive Orders
12928: Pursuant to Executive Order (EO) 12928, the grant award recipient is strongly
encouraged to provide subcontracting/subgranting opportunities to Historically Black
Colleges and Universities and other Minority Institutions such as Hispanic-Serving
Institutions and Tribal Colleges and Universities; and to Small Businesses Owned and
Controlled by Socially and Economically Disadvantaged Individuals.
13043: Pursuant to EO 13043, Increasing Seat Belt Use in the United States, dated April
16, 1997, the grant award recipients are encouraged to adopt and enforce on-the-job seat
belt policies and programs for their employees when operating company-owned, rented,
or personally owned vehicles.
13166: As clarified by EO 13166, Improving Access to Services for Persons with
Limited English Proficiency, dated August 11, 2000, and resulting agency guidance,
national origin discrimination includes discrimination on the basis of limited English
proficiency (LEP). To ensure compliance with Title VI, recipients must take reasonable
steps to ensure that LEP persons have meaningful access to programs in accordance with
DOL’s Policy Guidance on the Prohibition of National Origin Discrimination as it
Affects Persons with Limited English Proficiency [05/29/2003] Volume 68, Number 103,
pages 32289-32305. Meaningful access may entail providing language assistance
services, including oral and written translation, where necessary. The grant award
recipients are encouraged to consider the need for language services for LEP persons
served or encountered both in developing budgets and in conducting programs and
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activities. For assistance and information regarding your LEP obligations, go to
http://www.lep.gov.
13513: Pursuant to EO 13513, Federal Leadership On Reducing Text Messaging While
Driving, dated October 1, 2009, the grant award recipients and subrecipients are
encouraged to adopt and enforce policies that ban text messaging while driving company-
owned or -rented vehicles or government-owned vehicles (GOV), or while driving
privately-owned vehicles (POV) when on official Government business or when
performing any work for or on behalf of the Government. Recipients and subrecipients
are also encouraged to conduct initiatives of the type described in section 3(a) of this
order.
14005: Pursuant to EO 14005, Ensuring the Future Is Made in All of America by All of
America's Workers, the grant award recipient agrees to comply with all applicable Made
in America Laws (as defined in the EO), including the Buy American Act at 41 USC
sections 8301-8305. For the purposes of this award, the grant recipient is required to
maximize the use of goods, products, and materials produced in, and services offered in,
the United States, in accordance with the Made in America Laws. No funds may be
made available to any person or entity (including as a contractor or subrecipient of the
grant recipient) that has been found to be in violation of any Made in America Laws.
“Made in America Laws” means all statutes, regulations, rules, and Executive Orders
relating to Federal financial assistance awards or Federal procurement, including those
that refer to “Buy America” or “Buy American,” that require, or provide a preference for,
the purchase or acquisition of goods, products, or materials produced in the United States,
including iron, steel, and manufactured goods offered in the United States. Made in
America Laws include laws requiring domestic preference for maritime transport,
including the Merchant Marine Act of 1920 (Public Law 66-261), also known as the
Jones Act.
d. Flood Insurance
The Flood Disaster Protection Act of 1973, as amended, 42 U.S.C. 4001 et seq., provides
that no Federal financial assistance to acquire, modernize, or construct property may be
provided in communities in the United States identified as flood-prone, unless the
community participates in the National Flood Insurance Program and flood insurance is
purchased within 1 year of the identification. The flood insurance purchase requirement
applies to both public and private applicants for the DOL support. Lists of flood-prone
areas that are eligible for flood insurance are published in the Federal Register by FEMA.
e. Hotel-Motel Fire Safety
Pursuant to 15 U.S.C. 2225a, the recipient must ensure that all space for conferences,
and, conventions or training seminars funded in whole or in part with federal funds
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complies with the protection and control guidelines of the Hotel and Motel Fire Safety
Act (P.L. 101-391, as amended). Recipients may search the Hotel-Motel National Master
List at https://apps.usfa.fema.gov/hotel/ to see if a property is in compliance, or to find
other information about the Act.
f. Prohibition on Trafficking in Persons
1. Trafficking in persons.
a. Provisions applicable to a recipient that is a private entity.
I. The grant recipient as the recipient, the grantee’s employees,
subrecipients under this award, and subrecipients' employees may not—
(A). Engage in severe forms of trafficking in persons during the
period of time that the grant award is in effect;
(B). Procure a commercial sex act during the period of time that the
award is in effect; or
(C). Use forced labor in the performance of the award or subawards
under the award.
