FY 2014 LMI Cooper FY 2014 LMI Cooperative Agreement

U.S. Department of Labor

Date

:

Bureau of Labor Statistics
2 Massachusetts Ave., N.E.
Washington, D.C. 20212

June XX, 2013

LMI Administrative Memorandum No. S-13-XX
MEMORANDUM FOR

:

STATE WORKFORCE AGENCY ADMINISTRATORS
BLS REGIONAL COMMISSIONERS

FROM

:

JAY A. MOUSA
Associate Commissioner
Office of Field Operations

SUBJECT

:

2014 Labor Market Information Cooperative Agreement Application Package

1.

Purpose: This is to transmit the Office of Management and Budget (OMB) approved 2014 LMI Cooperative
Agreement (CA) application materials to State agencies for the operation of the Labor Market Information
(LMI) cooperative statistical programs and activities, alert State agencies to those areas of the CA that have
changed, and state BLS policy on staff time charging.

2.

Office of Management and Budget Paperwork Reduction Act Approval: The BLS received OMB approval of
the LMI CA application package through May 31, 2015. Under this approval, changes in the work statements
will be reviewed every year by the OMB and published in the Federal Register for 30 days if any of the
changes are deemed substantive to the information collection burden. The approval number for this decision
is 1220-0079.

3.

Summary of Changes: In addition to some minor editorial corrections and routine updates of reference dates,
we have made other, more significant changes to the CA, including eliminating references to the Mass Layoff
Statistics (MLS) program. Note, references to MLS have been maintained in the Confidentiality section of the
Administrative Requirements. The changes are described below, organized by Part and Section of the CA.

PART I., ADMINISTRATIVE REQUIREMENTS
Section A., Introduction
• The description of MLS has been removed.
Section E., Program Funding
• First Paragraph – The two sentences describing MLS’ unique funding situation have been removed.
Section K., Budget Variances
• The fourth bullet that describes unique budget variances for MLS has been removed.
Section S., Confidentiality
Changes have been made to this section to clarify distinctions between respondent identifiable information and prerelease information. Changes also have been made to clarify the requirements when individuals are receiving
access to only pre-release information.
•

2.e.- The tense has been changed to reflect that the MLS data has been collected prior to FY 2014, since
new data will not be collected.

•

In part 4,”Access to Confidential Information,” two bullets have been altered significantly (4.b. and 4.h.,
previously 4.e.) and three bullets (4.c., 4.d., and 4.f.) have been added to better define this area.

•

4.b.- This bullet has been updated to read: State employees may not have access to respondent
identifiable information collected on behalf of the BLS for exclusively statistical purposes, unless they are
designated as “authorized agents” of the BLS. For the purposes of this cooperative agreement,
“authorized agents” are defined as individuals who have been authorized by the BLS to receive access to

Memorandum for State Workforce Administrators and BLS Regional Commissioners – 2

respondent identifiable information for work on the activities directly covered by this cooperative
agreement and who have signed a BLS Agent Agreement.
•

4.c.- This bullet has been updated to read: State employees may not have access to pre-release
information, unless they are designated as “authorized agents” of the BLS (as described in section 4.b.) or
they have been approved for access to pre-release information as certified by the State Cooperating
Representative. A copy of the certification form is included as part of the application materials in Part III.

•

4.d.- This bullet has been updated to read: The BLS may revoke an agent agreement or revoke an
individual’s access to pre-release information at any time and without advance notice.

•

4.f.- This bullet has been updated to read: The State agency agrees to recertify on an annual basis through
the Cooperating Representative that State employees approved for access to only pre-release information
have been provided the “Conditions for Handling BLS Pre-Release Information”(included as part of the
application materials in Part III) and have indicated their understanding and acceptance of those
conditions. State employees approved for access to only pre-release information are not required to take
the annual confidentiality training referenced in section 4.e.

•

4.h.- This bullet has been updated to read: State agencies may allow remote access to confidential
information from offsite locations, provided that employees comply with all telework requirements as
described in Section T.30. The State agency will annually provide the BLS Grant Officer with the names
of employees approved for telework and will provide updates as they arise. The BLS Grant Officer
reserves the right to prohibit access to confidential information.

•

5.d.- The following has been added to the middle of the sentence: “or those individuals approved for
access to only pre-release information.”

•

5.e.i.- The item has been updated to read: Not to disclose the confidential information in any form to
anyone who is not an authorized agent (in the case of respondent identifiable information), approved
individual (in the case of pre-release information), or employee of the BLS.

•

6.a.- Confidential statistical data has been changed to respondent identifiable information, and “with
regard to access to all confidential information” has been added to the end of the sentence.

•

6.b.- The phrase “the confidential” has been replaced with “respondent identifiable information.”

•

6.c.- This bullet has been added to read: Access to pre-release information must be limited to contractor
officers and employees who have been designated agents by the BLS or approved for access to only prerelease information as certified by the State Cooperating Representative.
Section T., Data and Communications Safeguards
•

T.27.- This item is now titled “Transmission of Confidential Information” with a description that reads:
In order to ensure secure transmission of BLS confidential information, the following conditions must be
met. It is now broken into three sub-items.

•

T.27.a.- This is the previous T.27.

•

T.27.b.- This is the previous T.28. and has been updated to ensure the security of confidential information
if sent from non-BLS provisional email accounts.

•

T.27.c.- This item has been added to cover transmission of confidential data via portable media.

•

T.29.d.- The term “Enforce” has been replaced with “Enforcement of.”

•

T.29.g.- A new condition has been added that reads: Compliance with BLS policy related to State access
to confidential data as promulgated via technical memos.

Forms
•

References to MLS have been removed from the LMI 1A, LMI 2A, LMI BV, LMI FRW A, and LMI
FRW B.
PART III., APPLICATION MATERIALS
Statement of Assurance for Information Security for the Bureau of Labor Statistics
•

A note has been added at the top that reads: This statement is included solely to provide assurances of
BLS security to States. No State action is expected.

Memorandum for State Workforce Administrators and BLS Regional Commissioners – 3

Statement of Assurance for Information Security for the State of
•

4.- The first sentence has been updated to read: The State regularly audits and monitors its compliance
with State regulations and standards.

Work Statements
REQUIREMENTS FOR ALL PROGRAMS
• Reference to MLS has been removed.
Section M., Establishing Publication Dates
•

The section title has been changed from “Publicizing Publication Dates” to “Establishing Publication
Dates.”

•

The section has been updated to reflect circumstances under which changes to release schedules are
acceptable and how to handle such changes.

CURRENT EMPLOYMENT STATISTICS PROGRAM
•

A separate work statement has been added for Puerto Rico, as well as a separate work statement for the
U.S. Virgin Islands due to their deliverables being different than the 50 States and DC.

•

The phrase “CES State Operations Manual” has been changed to “CES State Operating Manual”
throughout.
Section A., Program Information
•

Second Paragraph- The second sentence has been updated to read: State agencies are responsible for
providing information on local events and on employment not covered by the UI program, improving the
quality of the benchmark data, and for publication and analysis of CES data in cooperation with the BLS.

• Third Paragraph- The Reference to the Automated CES web has been removed.
Section B., Deliverables
•

B.Annually.3.a.- A requirement has been added to read: Provide updates through the third quarter to
establishment location, industry, and other changes identified after submission via the standard QCEW
deliverable, to improve the quality of the CES benchmark data. Updates to the benchmark may include
adjustments such as: new information on non-covered employment; adjustments to summer education
employment; updates to unclassified employment; and corrections to predecessor/successor relationships,
noneconomic codes changes, QCEW misreporting, and prior quarter corrections. .

•

B.Annually.3.b.- A requirement has been added to read: Provide an annual summary of State contribution
to the benchmark.

•

B.Quarterly.1.- The requirement has been updated to read: OPTIONAL: If the State Agency elects to,
provide a report on outreach activities that included analysis and/or dissemination of CES data.

•

B.Monthly.1.c.- The requirement has been updated to read: OPTIONAL: If the State Agency elects to,
deliver to BLS a written analysis of the estimates.
Section C., Program Performance Requirements
•

The opening description has been updated to read: Specifics on the methods for CES State requirements
are described in the CES State Operating Manual.

• C.1.- The phrase “non sample events” has been changed to “local events.”
Section D., Quality Assurance Requirements
•

D.1.- The second sentence has been updated to read: This includes non-disclosure of estimates prior to
publication, using standards outlined in the LMI Cooperative Agreement Section S “Confidentiality,”
CES State Operating Manual, and program memoranda.
Section E., Exclusions
•

First Bullet- The third sentence has been updated to read: If a State chooses to solicit additional nongovernment units in non-CES areas, the solicited sample size is limited to 10 percent of the States’ CES
non-government sample size (based on the number of UI accounts in the sample).

Memorandum for State Workforce Administrators and BLS Regional Commissioners – 4

CURRENT EMPLOYMENT STATISTICS PROGRAM FOR PUERTO RICO
•

The phrase “CES State Operations Manual” has been changed to “CES State Operating Manual”
throughout.

• The word “Territories” has been changed throughout to “the Territory.”
Section A., Program Information
• Third Paragraph- The reference to the Automated CES web has been removed.
Section B., Deliverables
•

B.Monthly.3.a.- The requirement has been updated to read: OPTIONAL: If the territory elects to deliver
to BLS a written analysis of the estimates.

•

B.Quarterly.2.- The requirement has been updated to read: OPTIONAL: If the territory elects to, provide
a report on outreach activities that included analysis and/or dissemination of CES data.

•

B.Annually.1.- The requirement has been updated to read: Provide supplemental information on
employment not covered by the UI program.

•

B.Annually.3.- The requirement has been added to read: Review and provide input on BLS’ proposed
publication cells. Any changes BLS makes to these cells will be based on BLS publication guidelines.
These guidelines include review and modification to assure adequate sample for estimation of
employment, and all employee payrolls, as well as definitional changes mandated by OMB to
metropolitan areas and industry classification systems. These guidelines also establish the minimum
required cell structure for each data type.

•

B.Annually.4.- A requirement has been added to read: Review new seasonal factors and seasonally
adjusted data in accordance with BLS specifications.

•

B.Annually.5.- A requirement has been added to read: Review new net birth/death factors, identifying
those factors that need additional BLS review and identify possible outliers from within the factor’s
history.

• B.Territory and Area Estimates.2.- The reference to “found on page 5” has been removed.
Section C., Program Performance Requirements
•

The opening description has been updated to read: Specifics on the methods for conducting the CES
monthly survey are described in the CES program documentation.

•

C.2.a.- The last sentence has been updated to read: The Territory will utilize the standard CES quota
methodology and procedures for all government industry series.
Section D., Quality Assurance Requirements
•

D.1.- The second sentence has been updated to read: This includes non-disclosure of estimates prior to
publication, using standards outlined in the LMI Cooperative Agreement Section S “Confidentiality,”
CES State Operating Manual, and program memoranda.
Section E., Exclusions
•

First Bullet- The third sentence has been updated to read: If a State chooses to solicit additional nongovernment units in non-CES areas, the solicited sample size is limited to 10 percent of the States’ CES
non-government sample size (based on the number of UI accounts in the sample).

CURRENT EMPLOYMENT STATISTICS PROGRAM FOR VIRGIN ISLANDS
•

The CES U.S. Virgin Islands work statement contains the same changes as the CES Puerto Rico work
statement, except for the following, which are only in the Puerto Rico work statement:
o B.Annually.3.
o B.Annually.4.
o B.Annually.5.
LOCAL AREA UNEMPLOYMENT STATISTICS PROGRAM
Section C., Quality Assurance Requirements
•

Old C.5., C.6., and C.8.- These requirements have been deleted.

•

C.7., C.9-C.19.- These items have been renumbered accordingly.

Memorandum for State Workforce Administrators and BLS Regional Commissioners – 5

•

C.6.- The phrase “ICON system” has been replaced with “LADT system.”

•

C.13.- This requirement has been updated to read: The State agency will participate in the review of
proposed changes to LAUS estimating methodology and possible operational aspects of their
implementation. The details and dates will be specified in technical memoranda.

OCCUPATIONAL EMPLOYMENT STATISTICS PROGRAM
• All dates have been updated for FY 2014.
Section A., Program Information
•

Paragraph 3- Two sentences have been added to the end that read: An additional item in the FY 2014
requirements is that States will participate in SPAM testing. An S-memo will outline the specifics of this
testing.

•

Paragraph 4- This paragraph has been updated to reflect important FY 2014 OES dates.

•

Paragraph 5- This paragraph has been updated to reflect mailing and printing policies.

•

Paragraph 6- This paragraph has been updated to reflect deliverable requirements.

Section B., Deliverables
•

B.4. This deliverable has been updated to read: Interim master files containing at least a 60 percent usable
response rate, including wages, in either units or employment for each area. The response rates are for
each sampled area. The master file will reflect coding to the full OES occupational structure.

•

B.5. This deliverable has been updated to read: Clean final master files for each of the OES panels (20132 and 2013-4) containing at least a 75 percent usable response rate, including wages, in either units or
employment for each sampled area, including the portion of the State in an interState MSA. The master
file will reflect coding to the full OES occupational structure. The file must also contain a minimum of
65% usable response rate for employment, Statewide. These requirements can also be satisfied if the
combined response rate for the May 2013 and November 2013 panels is at least 75 percent in either units
or employment for each area and 65 percent usable employment Statewide.
Section C., Program Performance Requirements
•

New C.3.b.- This requirement has been added and reads: States will participate in testing of the OES
software and submit results of their testing to BLS.

QUARTERLY CENSUS OF EMPLOYMENT WAGES
• All dates have been updated for FY 2014.
Section B., Deliverables
• B.8.- The phrase “micro and macro file” has been changed to “a single quarter microfile.”
Section C., Program Performance Requirements
•

C.4.a.- This requirement has been updated to reflect specifics on States’ maintenance of criteria and
performance requirements.

•

C.4.e.- The requirement now specifies that updated address information should be submitted to the BLS
no later than the first quarter EQUI deliverables file.

•

C.5.- The last sentence of this requirement has been updated to read: For new employer accounts with no
product or economic activity and/or geographical information, provide a CARS NCA file to BLS or send
a BLS-3023 NCA form to collect this information on a flow basis.

•

C.7.- The phrase “For systems operated and maintained in the States” has been had to the first sentence.
The previous second sentence was deleted.

•

C.10.b.- This requirement has been added and reads: States will review files from new respondents to the
Electronic Data Interchange Center on a quarterly basis. States will assign RUNs and applicable
Comment, NAICS, and CTY codes to each establishment. Workflow will be determined by the number
of new respondents to EDI in a given quarter.

Memorandum for State Workforce Administrators and BLS Regional Commissioners – 6

•

C.16.- A sentence has been added to the end of this requirement and reads: States will address 90 percent
of units over 100 that have county codes that do not match geocoded county codes by fourth quarter.
Section D., Quality Assurance Requirements
•

D.3.- This requirement has been updated to read: Edit and review all new and updated records prior to
submittal to the BLS. Ensure that the EQUI file is complete and not missing extracted or data supplied
via CARS, ARS Web, TRS, NVM Web, EDI, MWR Web, and MWR Print.

•

D.10.e.- This requirement has been updated to read: Mail or provide MWR Print files to BLS according
to the schedule established in technical memorandum (S-11-11).
Section E., Implementing the New QCEW State System
•

This section has been removed from the QCEW work statement.

MASS LAYOFF STATISTICS PROGRAM
This work statement has been removed from the LMI CA package.
4.

Fund Ledger Codes (FLCs): State agencies are requested to use the following State Employment Security
Agency Cost Accounting System-like fund ledger codes (FLCs), or their Financial Accounting and Reporting
System equivalents, for the programs and activities funded during 2014. Where these codes cannot be
accommodated in State accounting systems, State agencies will still need to know these FLCs for drawing
down funds, since they are used as subaccount numbers within the HHS Payment Management System.
Where States must use different FLCs than those that follow, they must inform regional staff of the numbers
used to identify the BLS LMI programs.
PROGRAM
CES
LAUS
OES
QCEW

5.

FLC
91214
91224
91234
91244

AAMC
CES
LAUS
OES
QCEW

FLC
91414
91424
91434
91444

Certification of Staff Time Charging: According to OMB Circular A-87, State staff must accurately reflect
their time according to the activity worked; therefore, using predetermined percentages to allocate time
charges among activities is prohibited.
Furthermore, any State staff member who reports to a supervisor responsible for more than one Federal award
or cost objective, and the employee charges only against one award, the State grantee must certify semiannually that the work being charged for those employees relates exclusively to that award. See Attachment
B (Selected Items of Cost) of Circular A-87 for further guidance on this requirement. Note that States with
time and attendance systems that account for employees’ time at the project code level on a weekly, biweekly, or monthly basis are already in compliance with this requirement.

6.

Policy on Staff Time Charging: To properly administer BLS programs, the States must adhere to the
following BLS policy on staff time charging:
a.

When submitting financial reports, the States are certifying that the reports are correct and, thus, that time
charges are accurately recorded.

b.

The States should use the budget variance process as the correct mechanism to balance marginal
differences in spending among the programs.

c.

Regional staff is required to report any indication of misrepresentation of staff working on their program.

The BLS regional offices are required to review BLS policy on staff time charging and other administrative
reporting requirements with State LMI Directors on an annual basis.

Memorandum for State Workforce Administrators and BLS Regional Commissioners – 7

7.

Statement of Assurance: The State Authorizing Official for security for the State must complete a Statement
of Assurance for Information Security. The BLS State Cooperative Representative is to submit the completed
Statement of Assurance for Information Security to his or her respective BLS regional office as instructed in
Part II. Application Instructions, Section C.8. of the CA. A copy of the Statement of Assurance for
Information Security will be returned to the State once the BLS Authorizing Official has reviewed the
statement and authorized the interconnections in official office memoranda.

8.

Financial Reporting Requirements: By signing the CA, grantees are agreeing to the financial reporting
requirements it contains. State agencies are reminded of the requirement for all programs concerning
financial reporting, “D. Submission of Reports.” In 2010, the Office of Inspector General conducted an audit
of several State agencies for the LMI program. The audit found problems with States submitting monthly
financial reports on time. State agencies are reminded that monthly financial reports must be submitted to the
BLS regional office within thirty (30) days of the end of the reporting period. As with all other requirements,
if a State anticipates that will be unable to comply with the requirement, it must apply for and receive
approval for a variance.
In addition, the Federal Financial Report (FFR) must be completed each quarter online at HHS-PMS. The
FFR must be completed within 30 days of the end of the quarter. If the State fails to complete the report
within this time frame, a hold will be placed on their HHS-PMS account until the FFR has been filed.

9.

Action Required: State agencies are requested to develop their draft and final CA applications and submit
materials to the appropriate BLS regional office in accordance with the following schedule:
FY 2013-14 Schedule
Draft Cooperative Agreement applications due in regional office ............................ TBD in regional office
Requests for program variance due in national office ............................................... July 1-5, 2013
One original and two copies of the final CA application due in regional office ....... August 9, 2013
Executed Cooperative Agreement due in national office .......................................... August 30, 2013
Cooperative Agreement effective ............................................................................. October 1, 2013
State and regional offices should transmit all CA materials via UPS.

10.

Inquiries: Please direct all inquiries to the BLS regional office.

11.

Effective Date: Immediately.
Attachment: 2014 Labor Market Information Cooperative Agreement.

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2014
LABOR MARKET INFORMATION
COOPERATIVE AGREEMENT

PART I. ADMINISTRATIVE REQUIREMENTS
PART II. APPLICATION INSTRUCTIONS
PART III. APPLICATION MATERIALS

OMB Approval Number 1220-0079; expires 05/31/2015

[This page intentionally left blank.]

TABLE OF CONTENTS
I. ADMINISTRATIVE REQUIREMENTS ....................................................................................................... 1
A. INTRODUCTION .............................................................................................................................................. 1
1. Current Employment Statistics (CES) .......................................................................................................... 1
2. Local Area Unemployment Statistics (LAUS) .............................................................................................. 1
3. Occupational Employment Statistics (OES) ................................................................................................ 1
4. Quarterly Census of Employment and Wages (QCEW) ............................................................................... 1
B. AUTHORIZING LEGISLATION .................................................................................................................... 1
C. ELIGIBLE APPLICANTS ................................................................................................................................ 2
D. REGULATIONS AND REFERENCE DOCUMENTS .................................................................................. 2
E. PROGRAM FUNDING ..................................................................................................................................... 2
F. CASH MANAGEMENT .................................................................................................................................... 2
G. COST GUIDELINES ......................................................................................................................................... 3
1. ALLOWABLE COSTS ........................................................................................................................................ 3
2. RETENTION OF PROGRAM INCOME ................................................................................................................. 4
3. CHARGING COSTS .......................................................................................................................................... 4
H. REPORTING...................................................................................................................................................... 4
I. MONITORING .................................................................................................................................................. 5
J. DEOBLIGATION OF UNDERUTILIZED FUNDS ....................................................................................... 6
K. BUDGET VARIANCES .................................................................................................................................... 6
L. PROGRAM VARIANCES ................................................................................................................................ 7
M. CHANGES TO THE COOPERATIVE AGREEMENT ................................................................................ 7
1. BUDGET CHANGES ........................................................................................................................................ 7
2. PROGRAMMATIC CHANGES ............................................................................................................................ 7
3. ADDITIONAL ACTIVITIES TO MAINTAIN CURRENCY .......................................................................................... 7
4. OBTAINING BLS APPROVAL OF CHANGES TO THE COOPERATIVE AGREEMENT ................................................. 7
5. BLS-INITIATED BUDGET CHANGES................................................................................................................. 8
6. TIME EXTENSIONS.......................................................................................................................................... 8
N. PROGRAM REVISIONS .................................................................................................................................. 8
O. PROPERTY AND EQUIPMENT ..................................................................................................................... 9
P. PROCUREMENT .............................................................................................................................................. 9
Q. CLOSEOUTS AND AUDITS ............................................................................................................................ 9
R. RECORDS ........................................................................................................................................................ 10
1. RETENTION.................................................................................................................................................. 10
2. DISPOSAL .................................................................................................................................................... 10
S. CONFIDENTIALITY ...................................................................................................................................... 10
1. FEDERAL GUIDELINES ................................................................................................................................. 10
2. DESCRIPTION OF CONFIDENTIAL INFORMATION ........................................................................................... 10
3. STATE’S CONFIDENTIALITY RESPONSIBILITIES............................................................................................... 11
4. ACCESS TO CONFIDENTIAL INFORMATION..................................................................................................... 12
5. DATA SHARING ............................................................................................................................................ 13
6. USE OF CONTRACTORS ................................................................................................................................ 14
T. DATA AND COMMUNICATIONS SAFEGUARDS ................................................................................... 14
U. DATA COLLECTION INTEGRITY ............................................................................................................. 20
V. PUBLICATION OF DATA ............................................................................................................................. 21
W. MAIL MANAGEMENT .................................................................................................................................. 21
X. CERTIFICATIONS ......................................................................................................................................... 21
1. DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS ............................................................... 21
2. DRUG-FREE WORKPLACE REQUIREMENTS ................................................................................................... 21
3. LOBBYING ACTIVITIES .................................................................................................................................. 22
Y. ASSURANCES ................................................................................................................................................. 22
INSTRUCTIONS FOR COMPLETING THE LMI COOPERATIVE STATISTICS FINANCIAL REPORT ....... 26
INSTRUCTIONS FOR COMPLETING THE LMI COOPERATIVE STATISTICS FINANCIAL REPORT ....... 28
LMI COOPERATIVE AGREEMENT BUDGET VARIANCE REQUEST FORM ....................................... 31

LMI FINANCIAL RECONCILIATION WORKSHEET (FRW – A) TERMS DEFINED ............................ 34
LMI FINANCIAL RECONCILIATION WORKSHEET (FRW – B) TERMS DEFINED ............................ 36
TRANSMITTAL AND CERTIFICATION FORM ............................................................................................ 37
FOR LMI COOPERATIVE AGREEMENT CLOSEOUT DOCUMENTS ..................................................... 37
INSTRUCTIONS FOR COMPLETING THE PROPERTY LISTING............................................................ 40
II. APPLICATION INSTRUCTIONS ............................................................................................................... 41
A. ROLES .............................................................................................................................................................. 41
B. SUBMISSION AND REVIEW........................................................................................................................ 41
C. INSTRUCTIONS ............................................................................................................................................. 42
1. APPLICATION FOR FEDERAL ASSISTANCE (SF-424)....................................................................................... 42
2. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS .................... 44
3. DRUG-FREE WORKPLACE CERTIFICATION.................................................................................................... 48
4. CERTIFICATION REGARDING LOBBYING ACTIVITIES ...................................................................................... 50
5. DISCLOSURE OF LOBBYING ACTIVITIES (SF-LLL) ......................................................................................... 51
A. BLS PRE-RELEASE ACCESS CERTIFICATION FORM ...................................................................................... 52
B. BLS AGENT AGREEMENT ....................................................................................................................... 53
8. STATEMENT OF ASSURANCE FOR INFORMATION SECURITY ......................................................... 54
9. Work Statements ........................................................................................................................................ 54
10. Budget Information Form (BIF) ................................................................................................................ 55
III. APPLICATION MATERIALS ..................................................................................................................... 59
CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS.................................. 67
BLS AGENT AGREEMENT ................................................................................................................................ 73
REQUIREMENTS FOR ALL PROGRAMS ...................................................................................................... 81
A. ATTENDANCE AT MEETINGS AND CONFERENCES ............................................................................... 81
B. PROGRAM TRAINING .................................................................................................................................... 81
C. PUBLICATION OF DATA ............................................................................................................................... 81
D. SUBMISSION OF REPORTS ........................................................................................................................... 81
E. ADMINISTRATIVE REQUIREMENTS/ASSURANCES ............................................................................... 81
F. PROGRAM PERFORMANCE .......................................................................................................................... 82
G. PROGRAM PARTICIPATION ......................................................................................................................... 82
H. ENHANCED ELECTRONIC COMMUNICATIONS ...................................................................................... 82
I. COMPUTER SECURITY .................................................................................................................................. 82
J. CONTRACTING OUT LMI FUNCTIONS....................................................................................................... 82
K. USE OF BLS SURVEY SAMPLES .................................................................................................................. 82
L. CONTROL OF ESTIMATES ............................................................................................................................ 82
M. ESTABLISHING PUBLICATION DATES ...................................................................................................... 83
N. EXPLANATION OF VARIANCES .................................................................................................................. 83
CURRENT EMPLOYMENT STATISTICS PROGRAM ................................................................................. 85
WORK STATEMENT FOR THE 50 STATES AND THE DISTRICT OF COLUMBIA .............................. 85
A. PROGRAM INFORMATION ........................................................................................................................... 85
B. DELIVERABLES .............................................................................................................................................. 85
C. PROGRAM PERFORMANCE REQUIREMENTS .......................................................................................... 88
D. QUALITY ASSURANCE REQUIREMENTS ................................................................................................. 89
E. EXCLUSIONS ................................................................................................................................................... 89
F. EXPLANATION OF VARIANCES .................................................................................................................. 89
CURRENT EMPLOYMENT STATISTICS PROGRAM ................................................................................. 91
WORK STATEMENT FOR PUERTO RICO .................................................................................................... 91
A. PROGRAM INFORMATION ........................................................................................................................... 91
B. DELIVERABLES .............................................................................................................................................. 91
C. PROGRAM PERFORMANCE REQUIREMENTS .......................................................................................... 94
D. QUALITY ASSURANCE REQUIREMENTS ................................................................................................. 95
E. EXCLUSIONS ................................................................................................................................................... 95
F. SUB-STATE AREAS ........................................................................................................................................ 96
G. EXPLANATION OF VARIANCES .................................................................................................................. 96
CURRENT EMPLOYMENT STATISTICS PROGRAM ................................................................................. 97
WORK STATEMENT FOR THE U.S. VIRGIN ISLANDS .............................................................................. 97

A. PROGRAM INFORMATION ........................................................................................................................... 97
B. DELIVERABLES .............................................................................................................................................. 97
C. PROGRAM PERFORMANCE REQUIREMENTS .......................................................................................... 99
D. QUALITY ASSURANCE REQUIREMENTS ................................................................................................ 100
E. EXCLUSIONS ................................................................................................................................................. 100
F. SUB-STATE AREAS ...................................................................................................................................... 101
G. EXPLANATION OF VARIANCES ................................................................................................................ 101
LOCAL AREA UNEMPLOYMENT STATISTICS PROGRAM ................................................................... 103
A. PROGRAM INFORMATION ......................................................................................................................... 103
B. DELIVERABLES ............................................................................................................................................ 103
C. QUALITY ASSURANCE REQUIREMENTS ................................................................................................ 105
D. PUBLICATION REQUIREMENTS................................................................................................................ 106
E. STATE-SPECIFIC DATA REQUIREMENTS ............................................................................................... 107
F. EXCLUSIONS ................................................................................................................................................. 107
G. EXPLANATION OF VARIANCES ................................................................................................................ 107
OCCUPATIONAL EMPLOYMENT STATISTICS PROGRAM .................................................................. 109
A. PROGRAM INFORMATION ......................................................................................................................... 109
B. DELIVERABLES ............................................................................................................................................ 111
D. QUALITY ASSURANCE REQUIREMENTS ................................................................................................ 113
E. EXCLUSIONS ................................................................................................................................................. 114
F. EXPLANATION OF VARIANCES ................................................................................................................ 114
QUARTERLY CENSUS OF EMPLOYMENT AND WAGES ....................................................................... 115
A. PROGRAM INFORMATION ......................................................................................................................... 115
B. DELIVERABLES ............................................................................................................................................ 115
C. PROGRAM PERFORMANCE REQUIREMENTS ........................................................................................ 117
D. QUALITY ASSURANCE REQUIREMENTS ................................................................................................. 120
E. EXCLUSIONS ................................................................................................................................................. 122
F. DATA SHARING BLANKET APPROVAL................................................................................................... 122
G. EXPLANATION OF VARIANCES ................................................................................................................ 123
BLS LMI- 1A……………… ............................................................................................................................... 1275
BLS LMI-1B .......................................................................................................................................................... 127

[This page intentionally left blank.]

I.
A.

ADMINISTRATIVE REQUIREMENTS

INTRODUCTION
The Bureau of Labor Statistics (BLS) is the Federal agency responsible for conducting research related to
labor economics and for collecting and analyzing employment and occupational statistics. Since 1917, the
BLS has engaged in cooperative arrangements with States to use employment statistics collected by the States
in a national-State network of data. This network of statistical programs now extends to more than 50
political jurisdictions and includes the 50 States, the District of Columbia, the Commonwealth of Puerto Rico,
and selected programs in Guam and the U.S. Virgin Islands.
In conducting the BLS-State cooperative statistical programs, it frequently becomes necessary to make
inquiries to State agency contacts on a variety of program-related matters. The BLS has received approval
from the Office of Management and Budget to make such inquiries under OMB Number 1220-0168,
"General Inquiries to State Agency Contacts."
Some of the statistics and their common uses are highlighted below.
1.

Current Employment Statistics (CES)
Employment estimates, average weekly and hourly earnings, and average hours worked in
nonagricultural industries, based on payroll records for non-supervisory workers: a major economic
indicator of the business cycle; used by Federal and State governments to generate unemployment
statistics, by States as an indicator of economic health, and by business for site location planning and
labor contract escalations.

2.

Local Area Unemployment Statistics (LAUS)
Total employment, labor force, unemployment, and the unemployment rate: used in part to allocate
funds to State and local areas for such Federal programs as those of the Workforce Investment Act;
also used by the Federal Government to identify labor surplus areas, by the military to focus
recruitment efforts, and by State and local governments and private firms for labor market analysis.

