FY 2011 reemployment and eligibility assessment grants

UIPL10-11acc.pdf (https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2011/UIPL10-11acc.pdf)

                                                          CLASSIFICATION
   EMPLOYMENT AND TRAINING ADMINISTRATION                 UI – Reemployment
               ADVISORY SYSTEM                            CORRESPONDENCE SYMBOL
                                                          OUI/DUIO
          U.S. DEPARTMENT OF LABOR
                                                          DATE
             Washington, D.C. 20210                       February 10, 2011



ADVISORY:          UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 10-11

TO:                STATE WORKFORCE AGENCIES

FROM:              JANE OATES /s/
                   Assistant Secretary

SUBJECT:           Fiscal Year (FY) 2011 Unemployment Insurance (UI) Reemployment and
                   Eligibility Assessment (REA) Grants


1. Purpose. To inform state workforce agencies of 1) the opportunity to submit proposals and
funding requests to continue REA programs at the current or an expanded level of funding; 2) to
invite new states to implement an REA program; and 3) to provide newly revised guidelines for
developing proposals that incorporate REA program changes for FY 2011, including criteria
governing the use of REA funds.

2. References. Unemployment Insurance Program Letter (UIPL) No. 05-10, Fiscal Year (FY)
2010 Unemployment Insurance (UI) Reemployment and Eligibility Assessment (REA) Grants;
Federal Register Notice - Volume 73, Number 234, dated December 4, 2008; ET Handbook No.
401, 4th Edition; ET Handbook No. 402, 5th Edition; Training and Employment Guidance Letter
(TEGL) No. 14-08 Guidance for Implementation of the Workforce Investment Act and Wagner-
Peyser Act Funding in the American Recovery and Reinvestment Act of 2009 and State Planning
Requirements for Program Year 2009, TEGL No. 14-08, Change 1; Training and Employment
Notice (TEN) 31-09 Cross-Program Collaboration for Reemployment and Eligibility Assessment
(REA) Grants; and the recorded Webinar - A National Vision for Reemploying Unemployment
Insurance (UI) Claimants Through an Integrated/Interconnected Workforce System located at
https://www.workforce3one.org/view/3001033453858334379/info.

3. Background. The reemployment of UI claimants and the reduction of erroneous UI
payments continue to be high priorities for the U.S. Department of Labor’s (USDOL)
Employment and Training Administration (ETA). The REA program addresses both of these
priorities and a total of 40 states have received funds to implement an REA program. In the
context of the current recession, this important initiative has taken on even greater importance.
ETA is focused on connecting UI claimants with reemployment and training services through the
workforce investment system, specifically, linking them to services through the One-Stop Career
Center system. The workforce system and the UI system are a single comprehensive, integrated
workforce system and UI provides one of the core services. Ensuring that claimants have access
to the full array of services available at One-Stop Career Centers while also ensuring claimants
 RESCISSIONS                                             EXPIRATION DATE
 None                                                    February 10, 2012

comply with all UI eligibility requirements are goals of the REA program. Widespread efforts
are underway to ensure that UI services and other services delivered through the One-Stop
delivery system under the Workforce Investment Act (WIA) of 1998 are well integrated. The
intention is to advance the vision that UI services provide one of the many entry points into the
service delivery system and individuals who file their UI claim are active job seekers who should
partake of a variety of reemployment services. REAs are one resource that supports integrated
service delivery, and ETA is committed to aligning REA policies and direction with this vision.
REA implementation and operation plans must include descriptions of the collaborative process
among program partners at the state and local levels to develop the state’s REA processes and
procedures. Enhanced collaboration and connectivity between the UI program and its partners
provide opportunities to innovate.

A number of past studies have found that attention to UI claimants’ efforts to find new jobs and
to their reemployment service needs results in shorter claim durations and fewer erroneous
payments. As previously mentioned, the REA program is designed to address both of these
priorities. ETA will be working more intensely with states that receive REA grants to identify
and share “best practices” and to develop a more uniform national REA program. ETA is also
working in partnership with state and local delivery partners to improve the integration of UI and
workforce programs with the goal of improving employment outcomes for UI claimants.
REA program guidelines, including the REA program changes beginning in FY 2011, are
provided in this UIPL and demonstrate the movement towards a more uniform REA delivery
model. This model is designed to be in line with the vision of assertively providing the
unemployed an improved system for accessing reemployment services. ETA is committed to
providing the necessary technical assistance to states to implement these REA program
requirements which are designed to strengthen the system connectivity to successfully serve the
UI claimant population at the onset of their unemployment. In addition, ETA will be working
with states to aggressively improve the quality of REA data reporting. The collection of timely
and accurate data on the REA program’s effectiveness will provide valuable information to
assess and demonstrate the value of the REA program.