II. DOL/ETA as the Federal awarding agency may unilaterally terminate
this grant award, without penalty, if the grant recipient or a subrecipient that
is a private entity —
(A). Is determined to have violated a prohibition in paragraph a.1 of
this award term; or
(B). Has an employee who is determined by the agency official
authorized to terminate the award to have violated a prohibition in
paragraph a.1 of this award term through conduct that is either—
i. Associated with performance under this award; or
ii. Imputed to you or the subrecipient using the standards and
due process for imputing the conduct of an individual to an
organization that are provided in 2 CFR Part 180, “OMB
Guidelines to Agencies on Governmentwide Debarment and
Suspension (Nonprocurement),” as implemented by our
agency at 2 CFR Part 2998.
b. Provision applicable to a recipient other than a private entity. DOL/ETA as the
Federal awarding agency may unilaterally terminate this grant award, without
penalty, if a subrecipient that is a private entity—
I. Is determined to have violated an applicable prohibition in paragraph a.1
of this grant award term; or
II. Has an employee who is determined by the agency official authorized to
terminate the award to have violated an applicable prohibition in paragraph
a.1 of this grant award term through conduct that is either—
(A). Associated with performance under this award; or
(B). Imputed to the subrecipient using the standards and due process
for imputing the conduct of an individual to an organization that are
provided in 2 CFR part 180, “OMB Guidelines to Agencies on
Governmentwide Debarment and Suspension (Nonprocurement),”
as implemented by our agency at 29 CFR Part 98.
c. Provisions applicable to any recipient.
I. The grant award recipient must inform DOL/ETA immediately of any
information the grant recipient receive from any source alleging a violation
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of a prohibition in paragraph a.1 of this grant award term.
II. DOL/ETA right to terminate unilaterally that is described in paragraph
a.2 or b of this section:
(A). Implements section 106(g) of the Trafficking Victims
Protection Act of 2000 (TVPA), as amended (22 U.S.C. 7104(g)),
and
(B). Is in addition to all other remedies for noncompliance that are
available to DOL/ETA under this grant award.
III. The grant award recipient must include the requirements of paragraph
a.1 of this grant award term in any subaward the grant recipient make to a
private entity.
d. Definitions. For purposes of this award term:
I. “Employee” means either:
(A). An individual employed by the grant award recipient or a
subrecipient who is engaged in the performance of the project or
program under this award; or
(B). Another person engaged in the performance of the project or
program under this grant award and not compensated by the grant
recipient including, but not limited to, a volunteer or individual
whose services are contributed by a third party as an in-kind
contribution toward cost sharing or matching requirements.
II. “Forced labor” means labor obtained by any of the following methods:
the recruitment, harboring, transportation, provision, or obtaining of a
person for labor or services, through the use of force, fraud, or coercion for
the purpose of subjection to involuntary servitude, peonage, debt bondage,
or slavery.
III. “Private entity”:
(A). Means any entity other than a State, local government, Indian
tribe, or foreign public entity, as those terms are defined in 2 CFR
175.25.
(B). Includes:
i. A nonprofit organization, including any nonprofit
institution of higher education, hospital, or tribal
organization other than one included in the definition of
Indian tribe at 2 CFR 175.25(b).
ii. A for-profit organization.
IV. “Severe forms of trafficking in persons,” “commercial sex act,” and
“coercion” have the meanings given at section 103 of the TVPA, as
amended (22 U.S.C. 7102).
g. Veterans’ Priority Provisions
The Jobs for Veterans Act (Public Law 107-288) requires grant award recipients to
provide priority service to veterans and spouses of certain veterans for the receipt of
employment, training, and placement services in any job training program directly
funded, in whole or in part, by the DOL. The regulations implementing this priority of
service can be found at 20 CFR Part 1010. In circumstances where a grant award
recipient must choose between two qualified candidates for a service, one of whom is a
veteran or eligible spouse, the veterans priority of service provisions require that the grant
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award recipient give the veteran or eligible spouse priority of service by first providing
him or her that service. To obtain priority of service, a veteran or spouse must meet the
program’s eligibility requirements. Recipients must comply with the DOL guidance on
veterans’ priority. ETA’s TEGL No. 10-09 (issued November 10, 2009) provides
guidance on implementing priority of service for veterans and eligible spouses in all
qualified job training programs funded in whole or in part by DOL. TEGL No. 10-09 is
available at http://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2816.
h. Promoting Equitable Delivery of Government Benefits and Equal
Opportunity
The Department of Labor (Labor) seeks to affirmatively advance equity, civil rights and
equal opportunity in the policies, programs and services it provides. Therefore,
consistent with Executive Order 13985, Advancing Racial Equity and Support for
Underserved Communities Through the Federal Government, grant recipients must
execute the terms and conditions of their grant in a manner that advances equity for all,
including people of color and others who have been historically underserved,
marginalized, and adversely affected by persistent poverty and inequality. This extends
to all grant activities including, but not limited to, service delivery, selection of
subrecipients and contractors, and procurement of goods and services. Government
programs are designed to serve all eligible individuals, and Labor’s grantees should make
services the goods and services they provide pursuant to their grants widely available
with the goals of effectively serving a diverse population of eligible individuals; fairly,
justly, and impartially administering the grant evaluation and award processes. Grantees
are encouraged to engage in contracting and subcontracting for goods and services related
to performing the terms and conditions of their grants in such a way to achieve equity.