3.

Occupational Employment Statistics (OES)
Estimates of the number of workers and wage ranges by occupation in nonagricultural industries are
used for analysis of the occupational composition of different industries, for determining national
policy related to structural unemployment, and for other purposes, such as training and employment
planning, and foreign labor certification, at State and local levels.

4.

Quarterly Census of Employment and Wages (QCEW)
County level employment and wage data, including monthly employment, total quarterly wages,
taxable wages, and contributions: used by the Bureau of Economic Analysis, Department of
Commerce, in developing the wage and salary component of the National Personal Income and Gross
Domestic Product statistics; by the BLS as a source of employment benchmarks for the CES Program
and a sampling frame for most of the BLS establishment surveys; and by the Employment and
Training Administration (ETA) for solvency and actuarial studies of Unemployment Insurance (UI).

B.

AUTHORIZING LEGISLATION
The BLS is authorized to collect labor market information pursuant to the 1884 statute (29 USC 1), an Act to
Establish the Bureau of Labor, as amended. Section 14 of the Wagner-Peyser Act (29 USC 49f(a)(3)(D))
authorizes the Secretary of Labor to reimburse the States to provide data for national statistical programs.
The Workforce Investment Act of 1998 amended the Wagner-Peyser Act by adding a new section 15,

1

"Employment Statistics," which authorizes the Secretary to "…oversee the development, maintenance, and
continuous improvement of a nationwide statistics system of economic statistics…"
The BLS uses a cooperative agreement (CA) to fund cooperative statistical programs because of the agency's
ongoing involvement in the programs, pursuant to the Federal Grant and Cooperative Agreement Act of 1977
(31 USC 6301-08). The specific statistical programs funded through the LMI cooperative agreement are
described in more detail in the work statements in Part III, Application Materials.
C.

ELIGIBLE APPLICANTS
Eligible applicants are State agencies designated by the Governor pursuant to the Workforce Investment Act
of 1998, or their equivalents in non-State jurisdictions. The BLS may select an alternative applicant if a State
agency declines to apply for cooperative agreement funding or otherwise substantially fails to meet BLS
application and performance requirements.

D.

REGULATIONS AND REFERENCE DOCUMENTS
The LMI programs are administered in accordance with the program operating manuals cited in the work
statements, and with:
 Title 29 Part 93 of the Code of Federal Regulations (hereinafter cited as 29 CFR 93), New Restrictions
on Lobbying;
 Title 29 Part 96 and 99 of the Code of Federal Regulations (hereinafter cited as 29 CFR 96 and 99),
Audit Requirements for Grants, Contracts and Other Agreements;
 Title 29 Part 97 of the Code of Federal Regulations (hereinafter cited as 29 CFR 97), Uniform
Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments;
 Title 29 Part 98 of the Code of Federal Regulations (hereinafter cited as 29 CFR 98) and 2 CFR Chapter
1, part 180, Government-wide Debarment and Suspension (Nonprocurement) and Government-wide
Requirements for Drug-Free Workplace (Grants); and
 OMB Circular A-87 and Title 2 Subtitle A of the Code of Federal Regulations, Cost Principles for State
and Local and Indian Tribal Governments.

E.

PROGRAM FUNDING
Program funding is subject to the availability of funds. Funds are made available through enactment of a
Department of Labor appropriation, or another action such as a continuing resolution. Program funding
levels are based on the President's Budget submitted to Congress in February. If the appropriation differs
from the President's Budget, then the cooperative agreement may be renegotiated.
As long as the BLS is operating under a full year appropriation, the BLS will issue obligational authority
(OA) to a State agency based on the State agency's annual obligation plan. If the BLS is operating under a
continuing resolution, OA will be issued based on a proportion of the State agency's annual obligation plan.
The Federal financial assistance awarded under this Agreement is available for obligation by a State agency
during the Federal fiscal year beginning October 1 and ending September 30, unless the BLS specifically
approves an extension of the Agreement period for particular additional activities to maintain currency.

F.

CASH MANAGEMENT
Cash advances to qualified State agencies will be made under the automated clearinghouse method of
financing, using the Department of Health and Human Services Payment Management System (HHS-PMS).

2

The HHS-PMS is designed to make Federal funds available to a recipient organization on the first workday
following receipt of a request for funds. The amount requested, therefore, should be based on actual
disbursement requirements whenever possible and should be disbursed by the recipient organization as soon
after receipt as possible. For this purpose, a disbursement is considered to be the time of the actual release of
checks or transfer of funds electronically by the recipient organization to the payees.
The State agency will include with a request for funds a breakdown of the total request by fund ledger code.
If a State agency‘s drawdown request exceeds available OA for a fund ledger code and disapproval of the
request will result in an immediate hardship, the BLS will consider approval of the payment on a
case-by-case basis.
If a State agency receiving advance payments demonstrates an unwillingness or inability to establish
procedures that minimize the time elapsing between receipt and disbursement of cash advances, the BLS
may, after notifying the State agency, discontinue the advance payment method and make payments by
reimbursement.

G.

COST GUIDELINES
1.

ALLOWABLE COSTS
Allowable costs are determined in accordance with the provisions of OMB Circular A-87. A request
for prior approval of certain costs, under the cost principles of OMB Circular A-87, may be made by
means of a letter from the recipient organization to the BLS.
Indirect costs are defined as all costs benefiting more than one project, activity, or other cost objective.
In order for a State Workforce Agency (SWA) to claim indirect costs under this cooperative
agreement, the indirect costs must be contained in a cost allocation plan and/or indirect cost rate
proposal developed in accordance with the requirements of OMB Circular A-87 and approved by the
SWA's cognizant Federal agency.
SWAs claiming indirect costs incurred under this cooperative agreement are required to develop and
submit cost allocation plans and/or indirect cost rate proposals to the Division of Cost Determination
(DCD) or other cognizant Federal agency in accordance with OMB Circular A-87. Required
documentation for cost allocation plans and indirect cost rate proposals is described in Circular A-87.
SWAs should pay special attention to Attachments C (State/Local Wide Central Service Cost
Allocation Plans) and E (State and Local Indirect Cost Rate Proposals) of Circular A-87. OMB
Circular A-87 is available on the internet at http://www.whitehouse.gov/omb/circulars_a087_2004.
If the Department of Labor (DOL) is the cognizant agency for SWA indirect costs, the approving
office is the Division of Cost Determination (DCD), currently within the Office of Acquisition
Management Services, Business Operations Center, Office of the Assistant Secretary for
Administration and Management. The SWA shall prepare and submit indirect cost/cost allocation
proposals to DCD annually. OMB Circular A-87 (Attachment E) specifies that proposals be submitted
within six months after the close of the government unit’s fiscal year. However, if a SWA expects to
be unable to prepare and negotiate an indirect cost agreement by this deadline, they can receive an
extension from DCD by submitting a written request that explains the need for an extension. DCD
may grant an extension to the beginning of the State’s next fiscal year. If the DOL is not the cognizant
agency, the SWA shall request instructions for the preparation of indirect cost proposal(s) from its
identified cognizant Federal agency.
Any State that uses an indirect cost rate, regardless of the cost allocation methodology employed, must
annually obtain approval of its indirect cost rate from the cognizant agency. A State cannot recover
indirect costs from the BLS without prior approval of its indirect cost rate.

3

2.

RETENTION OF PROGRAM INCOME
Federal regulations at 29 CFR 97.25(g)(1) specify that "...program income [defined as gross income
received by the grantee...directly generated by a grant supported activity, or earned only as a result of
the grant agreement during the grant period] will be deducted from total allowable costs to determine
the net allowable costs...[and]...be used for current costs unless the Federal agency authorizes
otherwise..." Accordingly, the BLS hereby authorizes State agencies to retain program income
generated by the sale of data produced using funds provided by the BLS.

3.

CHARGING COSTS
Only actual costs involved in operating the LMI cooperative statistical programs are allowable. Cost
estimation and reporting requirements are based on the State Workforce Agency (SWA) Cost
Accounting System (CAS) and the BLS-developed LMI Cooperative Statistics Financial Report (BLS
LMI-2A), and are compatible with the Financial Accounting and Reporting System (FARS). The BLS
expects that State agencies will use automated systems to distribute costs; however, all recipients must
be able to budget staff time and costs for the programs on a monthly and quarterly basis and report
actual staff time and costs quarterly. No base-program costs may be charged to an additional activity
to maintain currency (AAMC), whether or not the AAMC is related to the base program.
Additionally, if an employee’s time charges are levied solely against a single Federal award or cost
objective (i.e., any or all of the LMI programs covered under this cooperative agreement), the State
grantee must certify at least semi-annually that the work being charged for relates exclusively to that
award. OMB Circular A-87, Attachment B (Selected Items of Cost), provides full guidance regarding
this requirement. Note that States with time and attendance systems that account for employees' time
at the project code level on a weekly, bi-weekly, or monthly basis are already in compliance with this
requirement.

H.

REPORTING
The reporting requirements described below supersede those cited at 29 CFR 97.41.
Monthly, State agencies must report for each regular, ongoing program:
o

Total accrued expenditures (the cost of goods received, services rendered, expenses incurred, and assets
acquired) for the month and cumulatively for the current fiscal year;

o

Total obligations (the sum of accrued expenditures to date plus resources on order [i.e., the dollar amount
of orders placed for goods or services that have not as yet been delivered by the vendor]) for the month
and cumulatively for the current fiscal year; and

o

Total cash received for the month and cumulatively for the current fiscal year.

Quarterly, State agencies must report for each regular, ongoing program, in addition to the above items:
o

Total cumulative obligations by cost category (program staff resources, AS&T staff resources, and
nonpersonal services); and

o

Staff years paid by cost category (program staff resources and AS&T staff resources)

If an automated accounting system, such as the SWA CAS or FARS is used, the time distribution system
should incorporate the function code “561” for the LMI programs, in addition to any function codes used to
reflect general management and supervision activities.

4

State agencies will submit the following CAS reports, or their equivalents under FARS or other approved
automated system:
Report #
CAS 65
CAS 61
CAS 94B

Report Name
Summary Appropriation Status
Status of Obligational Authority
Program Activity Positions and Costs

Frequency
Monthly
Quarterly
Quarterly

FARS GA-11
FARS GA-17
FARS GA-12a

Summary Status of Obligational Authority
Status of Obligational Authority
Program Activity Positions and Costs
(CAS 94B equivalent)

Monthly
Quarterly
Quarterly

or

or, if the GA-12a is not available,
FARS GA-12
FARS GA-14a
FARS GA-15

Activity Positions and Costs by Fund Ledger
Fund Ledger Allocation Report (Cumulative)
U.S. Department of Labor-Employment Service
Programs Quarterly Report

Quarterly
Quarterly
Quarterly

BLS LMI-2A
(Not Applicable)

LMI Cooperative Statistics Financial Report
CAS Report 94B Equivalent (if available)

Monthly/Quarterly
Quarterly

or

State agencies using approved automated accounting systems such as the CAS or FARS should submit the
reports generated by those systems. Others should use the BLS LMI Cooperative Statistics Financial Report
(BLS LMI-2A) and the equivalent of CAS Report 94B if one is produced by the State agency's accounting
system to account for their costs under the Cooperative Agreement. A copy of the BLS LMI Cooperative
Statistics Financial Report is attached at the end of this Part (Part I).
Unless otherwise specified by the BLS in the appropriate work statement, in reporting on AAMCs, State
agencies will include quarterly bottom-line financial data (e.g., CAS Report 61 or FARS GA-17 data) and a
BLS Quarterly Status Report (BLS LMI-2B), a copy of which is attached at the end of this Part (Part I). For
AAMCs that cross fiscal years, cumulative expenditures and obligations should reflect the entire period of the
AAMC to date, rather than the current fiscal year to date.
A fund ledger code (FLC) has been assigned to each of the LMI statistical programs to enable the BLS to
monitor costs on a by-program basis, or, in the case of AAMCs, on a funding source basis. The codes for the
programs covered by this Agreement are cited in the LMI Administrative Memorandum transmitting the
Cooperative Agreement to the State agencies.
The financial reports and BLS Quarterly Status Reports must be submitted to the BLS regional office within
30 days of the end of the reporting period. The BLS reserves the right to withhold payment to a State agency
if financial reports are delinquent.
The SWAs Financial Accounting System must be able to provide the financial information necessary to
comply with audit requirements and to complete the Federal Financial Report (FFR or SF-425). State
agencies must complete the FFR each quarter at HHS-PMS. The FFR must be completed at HHS-PMS
within 30 days from the end of the fiscal quarter, after which the system will close until the end of the
following quarter.

I.

MONITORING
The BLS will review the financial reports from State agencies to monitor fund utilization and identify
potential over- or under-obligations. The primary objectives of financial monitoring are: 1) to ensure that
program objectives are met; 2) to prevent significant over- or under-utilization of funds at the end of the fiscal

5

year; and 3) to identify instances where it may be necessary to provide Federal administrative assistance to
State agencies.
Per 29 CFR 97.20(c), the BLS may, either as part of a pre-award or at any time subsequent to an award,
conduct periodic onsite reviews or request line item financial information to evaluate the adequacy of the
financial management system employed by a SWA.
In accordance with 29 CFR 97.40(a), the State agency is responsible for managing the day-to-day operations
of agreement activities. The State agency will monitor agreement activities to ensure there is compliance
with applicable Federal requirements and that performance goals are being achieved. Monitoring must cover
each program, function, or activity.

J.

DEOBLIGATION OF UNDERUTILIZED FUNDS
The Budget Information Form (BIF) is a State agency's obligation plan for the CA. For each program in the
CA, the BIF breaks down costs by quarter and by cost category (Program Staff, Administrative, Support &
Technical Staff, and Nonpersonal Services). (The BIF is described further in Parts II and III.)
The BIF establishes the level of planned obligations during a program year and States should strive to make
actual obligations match planned levels. If, however, financial reports reveal a State is under-spent, relative
to its total planned obligations, the BLS may deobligate some of the State’s funds. When the planned-toactual difference of obligations exceeds 5 percent of total planned obligations, and is greater than $10,000,
the BLS may unilaterally deobligate up to 90 percent of this difference.

K.

BUDGET VARIANCES
At the end of the first fiscal year of the CA, after the funded base program activities are complete but before a
partial closeout of the base programs is conducted, a State agency may request a budget variance from the
BLS. Budget variances permit States to move a limited amount of funds between base programs and AAMCs
to help minimize over- or under-obligation of funds to any single program. Current BLS policy regarding
budget variances is stated in LMI Administrative Memorandum S-12-04, dated September 11, 2012. Some of
the more significant points from this memo are summarized below.
 The total amount to be moved cannot exceed 4 percent of a State’s total fiscal year CA funding for base
programs and their associated AAMCs.
 Budget variance actions will be limited to:


20 percent for base programs funded at $300,000 or more;



25 percent (up to $60,000) or $10,000, whichever is greater, for base programs funded at less than
$300,000; and



33 percent or $10,000, whichever is lesser, of the total annual project amount for any individual
AAMC.

 Moving funds from AAMCs to base programs is not permitted.
States should refer to the full memorandum to ensure their budget variance requests meet all other applicable
conditions.
State agencies should submit their requests for budget variances to the appropriate regional office no later
than 60 days after the end of the fiscal year. State agencies should use the BLS LMI Cooperative Agreement
Budget Variance Request Form to request the budget variance. (A copy of this form is attached to the end of
Part I.)

6

L.

PROGRAM VARIANCES
A program variance is required if a State does not intend to comply fully with all performance requirements
for the entire period of the CA. If a program variance is requested, the State agency must submit a Variance
Request Form to the BLS regional office for review before it is sent to the BLS national office for review.
All program variances must be approved by the BLS national office prior to the CA being signed. The
approved program variance is to be referenced in the space provided at the end of the work statement.

M.

CHANGES TO THE COOPERATIVE AGREEMENT
1.

BUDGET CHANGES
Budget changes that require a State agency to obtain prior written approval from the BLS include:

2.



Any revision that would result in the need for additional funding; and



Cumulative transfers between cost categories that exceed or are expected to exceed 10 percent
of the current total approved program budget, whenever the total BLS funding is greater than
$100,000.

PROGRAMMATIC CHANGES
Programmatic changes that require a State agency to obtain prior written approval from the BLS
include:

3.



Any revision of the scope or objectives of the CA; or



Need to extend the period of availability of funds.

ADDITIONAL ACTIVITIES TO MAINTAIN CURRENCY
Additional activities to maintain currency (AAMCs) that entail both budget and programmatic changes
to the base CA require prior written approval from the BLS.
All AAMCs must be planned to start in the fiscal year in which they are funded and be completed no
later than the end of the fiscal year following their initiation. All extensions to the end date of the CA
due to the AAMC must be requested in writing and approved by the BLS Grant Officer in writing. If
granted a time extension, the State agency and the BLS must be clear about which work statement
deliverables from the CA still apply.
Either the BLS or a State agency may initiate AAMCs. For the former, the BLS will invite eligible
State agencies to apply for AAMCs once the Bureau knows available funding levels. States that elect
to participate will then provide completed work statements and cost information. (Detailed procedures
for responding to a BLS-initiated AAMC are found later in Part II, Section 9b.)
For a State agency to initiate an AAMC it must send a letter to the appropriate BLS Regional
Commissioner requesting funding for the proposed activity. (Detailed instructions for what kind of
information to include in the request letter is contained later in Part II, Section 9b.) If funds become
available during the CA period, and the BLS has given its approval to the project, then the State will
receive notice from BLS to submit the necessary paperwork to change its CA.

4.

OBTAINING BLS APPROVAL OF CHANGES TO THE COOPERATIVE AGREEMENT
To obtain written approval from the BLS for budget changes to the CA, a State agency will submit the
following:

7



An Application for Federal Assistance, SF-424, reflecting the change in the Federal funding
for the CA;



A revised BIF, annotated to reflect the modified budget elements;



All relevant pages of the appropriate work statement, and;



A narrative justification for the revision, included in the transmittal letter.

To obtain written approval from the BLS for programmatic changes to the CA or AAMCs, a State
agency will submit the following:


An Application for Federal Assistance, SF-424, reflecting the program change or AAMC, as
appropriate;



A BIF, revised and annotated to reflect a change, or new, if for an AAMC for which funding
has been agreed upon;



A work statement either annotated to reflect a change to the scope or duration of work
originally agreed upon, or new if for an AAMC for which funding has been approved, and;



A narrative justification for the revision, included in the transmittal letter.

A request for prior approval of a change must be received in the regional office 30 calendar days
before the beginning of the quarter in which the change will take effect.
5.

BLS-INITIATED BUDGET CHANGES
In the event of a legislative mandate to reduce appropriated funds, requiring the BLS to decrease the
amount originally awarded by the CA, the CA will be modified. The BLS prefers to work bilaterally
with its State agencies to effect these budget reductions. However, when this is not possible, because,
for example, the workload and time involved to obtain State-required review and signature of a
bilateral modification are too great, the BLS is prepared to initiate and execute unilateral
modifications. If the BLS initiates a unilateral modification, it will promptly notify the affected State
agency, in writing, of the change(s) made to the CA. The notification will be specific as to what was
done to/for the State.
In addition, in the event that funds are restored in the same fiscal year as they were cut, the BLS will
use a unilateral modification to put the funds back if: (a) the State prefers a unilateral modification
over a bilateral modification; and (b) the State either did not take any variances when the cut was made
so there is no change in work load, or the amount of funding restored matches the amount taken away
so that the work load reverts to what was agreed to in the original CA.

6.

TIME EXTENSIONS
Where the sole purpose of a change to the CA is to provide additional time to complete deliverables
that relate to AAMCs, a unilateral modification may also be used. Again, the BLS prefers the use of a
bilateral modification, but will initiate a unilateral modification to effect the change so as to reduce the
State's workload and paperwork. As noted above, any modification to extend the period of
performance must clearly State what work is still being done.

N.

PROGRAM REVISIONS
The BLS may make periodic revisions to the program manuals. The BLS will attempt to coordinate the
timing of these revisions so State agencies do not experience increased workloads during the CA period. If,

8

however, revisions are made that require a substantial change in workload, the BLS or a State agency may
initiate a modification to the CA.

O.

PROPERTY AND EQUIPMENT
A State agency will follow the requirements related to title, use, and disposition of real property found at
29 CFR 97.31. The State agency will use, manage, and dispose of equipment acquired under the Agreement
in accordance with State laws and procedures. Title to equipment purchased with CA funds will vest upon
acquisition in the State agency. However, the BLS, per 29 CFR 97.32(g), reserves the right to transfer title to
the Federal Government or a third party named by the BLS when such a third party is otherwise eligible
under existing statutes. Such transfers are subject to the standards appearing at 29 CFR 97.32(g)(1)-(3).
Pursuant to those standards, specifically, 29 CFR 97.32(g)(1), the BLS reserves the right to transfer title of
any ADP equipment, purchased with CA funds, upon termination of financial assistance or when the
equipment is no longer needed by the State agency.

P.

PROCUREMENT
Except as noted below, when procuring property and services under the CA, a State agency will follow the
same policies and procedures it uses for procurements from its non-Federal funds. The State agency will
ensure that every purchase order or other contract includes any clauses required by Federal statutes and
executive orders and their implementing regulations [29 CFR 97.36(a)].
 Pursuant to the provisions of OMB Circular A-87, a State agency will request BLS approval prior to the
procurement of information technology equipment with a unit cost of $5,000 or more.
 A State agency will not subgrant or contract substantive program work under the CA without the
permission of the BLS. Substantive program work includes, but is not limited to, the sampling, data
collection, estimation, and validation activities under the CA.

Q.

CLOSEOUTS AND AUDITS
Appropriate LMI Memoranda on closeouts and audits will provide specific guidance on the requirements of
29 CFR 97.50, regarding closeout, and 29 CFR 96 and 29 CFR 99, regarding the Single Audit Act.
If, by virtue of an AAMC, a CA extends beyond the end of the fiscal year of funding, a two-step closeout
process is required. A State agency will perform a partial closeout (i.e., financial reconciliation) of the base
programs (CES, LAUS, OES, and QCEW) at the end of the fiscal year of funding. A State agency will
perform a final closeout of all base programs and AAMCs 90 days after the last AAMC ends, or; 90 days
after the end of the fiscal year in which the last AAMC ends.
The State agency has the option of deciding when the final closeout is to be performed; however, the State
agency must notify the regional office before the end of the fiscal year of funding which option it has
selected. Regardless of timing, for financial reporting purposes, final closeouts must reflect that there are not
any outstanding resources on order or accruals remaining at the time of submission. In addition, cash
drawdowns in HHS-PMS should equal total expenses for the fiscal year within 90 days of the end of the
fiscal year.
Starting in Federal Fiscal Year 2013, updated Financial Reconciliation Worksheet (FRW) forms, closeout
checklists, and property listings must be used by the States for the closeout process. These forms are found at
the end of this section.

9

R.

RECORDS
1.

RETENTION
A State agency will retain records in accordance with 29 CFR 97.42, Retention and Access
Requirements for Records. Subject to the qualifications set forth in 29 CFR 97.42(b), a State agency
will retain all records pertinent to the Agreement, including financial and statistical records and
supporting documents, for a period of three years after the close of the Agreement period. Special
retention requirements pursuant to 29 CFR 97.42 (b)(3) are found in program manuals and technical
memoranda.

2.

DISPOSAL
The Cooperating Representative (see below) is responsible for ensuring that appropriate precautions
are taken in disposing of records after the required retention period to ensure that confidentiality is
protected. State agencies may follow their own records-disposal policies and procedures, provided
they contain safeguards for protecting confidentiality.

S.

CONFIDENTIALITY
1.

FEDERAL GUIDELINES
The majority of data collected by the BLS is provided on a voluntary basis by respondents who have
agreed to provide the information for the purpose(s) specified by the BLS. A violation of the
confidence that respondents place in the BLS would endanger the Bureau’s ability to carry out its
duties. The Confidential Information Protection and Statistical Efficiency Act (CIPSEA) of 2002
(Title 5 of Public Law 107-347) safeguards the confidentiality of individually identifiable information
acquired for exclusively statistical purposes under a pledge of confidentiality by controlling access to
and uses of such information. BLS officers, employees, and agents are subject to CIPSEA and other
Federal laws governing confidentiality.

2.

DESCRIPTION OF CONFIDENTIAL INFORMATION
For the purposes of this cooperative agreement:
a.

"Confidential information" includes all data collected as part of the LMI programs under sole
BLS authority or joint BLS/State authority, with the exceptions described in the following
paragraphs 2b and 2c. Some examples of "confidential information" include:

Respondent Identifiable Information (Protected by CIPSEA)
i. The names, addresses, and other information for units from which data are requested
ii. All identifiable respondent submissions
iii. Information in administrative files that has been commingled with confidential
information
iv. Disclosure avoidance parameters applied to published data, unless otherwise specified by
the BLS
v. Any other information in any medium or format that would reasonably disclose the
identity by either direct or indirect means of any participant in a statistical program under
the auspices of the BLS

10

Pre-release Information (Protected by Federal Policies)
vi. Pre-release information such as official BLS estimates and other official BLS statistical
products prior to their scheduled release to the public
vii. BLS press releases prior to their official release by the BLS that are based upon data that
have been previously released to the public

3.

b.

At the State level, Unemployment Insurance (UI) information included in the Quarterly Census
of Employment and Wages (QCEW) files is considered the State's data and is subject to State
confidentiality provisions and is not subject to the BLS confidentiality provisions of this
cooperative agreement. However, QCEW files maintained by the States that have been
commingled with respondent identifiable information are considered confidential and must be
handled by the States in accordance with CIPSEA and the confidentiality provisions of this
cooperative agreement. State data sharing activities involving respondent identifiable
information must be conducted in accordance with the data sharing restrictions specified below
(Section 5). State data sharing with any person who is not a BLS designated agent must use
files that have been cleared of any respondent identifiable information.

c.

Upon receipt by the BLS of the QCEW files, the BLS will use the QCEW data for exclusively
statistical purposes and will hold this information in confidence to the full extent permitted by
law.

d.

Further, at the State level, information from the State’s UI database that was used for the Mass
Layoff Statistics (MLS) program is considered the State’s data and is subject to State
confidentiality provisions and is not subject to BLS confidentiality provisions of this
cooperative agreement. However, upon receipt by the BLS of UI data for the MLS program,
the BLS will use the UI data for exclusively statistical purposes and will hold this information
in confidence to the full extent permitted by law.

e.

In the case of MLS data collected directly from establishments, a pledge was provided to
establishments that the BLS will use the information for statistical purposes only and will hold
it in confidence to the full extent permitted by law. This means that MLS data that the BLS
has must be handled in accordance with CIPSEA and access must be limited to employees and
agents of the BLS for exclusively statistical purposes. Further, a pledge was provided to
establishments that the data will be used by the State for statistical and Workforce Investment
Act (WIA) purposes. This means that once the data from the State’s UI database and the data
collected directly from establishments are linked, State use of the linked file must be limited to
statistical and WIA purposes. Beyond these stated purposes, the State MLS file must be
maintained in confidence in accordance with the provisions of this cooperative agreement.

f.

"Confidential information" does not include information on Federal government units and
employment and wages information on Federal employees covered under the Unemployment
Compensation for Federal Employees (UCFE) program. Such information is fully disclosable
under provisions of the Freedom of Information Act.

STATE’S CONFIDENTIALITY RESPONSIBILITIES
a.

The State agency agrees to use CIPSEA-covered data for statistical purposes only.
Furthermore, the State agency agrees to use MLS and QCEW data pursuant to the
confidentiality statement provided to respondents at the time of data collection.

b.

The State agency agrees that pre-release information such as official BLS estimates and other
official BLS statistical products will not be disclosed or used in an unauthorized manner before
its scheduled release to the public, and will be accessible only to authorized persons.

11

Authorized persons are State employees designated as “authorized agents” of the BLS (defined
in section 4) or State employees that have been approved for access to BLS pre-release
information as certified by the State Cooperating Representative. This provision does not
affect the ability of the State agency to publish State estimates (even if the estimation is done
by BLS staff) before BLS publishes.

4.

c.

In allowing the State agency to publish State estimates produced by the BLS, the State release
may be viewed by authorized persons (as defined above in section 3b) within the Governor’s
office; however, consistent with best statistical practices, the State agency shall publish the
State release in a manner that is objective, unbiased, and free of policy pronouncements. If
policy pronouncements are to be made regarding the data, State policy officials should issue a
separate independent statement on the data being released by the State agency.

d.

The State agency agrees that BLS press releases available to them prior to their official release
by the BLS that are based upon data that have been previously released to the public will not
be disclosed or used in an unauthorized manner before they have been released by the BLS and
will be accessible only to authorized persons (as defined above in section 3b).

ACCESS TO CONFIDENTIAL INFORMATION
a.

The State agency agrees to assign a BLS-State Cooperating Representative in accordance with
BLS requirements. The Cooperating Representative will be designated an agent by the BLS
and must sign a BLS Agent Agreement each year a cooperative agreement is executed. A
copy of this form is included as part of the application materials in Part III.

b.

State employees may not have access to respondent identifiable information collected on
behalf of the BLS for exclusively statistical purposes, unless they are designated as “authorized
agents” of the BLS. For the purposes of this cooperative agreement, “authorized agents” are
defined as individuals who have been authorized by the BLS to receive access to respondent
identifiable information for work on the activities directly covered by this cooperative
agreement and who have signed a BLS Agent Agreement.

c.

State employees may not have access to pre-release information, unless they are designated as
“authorized agents” of the BLS (as described in section 4.b.) or they have been approved for
access to pre-release information as certified by the State Cooperating Representative. A copy
of the certification form is included as part of the application materials in Part III.

d.

The BLS may revoke an agent agreement or revoke an individual’s access to pre-release
information at any time and without advance notice.

e.

The State agency agrees to administer annual confidentiality training as provided by the BLS
to all State employees designated as agents to carry out work under this cooperative
agreement.

f.

The State agency agrees to recertify on an annual basis through the Cooperating
Representative that State employees approved for access to only pre-release information have
been provided the “Conditions for Handling BLS Pre-Release Information” (included as part
of the application materials in Part II) and have indicated their understanding and acceptance
of those conditions. State employees approved for access to only pre-release information are
not required to take the annual confidentiality training referenced in section 4.e.

g.

The State agency will assure that there will be no access to respondent identifiable information
by any person other than an agent designated pursuant to this agreement. Neither the State
agency nor any agent designated pursuant to this agreement will use respondent identifiable
information for any purpose other than a BLS-approved statistical purpose. The BLS may

12

require the submission of any output(s) produced from respondent identifiable information
intended for release or publication for review and approval to ensure adherence to the terms
and provisions of this cooperative agreement. The State agency and designated agents will be
bound by the determinations of the BLS.
h.

5.

State agencies may allow remote access to confidential information from offsite locations,
provided that employees comply with all telework requirements as described in Section T.30.
The State agency will annually provide the BLS Grant Officer with the names of employees
approved for telework and will provide updates as they arise. The BLS Grant Officer reserves
the right to prohibit access to confidential information.

DATA SHARING
IntraState and InterState Data Sharing Restrictions:
a.

In order to produce BLS survey estimates or facilitate BLS-funded statistical research provided
for under this CA, a State's BLS Cooperating Representative is authorized to share respondent
identifiable information within the State agency with other units under the control of the State
Cooperating Representative or with another State's BLS Cooperating Representative.

b.

The State agency agrees to obtain BLS approval prior to using the respondent identifiable
information for any statistical activity not funded under this cooperative agreement. For
activities approved by the BLS, the State agency agrees to enter into a Memorandum of
Understanding with the BLS authorizing that work and stating the terms of access to the
respondent identifiable information.

c.

