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Fiscal 2020 RESEA grant allotments and state plans
Summary ETA issued fiscal 2020 grant allotments and operating guidance for the Reemployment Services and Eligibility Assessments program. States seeking funds were instructed to submit a plan and budget materials; the attachments include allotments, a plan template and form instructions. This was a historical fiscal year grant opportunity.
Document
Federal guidance
Agency
U.S. Department of Labor, Employment and Training Administration (ETA)
Document number
UIPL No. 8-20
Date issued
January 30, 2020
Status
Active
ETA’s listing marks this letter Active, and its accessible PDF prints “Rescissions: None” and “Expiration Date: Continuing.” The grant allotments and plan application instructions apply to fiscal 2020.
Status last verified October 24, 2026
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About this page: The full text below is the official document from U.S. Department of Labor, Employment and Training Administration (ETA). Ezel adds the plain-English summary and tracks the document's status. The official source linked on this page is authoritative for any reliance.
CLASSIFICATION
EMPLOYMENT AND TRAINING ADMINISTRATION UI RESEA
ADVISORY SYSTEM CORRESPONDENCE SYMBOL
U.S. DEPARTMENT OF LABOR OUI/DUIO
Washington, D.C. 20210 DATE
January 30, 2020
ADVISORY: UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 8-20
TO: STATE WORKFORCE AGENCIES
FROM: JOHN PALLASCH /s/
Assistant Secretary
SUBJECT: Fiscal Year (FY) 2020 Funding Allotments and Operating Guidance for
Unemployment Insurance (UI) Reemployment Services and Eligibility
Assessments (RESEA) Grants
1. Purpose. To provide guidelines for the FY 2020 UI RESEA grants and to invite State
Workforce Agencies to submit applications for funding.
2. Action Requested. The U.S. Department of Labor’s (Department’s) Employment and
Training Administration (ETA) requests state agency administrators to provide information
contained in this Unemployment Insurance Program Letter (UIPL) to appropriate staff. This
information should be shared with staff in, but not limited to, the UI program; workforce
programs administered under the Workforce Innovation and Opportunity Act (WIOA),
including the Wagner-Peyser Act-funded Employment Service; and workforce
information/labor market information programs. States requesting funding to continue a
current RESEA program or to implement a new RESEA program during FY 2020 must
submit a RESEA state plan containing all required information described in this UIPL via
www.grants.gov within 45 calendar days from the issue date of this UIPL.
3. Summary and Background.
Summary – This UIPL provides general operating guidance for the RESEA program for FY
2020, including changes and clarifications to program operations, maximum state award
limits based on anticipated funding availability, and instructions for submitting a RESEA
state plan via www.grants.gov. The submission of a RESEA state plan and applicable budget
documentation identified in section 9 of this UIPL will serve as the State’s application for
FY 2020 RESEA funding. This UIPL is published concurrently as a Training and
Employment Guidance Letter (TEGL). The joint UIPL/TEGL reflects the shared
responsibilities across UI and workforce programs in conducting RESEA activities, and the
guidance documents are identical other than non-substantive changes to formatting.
Background – Since 2005, the Department and participating state UI agencies have been
addressing individual reemployment needs of unemployment compensation (UC) claimants,
RESCISSIONS EXPIRATION DATE
None Continuing
and working to prevent and detect UC improper payments through the voluntary UI
Reemployment and Eligibility Assessment (REA) program and its successor, the voluntary
RESEA program. Because there is strong evidence that these programs and service delivery
strategies are effective, they have been a high priority for ETA.1 During FY 2019, a total of
50 states and jurisdictions were operating an RESEA program.
On February 9, 2018, the President signed the Bipartisan Budget Act of 2018, Public Law
115-123 (BBA), which included amendments to the Social Security Act (SSA) that created a
permanent authorization for the RESEA program. The RESEA provisions are contained in
Section 30206 of the BBA, enacting new Section 306 of the SSA. The permanently
authorized RESEA program provides for a phased implementation of new program
requirements over several years. The phased implementation began in FY 2019 with new
requirements that RESEA funds must be used for interventions or service delivery strategies
demonstrated to reduce the average number of weeks participants receive benefits by
improving participant employment outcomes, which include earnings (See UIPL No. 07-19,
section 5), and the introduction of additional flexibilities for targeting RESEA participants
(See UIPL No. 07-19, section 6).
The new requirements and flexibilities introduced in FY 2019 will continue in FY 2020.
New statutory requirements that will be implemented during FY 2020 include the RESEA
state plan required by Section 306(e), SSA, and further described in section 9 and
Attachment II of this UIPL. Information and resources to support states’ implementation of
the new evidence and evaluation requirements are provided in section 8 of this UIPL and in
UIPL No. 01-20 and TEGL No. 06-19.
Additional program requirements will be phased in during FYs 2021-2023, including, but not
limited to, performance reporting, formula-based allocation of funds, and outcome payments
to high-performing states.
The purposes of the RESEA program are identified in Section 306(b), SSA:
1) To improve employment outcomes of UC recipients and to reduce the average
duration of UC receipt through employment;
2) To strengthen program integrity and reduce improper UC payments through the
detection and prevention of such payments to ineligible individuals;
3) To promote the alignment with the broader vision of WIOA of increased program
integration and service delivery for job seekers, including UC claimants; and
4) To establish reemployment services and eligibility assessments as an entry point for
UC claimants into other workforce system partner programs.
1
IMPAQ International, January 2012, Impact of the Reemployment and Eligibility Assessment Initiative in Nevada;
and IMPAQ International, June 2011, Impact of the Reemployment and Eligibility Assessment Initiative.
2
The permanent RESEA program is a new and different program than the prior discretionary
RESEA program. The RESEA program, as implemented under previous operating guidance,
was tightly prescribed and included limits on the number of RESEA sessions that could be
provided. This UIPL provides additional flexibility by removing the limitation on the
number of visits that may be part of a RESEA. States now have significant flexibility in
program design and targeting UI claimants for participation. The permanently-authorized
RESEA program promotes and rewards new and innovative service delivery strategies and
interventions. In the context of these changes and the program’s potential growth in future
years, states are strongly encouraged to revisit their service delivery designs, how they staff
the program, and how to most effectively achieve the purposes of the RESEA program. State
workforce and UI agencies implementing RESEA are also encouraged to engage their State
Workforce Boards in support of the latter two RESEA purposes, especially in the context of
further integrating the RESEA program into American Job Center (AJC) service delivery and
WIOA State Plans.
4. Definitions.
The permanently-authorized RESEA program is no longer governed by the construct of the
REA program or the former RESEA program. RESEA now has the features of a broader
reemployment program, so the terms used previously for REA and RESEA reporting and
planning, such as “subsequent RESEA” or “completed” have different meanings in the new
permanent RESEA program. Additionally, the term “reemployment services” has been
expanded to include a wider range of potential activities. Therefore, for purposes of RESEA
planning and performance reporting, new definitions are needed.
The following definitions are now used for RESEA planning and performance reporting
purposes. These definitions identify minimum levels of service delivery and states are
strongly encouraged to integrate a wide range of additional services, including performing an
assessment, that can identify and respond to the specific needs of each UC claimant.
a. Initial RESEA – The term “initial RESEA” refers to the first meeting between a
RESEA service provider and a UC claimant who reported to the meeting in
response to an official notification of selection and required participation in
RESEA services. For reporting and planning purposes (RESEA State Plan,
element 18 [see Attachment II] and ETA 9128, element 3 [see Section 7(f)]), the
initial RESEA session is “completed” when the following components have been
provided:
1. A UC eligibility review that is conducted on a one-on-one basis, which
must include review of work search activities, and referral to adjudication
if an issue or potential issue(s) is identified;
2. Customized labor market and career information based on an assessment
of the claimant’s needs;
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3. Enrollment in the Wagner-Peyser Act-funded Employment Service
program;
4. Support, to the extent needed, for the claimant in the development of an
individual reemployment plan tailored to the claimant’s needs; and
5. Information and referral to additional reemployment services and other
AJC services, resources, and training, as appropriate.