The term “equity” means the consistent and systematic fair, just, and impartial treatment
of all individuals, including individuals who belong to underserved communities that
have been denied such treatment, such as Black, Latino, and Indigenous and Native
American persons, Asian Americans and Pacific Islanders and other persons of color;
members of religious minorities; lesbian, gay, bisexual, transgender, and queer
(LGBTQ+) persons; persons with disabilities; persons who live in rural areas; and
persons otherwise adversely affected by persistent poverty or inequality.
The term “underserved communities” refers to populations sharing a particular
characteristic, as well as geographic communities, that have been systematically denied a
full opportunity to participate in aspects of economic, social, and civic life, as
exemplified by the list in the preceding definition of “equity.”
i. Harassment Prohibited
The grant recipient and any subrecipients are prohibited from engaging in harassment of an
individual based on race, color, religion, sex, national origin, age, disability, or political
affiliation or belief, or, for beneficiaries, applicants, and participants only, based on
citizenship status or participation in any WIOA Title I-financially assisted program or
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activity. Harassing conduct of this type is a violation of the nondiscrimination provisions of
WIOA and of 29 CFR Part 38.
a) Unwelcome sexual advances, requests for sexual favors, or offensive remarks about a
person's race, color, religion, sex, national origin, age, disability, political affiliation or belief,
or citizenship or participation, and other unwelcome verbal or physical conduct based on one
or more of these protected categories constitutes unlawful harassment on that basi(e)s when:
(1) Submission to such conduct is made either explicitly or implicitly a term or condition
of accessing the aid, benefit, service, or training of, or employment in the administration
of or in connection with, any WIOA Title I-financially assisted program or activity;
(2) Submission to, or rejection of, such conduct by an individual is used as the basis for
limiting that individual's access to any aid, benefit, service, training, or employment
from, or employment in the administration of or in connection with, any WIOA Title I-
financially assisted program or activity; or
(3) Such conduct has the purpose or effect of unreasonably interfering with an
individual's participation in a WIOA Title I-financially assisted program or activity
creating an intimidating, hostile or offensive program environment.
b) Harassment because of sex includes harassment based on gender identity or sexual
orientation; harassment based on failure to comport with sex stereotypes; and harassment
based on pregnancy, childbirth, and related medical conditions. Sex-based harassment may
include harassment that is not sexual in nature but that is because of sex or where one sex is
targeted for the harassment.
14. Technical Assistance, Resources, and Information
Additional resources, training, and information to assist the grant award recipient are located on
the ETA website at https://www.dol.gov/agencies/eta/grants/resources and on the Grants
Application and Management collection page on WorkforceGPS.org at
https://grantsapplicationandmanagement.workforcegps.org/. SMART training is a technical
assistance initiative sponsored by DOL-ETA to assist its grant recipients and subrecipients in
improving its program/project operations through effective grants management. Please take
some time to review the training modules which are focused on:
Strategies for sound grant management that include:
Monitoring,
Accountability,
Risk mitigation and
Transparency.
These four themes are woven throughout the OMB Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards, also known as the Uniform Guidance (2
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CFR Part 200 and 2 CFR Part 2900). The 508-compliant PowerPoints of the modules may be
found on WorkforceGPS.org at the Resource page.
15. Attachments
Attachment A: SF-424
Attachment B: UI Project Synopsis
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Attachment A: SF-424
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Attachment B: Project Synopsis
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UI Tiger Team Project Synopsis
State: Wisconsin
Title: Expand Access to Claims
Statement of Need: The importance of internet access is increasing as the State of Wisconsin
continues to modernize its Unemployment Insurance (UI) Benefit Systems. Currently, 95% of
unemployment insurance claims in Wisconsin are submitted online. However, an estimated
370,000 Wisconsinites, or 6.6% of the state's population 1, does not have home internet access
or a smartphone needed to file their UI claims. This represents a significant barrier to access for
claimants who lack reliable home internet or reliable devices. Additionally, an individual with a
disability can face barriers to filing online due to the accessibility limitations of the existing
system.
In the interest of equity, Wisconsin can ensure that claimants are not limited by either
accessibility requirements or internet access. This can be achieved through developing stronger
community ties, encouraging utilization of community resources such as libraries, local
government offices, job centers and additional department resources. DWD can leverage
community resources to provide claimants with access to information that would otherwise be
found online or that claimants with disabilities would find inaccessible. Additional staff are
needed to review and report on ways to improve offline access for claimants.
An offline option for claimants to access their claim information helps to mitigate a lack of
access to technology. For those who can access their claim through the internet, online
resources serve as the main entrance for seeking information on Unemployment Insurance (UI).
DWD should improve its current online environment that is equitable and accessible to all UI
applicants by conducting a web accessibility audit to pinpoint existing issues and prevent future
ones.
Negotiated Recommendation Summary:
Pathway #1: A team will engage a third-party accessibility engineering firm to conduct a full,
comprehensive audit of the online environment and provide an action and correction guide to
bring the claimant portal into compliance with Web Content Accessibility Guidelines (WCAG).
Once the claimant portal meets accessibility standards, DWD will integrate web accessibility
monitoring technology into the public-facing online environment as a way to provide an ongoing
accessibility score through daily or weekly monitoring of new and existing content.