The State agency may share MLS data with other government agencies under formal
agreements limiting use of the data to strictly statistical and Workforce Investment Act
purposes. Such agreements also shall include adequate and appropriate confidentiality
provisions.

d.

The State agency agrees not to divulge, publish, reproduce, or otherwise disclose, orally or in
writing, the confidential information, in whole or in part, to any individual other than
authorized agents or those individuals approved for access to only pre-release information
unless the State agency has obtained the approval of the Associate Commissioner of Field
Operations and in the case of respondent identifiable information written consent has been
obtained from the respondent prior to disclosure in conformance with BLS policies regarding
informed consent procedures.

e.

Upon receipt of any legal, investigatory, or other demand for access to the confidential
information in any form, the State agency agrees:
i. Not to disclose the confidential information in any form to anyone who is not an
authorized agent (in the case of respondent identifiable information), approved individual
(in the case of pre-release information), or employee of the BLS.
ii. To immediately notify the BLS regional office upon receipt of any demand for access to
the confidential information.
iii. To refer the demand for confidential information to the BLS to be handled under Federal
law.

13

6.

USE OF CONTRACTORS
The State agency agrees to include adequate and appropriate confidentiality provisions in all contracts
awarded, pursuant to this CA, that involve the disclosure of any confidential information orally, in
writing, or in any other form, in whole or in part, to the contractor. In particular, provisions for the
following must be included:

T.

a.

Contractor officers and employees must adhere to CIPSEA and all applicable Federal laws
regarding the handling of all respondent identifiable information and also must adhere to the
BLS confidentiality policy as stated in this cooperative agreement with regard to access to all
confidential information;

b.

Access to respondent identifiable information must be limited to contractor officers and
employees who have been designated as agents by the BLS to work directly on the contract
and who have signed a BLS Agent Agreement and have completed confidentiality training in
advance;

c.

Access to pre-release information must be limited to contractor officers and employees who
have been designated agents by the BLS or approved for access to only pre-release information
as certified by the State Cooperating Representative;

d.

Reliability of personnel;

e.

No subcontracting permitted;

f.

Right of inspection of contractor facilities;

g.

Physically secure worksite and computer/communications environment;

h.

Exclusive storage facilities for confidential information;

i.

Immediate notification by the contractor to the State and the BLS upon discovering any breach
or suspected breach of security; any disclosure of the confidential information not authorized
by the contract; or upon receipt of any legal, investigatory, or other demand for access to the
confidential information in any form;

j.

Right of termination for failure to comply with security requirements;

k.

Right to review outputs produced from respondent identifiable information prior to release or
publication;

l.

Return or destruction of the confidential information upon termination of the contract; and

m.

Contractor shall not, by action or inaction, cause the State to violate the terms of this
cooperative agreement.

DATA AND COMMUNICATIONS SAFEGUARDS
1.

BACKGROUND
This cooperative agreement has been developed to establish a management agreement between the
Bureau of Labor Statistics and State offices. The Bureau of Labor Statistics and State offices, when
referred to collectively in this section, will be described as the “parties.” The systems that are the
subject of this agreement are the BLS LAN/WAN system owned by the Bureau of Labor Statistics and

14

State networks, owned by each State. When referred to collectively in this section of the agreement,
these systems will be referred to as the “connected systems.”
2.

AUTHORITY
For security purposes, this agreement is entered into under the authority of the Federal Information
Security Management Act (FISMA, Public Law 107–347, December 17, 2002 (as amended)) as part of
the E-Government Act of 2002, 44 U.S.C.A. § 101 note.

3.

PURPOSE
This agreement between the parties allows for exchanges of information between State offices and
information systems owned, operated, and processed at the Bureau of Labor Statistics as required or
allowed by The Department of Labor Computer Security Handbook (CSH) and The Department of
Labor Manual Series-9 as well as other federal statutes, regulations, and policies that may apply. This
section describes the agreement between the parties for the purpose of securing the data on the
connected systems. It is the intent of the parties that they will be bound by this cooperative agreement
once it is signed by each authorizing official for the connected systems.
The BLS established and maintains a separate network for the State partners to access via dedicated
communications lines for the purposes of processing surveys per the cooperative agreement. To assist
in this work, State-accessible intranets are maintained to provide information on program operations
and to access files needed to process the surveys. Files are shared for policy councils and the BLSState teams. This connectivity also provides for training and email communications. The BLS
network provides only the capabilities, access, and information needed to execute the tenets of the
cooperative agreement. The BLS-provided logical and physical security controls isolate the Stateaccessible network from the BLS network so that State personnel cannot connect to internal BLS
resources.
Identification and authentication security controls for connection to the State-accessible network are
provided exclusively by BLS and no trust is assumed for credentials issued by the States.
The BLS exclusively provides for the encryption of confidential data to/from State partners. No Stateprovided security controls are assumed or used in protecting the confidentiality or integrity of these
transmissions.
The BLS-State network architecture was designed and implemented with no expectation of security
provided by the State agencies or networks.

4.

CONNECTION TYPE
The BLS LAN/WAN and the State office networks are connected to one another using dedicated T1
lines. This connection is classified as a General Support System (GSS) to GSS connection.

5.

LOCATIONS
The core of the BLS network resides on the ground floor of the Postal Square Building (2
Massachusetts Avenue, NE, Washington, DC) however; it extends to several regional offices, Regional
Outstation Collection Center’s (ROCC) and State offices throughout the country.
The State agency office location information is maintained by the BLS regional offices.

15

6.

DATA CLASSIFICATION
The sensitivity and criticality of BLS LAN/WAN was assessed using the DOL OCIO Cyber Security
Asset Management tool. The tool is compliant with NIST SP 800-60, which provides guidance on
implementing Federal Information Processing Standard (FIPS) 199. BLS LAN/WAN has been
evaluated for confidentiality, integrity and availability requirements. The results for each security
objective are as follows:
a.

Confidentiality
The system contains information that requires protection from unauthorized disclosure, such as
confidential respondent data provided on a voluntary basis and data subject to sensitive system
data such as usernames and passwords. Confidentiality is considered Moderate.

b.

Integrity
The BLS economic estimates that rely on this system are released on stringent timetables,
some of which are mandated by Congress. They are eagerly awaited and heavily used by
public policy makers and the investment community. Thus, erroneous data could affect the
Bureau’s standing as a reliable statistical agency and could have a serious impact on
government economic decisions and the financial markets. Integrity is considered Moderate.

c.

Availability
As stated above, the BLS economic estimates that rely on this system are released on stringent
timetables, some of which are mandated by Congress. They are eagerly awaited and heavily
used by public policy makers and the investment community. Thus, a significant delay in the
release of data could affect the Bureau’s standing as a reliable statistical agency and could
have a serious impact on government economic decisions and the financial markets. In the
event of loss of availability, the system must be restored in a timely manner as outlined in the
applicable IT Contingency Plan or Continuity of Operations Plan. Availability is considered
Moderate.

d.

Overall Security Categorization
According to FIPS 199, a system’s overall security categorization, also known as the high
water mark, is determined by highest individual sensitivity level for all three of the security
objectives. The overall Security Categorization of BLS LAN/WAN is Moderate.
The most sensitive data exchanged via the systems’ interconnections are considered sensitive
but unclassified (SBU).

7.

ESSENTIAL COMMUNICATIONS REQUIRED BETWEEN THE PARTIES TO THIS
AGREEMENT
The parties agree to maintain open lines of communication between designated staff at both the
managerial and technical levels. The parties agree to each designate an authorizing official for
information security. The authorizing official, or designee, will be familiar with the security posture of
the system.
The BLS regional office staff will coordinate all communications between the BLS national office and
State partners, except for when technical staff needs to communicate directly with each other to resolve
security or connectivity issues.
The parties agree to designate and provide contact information for technical leads for their respective
systems, and to facilitate contact between technical leads to support the management and operation of

16

the connection. To safeguard the confidentiality, integrity, and availability of the data stored,
processed, and transmitted on or between the connected systems, the parties agree to provide notice of
specific events within the time indicated in this section.
The BLS point of contact for security or connectivity emergencies is:
LANWAN Support Staff
202-691-5950
LANHELP@bls.gov
8.

SECURITY INCIDENTS
Technical staff will immediately notify their designated counterparts, via the BLS regional office
contacts, when a security incident(s) is suspected or verifiably detected, so the other party may take
steps to determine whether its system has been compromised and to take appropriate security
precautions. Technical staff will provide reasonable support to their counterparts in support of analysis
and/or investigation into any security incidents.

9.

DISASTERS AND CONTINGENCY
In the event of a disaster, technical staff for the system experiencing the disaster will immediately
notify their designated counterparts, via the BLS regional office contacts, that a disaster has occurred
and describe the contingency operations undertaken or to be undertaken to avoid a disruption of the
interconnected systems.

10.

REPORTING SECURITY INCIDENTS AND DISASTERS
In the event of a security incident or disaster, the owner of the system experiencing the incident or
disaster will, in addition to the immediate notice provisions stated above, via the BLS regional office
contacts, send formal written notification to the authorizing official for the other interconnected system
within three days after detection of the incident(s). This written notification will describe the security
incident or disaster in detail and state the measures taken to protect the confidentiality, integrity and
availability of information on the interconnected systems.

11.

MATERIAL CHANGES TO SYSTEM CONFIGURATION
Planned technical changes to the system architecture that may affect security with the other party will
be reported, via the BLS regional office contacts, to technical staff before such changes are
implemented. The initiating party agrees to conduct a risk assessment based on the new system
architecture. In the event of material changes to the system’s configuration, the parties agree to modify
this document as necessary.

12.

NEW CONNECTIONS
Connections to other information systems outside of either party may affect the security of the
connection between State offices and the BLS. Therefore, prior to connecting their systems to any
other information system (including systems that are owned and operated by third parties) that is not
the subject of this agreement, the State or the BLS office involved with the new connection will
determine whether the new connection may affect the security of the connection between the State and
the BLS, and if so determined will, via the BLS regional office contacts, provide written notice to the
other party at least one month before connecting to the new system. This written notice must contain a
detailed description of the new system, including the operational and management security controls for
the new system. Within five days of receiving such notice, either party may submit a written request
for other relevant information or documentation regarding the connection and/or the system to which
the connection is being made. Written responses to such requests must be provided within five days of

17

receipt. In the event that a State must change location(s) of its T-1 connection(s), the State must give
the BLS at least 60 days advance notice before moving the line and provide a State technical contact to
coordinate the move.
13.

POINT OF DEMARCATION
The logical components within each system at which control over and protection of the data becomes
responsibility of the other system is documented in the BLS LAN/WAN System Security Plan (SSP),
which is available to authorized parties on request.

14.

AUTHORIZATION BOUNDARY
The boundary between these two systems is as described in the BLS LAN/WAN SSP. The date of
expiration and renewal of assessment and authorization for the BLS LAN/WAN is July 15, 2014.

15.

TOPOLOGY DRAWING
A drawing showing systems and boundaries, which emphasizes where data of one system is placed in
the other system or transported between access points is included in the BLS LAN/WAN SSP.

16.

CONNECTION SAFEGUARDS
Both parties agree that the safeguards implemented on their systems are in place and operating
effectively as described in their respective system’s assessment and authorization or equivalent
documentation. Technical safeguards are to be implemented prior to, and as a condition of,
establishing and maintaining a secure connection between and within the domain of the sites. The
controls listed in the BLS LAN/WAN SSP include the technical controls required of Federal systems
by Federal Information Processing Standards (FIPS) 200, and described in detail in NIST SP 800-53
and NIST SP 800-53A. The BLS recommends that State agencies evaluate their technical security
controls against the controls listed in NIST SP 800-53 and NIST SP 800-53A, or equivalent guidance,
where applicable.

17.

PERSONNEL CHANGES
The parties agree to provide notification, via the BLS regional office contacts, of the separation or
long-term absence of the system owner or technical lead. In addition, both parties will provide
notification of any changes in point-of-contact information.

18.

SECURITY
Both parties agree to work together to ensure the joint security of the connected systems and the data
they store, process, and transmit. Each party certifies that its respective system is designed, managed,
and operated in compliance with all relevant laws, regulations, and policies.

19.

COST CONSIDERATIONS
Both parties agree to negotiate the costs of the connecting mechanism and/or media, but no such
expenditures or financial commitments shall be made without the written concurrence of both parties.
Modifications to either system that are necessary to support the connection are the responsibility of the
respective system owners’ organization.

20.

EFFECT OF AGREEMENT
This agreement is an internal Government agreement and is not intended to confer any right upon any
private person.

18

Nothing in this agreement shall be interpreted as limiting, superseding, or otherwise affecting either
agency’s normal operations or decisions in carrying out its statutory or regulatory duties.
This agreement does not limit or restrict the parties from participating in similar activities or
arrangement with other entities.
This agreement will be executed in full compliance with the Privacy Act of 1974.
21.

RESOLUTION MECHANISM
In the event of any disagreement arising under this agreement, the parties shall attempt to resolve the
disagreement through negotiations in good faith.

22.

AUTHORIZING OFFICIAL RESOLUTION AND CONSENT TO MONITORING
In the event of suspected fraud, abuse, or security infraction, the authorizing official for either
connected system may, via the BLS regional office contacts, conduct an analysis and investigation.
After the initial phases of the incident response plan have been executed, more specifically, the
response and containment, and subsequent triage for the connected systems, the authorizing official or
point of contact should be notified and provided with at least the basic knowledge that is known as of
that point in time. Within five days of receipt of a written request for information, the authorizing
official for the system that is the subject of the investigation shall provide all relevant documentation
and other evidence or information necessary to support the investigation.

23.

Both parties agree to implement safeguards to prevent unauthorized access by electronic or physical
means to confidential information.

24.

The BLS reserves the right to make unannounced inspections of State facilities to determine
compliance with confidentiality and security requirements.

25.

In the event of grant termination, or at an earlier time if required by the BLS, all confidential
information provided to the State agency by the BLS and any documents or other media created by the
State agency that contain confidential information must be returned to the BLS or, with BLS
permission, be destroyed. The State agency's failure to surrender or destroy such materials promptly or
the State agency's conversion of such materials to a use not authorized by this CA may be a violation
of 18 USC Section 641.

26.

The State agency agrees to notify the BLS regional office immediately upon discovering:
i. Any breach or suspected breach of security, or
ii. any disclosure of the confidential information not authorized by this cooperative
agreement.

27.

TRANSMISSION OF CONFIDENTIAL INFORMATION
In order to ensure secure transmission of BLS confidential information, the following conditions must
be met:
a.

Transmission of confidential information will be restricted to BLS-maintained T1 lines.

b.

Unless prevented by technical constraints, all LMI-related electronic communications (email)
that contain confidential information will be transmitted using the BLS (“bls.gov”) mail server.
If email is sent from one BLS-provisioned email account to another BLS-provisioned email
account no additional email encryption measures are needed. If email will be transmitted

19

using non-BLS provisioned accounts, users will encrypt the data in an attachment using a FIPS
140-2-validated method. For example, FIPS 140-2 approves as encryption the password
protecting of Word or Excel attachments as long as they can be saved with the file extension of
.docx or .xlsx, respectively. More information on FIPS 140-2 can be found at
http://csrc.nist.gov/groups/STM/.
c.

If technical constraints prevent the transmission of confidential data via email, transmission via
portable media must also be encrypted using FIPS 140-2-validated methods.

28.

The Authorizing Official, or designee, must sign a Statement of Assurance for Information Security
each year a cooperative agreement is executed. A copy of this form is included as part of the
application materials in Part III.

29.

TELEWORK REQUIREMENTS
In order for State agency employees to telework while working on BLS programs, the following
conditions must be met:

U.

a.

Encryption to Federal standards (e.g. FIPS 140-2) of all data on portable devices (laptops, USB
flash drives, optical media, etc.) that contain, or may contain, BLS information and transported
outside of agency-controlled facilities per OMB 06-16, OMB 07-16, and NIST 800-53 MP-5.

b.

Use of State-owned and maintained equipment and devices (no use of personally-owned
equipment). State-owned equipment must meet all applicable security controls (anti-virus, audit
logging and monitoring, least functionality, etc.) as described in NIST 800-53 for a Moderate level
of security.

c.

As described in OMB 06-16, OMB 07-16 and NIST 800-53 control IA-2, allow remote access
only with two-factor authentication where one of the factors is provided by a device separate from
the computer gaining access (e.g. smartcard, token, etc.).

d.

Enforcement of a password-protected screen saver on the PC with a timeout that locks the screen
after no more than 15 minutes of inactivity.

e.

As described in OMB 06-16 and OMB 07-16, enforce a session timeout function requiring user reauthentication to the remote access service after 30 minutes of inactivity.

f.

Data may only be accessed and viewed from secure, non-public areas (e.g. primary residence
home office, hotel room, etc.).

g.

Compliance with BLS policy related to State access to confidential data as promulgated via
technical memos.

DATA COLLECTION INTEGRITY
The integrity of the Bureau of Labor Statistics data collection process requires that all survey information be
sound, complete, and of the highest possible quality. Data must be obtained from the appropriate company
official or respondent and the data entries must accurately report data and responses they provided. This
requirement covers "all aspects of data collection, reconciliation and processing including, but not limited to,
the following: personal visits, telephone collection, telephone clarification, mail, tape reformatting, computer
assisted telephone interviews (CATI), computer assisted personal interviews (CAPI), telephone data entry
(TDE), voice recognition and computer assisted data collection and processing (CADCAP).

20

The State agency agrees to acquaint all employees involved in data collection for LMI programs with the data
collection requirements set out above, and to ensure that they understand that the source of the data, the
method of data collection, and the data received from respondents must not be deliberately misrepresented.

V.

PUBLICATION OF DATA
Publication of data produced under the Agreement will be limited to BLS-validated or approved data. Funds
may be budgeted in the CA to cover the cost of this activity. State agency publication of employment data,
occupational data, and labor force and unemployment statistics, including data or deriving from data
developed under the CA, must contain the BLS-validated or approved series, and be identified as such.
In the past, BLS paid postage costs for mailing State publications in proportion to the content of BLS data
contained therein. Beginning in FY 2008, BLS did not include funds for mailing publications in mail cost
estimates. The cost of mailing publications is an allowable cost, but BLS will not provide additional funding
for this purpose. One copy of any publication produced by the State agency with CA funds will be provided
to the Grant Officer, except as otherwise indicated in the LMI statistical program manuals.

W.

MAIL MANAGEMENT
Beginning in FY 2008, the BLS policy on LMI program outgoing and return mail changed. In keeping with
United States Postal Service and General Services Administration mandates, direct accountability of mail
now relies on commercial mail and no longer uses penalty meters. Changes to mail practices and mail
reporting requirements are described in LMI Administrative Memoranda S-07-9, "Transitioning State Labor
Market Information Mail to Commercial Accountability and Practices" and S-07-3, "Supplemental Guidance
for State Labor Market Information Commercial Mail Accounts."
States may not use ETA or BLS penalty meter heads for outgoing mail. States have converted to commercial
mail payment of metered mail, permit imprint mail, and stamps and stationary in all locations. States should
base their mail costs estimate on their postal statements, and use this estimate during CA negotiations with
regional offices. The CA award includes funds to pay for commercial mail. Costs for program return mail
(e.g., postage due and address correction mail) will continue to be funded directly by BLS with the exception
of a few States that are not connected to the United States Postal Service Centralized Account Processing
System (CAPS).

X.

CERTIFICATIONS
1.

DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS
Under the Government-wide system for nonprocurement debarment and suspension, any party who is
debarred or suspended will be excluded from Federal financial and non-financial assistance and
benefits under Federal programs and activities. [29 CFR 98.100(a)] Accordingly, before being
awarded funding, each State agency will submit, as part of its application for funding, the Certification
Regarding Debarment, Suspension, and Other Responsibility Matters--Primary Covered Transactions.
In addition, each State agency will require participants in lower-tier covered transactions to submit the
Certification Regarding Debarment, Suspension, and Other Responsibility Matters--Lower-Tier
Covered Transactions. [29 CFR 98.510(a) and 29 CFR 98.510(b)] These certifications and
instructions for their completion are found in Part II, Application Instructions.

2.

DRUG-FREE WORKPLACE REQUIREMENTS
29 CFR 98.630(a) requires that all grantees receiving grants (and cooperative agreements) from any
Federal agency certify to that agency that they will maintain a drug-free workplace. Making the
required certification is a precondition for receiving a grant from a Federal agency. Accordingly,
before being awarded funding, each State agency will certify as instructed in Part II, Application
Instructions, that it is maintaining a drug-free workplace.

21

3.

LOBBYING ACTIVITIES
Pursuant to 29 CFR 93, each applicant for a cooperative agreement must certify that the applicant will
not use the funds awarded under the cooperative agreement to pay any person for influencing or
attempting to influence an officer or employee of any agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in connection with any of the
following covered Federal actions: the awarding of any Federal contract, the making of any Federal
grant, the making of any Federal loan, the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or
cooperative agreement. Making the required certification is a precondition for receiving a grant from a
Federal agency. Accordingly, before being awarded funding, each State agency will certify as
instructed in Part II, Application Instructions.
29 CFR 93 also requires that each applicant for a cooperative agreement with a Federal agency file
with that agency a disclosure form if the applicant has made or has agreed to make any payment using
nonappropriated funds (to include profits from any covered Federal action), which would be prohibited
if paid for with appropriated funds.

Y.

ASSURANCES
The standard assurances that follow specify terms and conditions with which State agency must comply, as
prescribed by OMB Circular A-102, Standard Form 424B, Standard Assurances. Pursuant to SF-424B,
certain assurances (Nos. 7, and 9 through 16 of SF-424B) are not applicable to this Agreement and have been
deleted from the list below.
By placing an "X" or check mark in the "Agree to Comply" box next to the requirement concerning the
assurances in the work statement: Requirements for All Programs, the State agency assures and certifies that
it will comply with all guidelines and requirements that apply to the application for, and the acceptance and
use of Federal funds for this federally-assisted program. Specifically, the State agency assures and certifies
that it:
1.

Has the legal authority to apply for Federal assistance, and the institutional, managerial and financial
capability (including funds sufficient to pay the non-Federal share of project costs) to ensure proper
planning, management and completion of the project described in this application.

2.

Will give the awarding agency, the Comptroller General of the United States and, if appropriate, the
State, through any authorized representative, access to and the right to examine all records, books,
papers, or documents related to the award; and will establish a proper accounting system in accordance
with generally accepted accounting standards or agency directives.

3.

Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes
or presents the appearance of personal or organizational conflict of interest, or personal gain.

4.

Will initiate and complete the work within the applicable time frame after receipt of approval of the
awarding agency.

5.

Will comply with the Intergovernmental Personnel Act of 1970 (42 USC 4728-4763) relating to
prescribed standards for merit systems for programs funded under one of the nineteen statutes or
regulations specified in Appendix A of OPM's Standards for a Merit System of Personnel
Administration (5 CFR 900, Subpart F).

6.

Will comply with all Federal statutes relating to nondiscrimination. These include but are not limited
to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352), which prohibits discrimination on the
basis of race, color or national origin; (b) Title IX of the Education Amendments of 1972, as amended
(20 USC 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; (c) Section

22

504 of the Rehabilitation Act of 1973, as amended (29 USC 794), which prohibits discrimination on
the basis of handicaps; (d) the Age Discrimination Act of 1975, as amended (42 USC 6101-6107),
which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; (f) the
Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970
(P.L. 91-616), as amended relating to nondiscrimination on the basis of alcohol abuse or alcoholism;
(g) Sections 523 and 527 of the Public Health Service Act of 1912 (42 USC 290 dd-3 and 290 ee-3), as
amended relating to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil
Rights Act of 1968 (42 USC 3601 et seq.) as amended, relating to nondiscrimination in the sale, rental
or financing of housing; (i) any other nondiscrimination provisions in the specific statute(s) under
which application for Federal assistance is being made; and (j) the requirements of any other
nondiscrimination statute(s) that may apply to the application.
7.

Will comply with the provisions of the Hatch Act (5 USC 1501-1508 and 7324-7328), which limits the
political activities of employees whose principal employment activities are funded in whole or in part
with Federal funds.

8.

Will cause to be performed the required financial and compliance audits in accordance with the Single
Audit Act Amendments of 1996 and OMB Circular No. A-133, "Audit of States, Local Governments,
and Non-Profit Organizations.”

9.

Will comply with all applicable requirements of all other Federal laws, executive orders, regulations,
and policies governing this program.

23

[This page intentionally left blank.]

24

BUREAU OF LABOR STATISTICS
LMI COOPERATIVE STATISTICS FINANCIAL REPORT

U.S. DEPARTMENT OF LABOR

We estimate that it will take an average of 1 to 5 hours to complete this form including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and
completing and reviewing the information. Your response is required to obtain or retain benefits under 29 USC 49f(a)(3)(D). If you have any comments regarding these estimates or any other aspect of
this form, including suggestions for reducing this burden, send them to the Bureau of Labor Statistics, Division of Financial Planning and Management (1220-0079), 2 Massachusetts Avenue, NE, Room
4135, Washington, DC 20212-0001. You are not required to respond to the collection of information unless it displays a currently valid OMB control number.

State Abbreviation:

State Agency Name:

Fiscal Year:

FIPS Code:

Name of Submitting Official:

Quarter:

CA Number:

Title of Submitting Official:

Month:

Date Executed:
Line Cost
No. Category
A
B

CES FLC:

Phone:
LAUS FLC:

OMB No. 1220-0079
Approval Expires 05-31-2015

Final Report? [
OES FLC:

] Yes [

] No

QCEW FLC:

C
D
E
F
G
H
I
J
This Month Cumulative This Month Cumulative This Month Cumulative This Month Cumulative

Obligations
1.
2.
3.
4.

Program Staff (PS/PB)
Resources Obligated
AS & T Staff (PS/PB)
Resources Obligated
Nonpersonal Services
Obligated
Total Obligations

Comparative Data
5.
6.

Total Cash Received
Total Expenditures

Staff Years
7.
8.

Staff Years—Program
Staff
Staff Years—AS & T
Staff

Certification:

I certify to the best of my knowledge and belief that the information provided herein is accurate and complete, and was obtained from agency accounting records.
Signature: ____________________________________________________________________________________

BLS LMI-2A, Page 1 (Revised, May 2013)

25

Date: ________________________

INSTRUCTIONS FOR COMPLETING THE LMI COOPERATIVE STATISTICS FINANCIAL REPORT
The LMI cooperative Statistics Financial Report displays cumulative actual dollar obligations by program, cost category, and staff years for program and AS&T staff. Cumulative is defined as the beginning of the cooperative
agreement period to the end of report period regardless of the fiscal year in which the cooperative agreement began. This report also requests information on total expenditures by month and cumulative.
Frequency: Only bottom-line data must be submitted monthly; therefore, lines 4, 5, and 6 of columns C, E, G, and I will be completed and submitted to the BLS within 30 calendar days after the end of each month. Cumulative data
for all lines must be completed and submitted to the BLS 30 calendar days after the end of the Federal fiscal year quarter.
Identifying Information: Enter the appropriate Federal fiscal year, quarter (1st, 2nd, 3rd or 4th) and/or name of month (Oct., Nov., Jan., Feb., April, May, July, Aug.) report is covering. Enter a check to indicate if this is the final
report of the agreement. Enter the State's two letter postal abbreviation, the FIPS code, the appropriate cooperative agreement number and date agreement was executed. Enter the State agency's name. Enter the following
information for the submitting official: name, title, and telephone number.
Columns C through L: Enter the appropriate fund ledger code in the space provided under the program name. In columns C, E, G, and I, enter the noncumulative data for this month (the month of the report) for total expenditures,
total obligations and total cash received. In columns D, F, H, and J, the cumulative data should reflect the cumulative information from the beginning of the cooperative agreement period through the end of the current report period.
Line 1, Program Staff Resources Obligated: Enter actual obligations for personal services and personnel benefits for program staff for each program under the cooperative agreement. Program staff includes all staff charges directly
under the cooperative agreement.
Line 2, Administrative, Support and Technical Services Staff Resources Obligated: Enter actual obligations for personal services and personnel benefits for AS&T staff being charged to the cooperative agreement. This line
includes all personnel costs, direct, indirect or allocated, for staff work in an administrative capacity that benefits multiple programs administered by the State agency.
Line 3, Nonpersonal Services Obligated: Enter obligations for nonpersonal services for each program. This line includes all goods and services other than personal services benefits used by the program and AS&T staff under the
cooperative agreement. These include supplies, communications, travel, rental of equipment, utilities, etc.
Line 4, Total Obligations: Enter total actual obligations for each program. This should equal the sum of lines 2 through 4. This line must be completed monthly and quarterly.
Line 5, Total Cash Received: Enter the amount of funds received for the month, and cumulatively, through electronic funds transfers or check payments.
Line 6, Total Expenditures: Enter the total actual expenditures (i.e., total obligations less resources on order) for each program for the month and cumulatively.
Line 7, Program Staff Years: Enter the actual annualized staff years paid for program staff as defined in line 2. Actual staff years can be computed by taking the actual hours charged, including leave chargeable to the programs, and
dividing by the hours available in the report period.
Line 8, AS&T Staff Years: Enter the actual annualized staff years paid (as defined above) for AS&T staff as defined in line 3.
Certification: Self-explanatory.

26

BUREAU OF LABOR STATISTICS
LMI COOPERATIVE STATISTICS FINANCIAL REPORT

U.S. DEPARTMENT OF LABOR

We estimate that it will take an average of 1 to 5 hours to complete this form including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and
completing and reviewing the information. Your response is required to obtain or retain benefits under 29 USC 49f(a)(3)(D). If you have any comments regarding these estimates or any other aspect of
this form, including suggestions for reducing this burden, send them to the Bureau of Labor Statistics, Division of Financial Planning and Management (1220-0079), 2 Massachusetts Avenue, NE, Room
4135, Washington, DC 20212-0001. You are not required to respond to the collection of information unless it displays a currently valid OMB control number.

State Abbreviation:

State Agency Name:

Fiscal Year:

FIPS Code:

Name of Submitting Official:

Quarter:

CA Number:

Title of Submitting Official:

Month:

Date Executed:
Line Cost
No. Category
A
B

OMB No. 1220-0079
Approval Expires 05-31-2015

Phone:
Final Report? [
CES AAMC
LAUS AAMC
OES AAMC
QCEW AAMC
FLC:
FLC:
FLC:
FLC:
C
D
E
F
G
H
I
J
This Month Cumulative This Month Cumulative This Month Cumulative This Month Cumulative

] Yes [

] No

Obligations
1.
2.
3.
4.

Program Staff (PS/PB)
Resources Obligated
AS & T Staff (PS/PB)
Resources Obligated
Nonpersonal Services
Obligated
Total Obligations

Comparative Data
5.
6.

Total Cash Received
Total Expenditures

Staff Years
7.
8.