The above list identifies the minimum requirements for an initial RESEA, and
states may include additional activities or services as part of their respective
service delivery designs. Importantly, completion of the initial RESEA does not
necessarily terminate a claimant’s enrollment in RESEA, given that it does not
include many of the reemployment services that may support the claimant’s return
to work. States have flexibility in their service-delivery design to include
subsequent RESEA sessions and/or provision of and/or referral to additional
reemployment services. The number of claimants receiving reemployment and/or
training services resulting from an RESEA referral is reflected in the ETA 9128
report, elements 4-6. Sections 6 and 7 of this UIPL provide additional
information and requirements pertaining to RESEA services during FY 2020.
b. Subsequent RESEA – States have flexibility to determine the extent to which they
require any subsequent RESEAs as part of their service delivery model in
addition to referrals to reemployment services. The term “subsequent RESEA”
refers to a follow-on RESEA meeting that includes, at a minimum, a UC
eligibility assessment and a review of the claimant’s work search activities to
determine if additional assistance is needed to support the claimant’s compliance
with the work search requirements and the claimant’s return to work at the
earliest possible time.
States may include additional activities or services as part of their respective
service delivery designs. For planning purposes, the projected number of
completed subsequent RESEAs is reported in element 18 of the RESEA state
plan. States are no longer limited in the number of subsequent RESEAs that may
be provided.
c. Reemployment Services – States need to develop processes to support RESEA
participants’ referral to reemployment services, including those provided using
RESEA funding and those provided through other programs. In support of
RESEA’s goal of greater alignment with the WIOA, reemployment services
include, but are not limited to, activities identified as career services under WIOA
section 134(c)(2) and further detailed at 20 CFR 678.430. States have significant
flexibility in types and quantity of reemployment services provided, but must
ensure their respective RESEA programs’ design and the services provided
supplement, rather than supplant, Federal, state, and local public funds that would
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otherwise be expended on reemployment services in the absence of a RESEA
program.
Referrals to reemployment services resulting from RESEA is captured on the
ETA 9128, elements 4-5, and in each state’s RESEA state plan narrative
describing service delivery. ETA will also collect additional information via the
Workforce Integrated Performance System for claimants referred to the
Employment Service and other WIOA partners by RESEA.
d. Training – RESEA program reporting requirements (ETA 9128) include
submitting the number of claimants that report to training as a result of a RESEA
referral (items 4 and 6). In the context of RESEA, training includes training
services under WIOA section 134(c)(3) and 20 CFR 680.200. Training also
includes any other training program approved by the state’s UI agency. Given
that RESEA funds may not be used to support training activities, training
activities will be reported through the workforce program reporting structures for
the training activities to which the claimant is referred.
5. Funding.
a. Award Limits – The awards that may be made under this UIPL are subject to the
availability of Federal funds. Under the Appropriations Act for FY 2020, the total
available funding for RESEAs is $175,000,000. 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.
FY 2020 funding award limits were calculated for all eligible states using each
state’s proportionate share of projected FY 2020 UI first payments. The states’
proportionate shares were calculated by dividing each state’s projected UI first
payments by the national total and multiplying the result with the total anticipated
funding level of $175,000,000. To prevent significant disruption in service
delivery, and to support new RESEA requirements, ETA applied minimum and
maximum funding limits. These limits include a minimum funding increase of 10
percent and maximum increase of 20 percent from FY 2019 authorized funding
limits (See UIPL No. 07-19, Attachment I). Each individual state may request an
amount up to the award limit provided in Attachment I of this UIPL. The state has
discretion to request a lesser amount based on appropriate factors, such as capacity
and program trends.
Beginning in FY 2021, each state’s maximum state RESEA award will be
determined using a formula allocation based on the Insured Unemployment Rate
and the size of the civilian labor force in each state. On April 4, 2019, ETA
published a Federal Register Notice (FRN), 84 Fed. Reg. 13,319, requesting
public comments on the RESEA allocation process. On August 8, 2019, ETA
published a second FRN, 84 Fed. Reg. 39,018, identifying the final allocation
methodology and providing analysis of how ETA considered public comments in
its development.
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b. Use of Funds – RESEA funds must be used to assess the continued eligibility and
reemployment needs of UC claimants in the targeted populations identified by the
state and to provide reemployment services to RESEA participants, including
reemployment services to which RESEA participants are referred. These funds
must be used to supplement the level of Federal, state, and local public funds that,
in the absence of such availability, would be expended to provide reemployment
services and eligibility assessments to individuals receiving UC. RESEA funds
may not supplant UI grant funds devoted to other state UI program enforcement or
program eligibility review activities. Similarly, these funds must not supplant
Federal, state, or local funds devoted to providing reemployment services to UC
claimants. Only reemployment or other service costs that are a direct result of a
claimant’s participation in the RESEA program may be reimbursed using RESEA
funds. 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).
c. Administrative Costs Limit – In FY 2020, administrative costs for the RESEA
program are limited to 15 percent of the total grant award. This limitation aligns
RESEA administrative costs with similar ETA grants and includes information
technology costs. States may request to use up to an additional $100,000 beyond
the 15 percent administrative costs limit to support information technology and
program costs, including required reporting. States requesting additional funds
beyond the 15 percent administrative costs limit must identify the amount and
describe planned activities in element 8 of the RESEA State Plan template.
Administrative costs include direct and indirect costs. Administrative costs do not
need to be identified separately from program costs on the Standard Form-424A,
Budget Information - Non-Construction Programs. However, they must be tracked
through the recipient’s accounting system and appropriately documented on the
recipient’s ETA-9130 Financial Report submissions. Recipients will be monitored
for compliance with the administrative costs limit during the entire grant period of
performance. Any amounts that exceed this limitation at closeout will be
disallowed and subject to debt collection.
To help facilitate program alignment and integration across programs supporting
the reemployment of UI claimants, ETA uses the definition of WIOA
administrative costs at 20 CFR 683.215 for RESEA grants. In the context of the
RESEA program, all information technology costs associated with the RESEA
program, including those identified at 20 CFR 683.215, are administrative costs.
Additional information will be provided in the state’s grant agreement.
d. Evaluation Set-Aside Funds – States may use up to 10 percent of their RESEA
grant funds to conduct, or cause to be conducted, evaluations of interventions and
service delivery strategies used in carrying out the program. Because this
evaluation funding may not be sufficient to do rigorous evaluations on a state-by-
6
state basis, states are encouraged to collaborate and pool their funds to support
evaluations that are more rigorous. The Department may also engage with states
to support RESEA evaluations. Evaluation costs must be reported in the comment
section of the ETA-9130 Financial Report which is available at
www.etareports.doleta.gov UIPL No. 01-20 and TEGL No. 06-19 provide
additional guidance and resources related to RESEA-related evaluation activities.