Pathway #2: The second pathway is to create a “Formalized and Accessible Approach to
Access UI Claims Offline.” The processes that will be identified by this project will provide
claimants with additional ways to file by phone or in-person. By formalizing and reporting on
alternative options (including offline access) while also successfully marketing those alternatives
through use of community partners, DWD can ensure information access to segments of the
population that are experiencing technological barriers (computer, internet, and smartphone).
1
Wisconsin Policy Forum. (2020, May). Wisconsin's digital divide and its impacts on learning. Wisconsin’s Digital Divide and its Impacts on
Learning. Retrieved February 19, 2022, from https://wispolicyforum.org/research/wisconsins-digital-divide-and-its-impacts-on-learning/
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Projected Funding Commitment: Total cost for the whole recommendation, including funding
state FTEs, a vendor, and equipment is $300,493.26.
Project Implementation Order: #1
ARPA Pillar(s) Addressed: Primary Equity, Secondary Timeliness
Estimated Duration:
Pathway #1: 4 months
Pathway #2: 4 months
Outcome Metrics: Increased Recipiency Rate for Individuals with Barriers to Access. Pathway
1. Tracking accessibility score. Tracking individuals with barriers to access using the call center
for assistance to apply prior to Pathway 1 completion vs after Pathway 1 completion. Pathway
2. Number of applications taken by phone and in-person. Number of community resources, by
county, available for claimants to access UI information – tracking on-line, phone, and in-person
capabilities at each resource.
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UI Tiger Team Project Synopsis
State: Wisconsin
Title: Adjudicator Case Management Automation and Enhanced Appeals Scheduling.
Statement of Need:
A. Adjudication Case Management Automation – Currently, DWD assigns adjudication and
fact-finding cases to staff manually. This process requires significant staff resources.
Additionally, DWD’s manual process of assigning cases to adjudicators does not
account for adjudicators that have unscheduled leave or called out sick. Time spent
tracking and monitoring these case assignments manually further increases the amount
of staff time spent on a task which could be automated.
To increase timeliness, DWD needs a Case Management System (CMS) that
automatically assigns claims for adjudication and fact-finding based on employee
workload and expertise. The exact business rules associated with the auto-assignment
of cases will need to be developed by DWD as part of this effort.
B. Enhanced Appeals Scheduling - Since 2015, DWD has made several enhancements to
its appeals process. Specifically, we implemented a central benefits appeals scheduler,
with additional enhancements in 2017 and 2018. Unfortunately, the system lacks the
ability to automatically assign cases based on issue type (i.e. misconduct, work search,
pandemic programs) which means that cases may not be assigned to staff with the right
combination of experience. Additionally, during periods of high-volume cases must be
manually assigned to Administrative Law Judges (ALJs) based on their experience.
The manual assignment of cases to ALJs represents a significant workload on
supervisory staff. Upgrading the system to automatically assign appeals to the
appropriate ALJ will allow DWD to more efficiently utilize our administrative support staff
as well as assist in meeting DOL timeliness standards.
Negotiated Recommendation Summary:
A. Adjudication Case Management Automation - DWD will procure an automated solution
for the case management of their Unemployment Insurance (UI) Benefits claims. This
will require mapping of the current process to determine how to design the automated
system and development of business rules to adjust for things such as employee
availability (due to planned or unplanned absenteeism) and variances in an employee’s
overall knowledge and specific areas of expertise.
B. Enhanced Appeals Scheduling – DWD will develop an improvement to the central
benefits appeals scheduler which will have the capability to assign attributes to appeals
cases as well as proficiencies to individual ALJs. The system will also be able to
automatically assign ALJs to appeals cases by matching their proficiencies with the
specific attributes of each case.
Projected Funding Commitment:
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A. Adjudication Case Management Automation $1,164,307.80
B. Expedited Appeals $251,310.00
Project Total $1,415,617.80
Project Implementation Order: #2
ARPA Pillar(s) Addressed: Ensuring the timely payment of benefits as well as activities to
reduce workload backlogs, for all UC programs.
Estimated Duration: 6-9 months (includes procurement)
Outcome Metrics: Nonmonetary Determination Timeliness – Separations; Nonmonetary
Determination Timeliness – Non-Separations; First Payment Promptness; Average Age of
Pending Lower Authority Appeals; Appeals Time-lapse
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UI Tiger Team Project Synopsis
State: Wisconsin
Title: ID proofing Solution/ID Authentication Solution
Statement of Need: During the height of the pandemic, DWD implemented a National Institute
of Standards and Technology (NIST) compliant identity proofing solution for all claimants as an
initial fraud prevention measure. This implementation was followed by incorporating an artificial
intelligence solution to flag potentially compromised identities (e.g., suspicious email addresses,
and foreign IP addresses). Though the identity proofing solution was suspended, and the AI
solution is set to expire, these prevention and detection tools streamlined Wisconsin's
Unemployment Insurance program fraud detection processes and assisted with better
management of existing workload. Identity proofing as a standalone solution to prevent potential
identity theft is valuable, but this tool is more effective when used in conjunction with additional
fraud prevention measures throughout the identity verification process, such as identity
authentication.