4. FY 2011 Funding. A total of $65 million has been requested for REAs in FY 2011.
Pursuant to Congressional direction, ETA will apply a portion of available funds to improve
efforts to prevent improper payments, detect eligibility issues and collect overpayments utilizing
current and emerging technologies. States with current REA programs have the opportunity to
apply for funds to continue or to expand programs to additional areas within the state and/or to
provide assessments to a larger number of claimants. In addition, states that are interested in
implementing new REA programs have the opportunity to apply for this funding.

The REA funding period for 2010 will end March 31, 2011. Therefore, all estimated cost figures
for FY 2011 should be based on the time period beginning April 1, 2011. As explained in the
proposal outline, states must submit proposed costs for the time period beginning April 1, 2011,
through September 30, 2011, and for April 1, 2011, through March 31, 2012, due to the
uncertain status of the ETA budget. Funds remaining from the 2010 grant can be extended to
cover a portion of the costs for the FY 2011 grant period. States must first determine if any FY
2010 funds are remaining and provide this information in their REA grant application. This
information is needed to ensure that all available REA funds are awarded to states, as needed,
and that requests for modifications to extend FY 2010 grants are initiated and processed
promptly.


States that are not currently participating in the REA program should include in their proposal
start-up costs and costs related to development of the UI Required Reports, Reemployment and
Eligibility Assessments Activities, ETA 9128, (OMB approval No. 1205-0456) and
Reemployment and Eligibility Assessments Outcomes, ETA 9129, (OMB approval No. 1205-
0456). All new states should provide the information requested in the Unemployment Insurance
(UI) Reemployment and Eligibility Assessment (REA) Proposal Outline for First Year REA
Grants (Attachment A) and complete the Unemployment Insurance Reemployment and
Eligibility Assessment Cover Sheet (Attachment B).

States currently participating in an REA program should complete the Unemployment Insurance
Reemployment and Eligibility Assessment Cover Sheet (Attachment B) and provide the
information requested in the Unemployment Insurance (UI) Reemployment and Eligibility
Assessment (REA) Proposal Outline for Continuing States (Attachment C). These continuing
states may submit proposals to expand their program by providing REAs to a larger number of
UI claimants. Also, if appropriate, states may request a lower amount of funding in FY 2011
than was provided in FY 2010; this will not adversely impact future requests.

REA program funds are to be obligated within one year of the date of program implementation.
The date of implementation is the date that the first REA participant is scheduled to report to a
One-Stop Career Center.

5. Changed or Enhanced REA Guidelines For FY 2011. In FY 2011, ETA has expanded the
parameters of the REA program to require that states fully integrate their REA program with
WIA funded workforce investment services and to move towards a more uniform REA program
nationally. The revised guidelines apply to the FY 2011 grant period, which begins April 1,
2011. If the state anticipates a need to implement any of the revised guidelines after April 1,
2011, both the applicable guideline and the projected implementation date should be included in
the proposal narrative. The revised guidelines follow:

   a. States must provide each REA participant one-on-one service for the eligibility review
      and the development of an individual reemployment plan.

   b. States must provide a breakout of all proposed REA activities by either group or
      individual service and must designate any activities that will be conducted by telephone.

   c. States must contact REA participants no later than the 5th week of the claim and promptly
      schedule them for an REA. The fifth week in the claim series means the fourth week after
      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 should be selected during the
      first week that s/he claims after being determined eligible for benefits.

   d. After completing an initial REA in person at the One-Stop Career Center, states that
      conduct subsequent REAs for the same individual(s) may conduct these subsequent
      REAs by telephone, if appropriate. The proposal must identify activities that are
      conducted by telephone and provide the associated costs.





   e. Up to three REAs per individual claimant may be funded by the REA grant. Multiple
      REAs that exceed one initial REA and two subsequent REAs per individual will not be
      funded.

   f. States must address the new ETA vision of reemploying UI claimants through an
      integrated/interconnected workforce system in their REA Grant Proposals for FY 2011.