Staff Years—Program
Staff
Staff Years—AS & T
Staff

Certification:

I certify to the best of my knowledge and belief that the information provided herein is accurate and complete, and was obtained from agency accounting records.
Signature: ____________________________________________________________________________________

BLS LMI-2A, Page 2 (Revised, May 2013)

27

Date: ________________________

INSTRUCTIONS FOR COMPLETING THE LMI COOPERATIVE STATISTICS FINANCIAL REPORT
The LMI cooperative Statistics Financial Report displays cumulative actual dollar obligations by program, cost category, and staff years for program and AS&T staff. Cumulative is defined as the beginning of the cooperative
agreement period to the end of report period regardless of the fiscal year in which the cooperative agreement began. This report also requests information on total expenditures by month and cumulative.
Frequency: Only bottom-line data must be submitted monthly; therefore, lines 4, 5, and 6 of columns C, E, G, and I will be completed and submitted to the BLS within 30 calendar days after the end of each month. Cumulative data
for all lines must be completed and submitted to the BLS 30 calendar days after the end of the Federal fiscal year quarter.
Identifying Information: Enter the appropriate Federal fiscal year, quarter (1st, 2nd, 3rd or 4th) and/or name of month (Oct., Nov., Jan., Feb., April, May, July, Aug.) report is covering. Enter a check to indicate if this is the final
report of the agreement. Enter the State's two letter postal abbreviation, the FIPS code, the appropriate cooperative agreement number and date agreement was executed. Enter the State agency's name. Enter the following
information for the submitting official: name, title, and telephone number.
Columns C through L: Enter the appropriate fund ledger code in the space provided under the program name. In columns C, E, G, and I, enter the noncumulative data for this month (the month of the report) for total expenditures,
total obligations and total cash received. In columns D, F, H, and J, the cumulative data should reflect the cumulative information from the beginning of the cooperative agreement period through the end of the current report period.
Line 1, Program Staff Resources Obligated: Enter actual obligations for personal services and personnel benefits for program staff for each program under the cooperative agreement. Program staff includes all staff charges directly
under the cooperative agreement.
Line 2, Administrative, Support and Technical Services Staff Resources Obligated: Enter actual obligations for personal services and personnel benefits for AS&T staff being charged to the cooperative agreement. This line
includes all personnel costs, direct, indirect or allocated, for staff work in an administrative capacity that benefits multiple programs administered by the State agency.
Line 3, Nonpersonal Services Obligated: Enter obligations for nonpersonal services for each program. This line includes all goods and services other than personal services benefits used by the program and AS&T staff under the
cooperative agreement. These include supplies, communications, travel, rental of equipment, utilities, etc.
Line 4, Total Obligations: Enter total actual obligations for each program. This should equal the sum of lines 2 through 4. This line must be completed monthly and quarterly.
Line 5, Total Cash Received: Enter the amount of funds received for the month, and cumulatively, through electronic funds transfers or check payments.
Line 6, Total Expenditures: Enter the total actual expenditures (i.e., total obligations less resources on order) for each program for the month and cumulatively.
Line 7, Program Staff Years: Enter the actual annualized staff years paid for program staff as defined in line 2. Actual staff years can be computed by taking the actual hours charged, including leave chargeable to the programs, and
dividing by the hours available in the report period.
Line 8, AS&T Staff Years: Enter the actual annualized staff years paid (as defined above) for AS&T staff as defined in line 3.
Certification: Self-explanatory.

28

BUREAU OF LABOR STATISTICS
QUARTERLY STATUS REPORT

U.S. DEPARTMENT OF LABOR

We estimate that it will take an average of 1.00 hour to complete this form including time for reviewing instructions, searching existing data sources, gathering and maintaining the
data needed, and completing and reviewing the information. Your response is required to obtain or retain benefits under 29 USC 49f(a)(3)(D). If you have any comments
regarding these estimates or any other aspect of this form, including suggestions for reducing this burden, send them to the Bureau of Labor Statistics, Division of Financial
Planning and Management (1220-0079), 2 Massachusetts Avenue, NE, Room 4135, Washington, DC 20212-0001. You are not required to respond to the collection of
information unless it displays a currently valid OMB control number.

State Abbreviation:

Program/Activity:

CA Number:

Reference Period:

Funding Amount:

This report indicates 75% completion of work?

Today's Date:

Program/Activity Completion Date:

Milestone
(from Work Statement)

Start/Completion Dates
(from Work Statement)

Status
(If completed, show date)

Comments (optional):

State Agency Representative:

Phone:

BLS Representative:

Date of Review:

BLS LMI-2B (Revised June 2003)

29

[

] Yes

OMB No. 1220-0079
Approval Expires 05-31-2015

[

] No

Comments
(Describe variation from plan)

[This page intentionally left blank.]

30

LMI COOPERATIVE AGREEMENT BUDGET VARIANCE REQUEST FORM
1.

Fill in the “FY TOTAL” column of this form from Column G of the current BIF in the Cooperative Agreement (CA).

2.

Insert the revised budget figures in the “REVISED FY TOTAL” column. The total amount of the revision cannot exceed 4.0% of the total CA amount. All
amounts should be entered in dollars and cents.

3.

Enter the payments received to date for each program for which a variance is requested (no total is needed). No single program’s “REVISED FY TOTAL” can be
lower than the total payments received to date (“PAYMENTS TO DATE”) for the program.

4.

Forward the form to the regional office for review no later than 60 days after the end of the fiscal year. Regional offices will send Budget Variance Requests to
the national office no later than 15 days after receipt from State agencies. Variance requests must be processed prior to the submission of closeout materials.

We estimate that it will take an average of 5-25 minutes to complete this form including time for reviewing instructions, searching
existing data sources, gathering and maintaining the data needed, and completing and reviewing the information. Your response
is required to obtain or retain benefits under 29 USC 49f(a)(3)(D). If you have any comments regarding these estimates or any
other aspect of this form, including suggestions for reducing this burden, send them to the Bureau of Labor Statistics, Division of
Financial Planning and Management (1220-0079), 2 Massachusetts Avenue, NE, Room 4135, Washington, DC 20212-0001. You
are not required to respond to the collection of information unless it displays a currently valid OMB control number.

PROGRAM

FY TOTAL

REVISED FY TOTAL

PAYMENTS TO DATE

CES
LAUS
OES
QCEW
Subtotal
CES-AAMC
LAUS-AAMC
OES-AAMC
QCEW-AAMC
Subtotal
TOTAL
State Agency Name:

LMI CA No.:

Requested by:
Signature:

Date:

Regional Office Review
Variance Requested:

Percent of Total CA:

Reviewed by:

Date:

Approved by:

Date:

BLS LMI-BV

31

OMB No.
1220-0079
Approval Expires
05-31-2015

VARIANCE

[This page intentionally left blank.]

32

BUREAU OF LABOR STATISTICS

U.S. DEPARTMENT OF LABOR

BLS LMI FINANCIAL RECONCILIATION WORKSHEET (FRW-A: BASE PROGRAMS)
We estimate that it will take an average of 20-30 minutes to complete this form including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and
completing and reviewing the information. Your response is required to obtain or retain benefits under 29 USC 49f(a)(3)(D). If you have any comments regarding these estimates or any other aspect of
this form, including suggestions for reducing this burden, send them to the Bureau of Labor Statistics, Division of Financial Planning and Management (1220-0079), 2 Massachusetts Avenue, NE, Room
4135, Washington, DC 20212-0001. You are not required to respond to the collection of information unless it displays a currently valid OMB control number.

State Workforce
Agency (SWA):

Date:

CA #:

CA Period: From:
CES

To:

LAUS

FUND LEDGER CODE:
1. Cumulative Disbursements
2. Charged Advance
3. Difference
4. Total Obligational Authority
5. Unused Obligational Authority
6. Revised Obligational Authority
7.

Total Unused Obligational Authority from this page:

BLS LMI FRW-A

33

OES

QCEW

OMB No. 1220-0079
Approval Expires 05-31-2015

LMI FINANCIAL RECONCILIATION WORKSHEET (FRW – A) TERMS DEFINED

Line 1. Cumulative Disbursements:
The amount shown should represent cumulative cash disbursements through the obligations incurred during the CA period that were paid out prior to the completion of the Reconciliation Worksheet:
•

applicable credits, refunds and rebates;

•

outstanding advances and prepaid expenses; and

•

other cash adjustments.

This figure is comparable to the FCO DISBURSED column found in the HHS-PMS FCO report.

Line 2. Charged Advance:
The amount of cash drawn down against HHS-PMS or checks received.
This figure is comparable to the CHG-ADV column found in the HHS-PMS FCO report.

Line 3. Difference:
The amount of Charged Advances/draw downs (Line 2), subtracted from reported expenses in Line 1. If the balance is greater, or less than zero, the closeout cannot take place until the SWA fully updates
their last quarter’s FFR to properly match their draw downs.
When the Difference (Line 3) is greater than zero, there are either:
•

Resources on Order
o

•

The amount of those goods or services that is obligated, but not yet delivered by the vendor. Does not include: personal services, personnel benefits, most nonpersonal services line items and
any items included as an “Accrual.”

Accruals
o

The amount of those goods received, services rendered, expenses incurred, and assets acquired, but for which payments have not yet been made.

When the Difference (Line 3) is less than zero there is:
•

Cash on Hand
o

The amount of cash available for the payment of obligations.

Line 4. Total Obligational Authority:
The amount of funds that the SWA is allowed to obligate against a specific program ( i.e., CES, LAUS, etc.).
This figure is comparable to the FUTURE AUTH column found in the HHS-PMS FCO report.

Line 5. Unused Obligational Authority:
The amount of funds that the SWA did not obligate against a specific program. This sum should equal Line 4 (Total Obligational Authority) minus Line 2 (Charged Advance).

Line 6. Revised Obligational Authority:
The actual amount of funds used during the fiscal year. This sum should equal Line 4 (Total Obligational Authority) minus Line 5 (Unused Obligational Authority).

Line 7. Total Unused Obligational Authority from this page:
Represents all Unused Obligational Authority summed across all programs, which illustrates the total amount of funds that will be deobligated from the CA.

34

BUREAU OF LABOR STATISTICS

U.S. DEPARTMENT OF LABOR

BLS LMI FINANCIAL RECONCILIATION WORKSHEET (FRW-B: AAMC PROGRAMS)
We estimate that it will take an average of 20-30 minutes to complete this form including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and
completing and reviewing the information. Your response is required to obtain or retain benefits under 29 USC 49f(a)(3)(D). If you have any comments regarding these estimates or any other aspect of this
form, including suggestions for reducing this burden, send them to the Bureau of Labor Statistics, Division of Financial Planning and Management (1220-0079), 2 Massachusetts Avenue, NE, Room 4135,
Washington, DC 20212-0001. You are not required to respond to the collection of information unless it displays a currently valid OMB control number.

State Workforce
Agency (SWA):

Date:

CA #:

CA Period: From:
CES

LAUS

OES

QCEW

AAMC

AAMC

AAMC

AAMC

FUND LEDGER CODE:
1. Cumulative Disbursements
2. Charged Advance
3. Difference
4. Total Obligational Authority
5. Unused Obligational Authority
6. Revised Obligational Authority
7.

To:

Total Unused Obligational Authority from this page:

BLS LMI FRW-B AAMC

35

OMB No. 1220-0079
Approval Expires
05-31-2015

LMI FINANCIAL RECONCILIATION WORKSHEET (FRW – B) TERMS DEFINED

Line 1.

Cumulative Disbursements:
The amount shown should represent cumulative cash disbursements through the obligations incurred during the CA period that were paid out prior to the completion of the Reconciliation Worksheet:
•

applicable credits, refunds and rebates;

•

outstanding advances and prepaid expenses; and

•

other cash adjustments.

This figure is comparable to the FCO DISBURSED column found in the HHS-PMS FCO report.

Line 2. Charged Advance:
The amount of cash drawn down against HHS-PMS or checks received.
This figure is comparable to the CHG-ADV column found in the HHS-PMS FCO report.

Line 3. Difference:
The amount of Charged Advances/draw downs (Line 2), subtracted from reported expenses in Line 1. If the balance is greater, or less than zero, the closeout cannot take place until the SWA fully updates
their last quarter’s FFR to properly match their draw downs.
When the Difference (Line 3) is greater than zero, there are either:
•

Resources on Order
o

•

The amount of those goods or services that is obligated, but not yet delivered by the vendor. Does not include: personal services, personnel benefits, most nonpersonal services line items and
any items included as an “Accrual.”

Accruals
o

The amount of those goods received, services rendered, expenses incurred, and assets acquired, but for which payments have not yet been made.

When the Difference (Line 3) is less than zero there is:
•

Cash on Hand
o

The amount of cash available for the payment of obligations.

Line 4. Total Obligational Authority:
The amount of funds that the SWA is allowed to obligate against a specific program ( i.e., CES, LAUS, etc.).
This figure is comparable to the FUTURE AUTH column found in the HHS-PMS FCO report.

Line 5. Unused Obligational Authority:
The amount of funds that the SWA did not obligate against a specific program. This sum should equal Line 4 (Total Obligational Authority) minus Line 2 (Charged Advance).

Line 6. Revised Obligational Authority:
The actual amount of funds used during the fiscal year. This sum should equal Line 4 (Total Obligational Authority) minus Line 5 (Unused Obligational Authority).

Line 7. Total Unused Obligational Authority from this page:
Represents all Unused Obligational Authority summed across all programs, which illustrates the total amount of funds that will be deobligated from the CA.

36

BUREAU OF LABOR STATISTICS

U.S. DEPARTMENT OF LABOR

TRANSMITTAL AND CERTIFICATION FORM
FOR LMI COOPERATIVE AGREEMENT CLOSEOUT DOCUMENTS
We estimate that it will take an average of 5-10 minutes to complete this form including time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and
reviewing the information. Your response is required to obtain or retain benefits under 29 USC 49f(a)(3)(D). If
you have any comments regarding these estimates or any other aspect of this form, including suggestions for
reducing this burden, send them to the Bureau of Labor Statistics, Division of Financial Planning and
Management (1220-0079), 2 Massachusetts Avenue, NE, Room 4135, Washington, DC 20212-0001. You are
not required to respond to the collection of information unless it displays a currently valid OMB control number.

OMB No. 1220-0079
Approval Expires 05-31-2015

State Workforce
Agency (SWA):
CA#:

CA Period From:

To:

The following documents are being submitted for the closeout of the cooperative agreement indicated above.
(Check the appropriate boxes under the column heading of either Partial Closeout or Final Closeout.)
Partial
Closeout

Final
Closeout

Document Name
LMI Financial Reconciliation Worksheet (2 Parts)
Financial Reports
Property Listing (if applicable)
Health and Human Services Payment Management
System (HHS-PMS) FCO Report
Other (Specify)
______________

"I certify, to the best of my knowledge and belief, that all information on this form is correct and complete. Further, all information
on all documents that accompany and constitute the cooperative agreement closeout package are correct and complete. Finally,
I certify, to the best of my knowledge and belief, that all program objectives, as delineated in the cooperative agreement work
statement(s), have been met."
SWA
Representative:
(type/print)
Authorized
Signature:

Title:

Date:

FOR THE BLS USE ONLY
Date Received in RO:

Received by:

Date Received in OFO:

Received by:

Date Received in DFPM:

Received by:

Approved by (Analyst, BGFM):

Date:

Remarks:

BLS LMI TCF

37

[This page intentionally left blank.]

38

BUREAU OF LABOR STATISTICS

U.S. DEPARTMENT OF LABOR

BLS LMI PROPERTY LISTING
(BLS-Owned Property ONLY -- NOT Property Procured with Cooperative Agreement Funds)
We estimate that it will take an average of 20-30 minutes to complete this form including time for reviewing instructions, searching existing data sources, gathering and maintaining the
data needed, and completing and reviewing the information. Your response is required to obtain or retain benefits under 29 USC 49f(a)(3)(D). If you have any comments regarding these
estimates or any other aspect of this form, including suggestions for reducing this burden, send them to the Bureau of Labor Statistics, Division of Financial Planning and Management
(1220-0079), 2 Massachusetts Avenue, NE, Room 4135, Washington, DC 20212-0001. You are not required to respond to the collection of information unless it displays a currently valid
OMB control number.

State Workforce Agency (SWA):

Item No.

Date:

CA #:

CA Period: From:

Identification
No.

Acquisition
Date

Description

OMB No. 1220-0079
Approval Expires 05-31-2015

Location

Remarks:

BLS LMI PROPERTY LISTING

39

To:

Condition
Code

Unit

Quantity

Unit Acquisition Cost
Federal
Non-Federal

Total Cost

Instructions for Completing the Property Listing

The Property Listing is required by 29 CFR 97.50(b)(5). SWAs shall submit, as part of the final closeout package, a complete listing of all BLS-owned property for which it is responsible. BLS-owned property is
distinct from property purchased with CA funds; an inventory of property purchased with CA funds is not required.
The Property Listing need not be submitted for a partial closeout.
Please read the instructions below before completing the form.
1.

Enter the complete SWA name, CA number, and date in the spaces provided at the top of the form.

2.

For each item of property, enter the following information in the appropriate column.
a.

Item #: Enter property items in numerical sequence, i.e., 1, 2, 3, etc.

b.

Identification #: Enter an identification number such as the Federal stock number, manufacturer's serial number, or other identifying number.

c.

Description: Describe the property, e.g., IBM PC-XT.

d.

Location: If different from the SWA address, enter the location of the property.

e.

Date of Acquisition: Date on which the SWA assumed responsibility for the property.

f.

Condition Code: Enter the condition code corresponding to the condition descriptions provided in the attached list; e.g., property that can be described as "Used-Good" receives a condition code of "4".

g.

Unit: Enter the unit, e.g., "ea" for each, "dz" for dozen, "st" for set, etc.

h.

Quantity: Enter the number of units.

i.

Unit Acquisition Cost, Total Cost: Leave blank; these columns will be completed by BLS.

Condition Codes
1

Unused-Good

Unused property that is usable without repairs and identical or interchangeable with new items from normal supply sources.

2

Unused-Fair

Unused property that is usable without repairs, but is deteriorated or damaged to the extent that utility is somewhat impaired.

3

Unused-Poor

Unused property that is usable without repairs, but is considerably deteriorated or damaged. Enough utility remains to classify the property better than salvage.

4

Used-Good

Used property that is usable without repairs, and most of its useful life remains.

5

Used-Fair

Used property that is usable without repairs, but somewhat worn or deteriorated and may soon require repairs.

6

Used-Poor

Used property that may be used without repairs, but is considerably worn or deteriorated to the degree that remaining utility is limited or major repairs will soon be
required.

7

Repairs required-Good

Required repairs are minor and should not exceed 15 percent of original acquisition cost.

8

Repairs required-Fair

Required repairs are considerable and are estimated to range from 16 to 40 percent of original acquisition cost.

9

Repairs required-Poor

Required repairs are major because property is badly damaged, worn, or deteriorated, and are estimated to range from 41 to 65 percent of original acquisition cost.

X

Salvage

Property has some value in excess of its basic material content, but repair or rehabilitation to use for the originally intended purpose is clearly impractical. Repair for
any use would exceed 65 percent of the original acquisition cost.

S

Scrap

Material that has no value except for its basic material content.

40

II.
A.

APPLICATION INSTRUCTIONS

ROLES
The State agency will complete application materials completely and correctly according to the instructions
provided below and those that accompany the forms. The State agency will submit draft and final
applications to the BLS Regional Commissioner, who is the Grant Officer for the cooperative agreement
(CA), according to the schedule provided in the transmittal memorandum.
The BLS will work closely with the State agency throughout the application process to discuss deliverables
and funding levels. The BLS will review applications for completeness, conformance with specified
deliverables, and cost. Once the final application, which reflects agreed-upon work statements and costs, has
been reviewed and approved, the BLS Regional Commissioner will execute the CA by signing and dating the
face sheet (SF-424), which has been modified by the BLS to provide space for this purpose.

B.

SUBMISSION AND REVIEW
A schedule of due dates for submission of draft and final cooperative agreement applications is provided in
the LMI Administrative Memorandum transmitting the LMI CA to the State Workforce Agencies. State
Workforce Agencies must submit a draft application, which does not need the signature of the State agency
administrator, to the regional office for review prior to submission of the formal application.
The formal application must include one original signed by the State agency administrator or other authorized
representative and two photocopies of the original. The BLS will return one of the two copies of the CA with
the Regional Commissioner's original signature to the State agency for its official file. Applicants are
encouraged to submit draft and formal applications as early as possible to facilitate the review and approval
process.
Each application must include the documents listed below. State agencies are requested to submit them in the
following order:









Application for Federal Assistance, Standard Form 424 (SF-424), as modified by the BLS
Drug-Free Workplace Certification, if appropriate (see Section 3.B.2. for details)
Disclosure of Lobbying Activities (SF-LLL), if applicable
BLS Agent Agreement
BLS Pre-release Access Certification Form
Statement of Assurance for Information Security
Work Statements
Budget Information Form(s) (BIFs)

The application should not include any of the following documents:





Administrative Requirements
Assurances
Application Instructions
Work statements or BIFs for any programs or activities for which funding is not being requested

41

C.

INSTRUCTIONS
1.

APPLICATION FOR FEDERAL ASSISTANCE (SF-424)
a.

General Guidelines
The SF-424 is an OMB-approved standard form and is required as a face sheet for applications
submitted for Federal assistance. The SF-424 requests important information, including total
estimated funding and the time period of the funded activities. The highlights below are
followed by step-by-step instructions for completing the form. Please ensure that the SF-424
is filled out completely and accurately and that it is signed and dated by the State agency's
authorized representative. Failure to do so may result in delayed processing of the CA.
Item 2: Type of Application – Must be completed. The initial application for funding should
be treated as a "New" (A) agreement; any modification to the CA after the beginning of the
period of activity should be treated as a "Revision” (C). “Continuation” (B) does not apply to
BLS CAs.
Item 17: Proposed Project – Project start and ending dates must be consistent with the dates
entered on the BIF and in the work statements. The start and ending dates for base programs
will always be October 1 and September 30, respectively; but the ending date may change
during the fiscal year if the CA is modified to fund an additional activity to maintain currency
(AAMC).
Item 21: Only the State agency’s authorized representative(s) may sign and date the form.

b.

Instructions for SF-424, Application for Federal Assistance
State agencies will follow the instructions below in completing the SF-424. Instructions are
organized by and refer to the Item No. on the SF-424.
1.

Type of Submission—Check the box labeled “Application.”

2.

Type of Application—Select one type of application in
accordance with the following definitions:
• New – An application that is being submitted to an agency for
the first time.
• Continuation – Does not apply to BLS CAs.
• Revision – Any modification to the CA after the beginning period of activity. If a
revision, enter the appropriate letter(s). More than one may be
selected. If "Other" is selected, please specify in text box
provided.
A. Increase Award
D. Decrease Duration
B. Decrease Award
E. Other (specify)
C. Increase Duration

3.

Date Received—Leave blank. The appropriate regional office will complete this.

4.
5a.

Applicant Identifier—This box is optional.
Federal Entity Identifier—Leave blank.

42

5b.

6.

Federal Award Identifier— (i.e., Cooperate Agreement Number)—Enter the ten digit CA
number (ex. LM-20318-14-75-J-25) as follows:
1st through 2nd digits – Program identifier; “LM” is used for LMI
3rd through 7th digits – Each fiscal year the DOL eGrants system randomly selects and
assigns a sequence of 5 digits for each State Agency. (See attachment--2014 Labor
Market Information Cooperative Agreement Document Numbers for assigned State
Agency DOL eGrants system number.)
8th through 9th digits – Represents the fiscal year “14” for 2014.
10th through 11th digits – Type of Federal assistance document; “75” denotes CA.
12th digit – Is a Federal agency identifier. “J” is used for the BLS.
13th through 14th digits – Applicable FIPS code for the State, e.g., “01”Alabama, “23”
for Maine, and “48” for Texas, etc.
Date Received by State—This box is optional.

7.

State Application Identifier—This box is optional.

8.

Applicant Information—Enter (a) legal name of the State agency, (b) employer or
taxpayer identification number (EIN or TIN) as assigned by the Internal Revenue
Service, (c) the organization’s DUNS number (received from Dun and Bradstreet), (d)
enter the complete address of the State agency, (e) name of the primary organizational
unit, department or division that will undertake the assistance activity (for example,
“LMI Division”), and (f) Name and contact information of person to be contacted on
matters involving this application.

9.

Type of Applicant 1—Enter “State Government” in the field provided.

10.
11.

Name of Federal Agency—Enter “Department of Labor”
Catalog of Federal Domestic Assistance Number—Enter “17.002”; CFDA Title: “Labor
Force Statistics”

12.

Funding Opportunity Number—Leave blank.

13.

Competition Identification Number—Leave blank.

14.

Areas Affected by Project (Cities, Counties, States, etc.)—Enter the name of the State or
territory that will benefit from the project.

15.

Descriptive Title of Applicant’s Project—For the initial application, enter "LMI--The
applicant will provide statistical data to the BLS for the following programs: [Enter here
the names of the programs and/or AAMCs for which funding is sought].” If the State
agency is submitting an application to modify an existing CA, enter only the names of
the affected programs or additional activities to maintain currency, as appropriate.
Please do not use the same description for AAMCs as is used for the initial CA for base
programs.

16.

Congressional Districts of —(a) Enter the applicant’s three digit congressional district
and (b) Enter “all” to signify that the scope for the LMI program is Statewide. Maps
depicting congressional districts of the 113th Congress can be found online at
http://www.census.gov/geo/maps-data/maps/cd113_us_wallmap.html.

17.

Proposed Project Start and End Dates—Enter “10/01/XX” and “09/30/XX” where XX is
the year in which the Federal fiscal year begins followed by the next calendar year when
the Federal fiscal year ends. For example, 10/01/13 and 09/30/14 for Federal fiscal year
2014.

43

18.

18a.

2.

Estimated Funding—Enter the amount of Federal assistance requested. If the purpose of
this application is to change an existing award (2), enter only the amount of increase or
decrease. For decreases, enclose the amount in parentheses. If the amount is the net
result of several increases and/or decreases, attach a separate page to break out the
amount by Fund Ledger Code.
Federal—Enter the amount of Federal assistance requested.

18 b.

Applicant—Leave blank.

18 c.

State—Leave blank.

18 d.

Local—Leave blank.

18 e.

Other—Leave blank.

18 f.

Program Income—Leave blank.

18 g.

TOTAL—Will automatically calculate based on information in 18a.

19.

E.O. 12372 Review—LMI programs are not subject to review; box 19c is checked
“Program is not covered by E.O. 12372.”

20.

Delinquent on Federal Debt—Check Yes or No; if Yes, include an explanation on an
additional page. Categories of debt include, but are not limited to, delinquent audit
disallowances, loans and taxes. [Note: This question applies to the State agency
applying for Federal assistance, not to the authorized representative who signs the
application for the State agency.]

21.

Authorized Representative—To be signed and dated by the authorized representative of
the applicant organization. Enter the first and last name, prefix, middle name, suffix,
title, telephone number, email, and fax number. This authorized representative must also
sign and date the application. By signing, the signatory is making the certification set
forth on the form.

22.

Grant Officer Signature—Leave these boxes blank. The BLS Grant Officer will provide
his (a) name, (b) title, (c) telephone number, (d) signature, and (e) date signed. Note that
this item has been added by the BLS. It does not appear on the electronic version of this
form available at the OMB website.

CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS
a.

Instructions--Primary Covered Transactions
(1)

By signing and submitting this application or grant agreement, the prospective
primary participant is providing the certification set out below (see Section 2.b.).

(2)

The inability of a person to provide the certification required below will not necessarily
result in denial of participation in this covered transaction. The prospective participant
will submit an explanation of why it cannot provide the certification set out below. The
certification or explanation will be considered in connection with the department or
agency's determination whether to enter into this transaction. However, failure of the
prospective participant to furnish a certification or explanation will disqualify such
person from participation in this transaction.

(3)

The certification in this clause is a material representation of fact upon which reliance
was placed when the department or agency determined to enter into this transaction. If it
is later determined that the prospective primary participant knowingly rendered an
erroneous certification, in addition to other remedies available to the Federal

44

Government, the department or agency may terminate this transaction for cause or
default.
(4)

The prospective primary participant will provide immediate written notice to the
department or agency to which this proposal is submitted if at any time the prospective
primary participant learns its certification was erroneous when submitted or has become
erroneous by reason of changed circumstances.

(5)

The terms "covered transaction", "debarred", "suspended", "ineligible", "lower tier
covered transaction", "participant," "person", "primary covered transaction", "principal",
"proposal", and "voluntarily excluded," as used in this clause, have the meanings set out
in the Definitions and Coverage sections of the rules implementing Executive Order
12549 [29 CFR 98.105 and 29 CFR 98.110]. You may contact the department or agency
to which this proposal is being submitted for assistance in obtaining a copy of those
regulations.

(6)

The prospective primary participant agrees by submitting this proposal that, should the
proposed covered transaction be entered into, it shall not knowingly enter into any lower
tier covered transaction with a person who is proposed for debarment under 48 CFR Part
9, Subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from
participation in this covered transaction, unless authorized by the department or agency
entering into this transaction.

(7)

The prospective primary participant further agrees by submitting this proposal that it
will include the clause titled "Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion--Lower Tier Covered Transactions," provided by
the department or agency entering into this covered transaction, without modification, in
all lower tier covered transactions and in all solicitations for lower tier covered
transactions.

(8)

A participant in a covered transaction may rely upon a certification of a prospective
participant in a lower tier covered transaction that it is not proposed for debarment under
48 CFR part 9, Subpart 9 debarred, suspended, ineligible, or voluntarily excluded from
the covered transaction, unless it knows that the certification is erroneous. A participant
may decide the method and frequency by which it determines the eligibility of its
principals. Each participant may, but is not required to, check the List of Parties
Excluded from Federal Procurement and Nonprocurement Programs.

(9)

Nothing contained in the foregoing will be construed to require establishment of a
system of records in order to render in good faith the certification required by this
clause. The knowledge and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary course of business
dealings.

(10) Except for transactions authorized under paragraph 6 of these instructions, if a
participant in a covered transaction knowingly enters into a lower tier covered
transactions with a person who is proposed for debarment under 48 CFR part 9, Subpart
9.4, suspended, debarred, ineligible, or voluntarily excluded from participation in this
transaction, in addition to other remedies available to the Federal Government, the
department or agency may terminate this transaction for cause or default.

45

b.

Certification--Primary Covered Transactions
This certification is required by the regulations implementing Executive Order 12549,
Debarment and Suspension, 29 CFR 98.510, Participants' responsibilities.
(1)

The prospective participant certifies to the best of its knowledge and belief, that it and its
principals:
(a)

Are not presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from covered transactions by any Federal
department or agency;

(b) Have not within a three-year period preceding this proposal been convicted of or
had a civil judgment rendered against them for commission of fraud or a criminal
offense in connection with obtaining, attempting to obtain, or performing a public
(Federal, State or local) transaction or contract under a public transaction; violation
of Federal or State antitrust statutes or commission of embezzlement, theft,
forgery, bribery, falsification or destruction of records, making false statements, or
receiving stolen property;
(c)

Are not presently indicted for or otherwise criminally or civilly charged by a
governmental entity (Federal, State or local) with commission of any of the
offenses enumerated in paragraph (1)(b) of this certification; and

(d) Have not within a three-year period preceding this application/proposal had one or
more public transactions (Federal, State or local) terminated for cause or default.
(2)

c.

Where the prospective primary participant is unable to certify to any of the statements in
this certification, such prospective participant will attach an explanation to this proposal.

Instructions--Lower-Tier Covered Transactions
(1)

By signing and submitting this application or grant agreement, the prospective
lower tier participant is providing the certification set out below.

(2)

The certification in this clause is a material representation of fact upon which reliance
was placed when this transaction was entered into. If it is later determined that the
prospective lower tier participant knowingly rendered an erroneous certification, in
addition to other remedies available to the Federal Government, the department or
agency with which this transaction originated may pursue available remedies, including
suspension and/or debarment.

(3)

The prospective lower tier participant shall provide immediate written notice to the
person to whom this proposal is submitted if at any time the prospective lower tier
participant learns that its certification was erroneous when submitted or had become
erroneous by reason of changed circumstances.