Identity authentication focuses on establishing a combination of inputs to assist in the
authentication of a user’s identity during ongoing transactions. These inputs may include, but
not limited to: device identity, behavioral identity, digital identity, real world identity and phone
number / audio identity.
DWD can increase trust and build confidence in the effectiveness of its identity proofing solution
by implementing additional fraud prevention measures such as identity authentication to
supplement its existing measures.
Negotiated Recommendation Summary: As discussed in UIPL 22-21, addressing both
eligibility fraud and identity fraud remain a top priority for the Department of Labor and the entire
Unemployment Compensation (UC) system. As such, Training and Employment Notice (TEN)
06-21 indicated that the American Rescue Plan Act (ARPA) set objectives for the use of the
$2.0 billion appropriated to the Secretary of Labor by the Act. These objectives are to detect and
prevent fraud, promote equitable access, and ensure the timely payment of benefits regarding
the UC programs. In support of these objectives, the Department competitively awarded multiple
Blanket Purchase Agreements (BPAs) to vendors capable of providing NIST-compliant, IAL2
and AAL2 UI applicant/claimant identity proofing services.
DWD will implement additional identity proofing measures at the start of a claim. Depending on
technical feasibility, this may include an IAL2 identity proofing solution on all new claims at the
initial application claimant transactions, though AAL2 at a minimum as it is less costly. Any
technological option for verification must also have an accessible in-person and/or phone
verification option.
A. Identity Assurance Level (IAL) indicates how robust the ID proofing process is and
how the ID in question is bound between an authenticator and specific person.
Level 2 or “IAL2” requires evidence that supports the real-world existence of the
claimed identity and verifies that the applicant is appropriately associated with this
real-world identity. IAL2 requires either remote or physically present ID proofing and
includes filling out personal information (e.g., name, address, date of birth) and
submitting photos of approved government-issued ID or supporting documents for
remote ID proofing.
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B. Authenticator Assurance Level (AAL) refers to the authentication process and
indicates the confidence that the person trying to log in is the same person as the
person attached to the account. An example of this is multifactor authentication
(MFA). Level 2 or “AAL2” indicates the level of security behind the point of access,
which requires the proof of possession and control of two distinct authentication
methods. Depending on technical feasibility, AAL2 may be implemented for claims
weekly certifications, reentry into the claimant portal and any changes to the
claimant data elements (e.g., banking information, address, etc.) when there is
other evidence of possible identity theft activity.
In further pursuit of this project's security goals, DWD will procure and utilize an identity proofing
and authentication solution, commonly referred to as a device fingerprinting/reputation
management solution, to assist in the virtual identity verification process for all initial and
continued claims.
Identity proofing and authentication solution vendors may often provide an integrated
combination of the digital fingerprinting/reputation management inputs within their solutions. The
exact combination of identification attributes will vary depending on which device fingerprinting
solution is used. Still, most device fingerprinting solutions use a combination of software and
hardware configuration components to create one unique device identifier that allows the
solution to identify each device as a unique point of origination regardless of the UI user
(claimant or employer) account being accessed by the device.
DWD may need to evaluate and procure a different solution for device fingerprinting/reputation
management depending on the availability of integrated solutions in the marketplace that offer
functionalities covering identity proofing and authentication and device fingerprinting/reputation
management. DWD will also analyze and evaluate whether the capabilities offered by NASWA
Integrated Data Hub (IDH) and identity verification (IDV) can meet the requirements for
verification of device fingerprinting/reputation management.
.
Projected Funding Commitment: The approx. total cost for enhancements and training is
$309,260.80.
Project Implementation Order: #3
ARPA Pillar(s) Addressed: Fraud Prevention and Detection
Estimated Duration: 12 weeks
Outcome Metrics: Number of claims prevented that were identified as fraudulent versus the
number of claims held that were later identified as legitimate claims. For claims identified as
fraudulent the number of weeks paid erroneously compared to the number of weeks that
payment was prevented.
DocuSign Envelope ID: 0B950712-43DF-4F75-98E3-1AA2CA183445
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UI Tiger Team Project Synopsis
State: Wisconsin
Title: Integrity Data Hub
Statement of Need: The Department of Labor (Department) issued guidance in Unemployment
Insurance Program Letter (UIPL) No. 28-20, Change 1, indicating that the Department “strongly
encourages states to utilize the tools, resources, and services of the UI Integrity Center.” The UI
Integrity Center has developed the Integrity Data Hub (IDH) which is a secure, robust,
centralized, multi-state data system that allows participating state UI agencies to submit UI
benefit claims for cross-matching, provides a national fraud alert system to states, and supports
data analytics on multi-state claims. The Wisconsin Department of Workforce (DWD) has been
working with National Association of State Workforce Agencies (NASWA) to integrate IDH and
transition it to a web service.
