FY 2017 RESEA grant application guidance

CLASSIFICATION
   EMPLOYMENT AND TRAINING ADMINISTRATION
                                                       UI RESEA
                                                       CORRESPONDENCE SYMBOL
                 ADVISORY SYSTEM
                                                       OUI/DUIO
          U.S. DEPARTMENT OF LABOR
                                                       DATE
             Washington, D.C. 20210
                                                       December 8, 2016


ADVISORY:      UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 3-17

TO:            STATE WORKFORCE AGENCIES

FROM:          PORTIA WU /s/
               Assistant Secretary

SUBJECT:       Fiscal Year (FY) 2017 Unemployment Insurance (UI) Reemployment Services
               and Eligibility Assessment (RESEA) Grants

1. Purpose. To provide guidelines for the FY 2017 UI RESEA grants and to invite State
   Workforce Agencies to submit proposals for funding.

2. References.
   • Budget Control Act, 2016, Pub. L. No. 114-53;
   • Workforce Innovation and Opportunity Act of 2014, Pub. L. No. 113-128;
   • Unemployment Insurance Program Letter (UIPL) No. 19-15, Unemployment Insurance
      (UI) Supplemental Budget Request (SBR) Activities: Quarterly Program Reporting Form
      & Instructions;
   • UIPL No. 7-16, Fiscal Year (FY) 2016 Unemployment Insurance (UI) Reemployment
      Services and Eligibility Assessment (RESEA) Grants;
   • UIPL No. 13-15, Fiscal Year (FY) 2015 Unemployment Insurance (UI) Reemployment
      Services and Eligibility Assessment (RESEA) Grants;
   • UIPL No. 13-15, Change 1, Fiscal Year (FY) 2015 Unemployment Insurance (UI)
      Reemployment Services and Eligibility Assessment (RESEA) Grants: Questions and
      Answers;
   • Training and Employment Guidance Letter (TEGL) No. 3-15, Guidance on Services
      Provided through the Adult and Dislocated Worker Program under the Workforce
      Innovation and Opportunity Act (WIOA or Opportunity Act) and Wagner-Peyser, as
      Amended by WIOA, and Guidance for the Transition to WIOA Services;
   • Information Collection Request for the Reemployment and Eligibility Assessment
      Program (OMB number 1205-0456);
   • Employment and Training (ET) Handbook No. 401, 4th Edition, Revised ET Handbook
      No. 401, Unemployment Insurance Reports Handbook;
   • ET Handbook No. 402, 5th Edition, Revised ET Handbook No. 402, Unemployment
      Insurance Reports User Manual – Web Version;
   • Training and Employment Notice No. 31-09, Cross-Program Collaboration for
      Reemployment and Eligibility Assessment (REA) Grants;

 RESCISSIONS                                          EXPIRATION DATE
 None                                                 Continuing

   •   Webinar- Implementation of Fiscal Year 2016 RESEA Grants, available at
       www.workforcegps.org; and
   •   Project Brief: Encouragement Emails Increase Participation in Reemployment Services,
       available at www.dol.gov/asp/evaluation/BIStudy/Reempolyment-Services-Brief.htm.

3. Background. The federal-state Unemployment Insurance (UI) program is a required partner
   in the comprehensive, integrated workforce system. Individuals who have lost employment
   due to lack of suitable work and have earned sufficient wage credits may receive UI benefits
   if they meet initial and continuing eligibility requirements. Since 2005, the U.S. Department
   of Labor (Department) and participating state UI workforce agencies have been addressing
   individual reemployment needs of UI claimants, and working to prevent and detect UI
   improper payments, through the voluntary UI Reemployment and Eligibility Assessment
   (REA) program and, beginning in FY 2015, through the voluntary Reemployment Services
   and Eligibility Assessment (RESEA) program. These types of program services have been
   considered high priorities for the Department’s Employment and Training Administration
   (ETA). In FY 2016, a total of 50 states and jurisdictions operated a RESEA program.

   As stated in UIPL No. 13-15 and UIPL No. 07-16, UI claimants determined to be most likely
   to exhaust benefits under the methods established for the state’s Worker Profiling and
   Reemployment Services (WPRS) program and transitioning veterans receiving
   Unemployment Compensation for Ex-Servicemembers (UCX) are the target populations for
   the RESEA program.

4. FY 2017 Funding. Although appropriations for FY 2017 have not been finalized, ETA is
   issuing this UIPL in anticipation that the total available funding for RESEAs will be similar
   or equal to the level provided for FY 2016. The awards made under this UIPL will be
   subject to the availability of Federal funds and may need to be changed if the final FY 2017
   appropriation is substantially different than the FY 2016 appropriation. Grant recipients may
   be required to revise budget documents prior to award execution to account for discrepancies
   among estimated funding availability, funding requests, and actual award amounts.

5. Program Changes Beginning in FY 2017. The FY 2017 changes described below are
   intended to:

       •   Align RESEA with Workforce Innovation and Opportunity Act’s (WIOA) broader
           vision of increased program integration and service delivery for job-seekers,
           including UI claimants;
       •   Promote greater consistency across states to support future establishment of a
           mandatory RESEA program; and
       •   Grow the role of RESEA as an entry-point for UI beneficiaries into other workforce
           system partner programs, as has been proposed in the President’s budget.

   Program requirements that are not identified in this section remain unchanged from FY 2016.

   Award Limits. For FY 2017, ETA is implementing state-level maximum award levels.
   These levels are based on a state workload of 10 percent of projected UI first-payments


during FY 2017 and the state’s FY 2016 cost per initial RESEA rates (capped at a maximum
of $155 per initial RESEA). To prevent significant disruption in service delivery, ETA
applied a minimum funding provision of 85 percent to the sum of each state’s FY 2016
RESEA award and 50 percent of the FY 2015 RESEA funds that were carried over in FY
2016. A maximum limit equal to each state’s FY 2016 RESEA grant was also applied. Each
individual state may request an amount up to the award limit provided in Attachment D and
has discretion to request a lesser amount based on appropriate factors such as capacity and
program trends. Attachment A provides space for states to provide information for funding
requests beyond the provided award limit for expanded activities, if additional funds become
available.