(4)

The terms "covered transaction", "debarred", "suspended", "ineligible", "lower tier
covered transaction", "participant," "person", "primary covered transaction", "principal",
"proposal", and "voluntarily excluded," as used in this clause, have the meaning set out
in the Definitions and Coverage sections of the rules implementing Executive Order
12549 [29 CFR 98.105 and 29 CFR 98.110]. You may contact the person to which this
proposal is submitted for assistance in obtaining a copy of those regulations.

46

d.

(5)

The prospective lower tier participant agrees by submitting this proposal that, should the
proposed covered transaction be entered into, it shall not knowingly enter into any lower
tier covered transaction with a person who is proposed for debarment under 48 CFR Part
9, Subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from
participation in this covered transaction, unless authorized by the department or agency
with which this transaction originated.

(6)

The prospective lower tier participant further agrees by submitting this proposal that it
will include the clause titled "Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion--Lower Tier Covered Transactions," provided by
the department or agency entering into this covered transaction, without modification, in
all lower tier covered transactions and in all solicitations for lower tier covered
transactions.

(7)

A participant in a covered transaction may rely upon a certification of a prospective
participant in a lower tier covered transaction that it is not proposed for debarment under
48 CFR Part 9, Subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded
from the covered transaction, unless it knows that the certification is erroneous. A
participant may decide the method and frequency by which it determines the eligibility
of its principals. Each participant may, but is not required to, check the List of Parties
Excluded from Federal Procurement and Nonprocurement Programs.

(8)

Nothing contained in the foregoing will be construed to require establishment of a
system of records in order to render in good faith the certification required by this
clause. The knowledge and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary course of business
dealings.

(9)

Except for transactions authorized under paragraph 5 of these instructions, if a
participant in a covered transaction knowingly enters into a lower tier covered
transactions with a person who is proposed for debarment under 48 CFR Part 9, Subpart
9, suspended, debarred, ineligible, or voluntarily excluded from participation in this
transaction, in addition to other remedies available to the Federal Government, the
department or agency with which this transaction originated may pursue available
remedies, including suspension and/or debarment.

Certification--Lower-Tier Covered Transactions
This certification is required by the regulations implementing Executive Order 12549,
Debarment and Suspension, 29 CFR 98.510, Participants' responsibilities.
(1)

The prospective lower tier participant certifies, by submission of this proposal, that
neither it nor its principals are presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from participation in this transaction by any
Federal department or agency.

(2)

Where the prospective lower tier participant is unable to certify to any of the statements
in this certification, such prospective participant will attach an explanation to this
proposal.

47

3.

DRUG-FREE WORKPLACE CERTIFICATION
a.

Instructions
(1)

By signing and/or submitting this application or grant agreement, the grantee is
providing the certification set out below (see Section b.1.); however, see also Section
b.2.

(2)

The certification set out below is a material representation of fact upon which reliance is
placed when the agency awards the grant. If it is later determined that the grantee
knowingly rendered a false certification, or otherwise violates the requirements of the
Drug-Free Workplace Act, the agency, in addition to any other remedies available to the
Federal Government, may take action authorized under the Drug-Free Workplace Act.

(3)

Workplaces under grants, for grantees other than individuals, need not be identified on
the certification. If known, they may be identified in the grant application. If the
grantee does not identify the workplaces at the time of application, or upon award, if
there is no application, the grantee must keep the identity of the workplace(s) on file in
its office and make the information available for Federal inspection. Failure to identify
all known workplaces constitutes a violation of the grantee's drug-free workplace
requirements.

(4)

Workplace identifications must include the actual address of buildings (or parts of
buildings) or other sites where work under the grant takes place. Categorical
descriptions may be used (e.g., all vehicles of a mass transit authority or State highway
department while in operation. State employees in each local unemployment office,
performers in concert halls or radio studios).

(5)

If the workplace identified to the agency changes during the performance of the grant,
the grantee will inform the agency of the change(s), if it previously identified the
workplaces in question (see paragraph (3)).

(6)

Definitions of terms in the Nonprocurement Suspension and Debarment common rule
and Drug-Free Workplace common rule apply to this certification. Grantees' attention is
called, in particular, to the following definitions from these rules:
"Controlled substance" means a controlled substance in Schedules I through V of the
Controlled Substances Act (21 USC. 812) and as further defined by regulation (21 CFR
1308.11 through 1308.15);
"Conviction" means a finding of guilt (including a plea of nolo contendere) or
imposition of sentence, or both, by any judicial body charged with the responsibility to
determine violations of the Federal or State criminal drug statutes;
"Criminal drug statute" means a Federal or non-Federal criminal statute involving the
manufacture, distribution, dispensing, use, or possession of any controlled substance;
"Employee" means the employee of a grantee directly engaged in the performance of
work under a grant, including: (i) All "direct charge" employees; (ii) All "indirect
charge" employees unless their impact or involvement is insignificant to the
performance of the grant; and, (iii) Temporary personnel and consultants who are
directly engaged in the performance of work under the grant and who are on the
grantee's payroll. This definition does not include workers not on the payroll of the
grantee (e.g., volunteers, even if used to meet a matching requirement; consultants or

48

independent contractors not on the grantee's payroll; or employees of subrecipients or
subcontractors in covered workplaces).
b.

Certification Regarding Drug-Free Workplace Requirements
(1)

The grantee certifies that it will or will continue to provide a drug-free workplace by:
(a)

Publishing a statement notifying employees that the unlawful manufacture,
distribution, dispensing, possession or use of a controlled substance is prohibited in
the grantee's workplace and specifying the actions that will be taken against
employees for violation of such prohibition;

(b) Establishing an ongoing drug-free awareness program to inform employees about-




(c)

The dangers of drug abuse in the workplace;
The grantee's policy of maintaining a drug-free workplace;
Any available drug counseling, rehabilitation, and employee assistance
programs; and
The penalties that may be imposed upon employees for drug abuse violations
occurring in the workplace;

Making it a requirement that each employee to be engaged in the performance of
the grant be given a copy of the statement required by paragraph (a);

(d) Notifying the employee in the statement required by paragraph (a) that, as a
condition of employment under the grant, the employee will-


Abide by the terms of the statement; and
Notify the employer in writing of his or her conviction for a violation of a
criminal drug statute occurring in the workplace no later than five calendar
days after such conviction;

(e)

Notifying the agency in writing within ten calendar days after receiving notice
under (d), above, from an employee or otherwise receiving actual notice of such
conviction. Employers of convicted employees must provide notice, including
position title, to every grant officer or other designee on whose grant activity the
convicted employees was working, unless the Federal agency has designated a
central point for the receipt of such notices. Notice shall include the identification
number(s) of each affected grant;

(f)

Taking one of the following actions within 30 calendar days of receiving notice
under subparagraph (d), above, with respect to any employee who is so convicted-



(g)

Taking appropriate personnel action against such an employee, up to and
including termination; consistent with the requirements of the Rehabilitation
Act of 1973, as amended; or
Requiring such employee to participate satisfactorily in a drug abuse
assistance or rehabilitation program approved for such purposes by a Federal,
State, or local health, law enforcement, or other appropriate agency;

Making a good faith effort to continue to maintain a drug-free workplace through
implementation of paragraphs (a), (b), (c), (d), (e), and (f).

49

(2)

The grantee will:
(a)

Insert in the spaces provided on the attached page (See Part III, Application
Materials) the site(s) for the performance of work done under the agreement, if the
site(s) is/are different than that listed on the SF-424 and submit the attached page
as part of its application for Federal assistance; or

(b) Indicate in the Cooperative Agreement transmittal letter that a State-wide
certification has been made and a copy is on file in the Department of Labor,
Office of Acquisition Integrity, Division of Procurement and Grant Management.
4.

CERTIFICATION REGARDING LOBBYING ACTIVITIES
a.

Instructions
By signing and/or submitting this application or grant agreement, the grantee is
providing the certification set out below (see Section b.1.). No other certification is
necessary if an authorized representative of the State agency signs this application.

b.

Certification for Contracts, Grants, Loans, and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1)

No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or
employee of an agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any Federal loan, the entering
into of any cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any Federal contract, grant, loan, or cooperative
agreement.

(2)

If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member
of Congress in connection with this Federal contract, grant, loan, or cooperative
agreement, the undersigned will complete and submit Standard Form, "Disclosure Form
to Report Lobbying," in accordance with its instructions.

(3)

The undersigned will require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants, and
contracts under grants, loans, and cooperative agreements) and that all subrecipients will
certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed
when this transaction was made or entered into. Submission of this certification is a
prerequisite for making or entering into this transaction imposed by section 1352, title
31, U.S. Code. Any person who fails to file the required certification will be subject to a
civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

50

5.

DISCLOSURE OF LOBBYING ACTIVITIES (SF-LLL)
a.

General Guidelines
The SF-LLL is an OMB-approved standard form for the disclosure of lobbying activities. If
applicable, this disclosure form will be completed by the State agency upon entering into the
cooperative agreement or a material change to a previous filing, pursuant to title 31 USC
section 1352. The State agency must file this form each time it makes a payment or an
agreement to make a payment to any lobbying entity for influencing or attempting to influence
an officer or employee of any agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with a covered Federal
action. Use the SF-LLL-A Continuation Sheet for additional information if the space on the
form is inadequate. Complete all items that apply for both the initial and material change
reports. Refer to the implementing guidance published by the Office of Management and
Budget for additional information.
Please note: Submission of this form is necessary only if the State agency meets the
above criteria.

b.

Instructions for Completion of SF-LLL, Disclosure of Lobbying Activities
(1)

Identify the type of covered Federal action for which lobbying activity is and/or has
been secured to influence the outcome of a covered Federal action.

(2)

Identify the status of the covered Federal action.

(3)

Identify the appropriate classification of this report. If this is a follow-up report caused
by a material change to the information previously reported, enter the year and quarter in
which the change occurred. Enter the date of the last previously submitted report by this
reporting entity for this covered Federal action.

(4)

Enter the full name, address, city, State, and zip code of the reporting entity. Include
Congressional District, if known. Check the appropriate classification of the reporting
entity that designates if it is, or expects to be, a prime or subaward recipient. Identify
the tier of the subawardee, e.g., the first subawardee of the prime is the 1st tier.
Subawards include but are not limited to subcontracts, subgrants, and contract awards
under grants.

(5)

If the organization filing the report in item 4 checks "subawardee," then enter the full
name, address, city, State, and zip code of the prime Federal recipient. Include
Congressional District, if known.

(6)

Enter the name of the Federal agency making the award or loan commitment. Include at
least one organizational level below agency name, if known. For example, Department
of Transportation, U.S. Coast Guard.

(7)

Enter the Federal program name or description for the covered Federal action (item 1).
If known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for
grants, cooperative agreements, loans, and loan commitments.

(8)

Enter the most appropriate Federal identifying number available for the Federal action
identified in item 1 (e.g., Request for Proposal (RFP) number; Invitation for Bid (IFB)
number; grant announcement number; the contract, grant, or loan award number; the
application/proposal control number assigned by the Federal agency). Include prefixes,
e.g., "RFP-DE-90-001."

51

(9)

For a covered Federal action where there has been an award or loan commitment by the
Federal agency, enter the Federal amount of the award/loan commitment for the prime
entity identified in item 4 or 5.

(10a) Enter the full name, address, city, State, and zip code of the lobbying entity engaged by
the reporting entity identified in item 4 to influence the covered Federal action.
(10b) Enter the full names of the individual(s) performing services, and include full address if
different from 10a. Enter Last Name, First Name, and Middle Initial (MI).
(11) Enter the amount of compensation paid or reasonably expected to be paid by the
reporting entity (item 4) to the lobbying entity (item 10). Indicate whether the payment
has been made (actual) or will be made (planned). Check all boxes that apply. If this is
a material change report, enter the cumulative amount of payment made or planned to be
made.
(12) Check the appropriate box(es). Check all boxes that apply. If payment is made through
an in-kind contribution, specify the nature and value of the in-kind payment.
(13) Check the appropriate box(es). Check all boxes that apply. If other, specify nature.
(14) Provide a specific and detailed description of the services that the lobbyist has
performed, or will be expected to perform, and the date(s) of any services rendered.
Include all preparatory and related activity, not just time spent in actual contact with
Federal officials. Identify the Federal officials(s) or employee(s) contacted or the
officer(s), employee(s), or Member(s) of Congress that were contacted.
(15) Check whether or not a SF-LLL-A Continuation Sheet(s) is attached.
(16) The certifying official will sign and date the form, print his/her name, title, and
telephone number.
a.

BLS PRE-RELEASE ACCESS CERTIFICATION FORM
a.

General Guidelines
The purpose of the BLS Certification Form is for the State Cooperating Representative to
certify that persons with advance access to BLS pre-release information are aware of their
responsibilities for ensuring compliance with BLS confidentiality policies regarding handling
of pre-release information. This agreement is intended for signature by the State Cooperating
Representative only to certify that the individuals listed in the attachment to the certification
form are authorized to have advance access to BLS pre-release information and have indicated
their understanding and acceptance of the conditions for access to BLS pre-release
information.

b.

Instructions
(1)

Each State Cooperating Representative should provide the BLS with a list of individuals
with a need to see pre-release information, including the name, State government
affiliation, and title of each individual. This list will serve as attachment A of the Prerelease Access Certification Form.

(2)

Each individual named on the list above must be fully informed of their responsibilities
and obligations for handling BLS pre-release information either in writing or verbally.

52

b.

(3)

The State Cooperating Representative is responsible for forwarding to their respective
BLS regional office the list of individuals authorized advance access to BLS pre-release
information and the signed Pre-release Access Certification Form.

(4)

The BLS regional office is responsible for maintaining on file the signed original copies
of all Certification Forms from their respective SWAs.

(5)

The BLS Pre-release Access Certification Form signed by the State Cooperating
Representative is in effect so long as the list of authorized persons is accurate. A new
certification must be made each time a new individual is added to the list of authorized
persons. The new individual should be appended to the list and the list should be recertified. At the time of modification, individuals who no longer need-to-know this
information should be dropped from the list.

BLS AGENT AGREEMENT
a.

General Guidelines
The purpose of the BLS Agent Agreement is to inform persons of their responsibilities as
agents of the BLS for ensuring compliance with BLS confidentiality policies within the State
agencies.

b.

Instructions
(1)

Each State Cooperating Representative should provide the BLS with a list of candidates
to be designated as agents of the BLS, including the name and title of each candidate.
The Cooperating Representative should include his or her own name and title on this list.

(2)

Each BLS Regional Commissioner will review the list of agent candidates provided by
the Cooperating Representatives within their respective regions. Each BLS Regional
Commissioner then will prepare an Agent Agreement for each approved agent candidate
and will signify BLS approval by signing the Agent Agreement.

(3)

The Agent Agreements then will be forwarded to the State Cooperating Representative,
who will be responsible for ensuring that each approved agent candidate signs their
respective Agent Agreement.

(4)

State designees must review the confidential information protection provisions of the
Confidential Information Protection and Statistical Efficiency Act of 2002.

(5)

State designees must review the BLS Agent Agreement and sign the form.

(6)

The State Cooperating Representative is responsible for forwarding to their respective
BLS regional office all signed Agent Agreements.

(7)

The BLS regional office is responsible for maintaining on file the signed original copies
of all BLS Agent Agreements received from their respective SWAs.

(8)

The BLS Agent Agreement form signed by the State designee is effective until the State
designee resigns or is terminated.

53

8.

STATEMENT OF ASSURANCE FOR INFORMATION SECURITY
a.

General Guidelines
The purpose of the Statement of Assurance for Security is for each party to inform the other
about its security posture. These assurances assist in the decision of approving or
disapproving the interconnection between the systems by authorizing officials.

b.

9.

Instructions
(1)

Each State Cooperating Representative shall provide the BLS with a completed
Statement of Assurance for Information Security, signed by the State Authorizing
Official, as part of the Cooperative Agreement application.

(2)

Each BLS Regional Commissioner will review the statements submitted by the
Cooperating Representatives within their respective regions.

(3)

The BLS regional office will then send the original Statements of Assurance signed by
the States to the BLS national office.

(4)

The BLS national office will have the BLS Authorizing Official review the statements
and authorize the interconnections in official office memoranda. The national office
will keep the original finalized documents, and then return copies to the BLS regional
office.

(5)

The BLS regional office will keep a copy of the BLS interconnection authorization and
send a copy to the State.

WORK STATEMENTS
a.

General Guidelines
Work statements are the core documents in the application. They describe the work to be
performed, list major deliverables and/or milestones, identify methods that must be used, and
qualitative standards State agencies are expected to achieve. They also indicate work that may
not be performed by the State agency under the Cooperative Agreement (i.e., exclusions).
Some work statements also contain information specific to a particular program or particular
State. Instructions for completing the work statements follow.
State Abbreviation and Cooperative Agreement Number. Enter the standard two-letter postal
abbreviation for the State and the Cooperative Agreement number in the upper right-hand
corner of each page of the work statement in the spaces provided. If pages are added to the
work statement, enter the abbreviation and Cooperative Agreement number on each.
Agreement. Indicate agreement to comply with specified deliverables and milestones,
performance requirements, and quality assurance requirements by placing an "X" in the
appropriate boxes. Supply other information where requested; for example, a list of sub-State
areas for which CES estimates will be made. No other changes, additions, or deletions are to
be made to the work statements for the LMI cooperative statistical programs.
Explanation of Variances A program variance is required if a State does not intend to comply
fully with all performance requirements for the entire period of the CA. If a program variance
is requested, the State agency must submit a Variance Request Form (VRF) to the BLS
regional office for review before it is sent to the BLS national office for review. All program
variances must be approved by the BLS national office prior to the CA being signed. Any

54

language specified by the national managers in the VRF needs to be included without revision
in the CA. The approved program variance is to be referenced in the space provided at the end
of the work statement.
b.

Instructions for Completing Work Statements
Requirements for All Programs. The work statement, Requirements for All Programs, is to be
completed only once, when the original Cooperative Agreement application is submitted. The
requirements will continue in effect (as appropriate) for any modifications to the original
Cooperative Agreement. If a State agency is unable to comply with any of the requirements
for all programs, or failed to meet requirements in the previous period, the box should be left
blank and an explanation of variance provided. No variances will be accepted for the
requirement that the State agency comply with the Assurances.
Additional Activities to Maintain Currency (AAMCs). The BLS will provide work statements
for AAMCs to eligible State agencies. States that elect to participate should provide:





A completed work statement with beginning and ending dates provided for each
milestone.
SF-424 on which the total dollars indicated in box 18 include funds for the approved
activity as well as the base programs if the form is being submitted with the initial
Cooperative Agreement application.
A separate BIF (Form LMI-1B) for the AAMC.

States may also initiate AAMCs by sending to the regional office a letter that includes:









Title of activity;
A discussion of the need for the activity;
The goals and objectives of the activity;
Milestones and the time required to achieve them;
Estimated cost;
The total duration of the activity;
Deliverables/outcomes; and
Any other relevant information.

When the AAMC is approved, the regional office will advise the States to submit the materials
described above if it is to be funded as part of the initial Cooperative Agreement or to submit a
bilateral modification if submitted after the Cooperative Agreement has been executed.
The regional office may specify performance standards as required. State agencies should
consult the regional office for more information.
10.

BUDGET INFORMATION FORM (BIF)
a.

General Guidelines
There are two pages to a Budget Information Form (BIF). The first page (Form BLS LMI-1A)
requests estimated staff year, planned obligation and other information on the four base
programs (CES, LAUS, OES, and QCEW). The second page (Form BLS LMI-1B) requests
staff year, planned obligation and other information on any Additional Activities to Maintain
Currency (AAMCs).

55

Applicants are requested to complete and submit the appropriate page(s) of the BIF when
applying for funding--Form BLS LMI-1A for base program funding and Form BLS LMI-1B
for AAMC funding. State agencies may use an electronic spreadsheet facsimile of the BIF that
will be provided by the regional office upon request. Only the BLS version of the electronic
spreadsheet will be accepted.
Staff years are defined as the number of staff, dedicated full-time to an activity, needed to
accomplish the deliverables.
Three cost categories are specified on the BIF:

b.

(1)

Program Staff Resources. This category includes staff years and costs for the personal
services and personnel benefits for staff directly contributing to the work required to
accomplish the deliverables. Personal services and personnel benefits costs for program
staff should be based on the average salary of the staff needed to produce the
deliverables multiplied by the number of staff years needed for each program. Cost
estimates should include actual and anticipated legislated pay increases effective during
the fiscal year for which funding is sought.

(2)

Administrative, Support and Technical Services (AS&T) Staff Resources. This category
includes staff years, and all direct or allocated personal services and personnel benefits
costs for staff who work in an administrative capacity benefiting multiple programs
administered by the State agency. Personal services and personnel benefits costs for
AS&T staff should be based on the average salary of AS&T staff in the State agency
multiplied by the number of AS&T staff years needed for each program. Cost estimates
should include actual and anticipated legislated pay increases effective during the fiscal
year for which funding is sought.

(3)

Nonpersonal Services (NPS). This category includes the cost of all goods and services
other than personal services and personnel benefits used by the staff in support of the
activities shown in the work statements. These include supplies, communications,
travel, equipment rent, and utilities. Travel costs required for attendance at BLS
meetings as well as other travel required to accomplish the deliverables agreed to in the
work statements are also included. NPS costs should be based on allocated charges to
object class categories (supplies, communications, equipment, etc.) and any appropriate
direct charges (travel, etc.).

Instructions for Form BLS LMI-1A (For Base Programs Only)
The first page of the BIF (Form BLS LMI-1A) must be completed when requesting funding for
the base LMI programs. Dollar figures for each quarter must represent non-cumulative
planned obligations for each quarter. Dollar figures in the "Fiscal Year Total" column must
represent the total planned obligations for all four quarters. The total on line 17 represents the
total planned obligations for the four base programs for each quarter and the fiscal year.
Complete the form as instructed below.
Identifying Information: In the spaces provided, enter the two-letter State abbreviation;
Cooperative Agreement number; name, title, and telephone number of the State agency’s
authorized representative; the fiscal year during which the funded activities will take place; the
duration of the Cooperative Agreement; and, the date the BIF is completed.
Columns C, D, E, and F: Enter staff year estimates to the nearest hundredth (e.g., 3.75) for
each quarter. Enter planned obligations in whole dollar amounts (e.g., 23,706) for each
quarter. Staff year estimates must relate to the non-cumulative planned obligations for the

56

particular quarter, but should be entered such that when added together and divided by four the
fiscal year total results.
Column G: Enter total estimated staff years and total planned obligations for the entire fiscal
year. To compute the total staff years, add the staff years for all four quarters and divide this
sum by four. To compute the total planned obligations for the fiscal year, add the planned
obligations for all four quarters.
Lines 1, 5, 9, and 13, Program Staff Resources (PSR): Enter staff year estimates and planned
obligations for PSR for each program (CES, LAUS, OES, and QCEW). For the definition of
Program Staff Resources, see the general guidelines above.
Lines 2, 6, 10, and 14, Administrative, Support and Technical Services (AS&T) Staff
Resources: Enter staff year estimates and planned obligations for AS&T for each program.
For the definition of AS&T Staff Resources, see the general guidelines above.
Lines 3, 7, 11, and 15, Nonpersonal Services (NPS): Enter only planned obligations for NPS
for each program. For the definition of Nonpersonal Services, see the general guidelines
above.
Lines 4, 8, 12, and 16, Total Resources: Enter the sum of lines 1 through 3, 5 through 7, 9
through 11, and 13 through 15, respectively. Please ensure that all numbers are added
correctly.
Line 17, Total Labor Market Information (LMI): Enter the sum of lines 4, 8, 12, and 16.
Please ensure that all numbers are added correctly.
c.

Instructions for Form BLS LMI-1B (For AAMCs Only)
The second page of the BIF (Form BLS LMI-1B) must be completed when requesting funding
for AAMCs. Each form can accommodate the first fiscal year of planned activity for each of
up to five AAMCs. If the period of performance of an AAMC is planned to extend beyond the
first fiscal year of the CA, a second Form BLS LMI-1B must be used. For these AAMCs that
FY
AAMC.", will be
span two fiscal years, the heading for Column G, "TOTAL:
marked "FY" for the first page and "AAMC" for the second page. Complete the form as
described in the instructions that follow.
Identifying Information: In the spaces provided, enter the two-letter State abbreviation;
Cooperative Agreement number; name, title, and telephone number of the State agency’s
authorized representative; the fiscal year during which the planned activities will take place;
the duration of the Cooperative Agreement as modified by the AAMC; and the date the BIF is
completed. Note that the duration of a modified Cooperative Agreement may extend beyond
the end of the fiscal year to accommodate an AAMC that lasts for five or more quarters (for
example, FY 2014, October 1, 2013 - March 30, 2014).
For each AAMC, enter the Program, Fund Ledger Code, and Activity Title in the spaces
provided. The "Program" refers to the BLS-LMI program that is the source of funding for the
activity. For example, if CES is the source of funding, then CES is the program to enter on the
BIF, regardless of what the activity is related to. The FLC is the 5-digit code associated with
the Program. The Activity Title is a short description of the funded activities. These three
items provide important identifying information; please be certain that they are completed fully
and correctly.

57

Lines 1 through 3, 5 through 7, 9 through 11, and 13 through 15: Enter staff year estimates
and planned obligations for each cost category. For the definitions of the cost categories, see
the general guidelines above.
Lines 4, 8, 12, and 16, Total Resources: Enter the sum of lines 1 through 3, 5 through 7, 9
through 11, and 13 through 15, respectively. Please ensure that all numbers are added
correctly.
Columns C, D, E, and F: Enter staff year estimates to the nearest hundredth (e.g., 0.75) for
each quarter. Enter planned, non-cumulative obligations in whole dollar amounts (e.g., 3,706)
for each quarter.
Column G: Compute the total staff years for the AAMC by adding the staff years for all
quarters and dividing this sum by the number of funded quarters. If an AAMC ends before the
end of a fiscal year, enter zero (0) in all remaining quarters of the BIF to the end of the fiscal
year. Compute the total planned obligations for the AAMC by adding the planned obligations
for all funded quarters. Enter these totals on the last page of the BIF. Please note that for
AAMCs that span two fiscal years, the heading for Column G will be marked "FY" for the first
page and "AAMC" for the second page. Thus, on the last page, the "TOTAL" will actually
represent "AAMC Grand Total" in cases where the AAMC extends beyond one fiscal year.
Additional Information: If an AAMC is scheduled to extend beyond the end of the first fiscal
year of the CA, a second page of Form BLS LMI-1B must be used. Do not "wrap-around"
information from two fiscal years on the same page. Be sure to correctly enter all identifying
information on the second page, especially the fiscal year during which the activity is planned
to take place.
If the State agency applies for an extension of the duration of an AAMC that is being paid for
with funds authorized in an earlier time period, but not obligated as originally planned, it
should: (1) submit a revised BLS LMI-1B form for the period that was the source of the funds
that provides the actual obligations, by quarter, and the fiscal year total as described above;
and (2) a new BLS LMI-1B form for the coming fiscal year that provides the proposed
obligations, by quarter, and the fiscal year total computed as described above.

58

III. APPLICATION MATERIALS
This Part consists of the materials to be submitted by the State agency that will comprise its Cooperative Agreement
application. Instructions for completing these documents, which are listed below, are provided in Part II.


APPLICATION FOR FEDERAL ASSISTANCE, STANDARD FORM 424



CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS (if appropriate)



DISCLOSURE OF LOBBYING ACTIVITIES (if applicable)



BLS AGENT AGREEMENT



BLS PRE-RELEASE ACCESS CERTIFICATION FORM



STATEMENT OF ASSURANCE FOR INFORMATION SECURITY



WORK STATEMENTS





Requirements for All Programs



Current Employment Statistics (CES)



Local Area Unemployment Statistics (LAUS)



Occupational Employment Statistics (OES)



Quarterly Census of Employment and Wages (QCEW)

BUDGET INFORMATION FORMS


BLS LMI-1A (for base programs)



BLS LMI-1B (for additional activities to maintain currency)

59

[This section intentionally left blank.]

60

OMB Number: 4040-0004
Expiration Date: 03/31/2012

Application for Federal Assistance SF-424
*1. Type of Submission:

*2. Type of Application

Preapplication

New

Application

Continuation

Changed/Corrected Application

Revision

3. Date Received :

* If Revision, select appropriate letter(s)

*Other (Specify)

4. Applicant Identifier:

5a. Federal Entity Identifier:

*5b. Federal Award Identifier:

State Use Only:
6. Date Received by State:

7. State Application Identifier:

8. APPLICANT INFORMATION:
*a. Legal Name:
*b. Employer/Taxpayer Identification Number (EIN/TIN):

*c. Organizational DUNS:

d. Address:
*Street 1:
Street 2:
*City:
County:
*State:
Province:
*Country:
*Zip / Postal Code
e. Organizational Unit:
Department Name:

Division Name:

f. Name and contact information of person to be contacted on matters involving this application:
Prefix:

*First Name:

Middle Name:
*Last Name:
Suffix:
Title:
Organizational Affiliation:

61

OMB Number: 4040-0004
Expiration Date: 03/31/2012

Application for Federal Assistance SF-424
*Telephone Number:

Fax Number:

*Email:
*9. Type of Applicant 1: Select Applicant Type:

Type of Applicant 2: Select Applicant Type:

Type of Applicant 3: Select Applicant Type:

*Other (Specify)

*10. Name of Federal Agency:

11. Catalog of Federal Domestic Assistance Number:

CFDA Title:

*12. Funding Opportunity Number:

*Title:

13. Competition Identification Number:

Title:

14. Areas Affected by Project (Cities, Counties, States, etc.):

*15. Descriptive Title of Applicant’s Project:

16. Congressional Districts Of:
*a. Applicant:

*b. Program/Project:

62

OMB Number: 4040-0004
Expiration Date: 03/31/2012

Application for Federal Assistance SF-424
17. Proposed Project:
*a. Start Date:

*b. End Date:

18. Estimated Funding ($):
*a. Federal
*b. Applicant
*c. State
*d. Local
*e. Other
*f. Program Income
*g. TOTAL
*19. Is Application Subject to Review By State Under Executive Order 12372 Process?
a. This application was made available to the State under the Executive Order 12372 Process for review on
b. Program is subject to E.O. 12372 but has not been selected by the State for review.
c. Program is not covered by E. O. 12372
*20. Is the Applicant Delinquent On Any Federal Debt? (If “Yes”, provide explanation.)
Yes

No

21. *By signing this application, I certify (1) to the statements contained in the list of certifications** and (2) that the statements
herein are true, complete and accurate to the best of my knowledge. I also provide the required assurances** and agree to comply
with any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may subject
me to criminal, civil, or administrative penalties. (U. S. Code, Title 218, Section 1001)
** I AGREE
** The list of certifications and assurances, or an internet site where you may obtain this list, is contained in the announcement or
agency specific instructions
Authorized Representative:
Prefix:

*First Name:

Middle Name:
*Last Name:
Suffix:
*Title:
*Telephone Number:

Fax Number:

* Email:
*Signature of Authorized Representative:
* 22a. Typed Name of BLS Grant Officer:

*Date Signed:
b. Title:

c. Telephone Number:

Regional Commissioner
d. Signature of BLS Grant Officer:

e. Date Signed:

63

INSTRUCTIONS FOR THE SF-424

Item
1.

2.