   g. States must submit a copy of the Memorandum of Understanding (MOU) or other
      agreement that is developed with Service Partners for the REA program. The agreement
      or MOU must confirm that a collaborative process among UI and workforce service
      providers, including state and local service partners, is a part of the REA design.

   h. States should include cost estimates for 1) completed REAs and 2) scheduled REAs that
      are not completed, for example, as when claimants fail to report for scheduled REAs.

   i. If an REA is not completed, claimants may be rescheduled. Eligibility issues must be
      adjudicated, as appropriate.

   j. States that conduct multiple REAs for the same individual(s) must include a description
      of the REA activities and provide cost estimates for both the initial and the subsequent
      REAs. In general, subsequent REAs are expected to require less time and resources to
      complete.

6. Basic Continuing REA Guidelines. REA funds must be used to assess the continued
eligibility and reemployment needs of UI claimants and are not intended to supplant ongoing UI
grant funds devoted to eligibility reviews for claimants who are not selected for an REA. States
do not have to implement the REA program statewide. Assessments are to be conducted only for
UI claimants who do not have a definite return-to-work date. Claimants who are selected for
participation in the Worker Profiling and Reemployment Assistance (WPRS) program should be
excluded from the REA treatment and comparison groups.

The requirement that reemployment services be provided to REA participants through the One-
Stop Career Center and the actions to be taken when claimants fail to report as directed are
explained below. By applying for REA funding, states are agreeing to meet these requirements
for the provision of reemployment services. New states should include these reemployment
service delivery requirements when designing their REA program. While providing
reemployment services such as resume writing or interviewing workshops and job placement
activities are not permissible uses of UI grant funds, these activities should be an extension of
the REA process and funded from other sources such as WIA funds. These costs must not be
included in the state’s proposed use of REA funds.

REA programs should be an integral part of the state’s strategy for reemployment services.
ETA has encouraged states to develop a comprehensive and integrated service delivery model to
ensure that UI claimants receive an enhanced level of services.





The following guidelines also apply:

   a. The REA must include the following minimum core components:

          UI eligibility assessment and referral to adjudication, as appropriate, when a potential
           issue is identified;
          Requirement for the claimant to report to the One-Stop Career Center to receive the
           services identified in section c below;
          The provision of Labor Market Information; and
          Development or review of a reemployment plan that includes work search activities,
           accessing services provided through the One-Stop Career Center, and/or approved
           training.

   b. UI claimants must be required to report in person to the One-Stop Career Center for staff-
      assisted services as a part of the initial REA. Subsequent REAs for the same individual
      may be conducted by telephone, if appropriate. If a telephone REA is conducted, state
      REA staff should ensure that both they and the claimant have access to the claimant’s
      reemployment plan for review. The claimant’s activities must be reviewed, and any
      proposed changes along with the concurrence of the claimant must be documented.

   c. In those sites selected for REA program implementation, states are required to establish
      an agreement or MOU with One-Stop Career Centers to identify reemployment service
      needs and to provide, at a minimum, the following services:

          Orientation to help claimants access self-service core services offered by One-Stop
           Career Centers 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 One-Stop Career Centers; and
          Support in the development of the claimant’s reemployment plan that must include
           work search activities, appropriate workshops, and/or approved training.

   d. REA claimants are required to participate fully in all components of the REA. Failure to
      report or failure to participate in any aspect of the REA must result in referral of the issue
      to adjudication. States must include in their proposal the processes for:

          A feedback loop to the UI system as to whether the claimants reported to the One-
           Stop Career Center as directed and participated in the minimum activities outlined in
           their reemployment plan; and
          A process for rescheduling claimants who fail to report as directed or referring such
           claimants to adjudication.

   e. A measure of program effectiveness will be derived by comparing outcomes of REA
      program participants with outcomes from a similar group of claimants who did not
      participate in the REA program. Therefore, states receiving REA grant funds must agree
      to develop a methodology for identifying a comparison group based on random
      assignment. A description of the methodology to be utilized is not required to be
      included in the state’s REA proposal. As needed, ETA will provide states with technical


       assistance in developing an appropriate comparison group methodology to ensure that the
       comparison group will provide an accurate population for assessing the results of the
       state’s REA program. States may contact their ETA Regional Office to request that a
       conference call be conducted with ETA National Office staff for assistance.

   f. The state must submit required REA reports. These reports are the ETA 9128 and the
      ETA 9129. These reports capture specific data about the REA program participants and
      the comparison group. States submitting REA proposals for the first time should request
      funds to develop these required reports. States that currently operate an REA program
      previously received funds for the development of these reports.

   g. The state must agree to participate in any ETA funded studies of the effectiveness of the
      UI REA program. Results may be used for a report(s) to Congress. States are also
      expected to participate in periodic REA conference calls and webinars to facilitate
      information sharing and technical assistance.