The IDH web service would enable the DWD to automatically obtain suspicious activity
indicators and identity verification (IDV) scores in real time on the front end of a claim. This
automation would allow the agency to identify and investigate suspicious claims, prioritize staff
workload and re-allocate staff as needed to combat fraud.
Currently, Wisconsin's IDH is set up as a "test environment" and not for web services, which
means that the system is partially connected to DWD's existing systems. This hinders DWD
from fully using many of the capabilities of the IDH system because the system has not been
migrated to full use by staff.
Negotiated Recommendation Summary: As discussed in UIPL No. 22-21, addressing both
eligibility fraud and identity fraud remain a top priority for the Department and the entire
Unemployment Compensation (UC) system.
DWD will integrate the NASWA-developed and maintained IDH in the form of web service into
the current system to assist with preventing and detecting suspicious activity in real time.
Additionally, DWD will integrate IDH’s web service including identity verification (IDV) scores
directly into DWD’s existing fraud detection/ case management solution, which can ingest IDH
data into existing platforms. This type of integration will promote a centralized repository of fraud
prevention and detection information for investigators and will strengthen the methodology used
to assign a fraud score and prioritize claims for review.
DWD has existing relationships with IT vendors and may need to make a change request to
build, maintain, and integrate a web service interface into its benefits system and IDH. DWD will
need IT staff and business analysts to work with NASWA to establish and integrate IDH into
DWD's IT infrastructure and operations.
DWD will also evaluate if the vendor(s) providing identity proofing, verification and
authentication solution, device fingerprinting/reputation management solution can provide
capabilities that are similar to IDH or IDV. DWD will decide to use the most effective
combination of solution(s) to address both eligibility and identity fraud in the UC system.
Projected Funding Commitment: $358,867.20
Project Implementation Order: #4
DocuSign Envelope ID: 0B950712-43DF-4F75-98E3-1AA2CA183445
Case 1:26-cv-01505-EMR Document 1-5 Filed 10/09/26 Page 46 of 99
ARPA Pillar(s) Addressed: Fraud Prevention and Detection
Estimated Duration: 12 weeks
Outcome Metrics: Number of claims prevented that were identified as fraudulent versus the
number of claims held that were later identified as legitimate claims. For claims identified as
fraudulent the number of weeks paid erroneously compared to the number of weeks that
payment was prevented.
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Department of Labor Notice of Award
Award# 23A55UI038237-01-04
FAIN# UI382372255A55
Federal Award Date: 09/20/2024
Recipient Information Federal Award Information
1. Recipient Name 11. Award Number
WORKFORCE DEVELOPMENT, WISCONSIN 23A55UI038237-01-04
12. Unique Federal Award Identification Number (FAIN)
DEPARTMENT OF
UI382372255A55
201 E Washington Ave 13. Statutory Authority
Madison, WI 53703-2866 American Rescue Plan Act (ARPA), P.L. 117-2
(608) 707-6609
14. Federal Award Project Title
2. Congressional District of Recipient AMERICAN RESCUE PLAN-UI TIGER TEAM GRANT
02
3. Payment System Identifier (ID)
1396006449A6 15. Assistance Listing Number
4. Employer Identification Number (EIN) 17.225
396006449
16. Assistance Listing Program Title
5. Data Universal Numbering System (DUNS) Unemployment Insurance
809448012
6. Recipient’s Unique Entity Identifier (UEI) 17. Award Action Type
DCPVMWRT3DR4 DOL - No Cost POP Extension
7. Project Director or Principal Investigator 18. Is the Award R&D?
No
Ms. Michele Carter
Michele.Carter1@dwd.wisconsin.gov Summary Federal Award Financial Information
608-267-7196
19. Budget Period Start Date 01/01/2022 - End Date 09/30/2025
20. Total Amount of Federal Funds Obligated by this Action $0.00
8. Authorized Official
20a. Direct Cost Amount $0.00
MS. Pamela McGillivray 20b. Indirect Cost Amount $0.00
Pamelar.McGillivray@dwd.wisconsin.gov
21. Authorized Carryover $0.00
608-267-7277
22. Offset $0.00
23. Total Amount of Federal Funds Obligated this budget period $4,210,136.52
Federal Agency Information
24. Total Approved Cost Sharing or Matching, where applicable $0.00
ETA Office of Grants Management
25. Total Federal and Non-Federal Approved this Budget Period $4,210,136.52
9. Awarding Agency Contact Information 26. Period of Performance Start Date 01/01/2022 - End Date 09/30/2025
Ms. Shawaan L Caridine
27. Total Amount of the Federal Award including Approved
Grant Specialist
Cost Sharing or Matching this Period of Performance $4,210,136.52
caridine.shawaan@dol.gov
312-596-5427
28. Authorized Treatment of Program Income
10.Program Official Contact Information ADDITIONAL COSTS
Jean M Grochowski
29. Grants Management Officer – Signature
UI Program Specialist
Ms. Jane Young Yoon
grochowski.jean@dol.gov
Grant Officer
(312) 596-5521
30. Remarks
To extend the Period of Performance to September 30, 2025 in accordance with Attachment #1 of this Amendment.