This is a standard form required for use as a cover sheet for submission of pre-applications and applications and related information
under discretionary programs. Some of the items are required and some are optional at the discretion of the applicant or the
Federal agency (agency). Required fields on the form are identified with an asterisk (*) and are also specified as “Required” in the
instructions below. In addition to these instructions, applicants must consult agency instructions to determine other specific
requirements.
Entry:
Item Entry:
Type of Submission: (Required): Select one type of submission in
Name Of Federal Agency: (Required) Enter the name of the
10.
accordance with agency instructions.
Federal agency from which assistance is being requested
with this application.
•
Pre-application
•
Application
•
Changed/Corrected Application – Check if this submission is to
Catalog Of Federal Domestic Assistance Number/Title:
11.
change or correct a previously submitted application. Unless
Enter the Catalog of Federal Domestic Assistance number
requested by the agency, applicants may not use this to submit
and title of the program under which assistance is requested,
changes after the closing date.
as found in the program announcement, if applicable.
Type of Application: (Required) Select one type of application
in accordance with agency instructions.

12.

Funding Opportunity Number/Title: (Required) Enter the
Funding Opportunity Number and title of the opportunity
under which assistance is requested, as found in the
program announcement.

13.

Competition Identification Number/Title: Enter the
Competition Identification Number and title of the competition
under which assistance is requested, if applicable.
Areas Affected By Project: This data element is intended
for use only by programs for which the area(s) affected are
likely to be different than the places(s) of performance
reported on the SF-424 Project/Performance Site Location(s)
Form. Add attachment to enter additional areas if needed.

•

3.

New – An application that is being submitted to an agency for the
first time.
•
Continuation - An extension for an additional funding/budget period
for a project with a projected completion date. This can include
renewals.
•
Revision - Any change in the Federal government’s financial
obligation or contingent liability from an existing obligation. If a
revision, enter the appropriate letter(s). More than one may be
selected. If "Other" is selected, please specify in text box provided.
A. Increase Award
B. Decrease Award
C. Increase Duration
D. Decrease Duration
E. Other (Specify)
Date Received: Leave this field blank. This date will be assigned by the
Federal agency.

4.

Applicant Identifier: Enter the entity identifier assigned by the Federal
agency, if any, or applicant’s control number, if applicable.

5a

Federal Entity Identifier: Enter the number assigned to your
organization by the Federal agency, if any.
Federal Award Identifier: For new applications leave blank. For a
continuation or revision to an existing award, enter the previously
assigned Federal award identifier number. If a changed/corrected
application, enter the Federal Identifier in accordance with agency
instructions.
Date Received by State: Leave this field blank. This date will be
assigned by the State, if applicable.
State Application Identifier: Leave this field blank. This identifier will be
assigned by the State, if applicable.

5b.

6.
7.
8.

Applicant Information: Enter the following in accordance with agency
instructions:
a. Legal Name: (Required): Enter the legal name of applicant that will
undertake the assistance activity. This is the name that the organization
has registered with the Central Contractor Registry (CCR). Information
on registering with CCR may be obtained by visiting www.Grants.gov.
b. Employer/Taxpayer Number (EIN/TIN): (Required): Enter the
Employer or Taxpayer Identification Number (EIN or TIN) as assigned by
the Internal Revenue Service. If your organization is not in the US, enter
44-4444444.
c. Organizational DUNS: (Required) Enter the organization’s DUNS or
DUNS+4 number received from Dun and Bradstreet. Information on
obtaining a DUNS number may be obtained by visiting www.Grants.gov.

64

14.

15.

Descriptive Title of Applicant’s Project: (Required) Enter a
brief descriptive title of the project. If appropriate, attach a
map showing project location (e.g., construction or real
property projects). For pre-applications, attach a summary
description of the project.

16.

Congressional Districts Of: 16a. (Required) Enter the
applicant’s congressional district. 16b. Enter all district(s)
affected by the program or project. Enter in the format: 2
characters State Abbreviation – 3 characters District Number,
e.g., CA-005 for California 5th district, CA-012 for California
12th district, NC-103 for North Carolina’s 103rd district. If all
congressional districts in a State are affected, enter “all” for
the district number, e.g., MD-all for all congressional districts
in Maryland. If nationwide, i.e. all districts within all States are
affected, enter US-all. If the program/project is outside the
US, enter 00-000. This optional data element is intended for
use only by programs for which the area(s) affected are likely
to be different than the places(s) of performance reported on
the SF-424 Project/Performance Site Location(s) Form.
Attach an additional list of program/project congressional
districts, if needed.

17.

Proposed Project Start and End Dates: (Required) Enter
the proposed start date and end date of the project.

18.

Estimated Funding: (Required) Enter the amount
requested, or to be contributed during the first funding/budget
period by each contributor. Value of in-kind contributions
should be included on appropriate lines, as applicable. If the
action will result in a dollar change to an existing award,
indicate only the amount of the change. For decreases,
enclose the amounts in parentheses.

d. Address: Enter address: Street 1 (Required), city (Required),
County/Parish, State (Required, if country is US), Province, Country
(Required), 9-digit zip/postal code (Required, if country is US).
19.
e. Organizational Unit: Enter the name of the primary organizational
unit, department or division, if applicable that will undertake the
assistance activity.

f. Name and contact information of person to be contacted on
matters involving this application: Enter the first and last name
(Required); prefix, middle name, suffix, title. Enter organizational
affiliation if affiliated with an organization other than that in 7.a.
Telephone number and email (Required); fax number.

9.

A.
B.
C.
D.
E.
F.
G.
H.
I.

J.

K.

L.
M.

State Government
County Government
City or Township Government
Special District Government
Regional Organization
U.S. Territory or Possession
Independent School District
Public/State Controlled
Institution of Higher Education
Indian/Native American Tribal
Government (Federally
Recognized)
Indian/Native American Tribal
Government (Other than
Federally Recognized)
Indian/Native American
Tribally Designated
Organization
Public/Indian Housing
Authority

N.
O.
P.
Q.
R.
S.
T.
U.
V.
W.
X.

Order 12372 Process? (Required) Applicants should
contact the State Single Point of Contact (SPOC) for Federal
Executive Order 12372 to determine whether the application
is subject to the State intergovernmental review process.
Select the appropriate box. If “a.” is selected, enter the date
the application was submitted to the State

20.

Type of Applicant: (Required) Select up to three applicant
type(s) in accordance with agency instructions.

21.

Nonprofit
Private Institution of Higher
Education
Individual
For-Profit Organization
(Other than Small Business)
Small Business
Hispanic-serving Institution
Historically Black Colleges
and Universities (HBCUs)
Tribally Controlled Colleges
and Universities (TCCUs)
Alaska Native and Native
Hawaiian Serving Institutions
Non-US Entity
Other (specify)

65

Is Application Subject to Review by State Under
Executive

22.

Is the Applicant Delinquent on any Federal Debt?
(Required) Select the appropriate box. This question applies
to the applicant organization, not the person who signs as the
authorized representative. Categories of federal debt include;
but may not be limited to: delinquent audit disallowances,
loans and taxes. If yes, include an explanation in an
attachment.
Authorized Representative: To be signed and dated by the
authorized representative of the applicant organization. Enter
the first and last name (Required); prefix, middle name,
suffix. Enter title, telephone number, email (Required); and
fax number. A copy of the governing body’s authorization for
you to sign this application as the official representative must
be on file in the applicant’s office. (Certain Federal agencies
may require that this authorization be submitted as part of the
application.)

Item added to the SF-424 to provide a block for the Grant
Officer’s signature, which indicates approval of the
cooperative agreement, and award of the funding amount
shown in block 18.g.

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66

CERTIFICATION REGARDING
DRUG-FREE WORKPLACE REQUIREMENTS

This page is required by 29 CFR 98.630 and must be included in the applicant's application for Federal
assistance, as part of its Certification Regarding Drug-Free Workplace Requirements, if the place(s) of
performance of work done in connection with this Cooperative Agreement is/are other than that listed on
the SF-424 (see Part II, Application Instructions, for further information), unless the State agency is
covered under a State-wide certification that has been submitted to the appropriate office of DOL, and
has indicated in its transmittal cover letter to the BLS that this is the case.
Place(s) of performance of work done in connection with this Cooperative Agreement, if other than that
listed on SF-424, Application for Federal Assistance:
(Street Address, City, County, State, Zip Code)
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________

Check

if there are workplaces on file that are not identified here.

State Agency Name: __________________________________________________________________

Authorized Representative:
Signature: __________________________________________________ Date: __________________
Name: _____________________________________________________________________________
Title: ______________________________________________________________________________

67

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68

DISCLOSURE OF LOBBYING ACTIVITIES
Complete this form to disclose lobbying activities pursuant to 31 USC 1352

1.

Type of Federal Action

(See below for public burden disclosure.)
Status of Federal Action

2.

3.

Report Type:

a.

contract

a.

bid/offer/application

a.

initial filing

b.

grant

b.

initial award

b.

material change

c.

c.

post-award

For Material Change Only:

d.

cooperative
agreement

e.

loan

f.

loan guarantee

year________ quarter________
date of last rept._____________

loan insurance
4.

Name and Address of Reporting Entity:
Prime

5.

Subawardee; Tier_______, if known.

Congressional District, if known

6.

If Reporting Entity in No. 4 is Subawardee, Enter Name and
Address of Prime:

Congressional District, if known:

Federal Department/Agency

7.

Federal Program Name/Description

CFDA Number, if applicable:_________________________
8.

Federal Action Number, if known

9.

Award Amount, if known
$_____________________________

10a.

Name and Address of Lobbying Entity (if individual,
last name, first name, MI):

10b.

Individuals Performing Services (including address if different
from No. 10a.) (last name, first name, MI):

11.

Amount of Payment (check all that apply)

13.

Type of Payment (check all that apply):
retainer
a.
one-time fee
b.
c.
commission
contingent fee
d.
e.
deferred
f.
other; specify:______________________________

$_________________
12.

actual

planned

Form of Payment (check all that apply)
a.

cash

b. in-kind;
specify:

nature_________________
value__________________

14.

Brief Description of Services Performed or to be Performed and Date(s) of Service, including officer(s), employee(s), or
Member(s) contacted, for Payment Indicated in Item 11:

15.

Continuation Sheet(s) SF-LLL-A attached:

16.

Information requested through this form is authorized by title 31 USC
section 1352. This disclosure of lobbying activities is a material
representation of fact upon which reliance was placed by the tier above
when this transaction was made or entered into. This disclosure is
required pursuant to 31 USC 1352. This information will be reported to
the Congress semi-annually and will be made available for public
inspection. Any person who fails to file the required disclosure will be
subject of a civil penalty of no less than $10,000 and not more than
$100,000 for each such failure.

(Attach Continuation Sheet(s) SF-LLL-A, if necessary)
yes

no
Signature:__________________________________________________
Print Name:_________________________________________________
Title:_______________________________________________________
Tel. No.:_________________________ Date:_______/_______/_______

Authorized for local production

Standard Form - LLL

Public reporting burden for this collection of information is estimated to average 30 minutes per response, including time for reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of
information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction, Paperwork Reduction Project (0348--0046), Washington, DC
20503

69

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70

DISCLOSURE OF LOBBYING ACTIVITIES
CONTINUATION SHEET

Reporting Entity: _________________________________________

Page ____ of ____.

Authorized for Local Reproduction

71

Standard Form - LLL - A

[This page intentionally left blank.]

72

BLS AGENT AGREEMENT
1. I, [Name BLS Designating Official], an authorized official of the Bureau of Labor Statistics (BLS), U.S. Department of Labor,
hereby designate [Name of Agent] as a temporary Agent of the BLS, within the meaning of the Confidential Information
Protection and Statistical Efficiency Act of 2002 (CIPSEA), Public Law 107-347, to serve in accordance with this Agent
Agreement, the Cooperative Agreement and any other agreements entered into between the BLS and [Name of Organization],
and in accordance with applicable Federal law.
2. I, [Name of Agent], hereby accept the designation as Agent in paragraph 1. I certify that I have read all applicable agreements
between the BLS and the State agency and promise that I will comply with all provisions of this Agent Agreement, the
Cooperative Agreement or any other agreements between the BLS and the State agency, and applicable law. I will assure that
my actions or inactions do not cause the State agency to violate its responsibilities under those agreements. I specifically swear
(or affirm) to comply with all provisions of law that affect information acquired by the BLS, including, but not limited to, the
Trade Secrets Act and the Confidential Information Protection and Statistical Efficiency Act of 2002, and I understand that my
failure to comply with these provisions may subject me to criminal sanctions. I also agree to comply with all other BLS
information policies.
3. We, the parties to this agreement, understand that the BLS is granting the Agent access to confidential information only for the
purpose of carrying out the Agent's responsibilities under written agreements between the BLS and the State agency. The Agent
will not seek or obtain such confidential information for any other purpose. Confidential information includes confidential
respondent identifiable data protected from unauthorized use or disclosure under CIPSEA including the disclosure avoidance
parameters applied to published data. Confidential information also may include confidential pre-release information and BLS
press releases based upon data that have been previously released to the public prior to their official release.
4. We, the parties, understand and agree that the activities performed by and any outputs produced by the Agent under this
agreement are subject to review upon request by the assigned BLS Regional Commissioner or any other BLS official that the
BLS designates for verification that the activities are statistical in nature and that outputs do not contain respondent-identifying
data.
5. We, the parties, understand and agree that the Agent will not be an employee of the United States for any purpose and will not
receive compensation or payment of any kind from the BLS or the Government in connection with the Agent's activities under
this agreement or any other agreements between the BLS and the State agency. Neither this agreement nor any agreement
between the BLS and the State agency provide any right of access to BLS information. The parties also understand and agree
that the BLS may decline to give the Agent access to information and/or to terminate this agreement at any time, without notice.
The parties agree that neither this agreement, nor any termination thereof will result in any legal liability by the BLS or the
Government; however, termination will not affect the Agent's continuing obligation to safeguard all confidential data, and it will
not affect any license granted to the Government pursuant to section 6.
6. We, the parties, understand and agree that for the purposes of the copyright laws any product developed under this agreement
is in the public domain and is therefore not subject to copyright protection. However, it is also understood that confidential
information remains fully protected from improper disclosure and use as provided by law and this agreement.
7. I, [Name of Agent], understand that the State agency or I will notify the BLS if I should no longer be affiliated with the State
agency or of any change of status with the State agency.
8. I, [Name of Agent], fully understand my responsibilities to protect confidential information. I will comply with all security
requirements and will avoid all improper use or disclosure of confidential information. I understand that under Section 513 of
CIPSEA, the penalty for a knowing and willful disclosure of respondent identifiable information is a class E felony with a fine of
not more than $250,000 or imprisonment for not more than 5 years, or both.
_________________
Date

[Name of Agent]
[Title]
[Name of Organization]

_________________
Date

[Name of BLS Official]
Regional Commissioner
Bureau of Labor Statistics

73

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74

Bureau of Labor Statistics
Pre-Release Access Certification Form
I, [Name], Cooperating Representative for the State of [Name of State], do hereby certify that all
of the individuals listed in Attachment A of this certification form are authorized to have
advance access to Bureau of Labor Statistics (BLS) pre-release information. I certify that the
individuals listed in Attachment A have been fully informed of their responsibilities and
obligations in handling and maintaining the confidentiality of pre-release information prior to its
set time for release. I further certify that each of the individuals listed in Attachment A have
indicated their understanding and acceptance of the conditions for access to BLS pre-release
information.

__________________________________________
[Name]
BLS State Cooperating Representative
[Name of State]

75

_______________
Date

CONDITIONS FOR HANDLING BLS PRE-RELEASE INFORMATION
PURPOSE. The purpose of this document is to inform individuals who will have access to Bureau of Labor
Statistics (BLS) pre-release information of their responsibility for adhering to the confidentiality policies of the
BLS. This is in accordance with Office of Management and Budget Statistical Policy Directive No. 4, “Release and
Dissemination of Statistical Products Produced by Federal Statistical Agencies,” (73 FR 12622-12626). BLS prerelease information includes statistics and analyses that have not yet officially been released to the public. BLS prerelease information is deemed confidential until made available to the public through the official, scheduled release.
The BLS pre-release information you may have access to includes LAUS (State and sub-State unemployment rates)
and CES (State employment changes) estimates included in the State employment release. Individuals granted
access to BLS pre-release information are responsible for ensuring that the pre-release information they have access
to are not further disseminated or used in any unauthorized manner before their official release. Acknowledging the
requirements contained within this document only provides the individual accepting these handling conditions with
access to BLS pre-release information; acknowledgment does not authorize access to respondent identifiable
information.
Individuals granted access to BLS pre-release information must acknowledge acceptance of the conditions presented
in this document. Individuals will be deemed to have acknowledged the conditions presented below through reading
or listening to the requirements and accepting the conditions through a written or verbal affirmation provided to the
State LMI Cooperating Representative.
•

Individuals will not release BLS pre-release information to anyone not authorized to have access to this
information prior to the scheduled release of the information to the public. Authorized persons include
authorized BLS staff and approved individuals with a need-to-know who have acknowledged acceptance of
the conditions for handling BLS pre-release information as presented in this document or previously have
signed a BLS agent agreement.

•

Individuals will store BLS pre-release information in a manner that ensures unauthorized persons cannot
view or otherwise gain access to the BLS pre-release information.

•

Individuals will not remove BLS pre-release information from State government facilities.

•

Individuals acknowledge that BLS pre-release information may only be provided to authorized persons.
Should a question arise about whether an individual is an authorized person, or should the need arise to
provide BLS pre-release information to additional individuals who have not previously acknowledged
acceptance of these conditions, or should any questions arise regarding the appropriate handling of this
information, then individuals will first contact the BLS before taking any action with the BLS pre-release
information.

•

Individuals with access to any BLS pre-release information must not use the information for personal gain.

•

Individuals will notify the BLS immediately upon discovering any actual or perceived unauthorized
disclosure of the BLS pre-release information.

76

STATEMENT OF ASSURANCE FOR INFORMATION SECURITY FOR THE BUREAU OF LABOR
STATISTICS
(NOTE: This statement is included solely to provide assurances of BLS security to States. No State action is
expected.)
1.

The Bureau of Labor Statistics (BLS) securely holds all of the information collected on its behalf to the
maximum extent permitted by law. The BLS complies with all enacted Federal controls to securely
house and transfer information, and regularly audits and monitors such controls.

2.

In accordance with the Federal Information Security Management Act (FISMA) of 2002, BLS
information systems employ security controls for safe storage and transmission of electronic
information. FISMA mandates that security controls, as promulgated in guidance from National
Institute of Standards and Technology (NIST), must be employed at all Federal agencies to be in
compliance with NIST’s Federal Information Processing Standards (FIPS).

3.

BLS information and data security policies are based on standards outlined in the FIPS 200,
“Minimum Security Requirements for Federal Information and Information Systems” and the
accompanying Special Publication 800-53, “Recommended Security Controls for Federal Information
Systems.” In complying with these regulations, BLS conducts operations cognizant of the extent of
harm to individuals, organizations, and assets that may result from unauthorized disclosure, use of
protected information, or access to BLS resources.

4.

BLS maintains procedures for detecting, reporting, and responding to data and network security
incidents. These procedures are periodically tested and evaluated to ensure appropriate protection of
sensitive information.

5.

BLS systems are assessed and authorized using Department of Labor and NIST guidelines. Internal
BLS policies establish appropriate access restriction policies for sensitive data; as well as assign
responsibility and provide appropriate training to all BLS employees and contractor personnel
regarding safeguarding information.

77

STATEMENT OF ASSURANCE FOR INFORMATION SECURITY FOR THE STATE OF

For purposes of this statement, “System” refers to the interconnected information system(s) referenced in the
cooperative agreement, which is operated by the State of and includes human and information
technology resources. References to “State” below are referring to the State of .
1.

The State is committed to protecting its systems and all confidential and sensitive information in its
possession. As such, the State has established information security regulations and standards including the
assignment of responsibilities within systems and appropriate access restrictions for sensitive data.

2.

The System abides by all enacted State regulations and standards to securely store, process, and transfer
information and System specific information security policies and procedures are in accordance with these
regulations and standards.

3.

The System is operated under the authority of management officials who are cognizant of the extent of
harm to individuals, organizations, and assets that may result from unauthorized disclosure, use of
protected information, or access to System resources.

4.

The State regularly audits and monitors its compliance with State regulations and standards. The results of
audits and monitoring activities are used to improve the security of System resources.

5.

The State maintains procedures for detecting, reporting, and responding to data and network security
incidents. These procedures are periodically tested and evaluated to ensure appropriate protection of
sensitive information.

6.

The State provides appropriate training to all State employees and contractor personnel working on BLS
projects regarding their duties and the safeguarding of sensitive information and IT resources.

In signing this document, I acknowledge that the Statement of Assurance provided is an accurate characterization of
the System(s) referenced in the cooperative agreement for the State of . Further, I acknowledge
receipt of the Statement of Assurance from the BLS and I authorize the continued operation of the connection(s) that
exist as a result of the cooperative relationship with the BLS.

___________________________
Date

Signature
[State Authorizing Official]
[Title]
[Name of Organization]
[Street Address]
[Phone Number]
[Email Address]

[State Point of Contact for connectivity or security emergencies]
[Title]
[Name of Organization]
[Street Address]
[Phone Number]
[Email Address]

78

2014
LMI COOPERATIVE AGREEMENT
WORK STATEMENTS
The BLS uses the attached "check-the-box" work statements in lieu of requiring long, written program narratives to
accompany the Cooperative Agreement application. OMB Circular A-102 states that agencies should generally
include a request for a program narrative statement that is based on instructions provided in the circular. The
instructions include: objectives and need for assistance, results or benefits expected, approach, and geographic
location.
The work statements are considered forms for purposes of OMB's Paperwork Reduction Act approval process. As
such, an estimate of the time required to complete the form must be provided and those affected by the forms must
be afforded the opportunity to comment on the estimates or any other aspect of the form. Rather than place the
required language on each of the work statements that follow, estimates are provided below. Each estimate of time
required to complete a work statement assumes that no variances will be needed. The work statements and the
estimated times to complete them are:
All Programs
CES
LAUS
OES
QCEW

5 – 10 minutes
12 – 24 minutes
8 – 16 minutes
9 – 18 minutes
18 – 36 minutes

We estimate that it will take an average of one to two hours to complete these forms, including time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and
reviewing the information. Your response is required to obtain or retain benefits under 29 USC 49f(a)(3)(D). If you
have any comments on the estimates or the forms, send them to the Bureau of Labor Statistics, Division of Financial
Planning and Management (1220-0079), 2 Massachusetts Avenue, N.E., Room 4135, Washington, D.C. 202120001. You are not required to respond to the collection of information unless it displays a currently valid OMB
control number.

79

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80

Work Statement

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

REQUIREMENTS FOR ALL PROGRAMS
Agree To
Comply
(Check Box)

A.

ATTENDANCE AT MEETINGS AND CONFERENCES

The State Agency Research Director is expected to attend the BLS National Labor Market
Information Conference, which covers major upcoming activities in the LMI programs. State
LMI staff may be required to attend no more than two technical meetings/conferences for each
program to provide them with information necessary to perform program tasks and meet program
deliverable requirements for their assigned BLS program. Selected State staff, who serve on BLS
Program Policy Councils, are required to attend up to four Policy Council meetings where policy
and technical changes are discussed. Specific funding is provided for this activity. Should staff
be unable to fulfill any of these requirements, an appropriate level of funding will be deobligated
by the Bureau.

B.

PROGRAM TRAINING

State agency staff will participate in scheduled BLS technical training sessions, including initial
technical training for new staff. BLS will deobligate an appropriate amount of funds if State staff
does not attend these required sessions.

C.

PUBLICATION OF DATA

The State agency will publish data produced under this agreement. One copy of any publication
produced by the State agency with Cooperative Agreement funds will be provided to the grant
officer, except as otherwise indicated in the LMI statistical program manuals. Publishing data on
the Internet fulfills this requirement.

D.

SUBMISSION OF REPORTS

The State agency will submit all required financial reports within 30 days of the completion of the
reporting period and quarterly status reports on AAMCs.

E.

ADMINISTRATIVE REQUIREMENTS/ASSURANCES

The State agency will adhere to all terms and conditions specified in Part I, Administrative
Requirements, including the Assurances. By agreeing to comply here, the State agency is
relieved of attaching the Assurances to its application.

81

Work Statement

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _
Agree To
Comply
(Check Box)

F.

PROGRAM PERFORMANCE

The State agency will follow the methods and procedures described in program manuals and
technical instructions in the performance of work under these agreements.

G.

PROGRAM PARTICIPATION

Funding of BLS LMI cooperative statistical programs is contingent on State agency participation
in all of the following programs: CES, LAUS, OES, and QCEW.
(The U.S. Virgin Islands and Guam are exempt from this requirement.)

H.

ENHANCED ELECTRONIC COMMUNICATIONS

The State agency will cooperate with the BLS in maintaining the dedicated phone lines needed
for electronic communications between agencies.

I.

COMPUTER SECURITY

The State agency is required to have in place a system of information technology security controls
that is consistent with industry standards, State and Federal laws, as applicable, and that are tested
on a regular basis. The State agency is required to make audit reports of such controls available
to authorized BLS staff upon request. The BLS reserves the right to visit State offices to ensure
that appropriate controls are in place and operating as intended. The State agency is required to
scan files for viruses prior to transmittal to BLS. Virus scanning tools used for this purpose must
be kept up to date to ensure that known viruses are adequately detected.

J.

CONTRACTING OUT LMI FUNCTIONS

The State agency agrees not to subgrant or contract any substantive program work (see Part I,
Administrative Requirements, Section P.) without first obtaining permission from the BLS.

K.

USE OF BLS SURVEY SAMPLES

States are prohibited from using BLS survey samples for the collection of additional respondent
information, without first obtaining permission from the BLS.

L.

CONTROL OF ESTIMATES

The State agency agrees that pre-release information such as official BLS estimates and other
official BLS statistical products will not be disclosed or used in an unauthorized manner prior to
the scheduled release of the information to the public, and will be accessible only to authorized
persons. Authorized persons are State employees designated as “authorized agents” of the BLS
(defined in Administrative Requirements Section S.4. – Access to Confidential Information) or

82

Work Statement

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

State employees that have been approved for access to BLS pre-release information as certified
by the State Cooperating Representative.
The State agency agrees that in publishing State estimates produced by the BLS, the State
release may be viewed by authorized persons (as defined in Administrative Requirements,
Section S.3.b.) within the Governor’s office; however, consistent with best statistical practices,
the State agency shall publish the State release in a manner that is objective, unbiased, and free
of policy pronouncements. If policy pronouncements are to be made regarding the data, State
policy officials should issue a separate independent statement on the data being released by the
State agency.
Agree To
Comply
(Check Box)

M.

ESTABLISHING PUBLICATION DATES

The State agency will establish a publication schedule for the upcoming calendar year of CES and
LAUS data produced under the CA and post the schedule on the State Labor Market Information
Web site by December 31, 2013. That schedule should indicate for each month, the date on
which estimates are to be released for (1) the State, (2) metropolitan areas, and (3) smaller areas.
Any changes made by the State agency to their release schedule will be transmitted to the
regional office as soon as they become available. Release schedule changes should only be
caused by an event or events beyond the control of the State agency (e.g., the inability to release
on schedule due to a disruption in the continuity of operations). Any changes made to the release
schedule should be announced on the State Web site with a full explanation to the public as soon
as it is made. In the event that a State agency releases any data in advance of the published
release schedule, the State agency will contact the BLS Regional Office upon learning of the
early release to determine how to proceed.

N.

EXPLANATION OF VARIANCES

NOTE: Please add additional pages as necessary

83

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84

Work Statement

State
__ __

CA Number
LM- _ _ _ _ _-14-75-J-_ _

CURRENT EMPLOYMENT STATISTICS PROGRAM
WORK STATEMENT FOR THE 50 STATES AND THE DISTRICT OF COLUMBIA
A.

PROGRAM INFORMATION

The Current Employment Statistics (CES) program is a nationwide monthly payroll survey of business
establishments. CES provides current estimates of employment, hours, and earnings in industry and area detail for
the 50 States, the District of Columbia, Puerto Rico, and the U.S. Virgin Islands.
The Bureau of Labor Statistics (BLS) funds and administers the CES program, and provides conceptual, technical,
and procedural guidance in sampling, data collection, and estimation. State agencies are responsible for providing
information on local events and on employment not covered by the UI program, improving the quality of the
benchmark data, and for publication and analysis of CES data in cooperation with the BLS.
The CES program uses the standardized procedures described in the Current Employment Statistics State Operating
Manual, as well as those contained in the work statement and BLS technical memoranda. Applicants should put an
"X" or a check mark in the spaces provided on the following pages to indicate agreement to comply with stated
program requirements.

B.

DELIVERABLES

The data items required for the CES program have both monthly and annual requirements, and each item must be
delivered according to the schedule specified in the CES State Operating Manual, technical memoranda, and on the
following pages.

Content

Agree To
Comply
(Check Box)

Due Dates

Annually
1.

Provide supplemental information on
employment not covered by the UI program.

In accordance with the annual
schedule specified by BLS, and in
accordance with the procedures
specified in the CES State
Operating Manual.

2.

Review and provide input on BLS’ proposed
Statewide and area publication cells. Any
changes BLS makes to these cells will be
based on BLS publication guidelines. These
guidelines include review and modification to
assure adequate sample for estimation of
employment, and all employee payrolls, as
well as definitional changes mandated by
OMB to metropolitan areas and industry
classification systems. These guidelines also
establish the minimum required cell structure
for each data type.

Prior to benchmark processing
each year; in accordance with
BLS defined schedule.

85

Agree To
Comply
(Check Box)

Work Statement

State
__ __

B.

CA Number
LM- _ _ _ _ _-14-75-J-_ _

DELIVERABLES (CONTINUED)

Content

Agree To
Comply
(Check Box)

Due Dates

Review and make changes – based on
State-determined criteria – to the Stateonly publication cells.
3.

a.

Provide updates through the third
quarter to establishment location,
industry, and other changes identified
after submission via the standard QCEW
deliverable, to improve the quality of the
CES benchmark data. Updates to the
benchmark may include adjustments
such as: new information on noncovered employment; adjustments to
summer education employment; updates
to unclassified employment; and
corrections to predecessor/successor
relationships, noneconomic codes
changes, QCEW misreporting, and prior
quarter corrections.

In accordance with the annual
schedule specified by BLS, and in
accordance with the procedures
specified in the CES State
Operating Manual.

b.

Provide an annual summary of State
contribution to the benchmark.

In accordance with the annual
schedule specified by BLS, and in
accordance with the procedures
specified in the CES State
Operating Manual.

Quarterly
1.

OPTIONAL: If the State Agency elects to,
provide a report on outreach activities that
included analysis and/or dissemination of
CES data.

In accordance with the quarterly
schedule specified by BLS, and in
accordance with the procedures
specified in the CES State
Operating Manual.

Monthly
1.

a.

Deliver to BLS information on strikes,
layoffs, large births and deaths, and
other local events that might impact the
accuracy and quality of the State and
MSA estimates.

In accordance with the monthly
schedule specified by BLS, and in
accordance with the procedures
specified in the CES State
Operating Manual. [This
information should be provided to
BLS on a flow basis, as the
information is identified and
documented.]

86

Agree To
Comply
(Check Box)

Work Statement

State
__ __

B.

CA Number
LM- _ _ _ _ _-14-75-J-_ _

DELIVERABLES (CONTINUED)

Content

Agree To
Comply
(Check Box)

Due Dates

b.

Deliver to BLS information on local
events and indicators that might assist in
the analysis of the estimates.

In accordance with the monthly
schedule specified by BLS, and in
accordance with the procedures
specified in the CES State
Operating Manual. [This
information should be provided to
BLS on a flow basis, as the
information is identified and
documented.]

c.

OPTIONAL: If the State Agency elects
to, deliver to BLS a written analysis of
the estimates.