Maximum award levels have also been provided for states that did not operate a RESEA
program in FY 2016. These levels are based on a reduced workload of five percent of the
state’s projected FY 2017 UI first payments, and include $100,000 to support information
technology (IT) costs, if needed, as described under the “Administrative Cap” paragraph
below. This funding level reflects limited service capacity during initial program
implementation.

Administrative Cap. Beginning in FY 2017, administrative costs for the RESEA program
are limited to 10 percent of the total grant award. This limitation aligns RESEA
administrative costs with similar ETA grants and includes IT costs. States that did not
administer a RESEA program in FY 2016 may request up to an additional $100,000 beyond
the 10 percent administrative cost limit to support IT costs associated with program start-up
and implementation, including required reporting.

Initial RESEA Cost Limit. Since the launch of the RESEA program, there has been
considerable variation in the cost of the initial RESEA session across states, ranging from
less than $100 to just under $400. After analyzing RESEA trends and conducting
comparisons to programs that provide assessments and reemployment services, ETA is
implementing a cost per initial RESEA limit of no more than $155. The majority of states
already operate at levels near or below this target. States that have a higher cost per initial
RESEA are encouraged to consider potential improved efficiencies, such as group
orientations to American Job Center (AJC) services, automated scheduling, leveraging
services and resources of workforce partners, and examining the length of the initial RESEA.

Limits on Subsequent RESEA Sessions. The number of subsequent RESEAs that may be
charged to the grant is reduced from two to one. The reimbursable rate for the one fundable
subsequent RESEA is capped at a maximum of up to $80 per subsequent RESEA. This cap
on subsequent RESEAs is intended to increase availability of services to additional UI
beneficiaries and also encourage a timely transition of RESEA participants into other
workforce programs. The $80 reimbursement limit reflects the requirement that more time-
intensive activities such as development of a reemployment plan, AJC orientation, and
registration with the state’s job bank must occur as part of the initial RESEA session. States
continue to have flexibility in how the subsequent RESEA is delivered and may opt, where
appropriate, for telephone, online chat, or other technology that allows for direct
communication with the participant. Additional RESEAs beyond the initial and subsequent


   session are allowable but would require leveraged funding, such as WIOA or Wagner-Peyser
   statewide funds, and may not be charged to RESEA grant funds.

   Performance Reporting. Performance reporting for FY 2017 consists of the ETA forms
   9128, 9129, 9128X, and 9129X. The ETA 9128 and ETA 9129 reports were amended in FY
   2016 to remove comparison group reporting requirements. The ETA 9128X and ETA 9129X
   are new reports that collect service and outcome data specific to UCX claimants served by
   RESEAs. The amended ETA 9128 and ETA 9129 and new ETA 9128X and ETA 9129X
   forms were approved in FY 2016 and will be fully implemented in FY 2017. ETA
   previously alerted states to these changes in FY 2016 and additional guidance on these
   required reports is forthcoming.

   Required Enrollment in Wagner-Peyser-funded Employment Services. The intent of
   RESEAs is to provide claimants with entry to a wide array of available resources that support
   reemployment and to connect claimants to the direct provision of intensive career services as
   appropriate. RESEAs were developed to supplement rather than supplant current
   reemployment activities provided by the integrated workforce system, and in this context
   ETA is requiring that RESEA participants be enrolled in Wagner-Peyser-funded
   Employment Services as part of the initial RESEA. As part of this enrollment, RESEA
   participants should be appropriately identified in case management and performance
   reporting systems. Given the structure of the state’s workforce system, co-enrollment in
   WIOA Dislocated Worker or other available programs may also be appropriate, but is not a
   requirement of this grant.

6. “No-Show” Costs and Promising Practices for Reduction. Beginning in FY 2016 and
   continuing in FY 2017, costs for processing RESEA-scheduled appointments that are not
   completed due to the claimants’ failure to report for the RESEA may not exceed 20 minutes
   of staff time. A breakout of these activities and their individual costs must be included in the
   RESEA proposal. Further, funding for these activities may not exceed 30 percent of the total
   number of scheduled RESEAs. To determine the percentage of claimants failing to report as
   directed, states should use the data reported on the ETA 9128 workloads report. States that
   have rates lower than 30 percent of the total number of scheduled RESEAs should base their
   estimate on this positive accomplishment. This change in cost structure will better reflect the
   costs associated with the RESEA “no shows” and encourage states to address high “no show”
   levels. Reimbursement for adjudication of issues that result when a claimant fails to report to
   a scheduled RESEA continues to be provided through the regular funding for UI non-
   monetary determinations.

   The percentage of claimants who fail to report for a scheduled RESEA remains high in some
   states; close to or greater than 50 percent of the RESEAs scheduled in some states.
   Conversely, many states report rates that are lower than 20 percent. States are strongly
   encouraged to take actions that will increase the number of completed RESEAs such as:

        •   Evaluating the profiling model used to select participants;
        •   Revising call-in letters to stress the importance and value of attending the RESEA;
        •   Providing translated call-in letters and other RESEA related documentation to assist
            limited English proficient claimants understand program requirements and benefits;

         •   Making reminder phone calls/emails when possible. A recent study found that
             communications to remind the claimant of a RESEA appointment, and to reinforce
             the positive value of the RESEA to help the claimant become reemployed,
             significantly increased RESEA participation and completion; and
         •   Implementing automated scheduling systems that offer claimants the opportunity to
             schedule their own RESEA appointment. Automated scheduling systems may
             reduce the staffing costs incurred in scheduling claimants and significantly reduce
             the number of claimants who must be rescheduled. When states utilize a self-
             scheduling system, claimants should be provided a specific deadline for scheduling
             and attending a RESEA session, and must be referred to UI staff for adjudication, as
             appropriate, after the deadline passes.