7. REA Required Reports. Accurate REA reports are critical to the success of the program.
Funding is based upon the number of REAs scheduled and the activities related to these REAs
are reported on the ETA 9128. The outcomes report measures the results of both the REA
treatment group and the comparison group and the outcomes are reported on the ETA 9129.
This measurement quantifies the differences between claimants who have been selected to
participate in an REA and a group of claimants who have similar characteristics but have not
been selected to participate. The data is used for reports to Congress on the REA program and
for budgeting purposes, therefore accuracy is crucial. States are required to submit both reports
on a quarterly basis and are responsible for ensuring that the data reported is accurate and the
reports are submitted timely. They are entered into the UI Web- based reporting system.
Reporting instructions for both reports are contained in ET Handbook No. 401, 4th Edition, and
the edits for these reports are contained ET Handbook No. 402, 5th Edition.

8. Proposal Format and Instructions. The format and instructions for preparing the UI REA
grant proposals are provided in the attachments to this UIPL. Attachment A provides the
guidance for new states that have not received an REA grant. Attachment B is the cover sheet
and is required for all proposals. Attachment C is the information required from states currently
participating in the REA program. All pages in the state’s proposal should be numbered.

Each proposal should contain the name and telephone number of the person who is to be notified
of approval of the grant. In most instances, this individual will be the State Administrator.
Proposals should also include the name, telephone number and e-mail address of the individual
who can respond to questions about the proposal.

Standard Form (SF) 424 (OMB 4040-0004) and SF 424A (OMB 4040-006) must be completed
and submitted for all REA grants within 10 days of the notification of the grant award. 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.

9. UI REA Grant Scoring Criteria. The REA scoring criteria are explained in Attachment A
and apply to states that have not previously participated in the REA program. The highest
scoring proposal will be funded first followed in sequence by those with lower scores until all
available funds are exhausted. States must follow the proposal outline. Each element of the

proposal is important and should be addressed completely. Proposals should explain how the
proposed program will work and include complete names and titles rather than acronyms and
form numbers. Proposals scoring fewer than 80 points will not be funded.

10. Supplemental Budget Request (SBR) Procedures. States are encouraged to work with
ETA Regional Office staff while they are developing their proposals and should ensure that:

   a. The UI REA project design meets the needs of UI claimants;

   b. UI and One-Stop Career Center staff work cooperatively in planning, developing, testing,
      and implementing this program;

   c. The proposed expenditures are appropriate; and

   d. The state can provide data for the required reports.

11. Time Lines.

   a. States must submit proposals to the National Office by March 3, 2011.

   b. Award notifications will be issued upon passage of the FY 2011 appropriation.

   c. States must submit an SF 424 and an SF 424A within 10 days of the award notification.

12. Action Requested. State Administrators are requested to:

   a. Provide information contained in this UIPL to appropriate staff.

   b. Send, via e-mail, an electronic copy of the proposal and the UI REA Cover Sheet to
      [email protected].

   c. Upon notification of the grant award, states must submit an SF 424, and SF 424A at the
      appropriate level of funding signed by the State Administrator.

13. Inquiries. Direct questions to the appropriate Regional Office.

14. Attachments.

   a. Unemployment Insurance (UI) Reemployment and Eligibility Assessment (REA)
      Proposal Outline for First-Year REA Grants

   b. Unemployment Insurance Reemployment and Eligibility Assessments (REA) Cover
      Sheet

   c. Unemployment Insurance (UI) Reemployment and Eligibility Assessment (REA)
      Proposal Outline for Continuing States

UIPL10-11aA.pdf (https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2011/UIPL10-11aA.pdf)

                                                                                    Attachment A


    UNEMPLOYMENT INSURANCE (UI) REEMPLOYMENT AND ELIGIBILITY
    ASSESSMENT (REA) PROPOSAL OUTLINE FOR FIRST YEAR REA GRANTS


1. UI REA Grant Project Summary. States should use this outline to develop their proposal
to implement the UI REA program. All proposals must include the Unemployment Insurance
Reemployment and Eligibility Assessments Cover Sheet found in Attachment B.