Page 1
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Department of Labor Notice of Award
Award# 23A55UI038237-01-04
FAIN# UI382372255A55
Federal Award Date: 09/20/2024
Recipient Information 33. Approved Budget
(Excludes Direct Assistance)
Recipient Name I. Financial Assistance from the Federal Awarding Agency Only
WORKFORCE DEVELOPMENT, WISCONSIN II. Total project costs including grant funds and all other financial participation
DEPARTMENT OF a. Salaries and Wages $488,848.16
201 E Washington Ave
b. Fringe Benefits $238,586.92
Madison, WI 53703-2866
(608) 707-6609 c. Total Personnel Costs $727,435.08
d. Equipment $0.00
Congressional District of Recipient
02 e. Supplies $0.00
Payment Account Number and Type f. Travel $0.00
1396006449A6
Employer Identification Number (EIN) Data g. Construction $0.00
396006449 h. Other $377.91
Universal Numbering System (DUNS)
i. Contractual $3,378,583.82
809448012
Recipient’s Unique Entity Identifier (UEI) j. TOTAL DIRECT COSTS $4,106,396.81
DCPVMWRT3DR4
k. INDIRECT COSTS $103,739.71
31. Assistance Type l. TOTAL APPROVED BUDGET $4,210,136.52
Formula Grant
m. Federal Share $4,210,136.52
32. Type of Award
Other n. Non-Federal Share $0.00
34. Accounting Classification Codes
FY-ACCOUNT NO. DOCUMENT ADMINISTRATIVE OBJECT CFDA AMT ACTION FINANCIAL APPROPRIATION
NO. CODE CLASS NO. ASSISTANCE
050179830X1D20220179001622ARP002A0000AOWS00AOWS00 UI38237MO0 ETA 410010 17.225 $0.00 0179830X1D
050179830X1D20230179001623ARP002A0000AOWS00AOWS00 UI38237SB0 ETA 410010 17.225 $0.00 0179830X1D
Page 2
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AWARD ATTACHMENTS
WORKFORCE DEVELOPMENT, WISCONSIN DEPARTMENT OF 23A55UI038237-01-04
1. Request Letter
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Department of Workforce Development
Unemployment Insurance Division
201 E. Washington Avenue
P.O. Box 7905
Madison, WI 53707
Tony Evers, Governor
Amy Pechacek, Secretary
September 10, 2024
Ms. Jane Yoon
Grant Officer
U.S. Department of Labor
Employment and Training Administration
230 S. Dearborn, 6th Floor
Chicago, IL 60604
POP Extension Request - No Change in Total Budget - Tiger Teams Grant Award under UIPL No. 02-22,
Grant UI-38237-22-55-A-55)
Dear Ms. Yoon:
The Wisconsin Department of Workforce Development's (DWD) Unemployment Insurance (UI) Division
received $4,210,136.52 under the U.S. Department of Labor's ARPA UI Tiger Teams Grant, (UIPL 02-22).
This grant has funded seven individual projects that will help DWD deliver UI benefits to Wisconsin residents
more securely, quickly, and equitably. This grant's current period of performance is January 1, 2022, to
September 30, 2024.
To date, DWD has completed the 8 projects with the following outcomes:
Expand Access to Claims
Pathway 1: Implemented Web Content Accessibility Guide (WCAG 2.1) which improves access for
claimants with a variety of disabilities. These improvements ensure that Wisconsin UI claimants are
able to fully access UI benefits regardless of disability.
Pathway 2: DWD published a toolkit created for non-profits and other community partners who assist
claimants with the UI process. It contains:
• ideas for outreach and support– what action can the partner take to educate and assist
claimants with access their UI benefits.
• a directory of resources -- Online UI resources including web pages, publications, videos and
more on the UI process
• Training – an online training package that provides basic knowledge about the UI program
allowing the partner to service UI claimants more effectively
• Event Flyer Template – A flyer partners can use to announce the unemployment event the
partner may be hosting.
In addition, we provided claimant material the partner can provide to the claimant to help understand
the UI process. They can be distributed directly with claimants, or displayed in easily accessible
areas:
• Outreach brochure on how to apply for UI Benefits. It is provided in English and Spanish and
can be printed.
• Desk guide which lists necessary documents for applying online available in English and
Spanish
UCD-7352-1-E (R. 08/2023)
Case 1:26-cv-01505-EMR Document 1-5 Filed 10/09/26 Page 97 of 99
• Video which provides an overview on how to file for UI benefits and how to meet Wisconsin
work search and wage reporting requirements. Available in English and Spanish.
This toolkit has been downloaded 1,992 times (as of August 2024). The tool kit can be found at:
https://dwd.wisconsin.gov/ui/toolkit/training.htm
Adjudication Case Scheduler Automation
Pre-project baseline workload was 4 support staff approximately 55 hour/week to assign the work to
all adjudicators.
With the scheduler it takes 1 support staff approximately 12.5 hours/week to assign the work to all
adjudicators. We expect that time to continue to improve as enhancements are made.