7.    FY 2017 RESEA Proposals. The RESEA proposal requirements are the same for all states.
     Those states that are continuing to operate a RESEA program (continuing states), as well as
     states that are not currently operating an RESEA program but plan to implement a program
     in FY 2017 (new states), must complete the information outlined in Attachments A and B of
     this UIPL. The performance period for FY 2017 RESEA, i.e., the period during which states
     should obligate their RESEA grant funds, begins on January 1, 2017, and ends on December
     31, 2017. However, to allow for potential changes that might occur in states’ ability to
     effectively use the RESEA grant funds during that period, the deadline specified by the Grant
     Officer on the Notice of Obligation for state obligation of these funds will be September 30,
     2018. Obligations must be liquidated within 90 days of that obligation deadline; however, an
     extension to the liquidation period may be requested from the Grants Officer. All estimated
     cost figures for proposals for FY 2017 RESEA grants should be based on the time period
     ending December 31, 2017.

     The amount of each RESEA grant is subject to the limits identified in section 5 and will be
     based upon the number of RESEAs that the state proposes to schedule, and the costs
     estimated by the state to provide RESEAs, including allowable costs for career services.
     States that have not scheduled the number of RESEAs that were funded in FY 2016 or prior
     years must use the remaining funds to complete the previously projected workloads and
     request funding for the remaining balance of the FY 2017 RESEA grant period.

     States experiencing ongoing difficulties in reaching the UI RESEA workload projected (e.g.,
     scheduled, completed, and failed to report) in their FY 2016 or prior UI RESEA proposals
     should request a lower level of RESEAs in FY 2017 than was requested in FY 2016.
     Proposals will be reviewed based solely on the information required in the application and
     states should include only the required information.

     States that are not currently operating a RESEA program are strongly encouraged to consider
     applying for funding. ETA has proposed that the RESEA program become mandatory for all
     states and funding for the program has continuously increased. Ramping up a program now
     will position states to easily implement a mandatory program, should it be enacted.

     All grant funding under this UIPL will be subject to the grant terms and conditions included
     in the final grant agreement. General grant information, requirements, and resources are
     available at https://www.doleta.gov/grants/resources.cfm.

8. Basic RESEA Guidelines. RESEA funds must be used to assess the continued eligibility
   and reemployment needs of UI claimants in the targeted populations. These funds may not
   supplant ongoing UI grant funds devoted to other state UI eligibility review program
   activities.

   If a state does not implement RESEAs statewide, it must continue the WPRS program
   activities in the geographic locations where RESEAs are not available. The WPRS program
   continues to be a mandatory program. However, the RESEA program serves to meet the
   WPRS program requirements where these services are available to those individuals
   identified as most likely to exhaust UI benefits. UI claimants who have a definite return-to-
   work date; claimants who secure work only through a union hiring hall; and claimants who
   are in approved training should be excluded from the RESEA program.

   RESEA services may be delivered by UI staff or well-trained Wagner-Peyser-funded state
   Employment Service staff, WIOA staff, or other AJC staff. The UI eligibility review is a key
   part of the RESEA for program integrity purposes. Service delivery staff must receive
   training to identify eligibility issues and must refer all eligibility issues to UI merit staff for
   adjudication, as appropriate. As previously mentioned in this UIPL, all eligibility
   determinations and redeterminations are funded through the regular funding for non-
   monetary determinations, not through the RESEA grant.

   By applying for RESEA funding, states agree to integrate the RESEA program with WIOA
   and Wagner-Peyser-funded services. WIOA combines the Workforce Investment Act (WIA)
   “core and intensive activities” into combined “career services” and there is no required
   sequence for the delivery of services, which should allow job seekers to quickly access
   appropriate services. Career services are expected to be a key part of the success of the
   RESEA program. Each completed RESEA should include appropriate career services, which
   may include a referral to training or a skills assessment. However, RESEA funds may not be
   used to pay for training services or to purchase or pay for licenses for an assessment tool (e.g.
   the Transferable Occupation Relationship Quotient).

   UI staff must be engaged in RESEA planning, administration, and oversight as well as all
   appropriate staff training on UI eligibility requirements. UI staff must be available and
   involved in the RESEA functions, including reporting, although it may not require a full-time
   position. Program staff delivering RESEAs must have sufficient training to conduct a
   thorough eligibility review and detect eligibility issues requiring adjudication. Further, states
   must have UI staff participation to ensure accurate data are provided in the RESEA-required
   reports, including the new Quarterly Narrative Progress Report (ETA 9165) for Supplemental
   Budget Request (SBR) project activities. Each calendar quarter, prior to submission, the
   reports should be reviewed for accuracy by the UI staff member of the RESEA team, in
   addition to being reviewed by the RESEA program lead (if a different staff member).

   RESEA programs are designed to be an integral part of states’ strategies for delivering
   reemployment services. States should develop a career service delivery model to ensure that
   UI claimants served through the RESEA program receive an appropriate level of service
   suited to each individual claimant.

9. Required RESEA Services. Each RESEA must include the following minimum
   components to serve the needs of the claimant:

       •   UI eligibility assessment and referral to adjudication, as appropriate, if an issue or
           potential issue(s) is identified;
       •   Requirement for the claimant to report to an AJC;
       •   Orientation to AJC services;
       •   The provision of labor market and career information that addresses the claimant’s
           specific needs;
       •   Registration with the state’s job bank;
       •   Enrollment in Wagner-Peyser-funded Employment Services;
       •   Development or revision of an individual reemployment plan that includes work
           search activities, accessing services provided through an AJC or using self-service
           tools, and/or approved training to which the claimant acknowledges agreement; and
       •   Provision of at least one additional career service, such as:
               o Referrals and coordination with other workforce activities, including the
                   WIOA Dislocated Worker Program;
               o Labor Exchange, including information about in-demand industries and
                   occupations and/or job search assistance;
               o Information about the availability of supportive services;
               o Information and assistance with financial aid resources outside of those
                   provided by WIOA;
               o Financial literacy services; and
               o Career readiness activities, including assistance with resume writing and/or
                   interviewing.