2. Project Costs. Proposals must include a description of proposed expenditures and a
projected schedule for significant project activities. The costs should be identified separately as
start-up costs and the projected costs for one year of operation. Start-up costs would include the
costs of staff training, program implementation, automation costs related to the delivery and
records keeping necessary for the REA program, and the costs of developing the ETA 9128 and
the ETA 9129 (OMB approval No. 1205-0456). Any proposed expenditures in the proposal that
do not include all of the required information will not be funded.

As of the date of issuance of this UIPL, the United States Department of Labor (USDOL) has
been funded under a continuing resolution (CR) for REA activities for slightly less than one half
of the funding level of FY 2010. The current CR ends on March 4, 2011. Due to the uncertain
status of the budget, it is necessary for states to provide funding levels both for a full year of
REA activities and for only a six-month period beginning April 1, 2011, and ending September
30, 2011. If it is necessary to issue incremental funding to states due to an additional continuing
resolution(s), states will be advised of the funding status and the USDOL will address this in the
grant award letter.

       Fixed Minimum Costs: The proposal should include fixed minimum costs. As a part of
       the fixed minimum costs, the proposal should describe the costs to implement the REA
       program and conduct the first 10,000 assessments. States may propose to conduct less
       than 10,000 assessments and should calculate costs accordingly. Fixed costs should also
       include the projected costs for programming the ETA 9128 and ETA 9129 reports as a
       one-time cost. Reporting instructions can be found in ET Handbook No. 401, 4th Edition
       and edits for these two reports can be found in ET Handbook No. 402, 5th Edition. These
       instructions should assist in determining the approximate programming time needed to
       develop these required reports. The costs for programming these reports should be
       clearly identified in the project costs.

       Incremental Costs: If the state proposes to conduct more than 10,000 REAs, the
       proposal should also include incremental costs. These costs should be expressed as costs
       per 10,000 assessments. States that do not wish to perform more than 10,000
       assessments do not need to submit this information. Incremental costs consist primarily
       of costs related to conducting the REA rather than costs such as development of
       management information systems. Regardless of the total number of proposed REAs,
       states should ensure that costs are provided on a sliding scale at 10,000 increments. It
       may be possible to fund a partial increase but not possible to fund a very large increase in
       the number of REAs.


        Types of REAs: The total projected number of individual initial and subsequent (if any)
        REAs should be provided along with the projected cost for each type of REA. In
        addition, states should provide the number of projected REAs for which the claimant
        does not report along with the cost of rescheduling the REA. Claimants who do not
        report as scheduled should be referred to adjudication and/or they may be rescheduled for
        an REA.

3. Scoring Elements. The following elements are used to score the proposal. Proposals must
have a score of 80 points or more to be recommended for funding. Therefore, each element is
important and should be addressed fully in the proposal. Proposals should use the following
format.

   a.   Project Costs (15 percent of total score):

           Staff Costs. The proposal should identify both state staffing needs (in excess of base
            staff) 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 should reflect only actual hours to be worked. Staff costs for new REA
            programs may include costs to conduct the REA, staff training, and development of
            procedures. States should identify separately all staff costs for developing REA
            reports and programming requirements separate from the costs for providing REAs to
            claimants. States should include information in the following format for all staff
            requests.

                    Position Title      # Hours Cost Per Hour Total Cost
                    Claims Examiner        120          $50           $6,000

            States should charge all staff time utilized for the REA program to an REA project
            code.

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

           Other. 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 providing REAs to claimants.

   b. Project Design (45 percent of total score):

        A description of the REA program should address in detail the processes that will be put
        in place to ensure that all core components described in the Guidelines (section 5 and 6 of
        this UIPL) are met. Proposals should include narrative that is responsive to the following
        project design elements:

           A description of the collaborative process used to develop the REA design and/or to
            adapt the design to meet the new requirements and the types of partners engaged;
           The geographic locations where the REA program will be implemented;