States seeking additional assistance with RESEA evaluations are invited to contact
the RESEA Evaluation Technical Assistance Helpline at [email protected].
e. Initial and Subsequent RESEA Costs Limit – RESEA operating guidance for FYs
2017-2019 included funding limits or allowable ranges for average costs for initial
and subsequent RESEA sessions. Because RESEA now provides states with
flexibility in how its RESEA program is designed and the types of service delivery
strategies and interventions permitted, there are no longer limitations on costs for
initial and subsequent RESEAs and RESEA related reemployment services,
although allowable costs may not exceed the grant award limit, as described in
Section 5a of this UIPL. ETA will continue to collect information about RESEA
program costs as an element of the annual RESEA state plan.
f. Period of Performance – For operational purposes, states are strongly encouraged
to continue to design and operate their RESEA programs based on a calendar year
schedule. The official period of performance for FY 2020 RESEA funds will be
January 1, 2020, through September 30, 2021. Funding must be liquidated by
December 31, 2021.
6. Program Design.
a. State Flexibility in Targeting RESEA Services to UI Claimants – Section 306,
SSA, requires RESEA-funded activities to be targeted to claimants determined
most likely to exhaust UC as determined under a profiling system required under
Section 303(j), SSA. However, the Department’s appropriation acts for FY 2019
and FY 2020 contain a provision providing states discretion in identifying
appropriate claimant populations among recipients of regular UI benefits, thus
removing the requirement that states must target UC claimants determined most
likely to exhaust UC benefits under Section 303(j), SSA. States are encouraged to
target UC claimant populations based on local labor market information, economic
trends, and other available data that informs whether the targeting strategy is likely
to meet the RESEA program goals.
b. Excluded Populations – Historically, UC claimants who have a definite return-to-
work date, who secure work only through a union hiring hall, or who are in
approved training, were excluded from participation in RESEA services. This
blanket exclusion was based on the assumption that RESEA does not reduce the
duration of UC receipt for such individuals. Beginning in FY 2020, states have
discretion to further align their RESEA program with their state-specific work-
search requirements. Therefore, claimants in these previously excluded groups
7
may be included in RESEA if they are required to conduct work search activities
under the state’s UC work search requirements.
c. Intersection of the RESEA and Worker Profiling and Reemployment Services
(WPRS) programs – The WPRS program was established by amendments to the
SSA contained in P.L. 103-152 (enacting Section 303(j), SSA) requiring states to
provide reemployment services to UC claimants identified through profiling
methods as likely to exhaust benefits and who will need job search assistance
services to transition to new employment. WPRS operating guidance (UIPL No.
41-94) provides further information necessary for states to operate the WPRS
program, including the criteria for establishing profiling models used to identify
claimants likely to exhaust benefits. States must provide services under the
requirements of Section 303(j), SSA, to the identified population if that population
is not served by the state’s RESEA program.
Only RESEA programs that continue to incorporate WPRS profiling models to
select participants and provide RESEA services statewide will satisfy WPRS
requirements and eliminate the need for states to separately meet WPRS reporting
requirements. States that include the WPRS profiling model, but do not provide
RESEA statewide, must continue to provide WPRS in areas not served by RESEA.
States that do not include claimants using the WPRS selection methods as part of
their RESEA program must operate a separate WPRS program to serve these
claimants. States operating separate WPRS programs under Section 303(j), SSA,
may not use funds appropriated for RESEA activities authorized under Section
306, SSA, for those programs. In the context of meeting WPRS requirements, a
state is considered to be operating RESEA statewide if RESEA services are
available in each WIOA-designated local workforce development area (see WIOA
section 106).
RESEA programs that target several claimant populations, including those
identified by the WPRS selection methods, will be considered as meeting WPRS
requirements if claimants selected under WPRS are provided priority over the
other populations and RESEA services are provided statewide.
Although not required, the integration of WPRS and RESEA is potentially
beneficial for both the state and the UC claimants selected for RESEA. For states,
this integration reduces performance reporting burden by consolidating WPRS and
RESEA reporting into one set of reports; allows states to leverage RESEA funding
to conduct statutorily required WPRS services, which do not have a devoted
funding stream; and may positively impact the state’s RESEA performance
outcomes by identifying claimants that are both likely to exhaust UC benefits and
benefit from RESEA services. Similarly, UC claimants identified using the WPRS
model are among those most in need of reemployment services and likely to
benefit from innovative and evidence-based reemployment strategies that are now
a required component of the new RESEA program.
8
As described in Training and Employment Notice (TEN) No. 37-15, ETA is
available to provide assistance with all aspects of profiling modeling, including
guidance on modeling issues, techniques, and diagnostics, as well as complete
model building assistance. States are reminded that having a strong and updated
profiling model is important when identifying claimants that are most likely to
exhaust benefits. To obtain assistance with profile model building and
maintenance, please contact Kevin Stapleton at (202) 693-3009 or at
[email protected].
d. Required RESEA Services – The primary goals for the RESEA program are to
reduce duration of UC receipt through improved employment outcomes, including
earnings, and to ensure an individual claiming UC continues to meet eligibility
requirements. To support these goals, all RESEA participants must be scheduled
for an initial RESEA. However, states may also include a combination of
subsequent RESEAs and reemployment services, as appropriate. Initial RESEA,
subsequent RESEA, and reemployment services are defined in Section 4 of this
UIPL.
Since the current evaluation and evidence supporting the RESEA program are
based on strategies that required in-person services, states should prioritize in-
person services whenever possible. However, states may provide remote services,
including the initial and subsequent RESEA sessions, using virtual person-to-
person technologies such as Skype, Zoom, FaceTime, or other similar products.
The level and timeliness of remote service must be comparable to assistance the
individual would receive if staff were assisting such individual in-person.
For claimants that need more support in planning their work search and
reemployment strategies, states are strongly encouraged to consider the use of the
My Reemployment Plan tool. TEN No. 18-16 provides additional information
about the My Reemployment Plan and related tools and resources. A PDF version
of the My Reemployment Plan and related introductory videos are available at:
https://rc.workforcegps.org/. An interactive, online version of the My
Reemployment Plan was launched in May 2019. The electronic My Reemployment
Plan is available for states to download and customize through the National
Association of State Workforce Agencies’ (NASWA’s) Information Technology
Support Center (ITSC) at www.itsc.org.
e. Integration with WIOA and Wagner-Peyser Act-funded services – By applying for
RESEA funding, states agree to integrate the RESEA program with WIOA-funded
and Wagner-Peyser Act-funded services, as well as with the workforce system
broadly. Beyond serving as a workforce system entry point for over one million
UC claimants each year, the RESEA program can also directly support WIOA
activities by providing reimbursement for various reemployment services
conducted during or directly resulting from a claimant’s participation in RESEA.
ETA is currently developing a Quick Start Action Planner (QSAP) tool to assist
states in their efforts to further integrate RESEA with other workforce programs.
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This tool, along with promising practices and other resources, will be available on
the “RESEA landing page” that is part of ETA’s knowledge–sharing site,
WorkforceGPS (www.workforceGPS.org). The RESEA landing page can be
accessed directly at: https://rc.workforcegps.org/resources/RESEA.