   States must provide each RESEA participant one-on-one services for the eligibility review
   and provide for the development of an individual reemployment plan, in collaboration with
   the claimant and tailored to their individual needs, during the initial RESEA. That plan must
   be updated during the subsequent RESEA, if any. It must contain specific steps to which the
   claimant agrees to adhere including reporting to and participating in the career service(s)
   determined to be most likely to result in reemployment or referral to career-related training.
   During the development of the individual reemployment plan, specific labor market
   information should be discussed to ensure that the claimant understands how labor market
   information can be used in an appropriate job search. Additional information about career
   services is available in TEGL No. 3-15 and WIOA final regulations at 20 CFR 678.430.

10. Service Delivery Design. In developing a service delivery design methodology for RESEA
    participants, states are encouraged to consider how to most effectively leverage AJC partner
    program resources and services as well as RESEA resources, particularly now that RESEA
    funds may be used to pay for actual career services. In the context of WIOA, RESEA
    services are a valuable one-stop resource, particularly given the increased focus that the
    Wagner-Peyser Act, as amended by WIOA, places on career services for UI claimants.


The RESEA program targets claimants who are most likely to exhaust benefits and be in
need of reemployment services and, to the greatest extent feasible, new UCX claimants. All
RESEA states must target these two populations. ETA will continue to provide ongoing
assistance to states to help ensure that their models select claimants who are most in need of
assistance to quickly return to work. Both targeted populations exclude claimants who have
a definite return-to-work date, claimants who are in approved training, and claimants who
seek work solely through a union hiring hall.

Both continuing states and new states have flexibility in staffing for the delivery of RESEAs.
Different skill sets are needed to conduct the UI eligibility assessment, develop a
reemployment plan, or make appropriate referrals to reemployment services at AJCs and/or
to training. As previously stated, whether the state decides to use UI, Wagner-Peyser-funded
Employment Service, WIOA, and/or other AJC staff to conduct RESEAs, states must ensure
that the staff members assigned for each activity have the necessary training and that UI staff
are involved in the development of the staff training and delivery of such training, as
appropriate. States are encouraged to consider designating the same staff to provide both the
required RESEA activities and at least some, if not all, of the career services deemed
appropriate for an individual claimant, thus ensuring some continuity for the claimant.

States that conduct multiple RESEAs for the same individual must provide cost estimates for
both the initial and the one subsequent RESEA. In general, the subsequent RESEA should
require less time and resources because it is not necessary to repeat the orientation session,
which is conducted during the initial RESEA. Otherwise, the subsequent RESEA must
include: an eligibility review; review and updating of the claimant’s individual
reemployment plan; the provision of additional labor market information, as appropriate or if
changes so dictate; and referral to additional career services or training. The subsequent
RESEA should build upon the services provided in the initial RESEA and address the needs
of the claimant at this later stage in the claim.

Once the state notifies a claimant that s/he has been selected for a RESEA, participation in
the RESEA is mandatory. UI claimants must report in person to an AJC for staff-assisted
services for the initial RESEA. If the subsequent RESEA is conducted remotely, state
RESEA staff must ensure that both they and the claimant have access to the claimant’s
individual reemployment plan for reviewing and updating. The proposal must identify
activities that are conducted by telephone and the associated costs. The claimant’s activities
must be reviewed, and any proposed changes, along with the concurrence of the claimant,
must be documented.

Claimants who contact the appropriate agency before their RESEA appointment and request
to change the scheduled RESEA date or time for good reason, such as scheduled job
interviews, may be accommodated. They should be counted on the ETA 9128 and 9128X
only as a “scheduled RESEA” rather than as a “rescheduled RESEA,” as explained in ET
Handbook No. 401.

If a claimant fails to report for any RESEA without notifying the state beforehand, the state
must refer the issue of the claimant’s failure to report to the appropriate UI staff to be
adjudicated under state law.

   States must select RESEA participants no later than the fifth week of the claim series and
   promptly schedule them for a RESEA. The fifth week in the claim series is the fourth week
   following the week in which the claimant files an initial claim. If the claimant has not yet
   established monetary eligibility for benefits or is not yet eligible because, for example, a
   nonmonetary issue is pending adjudication, the claimant may be selected during the first
   week that s/he claims benefits after being determined eligible for benefits.

   Up to two RESEAs (the initial and one subsequent) for each individual claimant may be
   funded by the RESEA grant. States should focus their RESEA programs on helping
   claimants return to work as quickly as possible by providing comprehensive guidance and
   assistance to claimants during the initial RESEA. During the initial and any subsequent
   RESEA, states must refer claimants to appropriate career services or training, as appropriate.
   Claimants who fail to report for services as directed must be referred to UI adjudication.
   Any additional RESEAs scheduled for an individual who has received the initial RESEA and
   one subsequent RESEA may not be funded under this grant.

   Funding for each individual RESEA may include individual staff time per RESEA, but the
   total cost of the initial RESEA is limited to $155 per participant as described in section 5 of
   this UIPL. Costs for activities that involve multiple claimants are calculated on the basis of
   the time that is required for the activity and the number of claimants participating. If a
   portion of the RESEA is provided in a group setting, the staff time for that activity must be
   divided by the number of RESEA participants who are likely to be a part of the group
   activity. For example, if two staff members conduct a group orientation session that lasts one
   and one-half hours and ten RESEA participants are expected to attend, the staff time charged
   for each RESEA participant for this activity would be 18 minutes. This is calculated as
   follows:

                     90 minutes per member times 2 staff members = 180 minutes

                     180 minutes divided by 10 participants = 18 staff minutes per RESEA

   States must report initial outcomes for 100 percent of the scheduled RESEAs that are
   reported on the ETA 9128 report. Each claimant scheduled for an RESEA will either
   participate in the RESEA or fail to participate; therefore, each scheduled RESEA must be
   reported as one of these two outcomes. Rescheduled RESEAs must be counted as another
   scheduled RESEA and the results reported when the claimant participates or fails to
   participate in the rescheduled RESEA.