2.

a.

Deliver, or facilitate the delivery of, State
government non-education and Stategovernment education data for all MSA’s
and the Balance of State. These data
should be provided to BLS for the earliest
possible closing each month consistent
with the availability of the data. The
State agency may meet this deliverable
(1) by facilitating this collection of data
by BLS and ensuring that other State
agencies fully cooperate with the timely
collection of these data, or (2) by the
State Agency directly collecting the data
and transmitting to BLS via the earliest
possible closing.

In accordance with the monthly
schedule specified by BLS, and in
accordance with the procedures
specified in the CES State
Operating Manual. [This analysis
should be developed after the
estimates are produced, and
before BLS publishes the
estimates.]
In accordance with the schedule
and procedures specified in the
CES State Operating Manual.

3.

a.

If the State agency has elected to continue
collecting data from specific CES sample
establishments, the State agency will
directly collect those individual
establishment microdata. They will
review the edited and screened microdata;
and transmit the microdata to the BLS for
the earliest possible closing.

In accordance with the schedule
and procedures specified in the
CES State Operating Manual.

87

Agree To
Comply
(Check Box)

Work Statement

State
__ __

B.

C.

LM- _ _ _ _ _-14-75-J-_ _

DELIVERABLES (CONTINUED)

Content

4.

CA Number

Agree To
Comply
(Check Box)

Due Dates

b.

If the State agency has elected to continue
collecting data from specific CES sample
establishments, the State agency will
collect data from those respondents each
month using BLS/OMB-approved forms,
or via BLS-approved electronic formats.

In accordance with the schedule
and procedures specified in the
CES State Operating Manual.

c.

If the State agency has elected to continue
collecting data from specific CES sample
establishments, the State agency will
prepare and mail the approved OMB
forms.

In accordance with the schedule
and procedures specified in the
CES State Operating Manual.

Agree To
Comply
(Check Box)

Publication
a.

The State will publish all BLS-approved CES estimates, using a pre-announced schedule.
Both not seasonally adjusted and seasonally adjusted data will be published. States may (1)
publish the CES estimates directly on their State LMI website, (2) provide a link from the
LMI website to the BLS CES/State & Area web page, or (3) utilize a combination of these
two procedures.

b.

States will not use BLS systems or sample to produce alternative over-the-month change
estimates of BLS-published Statewide and MSA industry employment data for public
consumption.

PROGRAM PERFORMANCE REQUIREMENTS
Agree To
Comply
(Check Box)

Specifics on the methods for CES State requirements are described in the CES State Operating Manual.
The major elements involved are:
1.

The State will utilize the methods described in the State Operating Manual to inform BLS about
local events.

2.

The State will utilize the methods described in the State Operating Manual to provide
supplemental information – where available – of employment not covered by the UI program.

88

Work Statement

State
__ __

D.

CA Number
LM- _ _ _ _ _-14-75-J-_ _

QUALITY ASSURANCE REQUIREMENTS
Agree To
Comply
(Check Box)

The State agency will cooperate with the BLS in maintaining:
1.

E.

Data security by securing individual respondent data to prevent disclosure to unauthorized
persons. This includes non-disclosure of estimates prior to publication, using standards outlined
in the LMI Cooperative Agreement Section S “Confidentiality,” CES State Operating Manual,
and program memoranda.

EXCLUSIONS

The deliverables and cost estimates for the CES program should reflect only activities associated with the conduct of
a sample survey of establishments for the areas shown in the work statement; developing inputs used to produce
estimates of industry employment, hours and earnings; and publication of these data. The following types of
activities are not part of the CES program:
1.

Development of sample-based or non-sample-based estimates for areas not listed in the work statement.
However, States may at their option maintain supplemental sample for non-CES areas within the ACESweb
system and utilize ACESweb to produce non-CES area estimates. States may not utilize CES sample data
outside of the ACES system without a signed Memorandum of Understanding (between the State and BLS)
specifying the allowable uses and required protection of the CES sample data.
•

States may continue to collect sample units – in the non-CES areas – that have been dropped from the
CES sample. If the State chooses to collect these units, no funding will be provided to collect and edit the
units. If a State elects to solicit additional non-government units in non-CES areas, then the State must
collect the newly solicited units; no BLS funding will be provided for these activities. If a State chooses
to solicit additional non-government units in non-CES areas, the solicited sample size is limited to 10% of
the States’ CES non-government sample size (based on the number of UI accounts in the sample). The
OMB-approved CES form may not be used to collect data from these non-sample units.

•

If States produce non-CES area estimates utilizing CES data, they must – on an annual basis in accordance
with the BLS-defined schedule – review these State-only cells to ensure compliance with BLS nondisclosure guidelines. States will either suppress cells that fail confidentiality or they may attempt to
obtain letters of consent from the unit(s) causing the cell to fail. If the latter option is selected, the letters
of consent will be prepared and mailed according to BLS policy. Signed consent letters will be provided
to the Regional Office for archiving.

•

If States produce non-CES area estimates utilizing ACESweb and a cell structure change is desired (for
the non-CES area estimates), the States must review the non-CES area cell structure and submit change
requests in accordance with the BLS-defined schedule and the procedures defined in the CES State
Operating Manual.

2.

Provision of technical assistance to State employment service managers in identifying industries or
establishments from which potential job orders can be developed.

F.

EXPLANATION OF VARIANCES

NOTE: Please add additional pages as necessary.

89

[This page intentionally left blank]

90

Work Statement

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

CURRENT EMPLOYMENT STATISTICS PROGRAM
WORK STATEMENT FOR PUERTO RICO
A.

PROGRAM INFORMATION

The Current Employment Statistics (CES) program is a nationwide monthly payroll survey of business
establishments. CES provides current estimates of employment, hours, and earnings in industry and area detail for
the 50 States, the District of Columbia, Puerto Rico, and the U.S. Virgin Islands.
The Bureau of Labor Statistics (BLS) funds and administers the CES program, and provides conceptual, technical,
and procedural guidance in sampling, data collection, and estimation. Territory agencies are responsible for aspects
of CES data collection, estimation, and publication in cooperation with the BLS.
The CES program uses the standardized procedures described in the Current Employment Statistics State Operating
Manual, as well as those contained in the work statement and BLS technical memoranda. Applicants should put an
"X" or a check mark in the spaces provided on the following pages to indicate agreement to comply with stated
program requirements.

B.

DELIVERABLES

The data items required for the CES program have both monthly and annual requirements, and each item must be
delivered according to the schedule specified in the CES State Operating Manual, technical memoranda, and on the
following pages.

Content

Agree To
Comply
(Check Box)

Due Dates

Monthly
1.

a.

Directly collect individual establishment
microdata; edit, screen, and review the
microdata, and transmit the microdata to
the BLS.

In accordance with the schedule
specified by BLS for the
preliminary and final Territory
closings each month.

b.

Receive sample reports collected by all
BLS collection sites via the Centralized
Database (CDB); and transmit data
questions to the appropriate collection
source using OnTrack.

In accordance with the procedures
specified by BLS.

91

Agree To
Comply
(Check Box)

Work Statement

B.

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

DELIVERABLES (CONTINUED)

Content

2.

State

a.

Agree To
Comply
(Check Box)

Deliver preliminary and revised estimates for
employment, hours and earnings of all
employees for the Territory and selected
areas.

Due Dates

In accordance with the monthly
schedule and the procedures
specified by BLS.

Deliver preliminary and revised estimates for
employment, hours, and earnings of
production and non-supervisory workers for
the Territory and selected areas.
2.

b.

3.

Produce, review, and deliver to BLS
estimates made utilizing the ACESWeb
system.

In accordance with the monthly
schedule and procedures
specified by BLS.

OPTIONAL: If the Territory elects to,
deliver to BLS a written analysis of the
estimates.

In accordance with the monthly
schedule specified by BLS, and in
accordance with the procedures
specified in the CES State
Operating Manual. [This analysis
should be developed after the
estimates are produced, and
before BLS publishes the
estimates.]

Quarterly
1.

Territory will maintain RU-coded files that
define the exact match between CES sample
members and their QCEW report.

In accordance with procedures
specified by BLS.

2.

OPTIONAL: If the Territory elects to, provide a
report on outreach activities that included
analysis and/or dissemination of CES data.

In accordance with the quarterly
schedule specified by BLS, and in
accordance with the procedures
specified in the CES State
Operating Manual.

Annually
1.

Provide supplemental information on
employment not covered by the UI program.

In accordance with the annual
schedule specified by BLS, and in
accordance with the procedures
specified in the CES State
Operating Manual.

92

Agree To
Comply
(Check Box)

Work Statement

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

B.

Content

Agree To
Comply
(Check Box)

Due Dates

2.

Territory and area monthly and annual average
series benchmarked to the March QCEW report
adjusted for comparability with CES definitions.
Post benchmark estimates will reflect replacement
with edited second quarter UI data. Subject to
availability, third quarter UI data should also be
tabulated and reviewed for use in replacement
methodology.

According to BLS defined
schedule which allows for timely
review of revised benchmarked
data.

3.

Review and provide input on BLS’ proposed
publication cells. Any changes BLS makes to
these cells will be based on BLS publication
guidelines. These guidelines include review and
modification to assure adequate sample for
estimation of employment, and all employee
payrolls, as well as definitional changes
mandated by OMB to metropolitan areas and
industry classification systems. These guidelines
also establish the minimum required cell
structure for each data type.

Prior to benchmark processing
each year; in accordance with
BLS defined schedule.

4.

Review new seasonal factors and seasonally
adjusted data in accordance with BLS
specifications.

5.

Review new net birth/death factors, identifying
those factors that need additional BLS review
and identify possible outliers from within the
factor’s history.

Prior to the submittal of
preliminary January estimates on
the new benchmark and in
accordance with BLS defined
schedule.
In accordance with BLS defined
schedule.

Territory and Area Estimates
1.

Electronic transmission of micro, macro, and
registry data with specified backup.

In accordance with schedule
specified by BLS.

2.

In Section F., “Sub-State Areas,” list all BLS published sub-Territory area(s) covered under the
Cooperative Agreement for which estimates will be made and place an "X" in the appropriate
column to indicate each type of estimate. Area definitions must comply with current OMB
requirements for MSA boundaries.

93

Agree To
Comply
(Check Box)

Work Statement

C.

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

PROGRAM PERFORMANCE REQUIREMENTS
Agree To
Comply
(Check Box)

Specifics on the methods for conducting the CES monthly survey are described in the CES program
documentation. The major elements involved are:
1.

2.

Data Collection
a.

The Territory agency will collect data from respondents each month using BLS/OMBapproved forms, or via BLS-approved electronic formats.

b.

These data will be collected and edited in accordance with BLS requirements.

c.

The Territory agency will maintain a program of delinquency control and refusal conversion
in accordance with BLS requirements.

d.

The Territory will prepare and mail CES schedules in accordance with the schedule
specified by BLS requirements and in related Technical Memoranda.

Estimation
a.

3.

The Territory will utilize standard CES methodology, systems, and procedures for all private
industries. The Territory will adhere to BLS guidelines provided in the CES Manual and
technical memoranda in developing these CES estimates. Series with insufficient sample for
direct sample-based estimation will be estimated via the BLS small domain modeling
technique. The Territory will utilize the standard CES quota methodology and procedures
for all government industry series.

Publication
a.

The Territory will publish all BLS-approved CES estimates, using a pre-announced
schedule. Both not seasonally adjusted and seasonally adjusted data will be published. The
Territory may (1) publish the CES estimates directly on their State/Territory LMI website,
(2) provide a link from the LMI website to the BLS CES/State & Area web page, or (3)
utilize a combination of these two procedures.

b.

The Territory will not use BLS systems or sample to produce alternative over-the-month
change estimates of BLS-published Statewide and MSA industry employment data for
public consumption.

94

Work Statement

D.

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

QUALITY ASSURANCE REQUIREMENTS
Agree To
Comply
(Check Box)

The Territory agency will cooperate with the BLS in conducting:

1.

E.

Data security by securing individual respondent data to prevent disclosure to unauthorized
persons. This includes non-disclosure of estimates prior to publication, using standards outlined
in the LMI Cooperative Agreement Section S “Confidentiality,” CES State Operating Manual,
and program memoranda.

EXCLUSIONS

The deliverables and cost estimates for the CES program should reflect only activities associated with the conduct of
a sample survey of establishments for the areas shown in the work statement; developing estimates of industry
employment, hours and earnings; and publication of these data. The following types of activities are not part of the
CES program:
1.

Development of sample-based or non-sample-based estimates for areas not listed in the work statement.
However, The Territory may at their option maintain supplemental sample for non-CES areas within the
ACESweb system and utilize ACESweb to produce non-CES area estimates. The Territory may not utilize
CES sample data outside of the ACES system without a signed Memorandum of Understanding (between the
Territory and BLS) specifying the allowable uses and required protection of the CES sample data.
•

The Territory may continue to collect sample units – in the non-CES areas – that have been dropped from
the CES sample. If the Territory chooses to collect these units, no funding will be provided to collect and
edit the units. If the Territory elects to solicit additional non-government units in non-CES areas, then the
Territory must collect the newly solicited units; no BLS funding will be provided for these activities. If
the Territory chooses to solicit additional non-government units in non-CES areas, the solicited sample
size is limited to 10% of the Territory’s CES non-government sample size (based on the number of UI
accounts in the sample). The OMB-approved CES form may not be used to collect data from these nonsample units.

•

If the Territory produces non-CES area estimates utilizing CES data, they must – on an annual basis in
accordance with the BLS-defined schedule – review these Territory-only cells to ensure compliance with
BLS non-disclosure guidelines. Territory will either suppress cells that fail confidentiality or they may
attempt to obtain letters of consent from the unit(s) causing the cell to fail. If the latter option is selected,
the letters of consent will be prepared and mailed according to BLS policy. Signed consent letters will be
provided to the Regional Office for archiving.

95

Work Statement

•

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

If the Territory produces non-CES area estimates utilizing ACESweb and a cell structure change is desired
(for the non-CES area estimates), the Territory must review the non-CES area cell structure and submit
change requests in accordance with the BLS-defined schedule and the procedures defined in the CES State
Operating Manual.

2.

Provision of technical assistance to Territory employment service managers in identifying industries or
establishments from which potential job orders can be developed.

F.

SUB-STATE AREAS

List all BLS published sub-State [or Sub-Territory] area(s) covered under the Cooperative Agreement for which
estimates will be made and place an "X" in the appropriate column to indicate each type of estimate.
Area

G.

Employment

PW Hours and Earnings

EXPLANATION OF VARIANCES

E: Please add additional pages as necessary.

96

AE Hours and Earnings

Work Statement

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

CURRENT EMPLOYMENT STATISTICS PROGRAM
WORK STATEMENT FOR THE U.S. VIRGIN ISLANDS
A.

PROGRAM INFORMATION

The Current Employment Statistics (CES) program is a nationwide monthly payroll survey of business
establishments. CES provides current estimates of employment, hours, and earnings in industry and area detail for
the 50 States, the District of Columbia, Puerto Rico, and the U.S. Virgin Islands.
The Bureau of Labor Statistics (BLS) funds and administers the CES program, and provides conceptual, technical,
and procedural guidance in sampling, data collection, and estimation. Territory agencies are responsible for aspects
of CES data collection, estimation, and publication in cooperation with the BLS.
The CES program uses the standardized procedures described in the Current Employment Statistics State Operating
Manual, as well as those contained in the work statement and BLS technical memoranda. Applicants should put an
"X" or a check mark in the spaces provided on the following pages to indicate agreement to comply with stated
program requirements.

B.

DELIVERABLES

The data items required for the CES program have both monthly and annual requirements, and each item must be
delivered according to the schedule specified in the CES State Operating Manual, technical memoranda, and on the
following pages.

Content

Agree To
Comply
(Check Box)

Due Dates

Monthly
1.

a.

Directly collect individual establishment
microdata; edit, screen, and review the
microdata, and transmit the microdata to
the BLS.

In accordance with the schedule
specified by BLS for the
preliminary and final State
closings each month.

b.

Receive sample reports collected by all
BLS collection sites via the Centralized
Database (CDB); and transmit data
questions to the appropriate collection
source using OnTrack.

In accordance with the procedures
specified by BLS.

97

Agree To
Comply
(Check Box)

Work Statement

B.

2.

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

DELIVERABLES (CONTINUED)

a.

Content
Deliver preliminary and revised estimates for
employment, hours and earnings of all
employees for the Territory and selected
areas.

Agree To
Comply
(Check Box)

Due Dates
In accordance with the monthly
schedule and the procedures
specified by BLS.

Deliver preliminary and revised estimates for
employment, hours, and earnings of
production and non-supervisory workers for
the Territory and selected areas.
b.

3.

Produce, review, and deliver to BLS
estimates made utilizing the ACESWeb
system.

In accordance with the monthly
schedule and procedures
specified by BLS.

OPTIONAL: If the Territory elects to,
deliver to BLS a written analysis of the
estimates.

In accordance with the monthly
schedule specified by BLS, and in
accordance with the procedures
specified in the CES State
Operating Manual. [This analysis
should be developed after the
estimates are produced, and
before BLS publishes the
estimates.]

Quarterly
1.

Territory will maintain RU-coded files that
define the exact match between CES sample
members and their QCEW report.

In accordance with procedures
specified by BLS.

2.

OPTIONAL: If the Territory elects to, provide a
report on outreach activities that included
analysis and/or dissemination of CES data.

In accordance with the quarterly
schedule specified by BLS, and in
accordance with the procedures
specified in the CES State
Operating Manual.

Annually
1.

Provide supplemental information on
employment not covered by the UI Program.

In accordance with the annual
schedule specified by BLS, and in
accordance with the procedures
specified in the CES State
Operating Manual.

2.

Territory and area monthly and annual average
series benchmarked to the March QCEW report
adjusted for comparability with CES definitions.
Post benchmark estimates will reflect
replacement with edited second quarter UI data.
Subject to availability, third quarter UI data
should also be tabulated and reviewed for use in
replacement methodology.

According to BLS defined
schedule which allows for timely
review of revised benchmarked
data.

98

Agree To
Comply
(Check Box)

Work Statement

B.

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

DELIVERABLES (CONTINUED)
Content

3.

State

Agree To
Comply
(Check Box)

Review and modify, as needed, Territory and
area publication cells, based on BLS
publication guidelines. These guidelines
include review and modification to assure
adequate sample for estimation of
employment, and all employee payrolls, as
well as definitional changes mandated by
OMB to metropolitan areas and industry
classification systems. These guidelines also
establish the minimum required cell structure
for each data type.

Content
Prior to benchmark processing
each year; in accordance with
BLS defined schedule.

Agree To
Comply
(Check Box)

Territory and Area Estimates
1.

Electronic transmission of micro, macro, and
registry data with specified backup.

In accordance with schedule
specified by BLS.

2.

In Section F., “Sub-State Areas,” list all BLS published sub-Territory area(s) covered under the
Cooperative Agreement for which estimates will be made and place an "X" in the appropriate
column to indicate each type of estimate. Area definitions must comply with current OMB
requirements for MSA boundaries.

C.

PROGRAM PERFORMANCE REQUIREMENTS
Agree To
Comply
(Check Box)

Specifics on the methods for conducting the CES monthly survey are described in the CES program
documentation. The major elements involved are:
1.

2.

Data Collection
a.

The Territory agency will collect data from respondents each month using BLS/OMBapproved forms, or via BLS-approved electronic formats.

b.

These data will be collected and edited in accordance with BLS requirements.

c.

The Territory agency will maintain a program of delinquency control and refusal conversion
in accordance with BLS requirements.

d.

The Territory will prepare and mail CES schedules in accordance with the schedule
specified by BLS requirements and in related Technical Memoranda.

Estimation
a.

The Territory will utilize standard CES methodology, systems, and procedures for all private
industries. The Territory will adhere to BLS guidelines provided in the CES Manual and
technical memoranda in developing these CES estimates. Series with insufficient sample for
direct sample-based estimation will be estimated via the BLS small domain modeling
technique. The Territory will utilize the standard CES quota methodology and procedures
for all government industry series.

99

Work Statement

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

C. PROGRAM PERFORMANCE REQUIREMENTS (CONTINUED)
Agree To
Comply
(Check Box)
3.

D.

Publication
a.

The Territory will publish all BLS-approved CES estimates, using a pre-announced
schedule. Both not seasonally adjusted and seasonally adjusted data will be published. The
territory may (1) publish the CES estimates directly on their State/Territory LMI website,
(2) provide a link from the LMI website to the BLS CES/State & Area web page, or (3)
utilize a combination of these two procedures.

b.

The Territory will not use BLS systems or sample to produce alternative over-the-month
change estimates of BLS-published Statewide and MSA industry employment data for
public consumption.

QUALITY ASSURANCE REQUIREMENTS
Agree To
Comply
(Check Box)

The Territory agency will cooperate with the BLS in conducting:

1.

E.

Data security by securing individual respondent data to prevent disclosure to unauthorized
persons. This includes non-disclosure of estimates prior to publication, using standards outlined
in the LMI Cooperative Agreement Section S “Confidentiality”, CES State Operating Manual
and program memoranda.

EXCLUSIONS

The deliverables and cost estimates for the CES program should reflect only activities associated with the conduct of
a sample survey of establishments for the areas shown in the work statement; developing estimates of industry
employment, hours and earnings; and publication of these data. The following types of activities are not part of the
CES program:
•

Development of sample-based or non-sample-based estimates for areas not listed in the work statement.
However, the Territory may at their option maintain supplemental sample for non-CES areas within the
ACESweb system and utilize ACESweb to produce non-CES area estimates. The Territory may not
utilize CES sample data outside of the ACES system without a signed Memorandum of Understanding
(between the Territory and BLS) specifying the allowable uses and required protection of the CES sample
data.

100

Work Statement

E.

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

EXCLUSIONS (CONTINUED)
•

Territory may continue to collect sample units – in the non-CES areas – that have been dropped from the
CES sample. If the Territory chooses to collect these units, no funding will be provided to collect and edit
the units. If a Territory elects to solicit additional non-government units in non-CES areas, then the
Territory must collect the newly solicited units; no BLS funding will be provided for these activities. If a
Territory chooses to solicit additional non-government units in non-CES areas, the solicited sample size is
limited to 10% of the Territory’s CES non-government sample size (based on the number of UI accounts
in the sample). The OMB-approved CES form may not be used to collect data from these non-sample
units.

•

If Territory produces non-CES area estimates utilizing CES data, they must – on an annual basis in
accordance with the BLS-defined schedule – review these Territory-only cells to ensure compliance with
BLS non-disclosure guidelines. Territory will either suppress cells that fail confidentiality or they may
attempt to obtain letters of consent from the unit(s) causing the cell to fail. If the latter option is selected,
the letters of consent will be prepared and mailed according to BLS policy. Signed consent letters will be
provided to the Regional Office for archiving.

•

If Territory produces non-CES area estimates utilizing ACESweb and a cell structure change is desired
(for the non-CES area estimates), the Territory must review the non-CES area cell structure and submit
change requests in accordance with the BLS-defined schedule and the procedures defined in the CES State
Operating Manual.

2.

Provision of technical assistance to the Territory employment service managers in identifying industries or
establishments from which potential job orders can be developed.

F.

SUB-STATE AREAS

List all BLS published sub-State [or Sub-Territory] area(s) covered under the Cooperative Agreement for which
estimates will be made and place an "X" in the appropriate column to indicate each type of estimate.
Area

G.

Employment

PW Hours and Earnings

EXPLANATION OF VARIANCES

NOTE: Please add additional pages as necessary.

101

AE Hours and Earnings

[This page intentionally left blank]

102

Work Statement

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

LOCAL AREA UNEMPLOYMENT STATISTICS PROGRAM
A.

PROGRAM INFORMATION

The Local Area Unemployment Statistics (LAUS) program provides monthly estimates of labor force, employment,
unemployment, and unemployment rates for the U.S. Census Bureau regions and divisions, States, and subState
areas. Geographic coverage includes metropolitan areas, micropolitan areas, metropolitan divisions, combined
areas, counties, selected cities, and other areas. Estimates in the six New England States are based on the New
England City and Town Area (NECTA) concept. Data are developed for the 50 States, the District of Columbia,
and Puerto Rico.
The Bureau of Labor Statistics (BLS) funds and administers the LAUS program and provides conceptual, technical,
and procedural guidance in the development of estimates. State agencies are responsible for preparation of estimates
and publication of data in cooperation with the BLS.
The LAUS program uses data from the Current Population Survey, administrative data from the Unemployment
Insurance (UI) System, and employment estimates from the BLS Current Employment Statistics (CES) and
Quarterly Census of Employment and Wages (QCEW) programs.
The LAUS program uses the standardized procedures described in the Local Area Unemployment Statistics Program
Manual, as well as those contained in the work statement and BLS technical memoranda. Applicants should put an
"X" or a check mark in the spaces provided on the following pages to indicate agreement to comply with stated
program requirements.
B.

DELIVERABLES

Data items that must be delivered for the BLS to operate the LAUS program are described in summary below.
There are monthly, annual, and "as necessary" requirements, and each item must be delivered according to the
schedules specified in LAUS technical memoranda and on the following pages.

Content
1.

Agree To
Comply
(Check Box)

Monthly estimates of the civilian labor
force, employment, unemployment, and
unemployment rate will be provided for the
following areas:
a.

States and model-based areas

b.

All metropolitan areas, micropolitan
areas, metropolitan divisions, and
combined areas (NECTA equivalents
in New England)

c.

All small labor market areas (SLMAs)

d.

All counties and county equivalents

Due Dates
Preliminary estimates for
the current month and
revised estimates for the
previous month will be
provided according to the
preset schedule.
(Benchmarked, rather than
revised, estimates will be
transmitted for December.)

103

Agree To
Comply
(Check Box)

Work Statement

B.

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

DELIVERABLES (CONTINUED)

Content
e.

All cities and city equivalents
(including townships, where
applicable) with a population of
25,000 or more

f.

All parts of cities and city equivalents
with a population of 25,000 or more
that are located in more than one
county

g.

All cities and towns in New England

h.

All balances of State and intraState
parts of interState areas

2.

Data for Areas of Substantial
Unemployment will be submitted as
required by the Employment and Training
Administration.

3.

Data for such additional areas as may be
required for legislative purposes will be
developed and submitted on a reimbursable
basis as necessary.

4.

Monthly LAUS estimates for specified years
will be revised annually, and annual
averages developed, for the areas listed in 1a
– g above:

Agree To
Comply
(Check Box)

Due Dates

Benchmarked data will be
provided on or before
specified due dates provided
annually via technical
memoranda by the BLS.

104

Agree To
Comply
(Check Box)

Work Statement

Content
C.

Agree To
Comply
(Check Box)

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

Due Dates

Agree To
Comply
(Check Box)

QUALITY ASSURANCE REQUIREMENTS
Agree To
Comply
(Check Box)

1.

The State agency will provide such data and assistance as may be required for the BLS to
determine that the employment and unemployment inputs used in the estimating
methodology conform to established standards.

2.

The State agency will correct any errors detected in the estimates or in the methodology used
to develop them within the time frames mutually agreed upon by the BLS and the State
agency.

3.

The State agency will transmit estimates accompanied by supplemental information,
including comments on estimates that exhibit questionable or large changes, such as those
identified by the Questionable Data Edit.

4.

The State agency will maintain appropriate methods for implementing changes in the input
data necessary to comply with legislative changes.

5.

The State agency will cooperate in assessing and maintaining the accuracy of UI inputs by
participating in the UI Validation project and in the Residency Assignment project.

6.

The State agency will participate with the BLS in assessing the quality of commuter and
interState data retrieved from the UI LADT system.

7.

The State agency will develop and maintain the ability to produce UI claims inputs for the
proper November and December reference weeks (the week including the 5th day or 12th
day, depending on the year), as directed through a technical memorandum.

8.

The State agency will use PROMIS to develop UI and UCFE claims inputs for STARS and
LAUSOne. The State will also install PROMIS updates according to guidelines provided in
the technical memorandum accompanying the software.

9.

The State agency will participate with BLS in the evaluation of employment inputs for nonCES areas.

10. The State agency will share necessary input data, including commuter claims counts,
interState claims counts, and, as needed for residency adjustment, nonfarm wage and salary
establishment-based employment with other States on a time frame that will allow all States
to meet the pre-set LAUS schedule.

105

Work Statement

C.

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

QUALITY ASSURANCE REQUIREMENTS (CONTINUED)
Agree To
Comply
(Check Box)

11. The State agency will use the LAUS Data Exchange System or LADT for commuter claims
files as part of providing other States with necessary input data.
12. The State agency will use the population- and claims-based disaggregation methodologies for
all LAUS disaggregated areas.
13. The State agency will participate in the review of proposed changes to LAUS estimating
methodology and possible operational aspects of their implementation. The details and dates
will be specified in technical memoranda.
14. The State agency will transmit a calendar of their monthly data release dates and times in
accordance with instructions in a technical memorandum.
15. The State agency will participate in the annual review of model-based estimation. The
details and dates will be specified in technical memoranda.
16. The State agency will participate in the review of smoothed seasonally-adjusted metropolitan
area data. The details and dates will be specified in technical memoranda.

D.

PUBLICATION REQUIREMENTS
Agree To
Comply
(Check Box)

1.

The State agency must publish the official preliminary, revised, and benchmarked LAUS
estimates that are produced using the official LAUS methodology and are described in
Sections B 1 and B 4. Publication of the estimates should occur no earlier than the estimate
due dates.

2.

The State agency may not publish alternatives in lieu of BLS-published labor force,
employment, unemployment, and unemployment rate estimates for States and areas described
in Sections B1 and B 4, for public consumption. This applies to both smoothed-seasonallyadjusted and not-seasonally-adjusted estimates.

106

Work Statement

E.

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

STATE-SPECIFIC DATA REQUIREMENTS
Agree To
Comply
(Check Box)

1.

States with InterState Labor Market Areas:
State agencies with interState labor market areas will provide each other with required
handbook inputs, handbook estimates, and handbook-share information for these areas to
allow all State agencies to meet the pre-set LAUS schedule.

2.

States with InterState Combined Areas:
State agencies with components of interState combined areas will provide LAUS estimates
for their metropolitan and/or micropolitan areas (or NECTAs) to the controlling State(s) to
allow those States to transmit the combined area totals to BLS to meet the pre-set LAUS
schedule.

3.

Hawaii:
Monthly and historical estimates of the civilian labor force, employment, unemployment, and
unemployment rate are not required for Kalawao County.

F.

EXCLUSIONS

The deliverables and cost estimates for the LAUS program should reflect only activities associated with the development
of employment and unemployment estimates for BLS-required areas and activities associated with the publication of data.
Conducting sample-based employment estimation is not part of the LAUS program.
G.

EXPLANATION OF VARIANCES

NOTE: Please add additional pages as necessary

107

[This page intentionally left blank]

108

Work Statement

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

OCCUPATIONAL EMPLOYMENT STATISTICS PROGRAM
A.