7. Program Operations.
a. Service Delivery Staff – RESEA services may be delivered by UI staff or qualified
and trained Wagner-Peyser Act-funded Employment Service (ES) staff, WIOA
staff, or other AJC staff. The UC eligibility review is a key part of RESEA
services 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. All eligibility determinations and
redeterminations resulting from issues identified through the RESEA program are
funded through the regular UI administrative grant (or state funds), not through the
RESEA grant. There is no merit staffing requirement for RESEA service
providers. As states develop their RESEA state plan, they are encouraged to
explore innovative approaches to how the program is staffed and to review the
January 6, 2020, final rule regarding increased flexibility in the administration of
ES activities (85 FR 592).
b. Required Engagement of UI Staff – UI staff must be engaged in RESEA planning,
administration, and oversight, as well as providing all appropriate staff training on
UC 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 be qualified and have sufficient
training from UI staff to conduct a thorough eligibility review and detect eligibility
issues requiring referral to the UI agency for adjudication. Further, states must
have UI staff participation to ensure accurate data are provided in the RESEA-
required reports. Each calendar quarter, prior to submission, the reports must be
reviewed for accuracy by a UI staff member, in addition to being reviewed by the
RESEA program lead (if a different staff member). Additional information about
required RESEA reports is provided in Section 7(f) of this UIPL.
c. Claimant Participation in RESEA Activities and Rescheduling – Once the state
notifies a claimant that s/he has been selected to participate in the RESEA
program, participation in RESEA is mandatory. 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,
should be accommodated within reason.
Many states are developing or have already implemented self-scheduling of
RESEA sessions. ETA strongly encourages such system upgrades due to their
efficiency and proven ability to increase program participation and decrease no-
show rates. However, states utilizing this strategy need to develop policies that
prevent excessive rescheduling that substantially delays or allows a claimant to
10
circumvent participation in RESEA activities, which is a condition of UI
eligibility.
The ETA 9128 report data item 2, “Number of RESEAs scheduled,” is intended to
capture the total number of RESEAs scheduled. The ETA 401 handbook, 6th
edition defines “Number of RESEA scheduled” as “the number of RESEAs for
which an official notice was sent to the claimant.” The handbook clarifies this
item does not include RESEAS that are rescheduled with no disqualification and
further clarifies that rescheduled RESEAs with a disqualification must be counted
as another scheduled RESEA in Item 2 of the ETA 9128. Each claimant scheduled
for an RESEA and reported in item 2 will either participate in the RESEA or fail to
participate and this result must be appropriately captured in ETA 9128 item 3,
“Number of RESEAs Completed,” or item 15, “Number of RESEAs for Which the
Claimant Failed to Report.”
d. UC Feedback Loop, Adjudication, and Due Process – Once claimants are selected
to participate in the RESEA program, they are required to participate in all
RESEA activities required by the state, including the initial RESEA, any
subsequent RESEAs, and any reemployment services to which they are referred.
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.
e. Required Co-Enrollment in Wagner-Peyser Act-funded Employment Services – To
promote integrated service delivery and to support capturing RESEA program
outcome information through the Participant Individual Record Layout (PIRL)
used for WIOA and Wagner-Peyser Act reporting, ETA requires that RESEA
participants be co-enrolled in Wagner-Peyser Act-funded Employment Service as
part of the initial RESEA. As part of this enrollment, each RESEA participant
must be appropriately identified in Employment Service case management and
performance reporting systems as “referred by RESEA.” 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.
f. Performance Reporting – Performance reporting for FY 2020 consists of the ETA
forms 9128 and 9129, Reemployment and Eligibility Assessments Outcomes;
Office of Management and Budget (OMB) Control No. 1205-0456, expiration date
9/30/2022. All RESEA-related performance reports are due on the 20th day of the
second month following the end of the reporting quarter. Additional information
about these reports is provided in Employment and Training (ET) Handbook No.
401, 5th Edition. ETA is currently assessing potential changes to these reports to
align with the new RESEA program requirements. States will be alerted of any
changes in future guidance. In addition, states must complete the Quarterly
Narrative Progress Report (ETA 9178); OMB Control No. 1205-0517, expiration
date 8/31/2021. States must submit the ETA 9178 to their ETA Regional Office
11
no later than 45 days after the end of each reporting quarter. Additional
information about the ETA 9178 is provided in UIPL No. 05-19.
8. Implementation of Evidence-based Strategies and Evaluation Requirements.
Section 306(c) of the SSA includes a tiered evidence approach for the RESEA program to
encourage the Department to fund and states to use evidence-based strategies where they
exist, and to conduct evaluations and build evidence in areas where needed.2 The goal is to
ensure that each state employs RESEA interventions and service delivery strategies that,
based on rigorous evaluations, improve employment outcomes and reduce benefit duration,
or that the intervention or service delivery strategy are being evaluated to determine their
effectiveness in achieving these goals. Specifically, the statute requires that interventions or
service delivery strategies funded by RESEA grant funds must be demonstrated to reduce the
average number of weeks participants receive UC by improving employment outcomes,
including earnings.
In FY 2023 and FY 2024, states will be required to use no less than 25 percent of the grant
funds for interventions or service delivery strategies with high or moderate causal evidence
ratings that show a demonstrated capacity to improve employment and earnings outcomes for
program participants. For FY 2025 and FY 2026, states must use no less than 40 percent of
funds for interventions or service delivery strategies with high or moderate causal evidence
ratings. For FY 2027 and beyond, states must use no less than 50 percent of RESEA funds
for interventions or service delivery strategies with high or moderate causal evidence ratings.
Additional guidance will be provided before these requirements become effective.
To meet Congressional intent with regard to causal evidence ratings in the tiered evidence
approach and to ensure states’ ability to comply with the evidence and evaluation provisions
in the statute, states are expected to begin evaluating RESEA interventions and service
delivery strategies no later than during FY 2020.
ETA provided preliminary guidance with regard to the evidence-based strategies and
evaluation provisions for FY 2019 in UIPL No. 07-19. UIPL No. 01-20 and TEGL No. 06-
19 build upon the previous preliminary guidance and provide further information on the new
RESEA evidence-based requirements including: a description of how the Department rates a
study’s evidence quality through its Clearinghouse for Labor Evaluation and Research
(CLEAR); the standards for rating intervention effectiveness and relevant interventions that
currently meet those standards; RESEA components that are in need of expanded evidence;
and potential evaluation approaches and strategies for carrying out evaluations. UIPL No.
01-20 and TEGL No. 06-19 also identify resources that are available to states to better
understand and use existing evidence and to help states initiate rigorous high quality
evaluations to build evidence on the effectiveness of interventions in their RESEA programs.
2 Tiered evidence” refers to a policy tool that allows federal agencies to tie federal funding to strategies with
evidence, to encourage the use of interventions that have strong evidence of success and test promising new
interventions.
12
States must align FY 2020 RESEA State Plans and program design with the requirements
and guidance identified in UIPL 01-20 and TEGL No. 06-19.
9. FY 2020 RESEA State Plan Submission Process.
Section 306(e), SSA, requires states to submit a state plan as a condition of eligibility to
receive RESEA funds for a Fiscal Year. A state must submit a state plan that outlines how
the state intends to conduct a program of reemployment services and eligibility assessments
by responding to all the required elements included in the state plan template. For reference
purposes, the RESEA state plan template is provided in Attachment II to this UIPL.
The RESEA state plan package must consist of the following documents:
1. Completed RESEA state plan template: An electronic, fillable version of Attachment II
will be made available to states through www.grants.gov and from ETA’s Regional
Offices; OMB Control No. 1205-0538, expiration date 10/31/2022.
2. SF-424: Application for Federal Assistance; OMB Control No. 4040-0004, expiration
date 12/31/2019. Additional guidance for completing the SF-424 is provided in
Attachments III and IV. In addition to other information requested on the SF-424, each
state must enter “UIPL 8-20” into the opportunity number field of the application and
enter the applicable amount set out for the state in Attachment I of this UIPL.
3. SF-424A: Budget Information – Non-Construction Programs; OMB Control No.
4040-0006, expiration date 02/28/2022.