11. Administrative Processes. States must establish or renew an agreement or Memorandum of
    Understanding (MOU) with the selected workforce service provider organization to address
    the requirements of the FY 2017 RESEA program funded under this grant. The MOU must
    address the following services, as well as career services, if the state RESEA program is
    funding those services:


   •   Orientation to help claimants access career services offered at AJCs through the
       resource room or virtually, with particular emphasis on accessing available labor
       market and career information;
   •   Registration with the state’s job bank;
   •   Referrals to appropriate services offered through AJCs such as resume writing
       workshops, self-assessments, education and training information, interviewing
       techniques, networking, career exploration, and online job and occupations resources;
       and
   •   Support in the development of the claimant’s tailored individual reemployment plan
       that must include work search activities, workshops on topics such as resume writing,
       job search strategies if needed, and/or approved training.

States that did not operate a RESEA program in FY 2016 must submit a copy of the MOU or
provide the date when it will be submitted. States that are continuing RESEA states do not
need to submit a copy of the MOU, but must certify that a MOU or other agreement has been
signed by all service partners for the RESEA program. The agreement or MOU must
confirm that the UI and workforce service providers, including state and local service
partners, have agreed to collaborate to ensure that the requirements of the RESEA program
will be met. This includes providing appropriate career services to RESEA participants by
the designated party and providing the data that is needed for the ETA RESEA required
reports.

   A. UI Feedback Loop and Adjudication. Once selected for an initial or subsequent
      RESEA, claimants are required to participate in all components of the RESEA.
      Failure to report or participate in any aspect of the RESEA must result in referral to
      the UI agency for adjudication under the applicable state law. States must include a
      description in their proposals for the:

       •   Feedback loop from the AJC to the UI system on whether the claimants reported
           as directed and participated in the minimum activities outlined in their
           reemployment plans;
       •   Feedback loop established to refer any UI eligibility issues identified in the
           eligibility review for adjudication; and
       •   Process for referring to adjudication UI claimants selected for RESEAs who
           failed to report for the RESEA without contacting the agency.

   B. Performance and Reporting. States must submit timely required reports, which are
      the ETA 9128, ETA 9128X, ETA 9129, and ETA 9129X. These reports are due on
      the 20th day of the second month following the end of the reporting quarter.
      Schedules for the submission of ETA 9128 and ETA 9129 are provided in ET
      Handbook No. 401. States must apply the same reporting schedule for the ETA
      9128X and ETA 9129X reports. Additional guidance pertaining to the ETA 9128X
      and ETA 9129X reports will be issued separately. These reports capture specific data
      about the program participants. In addition, states must complete the Quarterly
      Narrative Progress Report (ETA 9165).


  Continuing states must review reported data for the most recent four-quarter period and
  confirm the accuracy of the data in a narrative attached to the FY 2017 RESEA grant
  proposal. The narrative should explain the steps the state is taking to correct any errors in the
  data identified by ETA and/or the state. The narrative should address planned changes that
  will be implemented to improve data quality.

12. Accuracy and Timeliness of Required Reports. Accurate and timely reporting is critical to
    the success of the RESEA program. These data have been used for reports to Congress on
    the RESEA program and for budgeting purposes, and have clearly demonstrated the
    importance of the program. States submit reports on a quarterly basis and are responsible for
    ensuring that the data reported are accurate, and the reports are submitted timely. These data
    are entered into the UI Web-based reporting system. Reporting instructions for ETA 9128
    and ETA 9129 reports are contained in ET Handbook No. 401, and the edit checks for these
    reports are contained in ET Handbook No. 402. ETA will issue separate guidance for the
    ETA 9128X and ETA 9129X reports. In addition, states must complete ETA 9165.

13. Proposal Format and Instructions. The format and instructions for preparing the RESEA
    grant proposals are provided in the attachments to this UIPL. States must provide the
    information requested in all of these attachments:

       •   Attachment A provides an abstract that must accompany all proposals.
       •   Attachment B provides guidance to states submitting proposals.

   Standard Form (SF) 424, Application for Federal Assistance, and SF-424A, Budget
   Information – Non-Construction Programs, must be submitted for all RESEA grants. The
   SF-424A requires a breakout of object class categories in item 6 of section B - Budget
   Categories. The breakouts must match the proposed expenditures, and states must ensure
   that they submit the SF-424 and SF-424A forms. The SF-424 forms and instructions are
   available at http://www.grants.gov/web/grants/form-instructions/sf-424-instructions.html.

   Each proposal must contain both the name and telephone number of the state agency
   administrator who is to be notified of approval of the grant, and the name, e-mail address,
   and telephone number of the individual who can respond to questions about the proposal.

14. RESEA Proposal Procedures. We encourage states to work with ETA regional office staff
    in developing their proposals to ensure that:

       •   The RESEA program is designed to meet the needs of the targeted UI/UCX claimant
           populations;
       •   UI and AJC staff work cooperatively in planning, developing, testing, and
           implementing this program;
       •   The proposed expenditures are justified and appropriate; and
       •   The state is prepared or will be prepared to collect the data for the required reports,
           including the ETA 9128 and ETA 9128X and ETA 9129 and ETA 9129X.