We assign adjudicators cases 5 days a week.
Pre-project: 2,860 hours per year (1.63 FTE). Post project 650 hours per year (0.37 FTE). 77.27%
reduction in staff time needed for this task. 1.26 FTE reduction is staff time.
Estimated annual staff cost savings: $88,331.67.
Enhanced Appeals Scheduling
Appeal scheduler: DWD implemented process and system improvements when performing the
following tasks:
• Allowed the ability to scheduled appeals cases statewide as "first-in/first-out"
• Move cases from one day to another before scheduling
• ability to schedule cases by Issue Family, Case Units, or aging
• Remove duplicate cases or activities as a batch process
Schedule cases Newest to Oldest
ID Proofing
Since implementation in April 2023, 34,847 instances of potential fraud were identified. These
identified claims prevented payment of at least $11.9 million in potentially fraudulent benefits.
Identity Data Hub
IDH connection went live in the quarter ending September 2022. Since then, we have used this
connection to scan 1076 potentially fraudulent claims. A fraud issue was identified in 129 with a total
of $1,098,016 in total payments prevented.
Improved Claimant Experience
Changes were made based on focus groups conducted with UI Claimants to determine areas where
DWD could clarify information requests or portal workflows.
The improved messages and instructions help claimants to submit their wage and work records
properly which will reduce overpayments.
Focus group testing also showed that claimants wanted additional options for requesting help from
DWD staff. New "I need Help" buttons were added where claimants can request assistance with their
claim.
Claimant instructions were also clarified to be consistent with DWD's plain language initiative.
Knowledge Base Tool
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DWD has created a knowledge base tool to provide staff with an easily accessible single source of
information for processing UI benefits claims. Each article is a searchable, central repository or
information that allows staff to access the same information across program areas. As of August
2024, DWD has released 49 articles of interest across all areas of UI operations.
Over the last year, DWD have access these articles over 65,000 times.
Article Article
Year
subscriptions views
Sep 2023 0 1140
Oct 2023 1 3129
Nov 2023 4 3592
Dec 2023 2 4076
Jan 2024 0 4973
Feb 2024 4 4716
Mar 2024 4 5578
Apr 2024 10 4967
May 2024 54 8676
Jun 2024 66 8303
Jul 2024 55 9039
Aug 2024 7 7248
Top 10 Knowledge Base Articles:
1. Adjudication Complaints
2. Adjudication Codes
3. Approved Union Waiver
4. Adjudication Questionnaire Instructions
5. Adding an Employer
6. Add an Eligibility Issue
7. Appeals (General)
8. Adjudication Complaints: Eligibility Issue Resolved
9. Incomplete Weekly Claim
10. Identity Fraud Hotline
Behavioral Insights
This project incorporated strategies, revised messaging, and changed portal design features to
improve customer experience, reduce user errors, and prevent fraudulent claims.
In the quarter ending June 2024, we measured the following impacts:
• 86% of applicants fixed their reported wages after they received a message informing them
that they reported less than the minimum hourly rate.
• 35% of claimants who were asked to confirm that they did not work during the benefit week
returned and added wages to the weekly claim.
Both these metrics illustrate a reduction in potential fraud/overpayment from this project.
I am writing today to request a one-year extension to the period of performance for this grant. DWD needs
the additional time to complete the following five projects:
Taskification for We anticipate that work will in November 2024 and wrap up in mid-2025.
support work Delays were caused by lack of programming and technical staff who were
working on other DWD modernization projects.
NICE Cedars Development on this project is currently in progress. We anticipate that it
reporting will be complete by the end of 2024.
Case 1:26-cv-01505-EMR Document 1-5 Filed 10/09/26 Page 99 of 99
Mobile Application Technical and logistical issues have been identified with this project. It may
not be cost effective given the mobile friendliness of our current and
upcoming modernized systems. We need an additional year to either
resolve these issues or reprogramming to make best use of them.
Customer We are currently sourcing CRM software. We have been working with
Relationship vendors to potentially integrate this with our call center cloud vendor with
Manager CRM solution involved. This procurement process has taken considerable
time and has caused delays. The procurement process is in process and is
expected to be completed by November 2024.
Adjustments and Work on this project is anticipated to start in November 2024 and wrap up
Special Programs in July 2025. Delays were caused by lack of programming and technical
Taskification staff who were working on other DWD modernization projects.
As of today, the balance of unobligated funds is $1,103,535.42. DWD will use these funds to complete the
above projects. Additionally, we will use the extended period of performance to identify which current Tiger
Team projects will have a budget surplus upon completion and develop new projects to make use of those
funds.
Finally, on September 15, 2023, DWD received an additional $263,413 under UIPL 11-23. These funds are
currently budgeted to support the Mobile Application (Project 11).
Please contact Jim Clemson, UI budget director at jim.clemson@dwd.wisconsin.gov or 608-707-6609 for
additional information.
Sincerely,
Pamela McGillivray
Deputy Secretary
Department of Workforce Development
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