      The process for selecting claimants to be assessed. The proposal should identify the
       target group for their REA program. For example, states have tried various methods
       including focusing on those claimants most likely to exhaust their benefits, focusing
       on claimants with a lower profiling score who might be likely to return to work more
       quickly, and focusing on claimants who have job skills that are in high demand;
      The points in time in the claims series when the claimants will be notified of their
       scheduled REA(s);
      Whether the state will conduct single or multiple REAs for individual claimants. If
       multiple REAs are conducted for claimants, provide the projected schedule and the
       number of REAs the state anticipates scheduling for each claimant who remains
       unemployed;
      How the claimants from the target group will be assigned to the REA treatment group
       and to the comparison group;
      How the various REA components will be staffed. States should ensure that
       proposed staffing arrangements have been agreed upon by all parties prior to
       submitting the REA proposal;
      How the state will leverage REA funds with funding under the Workforce Investment
       Act (WIA) to better serve the UI beneficiaries;
      How One-Stop Career Centers will provide the services identified in the Guidelines
       section, including triage to identify reemployment needs, orientation to help
       claimants access self-service core services offered through the One-Stop (including
       labor market and career information), ensure registration in the State’s job bank,
       make other referrals to One-Stop services, and support the development of the
       claimant’s reemployment plan;
      How the state will secure a written agreement or Memorandum of Understanding
       (MOU) with participating One-Stop Career Centers. A copy of the agreement or
       MOU should be submitted with the proposal. In the event that the MOU is under
       development and has not yet been finalized states should provide the anticipated date
       of completion and should submit a copy of the MOU by that date;
      How eligibility issues will be referred to UI adjudication staff;
      How eligibility assessments will be structured;
      How information will be shared among UI and workforce staff and how the work
       search plan and related activities will be documented;
      A description of the processes that will make up the feedback loop that will provide
       information to the UI program staff about the results of referrals to reemployment
       services; and
      A description of any additional factors not covered in this list that will be a part of the
       project.

In addition, states are asked to provide brief answers to the elements below. This
information will be shared with states seeking assistance to implement or change an REA
project. It will also be used to provide information as needed for UI management staff. The
information will be compiled and will be available to all states. This information is not used
for scoring purposes and an extensive narrative is not needed.

Identify which staff will conduct each of the REA key components on the initial REA,
whether they will be conducted on an individual basis or in a group setting, and the average
time required for each activity. Staff identification should contain the program office in


which the staff works such as UI, the Employment Service (ES), or other. Any additional
activities should be included in the table. The sum of the average time for each activity
below should be equal to the time for the complete initial REA.

                                                      Individual/
Activity                                      Staff     Group         Average Time
 Eligibility Review
 Labor Market Information
 Individual Service Plan
 Orientation
 Referral to Reemployment Services

If the state plans to conduct multiple REAs for individual claimants it should provide the
activities, type of staff involved, whether individual or group service(s), and the average time
for subsequent REA(s). Staff identification should contain the program office in which the
staff works such as UI, the Employment Service (ES), or other. Any additional activities
should be included in the table. The sum of the average time for each activity below should
be equal to the time needed to complete subsequent REA.

                                             Individual/                       Check if
 Activity                              Staff   Group     Average Time         by Telephone
 Eligibility Review
 Labor Market Information
 Individual Service Plan
 Orientation
 Referral to Reemployment
 Services

c. Performance Accountability and Reporting (15 percent of total score):

    The proposal should identify areas in which UI program performance is expected to
    improve as a result of the REA program, such as increasing the numbers of UI claimants
    receiving workforce services, improved employment outcomes, reductions in average
    benefit duration, and reductions in improper payments. The proposal should also explain
    how expected performance improvements will be measured. In addition, the narrative
    should contain an affirmation that the state will comply with the REA reporting
    requirements as described in Section 7 of this UIPL (See Handbook No. 401, 4th Edition).

d. Estimated Time and Cost for Each Assessment (15 percent of total score):

    The proposal must include an estimate of the time and the cost requirements for each
    REA. If appropriate, varying levels of service may be specified in conjunction with
    varying costs, e.g., it may cost less to serve claimants who are determined to be "job
    ready." Sufficient information should be provided to illustrate how the state determined
    the projected staff costs and projected staff time for the various components of the
    assessment that were used to determine the maximum number of REAs that could be
    accomplished based upon the grant amount requested.



e. Project Timeline (10 percent of total score):

   A timeline of the project must be included that identifies significant milestones in
   implementing the program, including project design, and any staff training. The timeline
   should include a projected date for completion of programming the selection of
   participants and tracking of participants. It should also include the projected completion
   date of the REA required reports (the ETA 9128 and the ETA 9129), and the date that the
   first REAs will be offered. Funding will be based upon the timeline provided by the
   state.