15. Timeline.

       •   States must submit proposals electronically to the National Office by December 29,
           2016 with a copy to the appropriate regional office.
       •   States must submit a current SF-424, Application for Federal Assistance, signed by
           the state agency administrator and a current SF-424A, Budget Information – Non-
           Construction Programs, with the proposal. If any changes are required after review
           of the proposal, revised forms and/or proposals will be required before the awarding
           of these grant funds.

16. Action Requested. State agency administrators are requested to:

       •   Provide information contained in this UIPL to appropriate staff.
       •   Send, via e-mail, an electronic copy of the proposal to [email protected] and a copy to
           the appropriate regional office using the title RESEA 2017 state name abbreviation
           such as RESEA 2017 AK, for Alaska.

17. Inquiries. Please direct questions to the appropriate Regional Office.

18. OMB Information Collection. OMB Information Collection No. 1225-0086, expires May
    31, 2019. According to the Paperwork Reduction Act of 1995, no persons are required to
    respond to a collection of information unless such collection displays a valid OMB control
    number. Public reporting burden for this collection of information is estimated to average 20
    hours 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 about the burden estimated or any other aspect of
    this collection of information, including suggestions for reducing this burden, to the U.S.
    Department of Labor, to the attention of the Departmental Clearance Officer, 200
    Constitution Avenue NW, Room N1301; Washington, D.C. 20210. Comments may also be
    emailed to: [email protected]. PLEASE DO NOT RETURN THE
    COMPLETED APPLICATION TO THIS ADDRESS. SEND IT TO THE SPONSORING
    AGENCY AS SPECIFIED IN THIS ANNOUNCEMENT.

19. Attachments.

       •   Attachment A - Elements of an Unemployment Insurance (UI) Reemployment
           Services and Eligibility Assessment (RESEA) Grant Proposal Abstract
       •   Attachment B - Unemployment Insurance (UI) Reemployment Services and
           Eligibility Assessment (RESEA) Cost Summary
       •   Attachment C- Maximum Fiscal Year (FY) 2017 Unemployment Insurance (UI)
           Reemployment Services and Eligibility Assessment (RESEA) Grant Awards by State.

Attachment (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2016/UIPL_03-17-Attachment-A_Acc.pdf)

ATTACHMENT A

                      ELEMENTS OF AN UNEMPLOYMENT INSURANCE (UI)
     REEMPLOYMENT SERVICES AND ELIGIBILITY ASSESSMENT (RESEA) GRANT PROPOSAL ABSTRACT


(1) State Name:

(2) Name and Title of the State Agency Administrator:    Name:

                                                         Title:

                                                         Address:


(3) RESEA Program Lead/Contact                           Name:

The person who can answer questions about the RESEA      Telephone:
proposal.
                                                         E-mail:

(4) UI Program Lead/Contact                              Name:

The person who can answer questions about the UI         Telephone:
aspects of the RESEA proposal. This person may also be
the RESEA Program Lead/Contact.                          E-mail:

(5) Total Funds From prior RESEA Grants Projected to     $
Remain after December 31, 2016

(6) Total Proposed RESEA Project Cost                          $

The total amount of funds requested in this grant, which
may be up to the limit specified in Attachment D. Do not
include funds carried forward from 2016.
(7) Staff Benefit Cost Percentage Rate

(8) Indirect Cost Percentage Rate

(9) Total Service Delivery Staff Cost                          $

The total amount of funds requested for staff solely to
conduct the RESEAs excluding management costs and
other costs that are not related to service delivery such as
programming.

(10) Total Management Costs                                    $
The total amount of funds requested for program
management costs excluding cost of staff who will conduct
the RESEAs.

(11a) Total Information Technology (IT) Staff Costs            $

The total amount of funds requested for programming and
other IT staff costs.

(11b) Additional IT Costs (Applies to States that have not previously administered an RESEA program before FY 2017)

 If proposal includes a request for up to $100,000 in IT costs beyond the administrative cost limit described identify the amount
requested and provide a brief summary describing the proposed activities and how they would benefit claimants.

$

                                –Insert description of additional IT activities (Limit 500 words) –


(12) Staff and Management Costs for a Single Completed Initial RESEA

The sum of service delivery staff costs and management costs divided by the number of initial RESEAs projected to be completed.
(Initial RESEA costs are capped $155 per initial RESEA)
$

                     (Narrative can be included to provide additional clarification or information as needed)


(13) Staff and Management Costs for Subsequent RESEA         $

The sum of service delivery staff costs and
management costs divided by the number of subsequent
RESEAs projected to be complete. Must not exceed one
subsequent RESEA and $80 per claimant. If subsequent
RESEAs are not included in program design please
indicate “No Subsequent”.

(14) Staff Training Costs                                    $

The total amount of funds requested for staff training to
conduct RESEAs.

(15) Projected Time for a Single Initial RESEA, Including
    Paperwork

The total time spent preparing for and conducting a single
    initial RESEA, recording results, and other
    documentation.
(16) Projected Time for the Subsequent RESEA,
Including Paperwork

The total time spent preparing for and conducting a single
subsequent RESEA, recording results and other
documentation. If times for the second and third RESEA
are expected to differ please provide both.

(17) Projected Costs for a Single RESEA for which the         $
Claimant Fails to Report

The total costs spent scheduling a single RESEA for which
the claimant subsequently fails to report and referring the
claimant to adjudication for failure to report. This
estimate should not include the costs of adjudication,
which are separately funded.

(18) Total Number of Initial RESEAs to be Scheduled

The total number of initial RESEAs that will be scheduled
including both the RESEAs for which claimants are
projected to report and the RESEAs for which claimants
are projected to fail to report.

(19) Total Number of Subsequent RESEAs to be
Scheduled

The total number of subsequent RESEAs that will be
scheduled including both the RESEAs for which claimants
are projected to report and the RESEAs for which
claimants are projected to fail to report. (If the state does
not conduct subsequent RESEAs this number will be zero.)