4. Indirect Costs: Applicant states that include indirect costs in the budget must include
either: (a) The approved indirect cost rate with a copy of the Negotiated Indirect Cost
Rate Agreement (NICRA), a description of the base used to calculate indirect costs along
with the amount of the base, and the total indirect costs requested; OR (b) For those
applicant states that meet the requirements to use the 10 percent de minimis rate as
described in 2 CFR 200.414(f), a description of the modified total direct cost base (see 2
CFR 200.68 for definition) used in the calculation along with the amount of the base, and
the total indirect costs requested based on the 10 percent de minimis rate. The following
link contains information regarding the NICRA at the Department:
https://www.dol.gov/agencies/oasam/centers-offices/business-operations-center/cost-
determination.
To allow for the timely review of state plans and award of funds, states must submit their
RESEA state plan packages, including all the required components identified above, via
grants.gov by Monday, March 16, 2020.
The Secretary of Labor will approve completed plans that fully address the required elements
and are submitted in a timely manner. Plans that fail to meet the required elements will be
disapproved and the state will be notified of this disapproval within 30 days of the
13
Department’s receipt of the plan. A state that receives a disapproval notification will be
provided an opportunity to submit a revised plan. The written disapproval notification will
describe any portion(s) of the plan that was not approved, the reason for the disapproval(s),
and instructions for submitting a revised plan. An approved RESEA state plan is a condition
of eligibility for RESEA funds and disapproval of a state’s RESEA state plan will suspend
that state’s grant award until the plan is appropriately revised.
ETA’s Office of Grants Management’s website provides additional general information
about grant requirements and the application process, including standard terms and
conditions. For technical issues encountered during application submission, applicants may
call 800-518-4726 or 606-545-5035 to speak to a Customer Support Representative or email
[email protected]. The Contact Center is open 24 hours a day, seven days a week, but
closed on federal holidays. Attachment III of this UIPL provides more detailed instructions
about submitting an application through www.grants.gov.
10. Inquiries.
Please direct inquiries to the appropriate ETA Regional Office.
11. References.
Further Consolidated Appropriations Act, 2020, Pub. L. 116-94, Division A, Title I;
Department of Defense and Labor, Health and Human Services, and Education
Appropriations Act, 2019 and Continuing Appropriations Act, 2019, Pub. L. 115-245,
Division B, Title I;
Sections 303(j) and 306, SSA, 42 U.S.C. 503(j) and 506;
Workforce Innovation and Opportunity Act (WIOA), Pub. L. No. 113-128;
Consolidated Appropriations Act, 2018, Pub. L. No. 115-141;
Bipartisan Budget Act of 2018, Pub. L. No. 115-123;
Continuing Appropriations Act, 2018, Pub. L. No. 115-56, Division D;
Consolidated Appropriations Act 2017, Pub. L. No. 115-31, Division H;
Explanatory Statement accompanying the Consolidated Appropriations Act, 2017, Pub.
L. No. 115-31;
Unemployment Compensation Amendments of 1993, Pub. L. No. 103-152, amending
section 303(j), SSA;
20 CFR 683.215;
2 CFR 200.68 and 200.414;
UIPL No. 01-20, Expectations for States Implementing the Reemployment Service and
Eligibility Assessment (RESEA) Program Requirements for Conducting Evaluations and
Building Program Evidence (also issued as TEGL No. 06-19);
UIPL No. 07-19, Fiscal Year (FY) 2019 Funding Allotments and Operating Guidance for
Unemployment Insurance (UI) Reemployment Services and Eligibility Assessment
(RESEA) Grants
UIPL No. 05-19, Form ETA 9178 for Employment and Training Supplemental Grant
Reporting
14
• UIPL No. 14-18, Unemployment Insurance and the Workforce Innovation and
Opportunity Act;
• UIPL No. 08-18, Fiscal Year (FY) 2018 Funding Allotments and Operating Guidance for
Unemployment Insurance (UI) Reemployment Services and Eligibility Assessment
(RESEA) Grants;
• UIPL No. 3-17, and Change 1, Fiscal Year (FY) 2017 Unemployment Insurance (UI)
Reemployment Services and Eligibility Assessment (RESEA) Grants;
• UIPL No. 41-94, Unemployment Insurance Program Requirements for the Worker
Profiling and Reemployment Services System;
• TEGL No. 9-19, Fiscal Year (FY) 2020 Funding Allotments and Operating Guidance for
Unemployment Insurance (UI) Reemployment Services and Eligibility Assessments
(RESEA) Grants;
• TEGL No. 2-16, Revised ETA-9130 Financial Report, Instructions, and Additional
Guidance
• ET Handbook No. 401, 5th Edition, Revised ET Handbook No. 401, Unemployment
Insurance Reports Handbook;
• TEN No. 18-16, Pathways to Reemployment Tools and Resources; and
• TEN No. 37-15, Availability of Assistance Building Profiling Models to Identify
Unemployment Insurance Claimants Most Likely to Exhaust Benefits.
12. Attachments.
Attachment I: Maximum Fiscal Year (FY) 2020 Unemployment Insurance (UI)
Reemployment Services and Eligibility Assessment (RESEA) Grant Awards by State
Attachment II: Elements of an Unemployment Insurance (UI) Reemployment Services
and Eligibility Assessment (RESEA) Grant State Plan
Attachment III: Additional Grants.gov Submission Instructions
Attachment IV: Additional Guidance for Completing the SF-424 and SF-424A
15
Attachment 1 (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2020/UIPL_8-20_Attachment_1.pdf)
Attachment I
Maximum Fiscal Year (FY) 2020 Unemployment Insurance (UI) Reemployment Services
and Eligibility Assessment (RESEA) Grant Awards by State
State FY 2019 FY 2020
Funding Funding
Limit Limit1
ALABAMA $994,163 $1,192,995
ALASKA $346,369 $415,643
ARIZONA $885,821 $1,062,986
ARKANSAS $542,018 $650,421
CALIFORNIA $15,467,355 $18,560,826
COLORADO $496,100 $595,320
CONNECTICUT $1,856,915 $2,228,298
DELAWARE $724,438 $796,881
DISTRICT OF COLUMBIA $771,319 $848,451
FLORIDA $6,928,506 $7,621,357
GEORGIA $1,019,150 $1,222,980
HAWAII $1,245,906 $1,370,497
IDAHO $875,294 $962,823
ILLINOIS $1,665,945 $1,999,134
INDIANA $5,425,160 $5,967,676
IOWA $1,895,736 $2,274,884
KANSAS $896,970 $1,076,364
KENTUCKY $1,102,519 $1,323,023
LOUISIANA $2,057,299 $2,263,029
MAINE $868,626 $955,489
MARYLAND $1,478,014 $1,773,617
MASSACHUSETTS $7,259,554 $7,985,509
MICHIGAN $2,634,528 $3,161,433
MINNESOTA $1,810,521 $2,172,626
MISSISSIPPI $1,200,680 $1,320,748
MISSOURI $945,060 $1,134,072
MONTANA $796,868 $876,554
NEBRASKA $616,516 $678,168
NEVADA $2,584,481 $2,842,929
NEW HAMPSHIRE $1,616,108 $1,777,718
NEW JERSEY $2,355,706 $2,826,848
NEW MEXICO $721,970 $844,874
1
Any funds that remain available after RESEA grant awards are finalized will be used to support supplemental
requests identified in the states’ FY 2020 RESEA state plans or will be allocated across all states operating RESEA
programs during FY 2020. The allocation methodology applied will be selected based on the amount of funds
available.