PROGRAM INFORMATION

The Occupational Employment Statistics (OES) program provides occupational employment and wage estimates for
wage and salary workers annually for the 50 States, Metropolitan Statistical Areas, Balance of State areas (except
where the MSAs exhaust the State), the District of Columbia, Puerto Rico, the Virgin Islands and Guam. A semiannual sample survey of establishments is conducted to estimate cross industry occupational employment and wage
distributions at the Statewide and area levels, and nationally at the four-digit and selected five- and six-digit North
American Industry Classification System levels. Occupational employment and wage estimates and measures of
reliability for the surveyed industries are published annually.
The Bureau of Labor Statistics (BLS) funds and administers the OES program and provides conceptual, technical,
and procedural guidance in data collection and estimation. State agencies are responsible for data collection and
publication in cooperation with the BLS.
The OES program uses the standardized procedures described in the Occupational Employment Statistics State
Operations Manual (OES Manual) as well as those contained in the work statement and BLS technical memoranda.
Applicants should put an "X" or a check mark in the spaces provided on the following pages to indicate agreement
to comply with stated program requirements. An additional item in the FY 2014 requirements is that States will
participate in SPAM testing. An S-memo will outline the specifics of this testing.
BLS will provide electronic sample files to the State semi-annually. BLS will send out the November 2013 panel by
September 6, 2013, and the May 2014 panel by March 7, 2014. A third sample file for November 2014 will be
delivered to the States by September 5, 2014, but there are no State deliverables for that file in the FY 2014
agreement. The November 2013 panel will be selected from a fourth quarter 2012 frame. The May 2014 and
November 2014 panels will be selected from second quarter 2013 and fourth quarter 2013 frames, respectively.
BLS will contract with a printer to prepare and mail an optional pre-notification letter, the standard mail out
packages, tailored collection letters, and reminder postcards. Included in the standard mail out packages will be a
survey form (including the State masthead, and the name, address, employment, and industry description of the
sample unit), a State specific solicitation letter, a State specific fact sheet or helpful hints sheet (one or two sided on
colored paper), a State specific mail out envelope and a State return envelope. Among the key inputs to the printing
process are electronic files that the State will send to BLS. BLS will check the files and then forward them to the
printer. BLS will also conduct an optional pre-notification mailing using the central printer.
The deliverables include interim and final master files meeting required response rates (see B.4 and B.5). Response
rate requirements are at the sampled area level. Under the FY 2014 agreement the response rate requirements for
the final master files will be considered satisfied for each panel if the response rate for the combined May 2013 and
November 2013 panels meets requirements. Please note the FY 2014 requirements for response rates detailed in
Section B.5.

109

Work Statement

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

The following table highlights dates for key OES files:
FY 2014 OES FILES SUMMARY BY PANEL
Panel

Item

Due Date

2013-2&3
2013-2&3
2013-2&3
2013-2&3
2013-2&3

Interim Master File to BLS
First final Master File to BLS
Questions sent by BLS to State
Second final Master File to BLS
Supplemental Sheets to BLS

Oct 10, 2013 (TR)
Dec 4, 2013 (W)
Dec 17, 2013 (T)
Jan 3, 2014 (F)
Jan 23, 2014 (TR)

2013-4&5
2013-4&5
2013-4&5
2013-4&5
2013-4&5
2013-4&5
2013-4&5
2013-4&5
2013-4&5
2013-4&5
2013-4&5
2013-4&5
2013-4&5
2013-4&5

Pre-notification letter and Return Address to BLS (Optional)
State Workforce Agency Return Addresses to BLS
Sample sent to States
Refined Sample for Pre-notification Mailing to BLS (Optional)
Solicitation Letters and Fact Sheets to BLS
Refined Sample for Printer to BLS
1st Follow Up Sample for Printer to BLS
2nd Follow Up Sample for Printer to BLS
3rd Follow Up (Opt) Sample for Printer to BLS
Interim Master File to BLS
First final Master File to BLS
Questions sent by BLS to State
Second final Master File to BLS
Supplemental Sheets to BLS

Sept 5, 2013 (TR)
Sept 5, 2013 (TR)
Sept 6, 2013 (F)
Sept 25, 2013 (W)
Oct 2, 2013 (W)
Oct 30, 2013 (W)
Nov 27, 2013 (W)
Dec 23, 2013 (M)
Jan 22, 2014 (W)
Apr 8, 2014 (T)
June 3, 2014 (T)
June 23, 2014 (M)
June 30, 2014 (M)
July 10, 2014 (TR)

2014-2&3
2014-2&3
2014-2&3
2014-2&3
2014-2&3
2014-2&3
2014-2&3
2014-2&3
2014-2&3

Pre-notification letter and Return Address to BLS (Optional)
State Workforce Agency Return Addresses to BLS
Sample sent to States
Refined Sample for Pre-notification Mailing (Optional)
Solicitation Letters and Fact Sheets to BLS
Refined Sample for Printer to BLS
1st Follow Up Sample for Printer to BLS
2nd Follow Up Sample for Printer to BLS
3rd Follow Up (Opt) Sample for Printer to BLS

Mar 6, 2014 (TR)
Mar 6, 2014 (TR)
Mar 7, 2014 (F)
Mar 26, 2014 (W)
Mar 28, 2014 (F)
Apr 30, 2014 (W)
May 28, 2014 (W)
June 25, 2014 (W)
July 23, 2014 (W)

2014-4&5

Sample sent to States

Sep 5, 2014 (F)

The BLS will provide the State with updated master files and estimates files for the May 2013 reference period
within five weeks after the final corrections files for the May 2013 panel are received from States. Dates pertaining
to sample files for the printer are subject to change.

110

Work Statement

B.

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

DELIVERABLES

Data items that must be delivered for the BLS to operate the OES program are described in summary below. Each
item must be delivered according to the schedule specified in the OES Manual, the work statement, and BLS
technical memoranda.
Content

1.

Publication of employment and wage
estimates that meet the OES publication
requirements outlined in the State
Operations Manual and validated by the
BLS. A press release, hard copy report, or
Internet web site count as publication.

2.

Delivery to BLS Washington of:
a.

b.

c.

Agree To
Comply
(Check
Box)

Due Dates

October 1, 2014

electronic State Workforce Agency
return address;

2013-4 panel, Sept 5, 2013

electronic solicitation letters (initial
and follow-up) and electronic fact
sheet; and

2013-4 panel, Oct 2, 2013

electronic sample files (after address
refinement).

2013-4 panel, Oct 30, 2013

2014-2 panel, Mar 6, 2014

2014-2 panel, Mar 28, 2014

2014-2 panel, Apr 30, 2014

3.

For follow up solicitation, delivery to BLS
Washington of electronic sample file
including sample non-respondents.

As specified above

4.

Interim master files containing at least a 60
percent usable response rate, including
wages, in either units or employment for
each area. The response rates are for each
sampled area. The master file will reflect
coding to the full OES occupational
structure.

2013-2 panel, Oct 10, 2013
2013-4 panel, Apr 8, 2014

111

Agree To
Comply
(Check
Box)

Work Statement

B.

6.

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

DELIVERABLES (CONTINUED)

Content
5.

State

Agree To
Comply
(Check
Box)

Due Dates
2013-2 panel, Dec 4, 2013

Clean final master files for each of the OES
panels (2013-2 and 2013-4) containing at
least a 75 percent usable response rate,
including wages, in either units or
employment for each sampled area, including
the portion of the State in an interState MSA.
The master file will reflect coding to the full
OES occupational structure. The file must
also contain a minimum of 65 percent usable
response rate for employment, Statewide.
These requirements can also be satisfied if the
combined response rate for the May 2013 and
November 2013 panels is at least 75 percent
in either units or employment for each area
and 65 percent usable employment Statewide.

2013-4 panel, June 3, 2014

Completed copies of the supplemental
reporting sheets from all questionnaires.

2013-2 panel, Jan 23, 2014
2013-4 panel, July 10, 2014

7.

Data collection progress report (SPAM
Summary Progress Report—RAR and RAQ).

Three working days after the
end of each month during data
collection.

8.

One additional interim set of master machinereadable files will be provided to the BLS
regional office for each panel. There is no
required response rate for this file due to the
flexible timing of this deliverable. This does
not preclude States from providing additional
master files to the regional office as
negotiated by the States and regional offices.

As negotiated between each
State and its regional office.

112

Agree To
Comply
(Check Box)

Work Statement

C.

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

PROGRAM PERFORMANCE REQUIREMENTS

Specific methods for conducting the OES survey are described in the OES Manual and in technical instructions
provided by the BLS. Major elements are:
Agree To
Comply
(Check Box)
1.

Address Refinement
The State agency will perform address refinement functions as specified in the OES
Manual.

2.

3.

D.

Data Collection
a.

Survey will be conducted in accordance with procedures contained in the OES
Manual.

b.

BLS/OMB-approved forms and procedures will be used.

Software
a.

State agencies using any BLS-sponsored OES exportable software will install the
latest version of the software and maintain conformance with the latest source code.
Installation will be completed within 30 days of receipt of the update.

b.

States will participate in testing of the OES software and submit results of their testing
to BLS.

QUALITY ASSURANCE REQUIREMENTS

The State agency will cooperate with the BLS in:
1.

Editing and screening efforts for all data types by running and acting on SPAM QA edits
and by providing corrections and explanations when data are questioned by BLS. BLS
questions on the interim master files should be addressed before final master files are
submitted. Questions on the final master file should be addressed or corrections submitted
as specified in the technical memoranda.

2.

Providing information for atypical reporters as appropriate.

3.

The BLS will provide States with preliminary 2013 estimates in December 2013. States
will review preliminary estimates and make any necessary corrections to the micro data so
suppression of individual OES estimates will be minimized.

4.

Cooperating with State operations review activities.

113

Agree To
Comply
(Check Box)

Work Statement

E.

State

CA Number

__ __

LM- _ _ _ _ _-14-75-J-_ _

EXCLUSIONS

The deliverables and cost estimates for the OES program should reflect only activities associated with conducting a
sample survey of establishments, and publishing BLS standard estimates of occupational employment and wages.
Activities that are not part of the OES program include developing other estimates or projections of industry or
occupational employment, and Foreign Labor Certification administrative activities.
F.

EXPLANATION OF VARIANCES

NOTE: Please add additional pages as necessary

114

Work Statement

State
__ __

CA Number
LM- _ _ _ _ _-14-75-J-_ _

QUARTERLY CENSUS OF EMPLOYMENT AND WAGES
A.

PROGRAM INFORMATION

The Quarterly Census of Employment and Wages (QCEW) provides data on monthly employment, total quarterly
wages, taxable wages, employer contributions and other business identification information. The States prepare an
Enhanced Quarterly Unemployment Insurance (EQUI) file each quarter. QCEW data are developed for the 50
States, the District of Columbia, Puerto Rico, and the Virgin Islands.
Since 1972, the Bureau of Labor Statistics (BLS) has successfully shared QCEW data with the Bureau of Economic
Analysis (BEA). On a quarterly basis, the BEA uses QCEW data to develop county, State, regional, and national
personal income estimates, a component of the Gross Domestic Product, and to conduct related statistical research
and analysis.
The BLS funds and administers the QCEW program and provides conceptual, technical, and procedural guidance in
all program activities. State agencies are responsible for data collection, insuring data quality, and publication in
cooperation with the BLS. The QCEW program uses the standardized procedures described in the QCEW
Operating Manual or on Stateweb, as well as in the work statement and BLS technical memoranda. Applicants
should put an "X" or check mark in the spaces provided on the following pages to indicate agreement to comply
with stated program requirements.
The redesign of a new State processing system is underway. It is allowable for States to use QCEW funds for a
range of activities in preparation for and the implementation of this system such as: buying the standard
configuration of hardware, reprogramming for new UI extracts, and for the wage record pre-processing features.

B.

DELIVERABLES

Content
1.

2.

Agree To
Comply
(Check Box)

EQUI Name and Address File must be
delivered for the BLS to operate the QCEW
program. It must be delivered according to
the schedule specified in the QCEW
Operating Manual or on Stateweb, the work
statement, and BLS technical memoranda.
Estimates, acceptable to the BLS, will be
used in the case of missing State files.
In addition to the EQUI, summary
macrodata files must be delivered to the
BLS in accordance with the standardized
procedures described in the QCEW
Operating Manual or on Stateweb, as well as
in the work statement and in BLS technical
memoranda.

115

Due Dates
2013-2

October 17, 2013

2013-3

January 14, 2014

2013-4

April 17, 2014

2014-1

July 17, 2014

Agree To
Comply
(Check
Box)

Work Statement

State
__ __

B.

CA Number
LM- _ _ _ _ _-14-75-J-_ _

DELIVERABLES (CONTINUED)

Content
3.

States will publish QCEW data quarterly
within seven months of the end of reference
quarter at the State NAICS sub-sector level
and county sector level. To be considered
published, data must be released to the
general public in the form of either a web
database, downloadable data file(s), paper or
electronic data files, or press release.

4.

State will publish BLS-provided seasonally
adjusted Business Employment Dynamics
data at the State level within 30 days of
receipt from the BLS.

5.

If requested by the BLS, a subset microdata
file of the largest gross corrections must be
delivered to the BLS within seven working
days after the EQUI due date for each
quarter. This covers the need for quick
responses on very large errors that are
provided to BEA and CES, if necessary.

6.

Submit a file of BLS requested or approved
corrections, if needed, after the initial EQUI
submittal and before the BLS clean
designation. This covers the normal series
of national office questions sent usually
within 10 days of the EQUI. Automated
corrections will also be sent through the
States systems as specified in technical
memoranda or the QCEW Operating
Manual.

7.

In case of a BLS emergency, the States will
provide macro 6-digit NAICS county totals
by ownership directly to BEA in accordance
with BLS technical memoranda.

Agree To
Comply
(Check Box)

116

Due Dates

Agree To
Comply
(Check
Box)

Work Statement

State
__ __

B.

LM- _ _ _ _ _-14-75-J-_ _

DELIVERABLES (CONTINUED)

Content
8.

C.

CA Number

Agree To
Comply
(Check Box)

Due Dates

Agree To
Comply
(Check
Box)

July 1, 2014

For first quarter, the ten States with the
largest percentage of national wages in
the finance sector will submit a single
quarter microfile to BLS three weeks
earlier than the EQUI as specified in a
BLS technical memorandum. It is
recognized that these early submittals
have not been fully processed and do not
meet existing QCEW quality standards.
The official EQUI date is not changed.
This early submittal will improve the
accuracy of BEA’s Gross Domestic
Product measures. While the emphasis is
on Finance, BEA will use the submitted
data for each of the industries. The ten
States are: California, New York,
Connecticut, Florida, Illinois, Texas,
Pennsylvania, New Jersey, Ohio and
Massachusetts. Files from volunteer
States will also be accepted.

PROGRAM PERFORMANCE REQUIREMENTS

Specific methods for preparing the EQUI Files are described in the QCEW Operating Manual or on Stateweb and in
technical memoranda provided by the BLS. Major elements are:
Agree To
Comply
(Check Box)
1.

Process and edit all required program data gathered from initial Status Determination Forms
or automated employer registration process, Multiple Worksite Reports, Annual Refiling
Survey (ARS), quarterly contribution reports, EDI Center, MWR-Web and quarterly
Reports on Federal Employment and Wages conducted as part of the UCFE Program.

2.

Follow up with:

3.

a.

All employers that have employment data missing from UI contribution reports; and

b.

Employers on questionable data

Impute for missing or delinquent data according to the guidelines in the QCEW Operating
Manual or on Stateweb. States should review and verify all imputations for units with 100
and greater employees prior to each quarter’s EQUI.

117

Work Statement

State
__ __

C.

4.

CA Number
LM- _ _ _ _ _-14-75-J-_ _

PROGRAM PERFORMANCE REQUIREMENTS (CONTINUED)

a.

States using CARS should provide their print files by established due dates. States
should also load all response files (CARS, TRS, and undeliverable accounts identified
through NCOA processing) as directed. All updates to State contact information
should be provided to BLS as soon as possible. States will maintain criteria and
performance requirements (80 percent of employment usable response rate or 75
percent of units usable response rate) calculated as specified in the QCEW Operating
Manual or on Stateweb.
States not using CARS will conduct the ARS according to criteria and performance
requirements (80 percent of employment usable response rate or 75 percent of units
usable response rate) calculated as specified in the QCEW Operating Manual or on
Stateweb. Use cover letters and flyers as outlined in the QCEW Operating Manual or
on Stateweb. Draft cover letters are due to the BLS by established due dates and must
be approved prior to use. Follow the private sector selection criteria found in the
QCEW Operating Manual, on Stateweb, or as modified in a technical memorandum.

b.

The ARS control files must have physical location address information for 75 percent
of the records to be TRS-eligible. Work with the BLS to meet this requirement prior
to sending the CARS print file for the next ARS cycle.

c.

Review, verify or update industry and county (or township) codes using returned
BLS-3023 forms of the ARS and any appropriate supplemental, BLS-provided, or
follow-up information.

d.

From the returned BLS-3023 forms of the ARS, perform the following review
activities: For newly identified multi-establishment worksites in the FY 2013 ARS,
assign the following codes: NAICS, county, ownership, and MEEI. Then, enter these
codes along with Reporting Unit Numbers and the physical location addresses to
solicit for the quarterly Multiple Worksite Report for those employers meeting the
standards in the QCEW Operating Manual or on Stateweb. When applicable, review
potential NAICS code assignment differences identified by other sources and adjust
codes as necessary in the first quarter EQUI.

e.

Updated physical location and mailing addresses information collected from the BLS3023 form must be added to the State micro file and submitted to the BLS no later
than the first quarter EQUI deliverables file. Both sets of addresses should follow the
standards in the QCEW Operating Manual or on Stateweb.

5.

Assign valid NAICS, county, ownership and MEEI codes to new employer accounts using
the procedures described in the QCEW Operating Manual or on Stateweb. Add physical
location and mailing address information to the State QCEW micro file for these new
accounts, if available. For new employer accounts with no product or economic activity
and/or geographical information, provide a CARS NCA file to BLS or send a BLS-3023
NCA form to collect this information on a flow basis.

6.

a.

All units with a NAICS industry code of 999999 (unclassified) must be surveyed on a
flow basis during the cooperative agreement period. All units with zero employment
and wages for four complete consecutive quarters should be excluded.

b.

NAICS 999999 should not be greater that 0.5 percent of employment in the total file
in any quarter.

118

Agree To
Comply
(Check Box)

Work Statement

State
__ __

C.

CA Number
LM- _ _ _ _ _-14-75-J-_ _

PROGRAM PERFORMANCE REQUIREMENTS (CONTINUED)
Agree To
Comply
(Check Box)

7.

For systems operated and maintained in the States, install and use the latest version of
EXPO-QCEW or WIN-202 and maintain conformance with the latest source code.
Installation of all system updates should be completed within 30 days of receipt (minor or
interim changes should be implemented within 7 days of receipt). States not using the
Service Center will send written notification to the BLS as soon as the update is
operational.

8.

Where State policy allows, States will allow the BLS access to State microdata and
macrodata files via EXPO-QCEW or WIN-202 for support of deliverables in critical
circumstances.

9.

Use the Multiple Worksite Report solicitation, informed consent letters, and refusal
solicitation letters outlined in the QCEW Operating Manual or on Stateweb.

10.

a.

10

11.

12.

Accept, edit and review Multiple Worksite Reports and Reports on Federal
Employment and Wages from reporters or the BLS on electronic medium or from
computer to computer in the standardized formats. Follow instructions and
procedures enumerated in the QCEW Operating Manual, on Stateweb, and technical
memoranda with regard to the central collection of these data by the BLS MWRweb
or Electronic Data Interchange Center.
b.
States will review files from new respondents to the Electronic Data Interchange
Center on a quarterly basis. States will assign RUNs and applicable Comment,
NAICS, and CTY codes to each establishment. Workflow will be determined by the
number of new respondents to EDI in a given quarter.
Extract, edit, and review Quarterly Contributions Report data from the Unemployment
Insurance tax file at least twice each quarter for current quarter data. Extract, edit and
review late and retroactive prior quarter data at least once during the current quarter. Any
data extracted and loaded to the micro file for quarters earlier than prior quarter must also
be edited and reviewed prior to submittal or publication.
Monitor updates and notify the BLS regional office of changes to the State UI program
accounting and processing systems, specifically, but not limited to, changes resulting from
One Stop, coverage and law changes, rate structure changes, SUTA dumping, UI
numbering modifications, wage base level changes, processing of wage records, changes in
data fields, tracking predecessor/successor full and partial transactions, and use of scanning
or other technological changes in UI systems. States will modify UI extract programs in a
manner to ensure accurate and complete data input files and timely deliverables.
States will seek the inclusion of payroll processor codes into the UI system where possible
with the goal of filling the agent code field on the EQUI on a timely basis. Where possible,
States will use the National Association of Computerized Tax Processors (NACTP)
standard numbering system for payroll processors.

13.

Employment in county code 995 and 999 when summarized should not be greater than 2.5
percent of total employment.

119

Work Statement

State
__ __

CA Number
LM- _ _ _ _ _-14-75-J-_ _

C.
PROGRAM PERFORMANCE REQUIREMENTS (CONTINUED)
14.

Review and resolve, as possible, Predecessor/Successor events, including apparent births
and deaths, 95 percent of private sector units with 50-249 employment, and all private
sector units 250 and greater each quarter as prescribed by QCEW technical memoranda and
the QCEW Operating Manual or on Stateweb.

15.

The State will implement and utilize predecessor/successor capabilities, the Possible
Predecessor/Successor Matching and modified edits and parameters during the current and
subsequent quarter’s review and load wage records each quarter.

16.

Ninety (90) percent of private sector single and sub-units with employment of 100 or more
will be geocodable by physical location address within the State at least to the ZIP CODE
level by submission of the 4th Quarter, EQUI. States will address 90 percent of units over
100 that have county codes that do not match geocoded county codes by fourth quarter.

D.

QUALITY ASSURANCE REQUIREMENTS

The State agency will:
1.

Incorporate the ARS control file data in first quarter 2013 processing.

2.

Run and review micro, integrated and scored edits prior to transmitting EQUI files to the
BLS.

3.

Edit and review all new and updated records prior to submittal to the BLS. Ensure that the
EQUI file is complete and not missing extracted data or data supplied via CARS, ARS Web,
TRS, NVM Web, EDI, MWR Web, and MWR Print.

4.

Review QCEW and CES macrodata to aid in identifying potential differences. This is to be
done prior to each EQUI submittal, including update and subset submittals.

5.

Provide electronic micro data corrections and/or explanations to questions arising from micro
and macro edits of all QCEW data elements, including ARS information.

6.

Provide certification of data to the BLS regional office upon completion of the
correction/review process.

7.

Cooperate with the BLS in resolving CES and QCEW microdata differences in
establishment-level reporting, ownership, and geographic coding.

8.

Follow QCEW Operating Manual or Stateweb guidelines on predecessor-successor,
mergers/acquisitions, and multi-establishment breakouts and collapses. Use the Possible
Predecessor/Successor Matching feature in EXPO-QCEW and WIN-202 programs to help
match and link possible predecessor/successor accounts/units.

9.

Cooperate with industry coding quality control/quality assurance and State Operations
Review activities.

120

Agree To
Comply
(Check Box)

Work Statement

State
__ __

D.

QUALITY ASSURANCE REQUIREMENTS (CONTINUED)

10.

Improve the quality of data collected on the Multiple Worksite Report by:

CA Number
LM- _ _ _ _ _-14-75-J-_ _

a.

Collecting data at the worksite level,

b.

Reviewing and updating physical location addresses for multi-establishment reporters,

c.

Reviewing and updating trade names and reporting unit descriptions for multiestablishment reporters, and

d.

Following QCEW Operating Manual or Stateweb instructions on reporting unit
descriptions.

e. Mail or provide MWR Print files to BLS according to the schedule established in
technical memorandum (S-11-11).
f. Participate in full solicitation of eligible units for MWRweb as described in technical
memorandum (S-12-01).
11.

Follow-up on BLS-provided lists of unusable physical location addresses and
“mailing/other addresses” within BLS policies and guidelines.

12.

Work with UI staff to address issues raised by the BLS on suggested improvements to
content, collection and processing of Status Determination Forms and Quarterly
Contributions Report data. Included are the collection of physical location address
information, the proper definition of employment on all appropriate UI forms, instructions,
handbooks, and electronic reporting system specifications, etc.

13.

Work with the BLS to address issues raised on quality of information on State and local
government.

14.

Participate with the BLS in resolving up to 50 individual cases per year for selected
industry and/or geographic differences identified under CIPSEA-sponsored data sharing. If
other tax-related legislation is passed, the BLS will revisit this item.

15.

States will work with regional offices to review and analyze causes of high employment
imputation rates and to seek reductions. Regions will work with States with employment
imputation rates greater than 6 percent.

16.

States will work with regional offices to review and analyze causes of high wage
imputation rates and to seek reductions. Regions will work with States with wages
imputation rates greater than 10 percent.

17.

States must review and discuss in a timely manner BLS-supplied NAICS codes for
employer accounts reviewed and verified as a result of data sharing with the Census
Bureau.

18.

States not participating in CARS must use presorted first-class mail for outgoing mail and
the appropriate high-volume Business Reply Mail rates for returned mail.

121

Agree To
Comply
(Check Box)

Work Statement

State
__ __

E.

CA Number
LM- _ _ _ _ _-14-75-J-_ _

EXCLUSIONS

The QCEW program allowable costs should reflect only activities associated with the development of the EQUI
mailing, macro and micro editing, and processing of the multiple worksite report and activities associated with the
initial coding of new employer accounts, the Annual Refiling Survey, and publication of QCEW data in printed
and/or electronic form. The following types of activities are not funded as part of the QCEW program:

F.

1.

Special tabulations of QCEW data for use by programs other than QCEW. Costs for such tabulations should
be charged to the requestor.

2.

Editing of wage records and any other unemployment insurance records with the exception of quarterly
contribution reports and reports on Federal employment and wages conducted as part of the UCFE program.
Wage records are only to be used as a source to verify levels of employment and wages, and
predecessor/successor relationships, or to assist in breaking out establishments of multi-unit employers.

3.

All functions (e.g., data entry, printing of forms, mailing of forms) associated with the collection and followup for late or missing data of the SWA Employer Quarterly Contributions Report. Costs for these activities
should be borne by the UI tax unit as per ETA Fiscal Letter No. I-90 dated October 9, 1990.

4.

With the exception of data provided by the BLS EDI center, soliciting, processing, and editing of data for
multi-establishment employers that fall below the QCEW criterion of having ten (10) or more employees in
secondary establishments.

5.

Any and all activities related to the Census Bureau Longitudinal Employer Household Dynamics or related
programs.
DATA SHARING BLANKET APPROVAL
Agree To
Comply
(Check Box)

1.

The State authorizes the BLS to share the State's microdata and macrodata with assigned
BLS researchers and Federal government agencies (other than BEA) and units for
exclusively statistical purposes. This authorization is made based on the BLS assurance
that the confidentiality of these data will be protected to the full extent permitted by law.
(No variance is required if this box is not checked.)

2.

The State authorizes the BLS to share the State's microdata with the Bureau of Economic
Analysis for exclusively statistical purposes. This authorization is made based on the BLS
and BEA assurance that the confidentiality of these data will be protected to the full extent
permitted by law. BEA will receive a limited amount of microdata each quarter to aid in
their analysis of QCEW macrodata -- only for records with comment codes or where a CCS
change is indicated. The microdata files delivered to BEA are limited to a Comment Code
File and a CCS File. The Comment Code File includes limited microdata for those records
that contain comment codes. The CCS File includes limited microdata only for those
records with a reported CCS change.
(No variance is required if this box is not checked.)

122

Work Statement

State
__ __

G.

EXPLANATION OF VARIANCES

NOTE: please add additional pages as necessary.

123

CA Number
LM- _ _ _ _ _-14-75-J-_ _

[This page intentionally left blank]

124

BUREAU OF LABOR STATISTICS
BUDGET INFORMATION FORM

U.S. DEPARTMENT OF LABOR

See complete instructions in LMI Cooperative Agreement, Part II, Application Instructions.
We estimate that it will take an average of 1 to 6 hours to complete this form including time for reviewing instructions, searching existing data sources, gathering and maintaining the
data needed, and completing and reviewing the information. Your response is required to obtain or retain benefits under 29 USC 49f(a)(3)(D). If you have any comments on the
estimates or the form, send them to BLS, Division of Financial Planning and Management (1220-0079), 2 Massachusetts Avenue, NE, Room 4135, Washington, DC 20212-0001.
You are not required to respond to the collection of information unless it displays a currently valid OMB control number.

OMB No. 1220-0079
Approval Expires
05-31-2015

State Abbreviation:

Name of Submitting Official:

Page _______ of ________

CA No.:

Title of Submitting Official:

Phone:

Fiscal Year:
CA Duration:
Col. A
Col. B
Col. C
Line
FIRST QUARTER
Number Program and Cost Category Staff years Dollars

Col. D
SECOND QUARTER
Staff years Dollars

Current Employment Statistics (CES)
1
2
3
4

Program Staff
AS & T Staff
Nonpersonal Services
Total Resources

Local Area Unemployment Statistics (LAUS)
5
6
7
8

Program Staff
AS & T Staff
Nonpersonal Services
Total Resources

Occupational Employment Statistics (OES)
9
10
11
12

Program Staff
AS & T Staff
Nonpersonal Services
Total Resources

Quarterly Census of Employment and Wages (QCEW)
13
14
15
16

Program Staff
AS & T Staff
Nonpersonal Services
Total Resources

17

Total LMI Base Programs

BLS LMI-1A (revised, May 2013)

125

Date Completed:
Col. E
Col. F
Col. G
THIRD QUARTER
FOURTH QUARTER FISCAL YEAR TOTAL
Staff years Dollars Staff years Dollars
Staff years Dollars

[This page intentionally left blank.]

126

BUREAU OF LABOR STATISTICS
BUDGET INFORMATION FORM

U.S. DEPARTMENT OF LABOR

See complete instructions in LMI Cooperative Agreement, Part II, Application Instructions.
We estimate that it will take an average of 1 to 6 hours to complete this form including time for reviewing instructions, searching existing data sources, gathering and maintaining the
data needed, and completing and reviewing the information. Your response is required to obtain or retain benefits under 29 USC 49f(a)(3)(D). If you have any comments on the
estimates or the form, send them to BLS, Division of Financial Planning and Management (1220-0079), 2 Massachusetts Avenue, NE, Room 4135, Washington, DC 20212-0001.
You are not required to respond to the collection of information unless it displays a currently valid OMB control number.

OMB No. 1220-0079
Approval Expires
05-31-2015

State Abbreviation:

Name of Submitting Official:

Page _______ of ________

CA No.:

Title of Submitting Official:

Phone:

Fiscal Year:
CA Duration:
Col. A
Col. B
Col. C
Line
FIRST QUARTER
Number Program and Cost Category Staff years
Dollars
Program:
1
2
3
4

FLC:

Activity Title:

FLC:

Activity Title:

FLC:

Activity Title:

FLC:

Activity Title:

Program Staff
AS & T Staff
Nonpersonal Services
Total Resources

Program:
13
14
15
16

Activity Title:

Program Staff
AS & T Staff
Nonpersonal Services
Total Resources

Program:
9
10
11
12

FLC:
Program Staff
AS & T Staff
Nonpersonal Services
Total Resources

Program:
5
6
7
8

Col. D
SECOND QUARTER
Staff years
Dollars

Program Staff
AS & T Staff
Nonpersonal Services
Total Resources

Program:
17
18
19
20

Program Staff
AS & T Staff
Nonpersonal Services
Total Resources

21

Total LMI AAMCs

BLS LMI-1B

127

Date Completed:
Col. E
Col. F
Col. G
THIRD QUARTER
FOURTH QUARTER TOTAL: FY
AAMC
Staff years Dollars Staff years Dollars
Staff years
Dollars

[This page intentionally left blank.]

128

LMI COOPERATIVE AGREEMENT DOCUMENT NUMBERS
Document No.
State Grantee

CA No.

Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
Dist. of Columbia
Florida
Georgia
Guam
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Puerto Rico
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virgin Islands
Virginia
Washington
West Virginia
Wisconsin
Wyoming

129