(20) Total Number of RESEAs Projected to be Completed

The total number of RESEAs the state will schedule during
the grant period for which the claimant will report and
participate in an RESEA.
(21) Total Number of RESEAs Projected for which the
Claimant Will Fail to Report

The total number of RESEAs the state will schedule during
the grant period for which the claimant will fail to report
and will not participate in an RESEA.
(22) Actions taken to reduce number of claimants failing to report.

If the state has taken any actions in the past year and/or plans to carry out any actions in FY 2017, to reduce the number of
claimants failing to report, please provide a brief description.
                   –Insert description of activities taken to reduce claimants failing to report (Limit 500 words) –

(23) Total number of RESEA Sites

The total number of sites where RESEAs will be conducted. If RESEAs are conducted statewide, please indicate “statewide.” If
RESEAs are provided at limited sites, list the towns/cities or local workforce areas where RESEA activities will be conducted.


            –Insert total number of sites and list of site locations if activities are not statewide- (Limit 500 words) –


(24) Type of staff conducting RESEAs

Description of the staff that will conduct the RESEAs. List
all applicable program staff including: UI, Wagner-
Peyser-funded Employment Services, WIOA formula
programs, or other.

(25) Role of UI Staff

Briefly describe the role played by UI staff in program management. As discussed in UIPL, all eligibility determinations and
    redeterminations are funded through the regular funding for non-monetary determinations and not through the RESEA grant.
    (limit 250 words)


                                     –Insert description of UI staff roles (Limit 250 words) –


(26) Selection of RESEA Participants

Describe how claimants are selected and at what point in the claim series selections are made. UI claimants who have a definite
return-to-work date; claimants who secure work only through a union hiring hall; and claimants who are in approved training
should be excluded from the RESEA program

                                –Insert description of how claimants are selected (Limit 250 words) –


(27) Description of RESEA

Provide a brief description of the state’s initial and, if applicable, subsequent RESEA, including the elements of the RESEA and
how the key components in this UIPL are implemented (limit 500 words).


                                             –Insert description of RESEAs (Limit 250 words) –


(28) Group or Individual
Identify components, if any, of the RESEA activities provided in a group setting.

                              –Identify RESEA components conducted in a group (Limit 250 words) –


(29) Memorandum of Understanding (MOU)

Is it signed and operational? (Yes or No)

If no, provide the estimated date that the MOU will be signed and operational. New states should submit a copy of the MOU
when it has been signed and continuing states should submit a copy of the MOU if it has changed.

If yes, list all parties to the agreement.


                                       –Insert status of MOU and members (Limit 250 words) –

(30) RESEA Required Reports and Reporting Problems

States currently operating an RESEA program should review both ETA 9128s and ETA 9129s with particular emphasis on the
most recent 4 quarters. Attachment C “Unemployment Insurance Reemployment Services and Eligibility Assessment RESEA
Data Concerns” provides some guidelines for detecting current reporting problems

   (1) Provide a narrative identifying any current reporting issues and the steps that will be taken to address these challenges
   (2) If the state has made any major corrections in the past year please describe and provide dates.


–Insert description of reporting challenges, plans to correct, and any major corrections that have occurred in past year –


(31) Planned Supplemental Activities if Additional Funding is Available.

If the State has capacity and need for funding beyond the provided maximum level identified in Attachment D, please provide:
     (1) The amount of additional funds requested;
     (2) The number of additional sites, if any there would be served using the increased funds
     (3) The estimated number of additional scheduled and completed RESEAs that would be conducted.
     (4) Any additional activities or program enhancements that will be implemented, if applicable.


         -Insert description of funding needed, additional sites services, and scheduled/completed RESEAs supported
                                                       (Limit 500 words-)

Attachment (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2016/UIPL_03-17-Attachment-B_Acc.pdf)

ATTACHMENT B

      UNEMPLOYMENT INSURANCE (UI) REEMPLOYMENT SERVICES AND
            ELIGIBILITY ASSESSMENT (RESEA) COST SUMMARY

RESEA Grant Project Summary. All proposals must include Attachment A, Elements of the
Unemployment Insurance Reemployment and Eligibility Assessment (RESEA) Proposal Abstract.
Proposals must also include information requested below. Additional narrative is not helpful and
does not enhance the state’s proposal. All pages in the state’s proposal should be numbered.

I. Project Costs. Proposals must include a description of all proposed expenditures and a
   projected schedule for significant project activities.

   A. Fixed Costs: Include fixed costs related to conducting the number of RESEAs the state
      projects to schedule during the grant period through December 31, 2017.

   B. Staff Costs. The proposal must identify both state staffing needs and any contract staff
      needs. Staff needs should include the type of position, the expected number of staff
      hours, and the projected hourly cost. Staff cost estimates must reflect only actual hours
      to be worked. Staff may work on the RESEA program part-time and on other projects
      part-time and must charge their time to each task based on hours worked. Staff costs for
      continuing states must include costs for conducting the RESEA and costs for
      programming proposed changes to the RESEA program to be implemented in 2017.
      Management costs must also be identified, as appropriate. States must include
      information in the following format for all staff requests:

                 Position Title        # Hours Cost Per Hour        Total Cost
                 RESEA Interviewer 120            $50               $6,000

       States must charge all staff time used for the RESEA program to a RESEA project code.
       Both management and other staff may be working on the RESEA program on a part-time
       basis while assuming other duties. Only the portion of work that accrues to the RESEA
       initiative may be funded under this grant. Thus, the proposal should identify only the
       project time that will be devoted solely to the RESEA program for all staff hours for
       which funding is requested.

       If contract staff is involved, documentation must include the type of position, estimated
       contract staff hours, anticipated costs per hour, and total cost.

   C. Other Costs. The proposal should include costs for other activities and/or equipment not
      identified above. Each cost should be broken down to the specific cost item with a
      description of each cost and the associated costs for each item requested. All costs must
      be related to conducting RESEAs for UI claimants.