I-1
Attachment I
Maximum Fiscal Year (FY) 2020 Unemployment Insurance (UI) Reemployment Services
and Eligibility Assessment (RESEA) Grant Awards by State
State FY 2019 FY 2020
Funding Funding
Limit Limit1
NEW YORK $24,032,798 $26,436,077
NORTH CAROLINA $5,386,081 $5,924,689
NORTH DAKOTA $592,813 $652,094
OHIO $4,015,514 $4,818,617
OKLAHOMA $1,159,258 $1,275,183
OREGON $5,741,685 $6,315,854
PENNSYLVANIA $1,840,561 $2,208,674
PUERTO RICO $397,284 $476,741
RHODE ISLAND $1,373,776 $1,511,154
SOUTH CAROLINA $1,556,260 $1,867,511
SOUTH DAKOTA $432,943 $476,237
TENNESSEE $3,258,519 $3,584,371
TEXAS $9,348,178 $11,217,813
UTAH $2,152,773 $2,368,050
VERMONT $864,079 $950,487
VIRGIN ISLANDS $419,985 $461,984
VIRGINIA $2,024,343 $2,226,777
WASHINGTON $11,439,335 $12,583,269
WEST VIRGINIA $407,096 $488,516
WISCONSIN $3,609,976 $3,970,974
WYOMING $495,112 $644,623
I-2
Attachment 2 (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2020/UIPL_8-20_Attachment_2.pdf)
RESEA
ELEMENTS OF AN UNEMPLOYMENT INSURANCE (UI)
REEMPLOYMENT SERVICES AND ELIGIBILITY ASSESSMENT (RESEA) GRANT
STATE PLAN
1. State Name
2. Name and Title of the State Agency Administrator
Name: Title:
Address:
3. RESEA Program Lead/Contact
The Person who can answer questions about the RESEA Proposal.
Name: Telephone:
Email:
4. UI Program Lead/Contact
The person who can answer questions about the U/ aspects of the RESEA proposal. This person may also be the RESEA
Program Lead/Contact.
Name: Telephone:
Email:
5. Total Funds From prior RESEA Grants Projected to carry over
Please include expected date for full obligation and expenditure of these remaining funds.
Obligation date-(mm/dd/yy) expected by:
Expenditure date-(mm/dd/yy) expected by: $ ____
(If needed, please use the box below to elaborate on expenditures.)
State Plan
RESEA
6. Total Proposed RESEA Project Cost
The total amount of funds requested in this grant, which may be up to the limit specified in annual RESEA operating
guidance.
$ _____
(ff needed, please use the box below to elaborate on grant funds.)
7. Total Service Delivery (Program) Cost
The total amount of funds requested for staff and resources necessary to conduct the RESEAs excluding administrative
and evaluation costs.
$ _____
(ff needed, please use the box below to elaborate on program costs.)
8. Total Administrative Costs
The total amount of funds requested for program administrative costs. Please include a breakout of these costs
(Note: This entry includes IT costs).
$ _____
(ff needed, please use the box below to elaborate on administrative costs.)
9. Staff and Administrative Costs for a Single Completed Initial RESEA
Please include narrative describing how amounts were calculated.
$ _____
( Use the box below to describe amount calculations used.)
State Plan
RESEA
10. Completed Initial RESEA Staffing and Time
Complete chart below to provide additional information about how specific required initial RESEA activities are
staffed, the average time needed, and estimated costs.
ACTIVITY STAFF INDIVIDUAL/ AVERAGE STAFF COST
(ES/WIOA/UI/OTHER) GROUP TIME PER HOUR
Eligibility Review
Labor Market Information
Individual Reemployment
Plan
Providing information and
access to American Job
Center (AJC) services
including career services
Enrollment in Employment
Services
Providing support with
individual reemployment
plan.
Referrals to other services
Other services provided in
addition to required
elements.
TOTALS
11. Staff and Administrative Costs for Subsequent RESEA
If subsequent RESEAs are not included in program design, please indicate "No Subsequent" in text box below.
$ _____
(If needed, please use the box below to elaborate on Staff and Administrative costs for subsequent RESEAs.)
State Plan
RESEA
12. Completed Subsequent RESEA Staffing and Time
Complete the chart below to provide additional information about how specific subsequent RESEA activities are
staffed and the average time needed.
ACTIVITY STAFF INDIVIDUAL/ AVERAGE STAFF COST
(ES/WIOA/UI/OTHER) GROUP TIME PER HOUR
Eligibility Review
Labor Market Information
Providing support with
individual reemployment plan
Providing information and
access to American Job Center
(AJC) services including career
services
Referrals to other services
TOTALS
13. Projected Time for a Single Initial RESEA, Including Paperwork
In addition to information provided in 12, this entry should represent total time spent preparing for and conducting a
single initial RESEA, including preparation, documentation and other related activities.
14. Projected Time for the Subsequent RESEA, Including Paperwork
In addition to information provided in 15, this entry should represent total time spent preparing for and conducting a
single subsequent RESEA, including preparation, documentation and other related activities.
15. 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.
$ ___
(If needed, please use the box below to elaborate on expenditures.)
State Plan
RESEA
16. 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.
17. 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. (ff the state does not conduct
subsequent RESEAs this number will be zero.)
18. 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. Please include breakout of initial and subsequent, if applicable.
19. 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.
20. 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 activities under the proposed RESEA
program to reduce the number of claimants failing to report, please identify and provide a brief description.
Please select all that apply:
D Self-scheduling of appointments (Completion date [actual or projected] mm/yy)
D Automated reminders (text message, e-mail, phone, etc.)
D Restructuring of notifications and other communications (behavioral insights, plain-language, etc.)
D Other
Insert brief narrative of actions taken or planned:
State Plan
RESEA
21. Total number of RESEA Sites
The total number of sites where RESEAs will be conducted. If RESEAs are conducted statewide (at least one location
in each Workforce Innovation and Opportunity Act [WIDA] workforce development area), please indicate
"statewide." If RESEAs are provided at limited sites, list the towns/cities or local workforce development areas where
RESEA activities will be conducted. If RESEA is not available statewide, Worker Profiling and Reemployment Services
(WPRS) must be provided in areas where RESEA is not available.
Number of sites providing RESEAs: ____ Number of sites providing WPRS: ____
List RESEA locations if RESEA activities are not statewide:
List WRPS locations if RESEA activities are not statewide:
22. Role of UI Staff
Briefly describe the role played by UI staff in program management. Please note that all eligibility determinations and
redeterminations are funded through the regular UI funding for non-monetary determinations and not through the
RESEA grant.
Insert description of UI staff roles:
23. Selection of RESEA Participants:
Please describe the state's methodology for selecting claimants to participate in the RESEA program and at what point in
the claim series selections are made. If a profiling or statistical model is used please describe the model including factors
used and when the model was last updated. 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:
State Plan
RESEA
24. Proper Notification
All states participating in the RESEA program must provide both an assurance that, and description of how, individuals
selected to participate in RESEA will receive proper notifications regarding the program's eligibility conditions,
requirements, and benefits. Proper notifications must be in clear and simple language and include warnings to ensure
selected individuals are fully aware of the consequences of noncompliance with the state's policies related to non
attendance and/or nonfulfillment of UI work search requirements. (Section 306{e) ( 1)(A) (i), Social Security Act (SSA)).
Do you assure that proper notification as described in Element (28} will be provided?
0Yes/0No
Insert description of notification process and attach template used for notifications.