   D. Total Costs. The proposal should include the total funding request. Spreadsheets used
      to calculate and total these costs should be included.

II. RESEA Staffing and Time. Identify the following: 1) the type of staff conducting each of
    the RESEA key components for the initial RESEA; 2) which, if any, RESEA activity is
    conducted on an individual basis or in a group setting (the eligibility review and the
    development of the individual reemployment plan must be done on an individual basis); and
    3) the average time required for each RESEA activity. Claimants may be provided forms in
    a group setting which they will discuss with staff on an individual basis after completion.
    Staff identification must contain the name of the program office for these staff such as UI,
    the Employment Service (ES), Workforce Innovation and Opportunity Act (WIOA), or other.
    Any additional key activities must be included in the table. The sum of the average time for
    each activity below must be equal to the time required to complete the initial RESEA.

                                        Initial RESEA

                        Activity                    Staff      Individual/     Average
                                                                 Group          Time
       Eligibility Review
       Labor Market Information
       Individual Reemployment Plan
       American Job Center (AJC)
           Orientation
       Provision of Reemployment/Career
           Services
       Enrollment in Employment Services or
           other AJC services
       Total Average Time for Initial
           RESEAs

       Claimants have differing needs and services will vary. Funding requests should be based
       on the average number of claimants that are projected to receive each service and the
       time and cost per service. Group reemployment services must be calculated based upon
       the example and formula provided in Section 9 of this UIPL.

                                     Subsequent RESEA

             Activity                Staff      Individual,      In-Person,        Direct
                                                 Group or        Internet or     Staff Time
                                                   Both          Telephone
   Eligibility Review
   Labor Market Information
   Individual Reemployment
       Plan
   Provision of
       Reemployment/Career
       Services
   Total Average Time Per
       Subsequent RESEA

Attachment (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2016/UIPL_03-17-Attachment-C_Acc.pdf)

ATTACHMENT C

 Maximum Fiscal Year (FY) 2017 Unemployment Insurance (UI) Reemployment Services
            and Eligibility Assessment (RESEA) Grant Awards by State
                                                                                                  FY 2017
                                State             FY 2015 Award          FY 2016 Award         Funding Limit*
                       Alabama                         $1,236,154               $250,444             $743,299
                       Alaska                            $147,749               $130,293             $258,967
                       Arizona                           $318,099               $648,946             $684,693
                       Arkansas                          $537,758               $143,429             $405,247
                       California                      $3,908,287            $12,698,079           $11,564,378
                       Colorado                         ---                     $364,416             $370,916
                       Connecticut                       $134,836               $913,219            $1,388,348
                       Delaware                          $257,804               $564,658             $559,952
                       District of Columbia              $654,478               $525,182             $596,188
                       Florida                         $3,762,857             $5,714,020            $5,355,367
                       Georgia                         $1,242,663               $202,171             $761,981
                       Hawaii                            $356,120             $1,075,361             $963,019
                       Idaho                             $406,406               $749,790             $676,556
                       Illinois                         ---                   $1,245,566            $1,245,566
                       Indiana                         $3,404,771             $4,404,403            $4,193,360
                       Iowa                              $957,875             $1,613,534            $1,417,373
                       Kansas                            $594,107               $748,455             $693,310
                       Kentucky                        $1,058,364               $561,932             $824,313
                       Louisiana                       $1,426,238             $1,800,284            $1,590,183
                       Maine                           $1,585,105               $772,659            $1,193,723
                       Maryland                          $530,545             $1,325,350            $1,142,426
                       Massachusetts                   $5,437,029             $6,251,469            $5,611,249
                       Michigan                          $961,746             $1,550,610            $1,969,740
                       Minnesota                       $1,351,176             $1,646,396            $1,399,437
                       Mississippi                       $729,607               $998,544             $928,062
                       Missouri                          $700,057               $769,758             $706,587
                       Montana                           $322,636               $702,997             $615,936
                       Nebraska                          $353,820               $441,477             $476,534
                       Nevada                          $2,019,313             $2,070,137            $1,997,667
                       New Hampshire                     $620,305             $1,295,354            $1,249,165
                       New Jersey                      $1,213,420             $1,917,219            $1,761,276
                       New Mexico                        $302,301               $635,048             $539,791
                       New York                       $18,067,387            $20,270,329           $18,576,075
                       North Carolina                  $4,012,447             $4,438,192            $4,163,155
                       North Dakota                     ---                    ---                   $321,612
                       Ohio                              $987,107             $3,002,253            $3,002,253
                       Oklahoma                         ---                   $1,054,169             $896,044
                       Oregon                          $3,915,801             $5,221,196            $4,438,017
                       Pennsylvania                      $418,672             $1,290,160            $1,376,121
                       Puerto Rico                       $179,310               $302,442             $307,079
                       Rhode Island                      $903,568             $1,249,242            $1,061,856
                       South Carolina                  $1,313,108             $1,144,308            $1,201,793
                       South Dakota                      $264,752               $305,187             $334,642
                       Tennessee                       $2,060,640             $2,963,132            $2,518,662
                       Texas                            ---                    ---                  $3,594,646
                       Utah                            $1,365,249             $1,889,591            $1,663,979
                       Vermont                         $1,069,540               $100,000             $667,887
                       Virgin Islands                      $75,084              $264,643             $324,626
                       Virginia                          $541,033             $1,766,845            $1,513,527
                       Washington                      $6,720,406             $9,192,063            $8,841,998
                       West Virginia                     $161,083               $358,083             $304,371
                       Wisconsin                       $2,481,385             $2,456,965            $2,699,048
                       Wyoming                          ---                    ---                   $227,434

* These limits are provided in anticipation that the total available funding for RESEAs will be similar or equal to the level
provided for FY 2016. However, grant awards remain subject to the availability of Federal funds.