25. Reasonable Scheduling Accommodations
To maximize participation in the RESEA program, the state must provide assurance that, and a description of how
reasonable scheduling accommodations are made available to individuals selected for RESEA (Section 306{e) ( 1)(A) (ii),
SSA).
Do you assure that reasonable scheduling accommodations are available to RESEA participants?
0Yes/0No
Insert a description of the reasonable scheduling accommodations provided.
26. 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 of the UI feedback loop and adjudication process.
Insert a brief description regarding the feedback loop from the RESEA provider to the UI system on whether the
claimants reported and participated in required activities as directed.
Insert a brief description of the feedback loop established to refer any UI eligibility issues identified during the RESEA
for adjudication.
State Plan
RESEA
27. Activities Supporting RESEA's Statutory Purposes
Each state must provide assurance that, and description of how, the planned RESEA program will conform to the four
statuary purposes identified below (Section 306 (e}{l}{B}, SSA).
27(a) Purpose 1:
To improve employment outcomes of individuals that receive unemployment compensation and to reduce the average
duration of receipt of such compensation through unemployment.
Do you assure that the proposed RESEA program design and planned activities conform to purpose 1 as described in
Element 27(a)?
0Yes/0No
Insert brief description of specific RESEA program elements and/or activities that support this purpose.
27(b) Purpose 2:
To strengthen program integrity and reduced improper payments of unemployment compensation by states through
the detection and prevention of such payments to individuals who are not eligible for such compensation.
Do you assure that the proposed RESEA program design and planned activities are conform to purpose 2 as
described in Element 27(b)?
0Yes/0No
Insert brief description of specific RESEA program elements and/or activities that support this purpose.
State Plan
RESEA
To promote alignment with the broader vision of the Workforce Innovation and Opportunity Act (WI0A) (29 U.S.C.
3101 et seq.) of increased program integration and service delivery for job seekers, including claimants for
unemployment compensation. (Note: Additional information about the vision of WI0A is provided in Training and
Employment Guidance Letter No. 19-14, Vision for the Workforce System and Initial Implementation of the Workforce
Innovation and Opportunity Act and additional information specific State UI programs is provided in Unemployment
Insurance Program Letter 14-18).
Do you assure that the proposed RESEA program design and planned activities conform to purpose 3 as described in
Element 27(c)?
OYes/ONo
Insert a brief description of the specific RESEA program elements and/or activities that support this purpose
including information about how RESEA has been integrated into the State's workforce system and network of AJCs.
27(d) Purpose 4:
Establish reemployment service and eligibility assessment as an entry point for individuals receiving unemployment
compensation into other workforce system partner programs.
Do you assure that the proposed RESEA program design and planned activities conform to purpose 4 as described in
Element 27(d)?
OYes/ONo
Insert brief description of specific RESEA program elements and/or activities that support this goal.
State Plan
RESEA
28. Evidence-based Standards and Evaluation Requirements
Each state must provide assurances and a description of how the state's RESEA program will satisfy the requirement to
use grant funds only for interventions and service delivery strategies designed to reduce the number of weeks for which
program participants receive unemployment compensation by improving employment outcomes for participants,
including employment and earnings. States implementing RESEA interventions or service delivery strategies without a
high or moderate causal rating must be under evaluation at the time of use. (Section 306{e) ( 1) ( B), SSA).
28(a):
Do you assure that the state's RESEA program will satisfy the requirement to use grant funds only for interventions
and service delivery strategies designed to reduce the number of weeks for which program participants receive
unemployment compensation by improving employment outcomes for participants, including employment and
earnings?
Oves/0No
Insert description of the evidence-based interventions and service delivery strategies the State plans to use to speed
reemployment, including specific references to the evidence relied upon.
Insert an explanation of how such interventions and service delivery strategies are appropriate to the population
served.
28(b):
Do you assure that the RESEA interventions or service delivery strategies used to implement the program without a
high or moderate causal rating are under evaluation at the time of use?
0Yes/0No
Insert, if applicable, a description of the evaluation structure the State plans to use for interventions and service
delivery strategies without at least a moderate or high causal evidence rating, which may include national
evaluations conducted by the U.S. Department of Labor or by other entities.
28(c):
Total funds that will be set-aside to conduct or cause to be conducted evaluations
of interventions used in carrying out the RESEA Program. This amount is limited to 10 percent
of grant award (Section 306(d)(2), SSA).
State Plan
RESEA
28(d):
Insert a description of any reemployment activities and evaluations of reemployment interventions and service
delivery strategies conducted in the prior fiscal year and any data collected on:
1. Characteristics of program participants;
2. Number of weeks for which program participants receive unemployment compensation; and
3. Employment and other outcomes for program participants consistent with State performance accountability
measures provided by the State unemployment compensation program and performance outcome measures as
defined in section 116(b) of the Workforce Innovation and Opportunity Act (29 U.S.C. 3141(b))
29. Planned Supplemental Activities if Additional Funding is Available-Participants Served
If the State has capacity and need for funding beyond the provided funding level, please provide:
1. The amount of additional funds requested;
2. The number of additional sites, if any that would be served using the increased funds
3. The estimated number of additional scheduled and completed RESEAs that
would be conducted.
30. Planned Supplemental Activities if Additional Funding is Available-Innovation
Please describe, if applicable, any system improvements or innovative service delivery models your state would pursue if
additional funds became available. Please include both a description of the activities and an estimate of additional
funds needed.
Insert description of funding needed, activities that would be completed, and projected impact on program, such as
improved no-show rates, additional participants served, improvements to system integrity.
0MB No.: 1205-0538 0MB Expiration Date: 10/31/2022 Average Estimated Response Time: 40 hours
0 M B Burden Statement: These reporting instructions have been approved under the Paperwork Reduction Act of 1995. Persons
are not required to respond to this collection of information unless it displays a valid 0MB control number. Public reporting
burden for this collection of information includes the time for reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the collection of information. Submission is required to retain or
obtain benefits under SSA 303{a)(6). Send comments regarding this burden estimate or any other aspect of this collection of
information, including suggestions for reducing this burden, to the U.S. Department of Labor, Office of Unemployment
Insurance, Room S-4524, 200 Constitution Ave., NW, Washington, DC, 20210.
State Plan
Attachment 3 (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2020/UIPL_8-20_Attachment_3.pdf)
ATTACHMENT III
Additional Grants.gov Submission Instructions
The following is provided as additional instructions beyond what is already available on the
www.grants.gov website. In the event you encounter a problem with www.grants.gov and do
not find a resolution in any of the other resources, call 1-800-518-4726 or 606-545-5035 to
speak to a Customer Support Representative, or email [email protected].
States are strongly advised to initiate the application submission and validation process via
www.grants.gov as soon as possible and to plan for time to resolve technical problems.
Please note that validation does not mean the State’s application has been accepted as
complete or has been accepted for review. Rather, www.grants.gov only verifies the
submission of certain parts of the application.
Before you begin to write the application, the U.S. Department of Labor (Department)
strongly recommends that you initiate and complete the “Get Registered” registration steps
at: https://www.grants.gov/web/grants/register.html.
Before registering, you should read through the registration process carefully. These steps
can take as many as four weeks to complete, and this time should be factored into plans for
timely electronic submission in order to avoid unexpected delays that could result in the
rejection of your application. The www.grants.gov website also contains the Step-By-Step
Guide to Organization Registration to help applicants walk through the process.
The next step in the registration process is creating a username and password with
www.grants.gov to become an Authorized Organizational Representative (AOR). AORs will
need to know the DUNS Number of the organization for which they will be submitting
applications to complete this process. To read more detailed instructions for creating a
profile on www.grants.gov visit:
https://www.grants.gov/web/grants/applicants/registration.html.
After creating a profile on www.grants.gov, the E-Biz Point of Contact (E-Biz POC), a
representative from your organization who is the contact listed for System of Award
Management (SAM), will receive an email to grant the AOR permission to submit
applications on behalf of their organization. The E-Biz POC will then log into
www.grants.gov and approve an individual as the AOR, thereby giving him or her
permission to submit applications. To learn more about AOR Authorization visit:
https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html or to track
AOR status visit: https://www.grants.gov/web/grants/applicants/registration/track-role-
status.html
An application submitted through www.grants.gov constitutes a submission as an
electronically signed application. The registration and account creation with
www.grants.gov, with E-Biz POC approval, establishes an AOR. When an application is
submitted through www.grants.gov, the name of the AOR on file will be inserted into the
signature line of the application. State Workforce Agencies must register the individual
who is able to make legally binding commitments for your organization as the AOR.
This step is often missed and it is crucial for valid submissions.
III-1
When a registered applicant submits an application with www.grants.gov, an electronic time
stamp is generated within the system when the application is successfully received by
www.grants.gov. Within two business days of application submission, www.grants.gov will
send the applicant two email messages to provide the status of the application’s progress
through the system.
The first email, sent almost immediately, will contain a tracking number and will
confirm receipt of the application by www.grants.gov.
The second email will indicate that the application has either been successfully
validated or has been rejected due to errors.
If the applicant’s registration in SAM is expired, www.grants.gov will reject the application.
Only applications that have been successfully submitted in www.grants.gov by the deadline
and subsequently successfully validated will be considered. It is the State’s responsibility to
ensure a timely submission. While it is not required that an application be successfully
validated before the deadline for submission, it is prudent to reserve time before the deadline
in case it is necessary to resubmit an application that has not been successfully validated in
www.grants.gov. Therefore, adequate time should be allotted for submission (two business
days recommended) and additional time to address any errors and requiring validation upon
resubmission (an additional two business days for each ensuing submission).
To ensure consideration, the components of the application must be saved as .doc, .docx, .xls,
.xlsx, .rtf or .pdf files. If submitted in any other format, the applicant bears the risk of
compatibility or other issues preventing a State’s application from being considered. The
Department will attempt to open the document, but will not take any additional measures in
the event of problems with opening it (e.g., conversions of any kind).
The Department strongly advises applicants to use the various tools and documents,
including Frequently Asked Questions, which are available on the “Applicant Resources”
page at https://www.grants.gov/web/grants/applicants/applicant-faqs.html.
To receive updated information about critical issues, new tips for users, and other time
sensitive updates, you may subscribe to www.grants.gov updates at
https://www.grants.gov/web/grants/manage-subscriptions.html.
III-2
Attachment 4 (official PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2020/UIPL_8-20_Attachment_4.pdf)
ATTACHMENT IV
Additional Guidance for Completing the SF-424 and SF-424A
I. Application for Federal Assistance (SF-424)
• Use the current version of the form for submission. Expired forms will not be accepted.
SF-424, Expiration Date 12/31/2019, Office of Management and Budget (OMB)
Control No. 4040-0004 (Grants.gov). http://www.grants.gov/web/grants/forms/sf-424-
family.html
• Section # 8, APPLICANT INFORMATION:
• Legal Name: The legal name must match the name submitted with the System for
Award Management (SAM). Please refer to instructions at https://www.sam.gov
• Employer/Tax Identification Number (EIN/TIN): Input your correct 9-digit EIN and
ensure that it is recorded within SAM.
• Organizational DUNS: All applicants for Federal grant and funding opportunities are
required to have a 9-digit Data Universal Numbering System (D-U-N-S®) number, and
must supply their D-U-N-S® number on the SF-424. Please ensure that your
state is registered with the SAM. Instructions for registering with SAM can be found at
https://www.sam.gov. Additionally, the state must maintain an active SAM registration
with current information at all times during which it has an active Federal award or an
application under consideration. To remain registered in the SAM database after the
initial registration, there is a requirement to review and update the registration at least
every 12 months from the date of initial registration or subsequently update the
information in the SAM database to ensure it is current, accurate, and complete. Failure
to register with SAM and maintain an active account will result in a rejection of your
submission.
• Address: Input your complete address including Zipcode+4; Example: 20110-831. For
lookup, use link at https://tools.usps.com/go/ZipLookupAction!input.action
• Organizational Unit: Input appropriate Department Name and Division Name, if
applicable
• Name and contact information of person to be contacted on matters involving this
application. Provide complete and accurate contact information including telephone
number and email address for the point of contact
• Section # 9, Type of Applicant 1: Select Applicant Type: Input “State Government”
• Section # 10, Name of the Federal Agency: Input “Employment and Training
Administration”
• Section # 11, Catalog of Federal Domestic Assistance Number: include the accurate Catalog
of Federal Domestic Assistance Number for the applicable Funding Opportunity; Example:
17.225 for Unemployment Insurance
• Section # 12, Funding Opportunity Number and Title: Input the appropriate funding
opportunity number and Title; Example: UIPL No. 1-17 – Health Coverage Tax Credit;
TEGL 17-15 – WIOA Adult, Dislocated Worker and Youth Activities Program Allotments
IV-1
• Section # 13, Competition Identification Number: include the advisory reference number or
appropriate funding opportunity number
• Section # 14, Areas Affected by Project: Input the place of performance for the project
implementation; Example “NY” for New York
• Section # 15, Descriptive Title of Applicant’s Project: Input the title of the Project
• Section # 16, Congressional Districts of:
o a. Applicant: Input the Congressional District of your home office. For
lookup, use link at www.house.gov with Zipcode + 4
o b. Program/Project: Input the Congressional District where the project
work is performed. If it’s the same place as your home office, input the
congressional district for your home office. For lookup, use link at
www.house.gov with Zipcode+4
• Section # 17, Proposed Project
o a. Start Date: Input a valid start date for the project
o b. End Date: Input a valid end date for the project
• Section # 18, Estimated Funding ($): Input the estimated funding requested. Ensure
that the funding requested matches the TOTALS in Section B – Budget Categories of
the SF424A
• Complete Section #s 19 – 20 as per instructions in Form SF-424
• Section # 21, Authorized Representative: Input complete information for your
authorized signatory including contact information such as telephone number and
email address. Remember to get the SF-424 signed and dated by the Authorized
representative. If your Authorized Representative has changed from your previous
application submission for this program, please include a letter from a higher level
leadership authorizing the new signatory for the application submission
II. Budget Information -Non-Construction Programs (SF-424A)
• Use the current version of the form for the submission. Expired forms will not be
accepted. SF 424A, Expiration Date 02/28/2022, OMB Control No. 4040-0006
http://apply07.grants.gov/apply/forms/sample/SF424A-V1.0.pdf
• Section B – Budget Categories: Ensure that TOTALS in Section 6, Object Class
Categories matches the Estimated Funding requested in the SF-424.
• If indirect charges are specified in Section 6, Object Class Categories, then include either:
(a) The approved indirect cost rate with a copy of the Negotiated Indirect Cost Rate
Agreement (NICRA), a description of the base used to calculate indirect costs along
with the amount of the base, and the total indirect costs requested; OR
(b) For those applicant states that meet the requirements to use the 10% de minimis rate
as described in 2 CFR 200.414(f), a description of the modified total direct cost base
(see 2 CFR 200.68 for definition) used in the calculation along with the amount of the
base, and the total indirect costs requested based on the 10% de minimis rate.
IV-2
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