f. Collaboration with Service Providers: An agreement or Memorandum of
   Understanding (MOU) is required to be developed by UI and appropriate service
   providers who partner with UI for the REA program. This ensures that the necessary
   partners commit to providing reemployment services as required by the grant. In
   addition, states in which the UI partner has entered into an agreement with One-Stop
   Career Center staff to provide the REA must gain a commitment of staff to perform the
   necessary tasks. States must submit a copy of the agreement or MOU. If the
   agreement/MOU has not been finalized, the state must provide the estimated date of
   submission. In addition, the agreement or MOU must contain:

          Names of all parties to the agreement;
          A brief description of the collaborative process jointly developed;
          Identification of those who will provide the specific services;
          Description(s) of how feedback will be provided; and
          Description(s) of the role of the service providers.

g. Supporting Materials: States may attach additional materials that will support the
   proposal.

UIPL10-11aB.pdf (https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2011/UIPL10-11aB.pdf)

                                                                                Attachment B


                      UNEMPLOYMENT INSURANCE
              REEMPLOYMENT and ELIGIBILITY ASSESSMENTS (REA)
                             COVER SHEET

State Name:

Name and Title of Grant Notification Contact (Usually the State Agency Administrator):
      Name:                            Title:


REA Program Lead/Contact                                    Name:
      The person who can answer questions about the
      REA proposal.                                         Telephone:

                                                            E-mail:

Total REA Funds Projected to Remain after March 31,         $
2011
        The total amount of funds projected to remain
        from FY 2010 (if applicable).
Total REA Project Cost                                      $
        The total amount of funds requested.
Total Service Delivery Staff Cost                           $
        The total amount of funds requested for staff to
        conduct the REAs excluding management costs.
Total Management Costs                                      $
        The total amount of funds requested for
        administrative/management costs excluding cost of
        staff who will conduct the REAs.
Staff and Management Costs for a Single Initial REA         $
        The sum of service delivery staff costs and
        management costs divided by the number of
        planned initial REAs.
Staff and Management Costs for a Single Subsequent          $
REA
      The sum of service delivery staff costs and
      management costs divided by the number of planned
      subsequent REAs, not to exceed 2 subsequent REAs
      per claimant.
Staff Training Costs                                        $
        The total amount of funds requested for staff
        training to conduct REAs.





Projected Time for a Single Initial REA, Including
Paperwork
        The total time spent preparing for and conducting
        a single initial REA, recording results and other
        documentation.
Projected Time for a Single Subsequent REA, Including
Paperwork
        The total time spent preparing for and conducting
        a single subsequent REA, recording results and
        other documentation.
Projected Costs for a Single REA for which the Claimant
Fails to Report
        The total costs spent preparing for a single REA
        for which the claimant subsequently fails to report.
        This estimate should not include the costs of
        adjudication which are separately funded.
Total Number of REAs
        The total number of REAs the state will schedule.
Total Number of REA Sites
        The total number of sites where REAs will be
        conducted. For levels in excess of 10,000 provide
        the number of sites at each level.
Type of Staff Conducting REAs
        Description of the staff that will conduct the REAs
        (e.g., UI, One-Stop, Contract, or a combination).
Memorandum of Understanding
        Is the document attached? (Yes or No)
        If no, provide the estimated date of submittal.

UIPL10-11aC.pdf (https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2011/UIPL10-11aC.pdf)

                                                                                     Attachment C


     UNEMPLOYMENT INSURANCE (UI) REEMPLOYMENT AND ELIGIBILITY
      ASSESSMENT (REA) PROPOSAL OUTLINE FOR CONTINUING STATES


1. UI REA Grant Project Summary. States should use this outline to submit proposals to
continue the UI REA program. All proposals must include the Unemployment Insurance
Reemployment and Eligibility Assessments Cover Sheet (Attachment B). The project summary
should contain narrative that describes how the state will change its current service delivery
design and processes to implement the new requirements outlined in this UIPL. In addition, the
state should include a transition timeline.

Proposals from continuing states are not scored. Requests to expand the state’s program will be
subject to funding availability.

2. Project Costs. Proposals must include a description of proposed expenditures and a
projected schedule for significant project activities. States may elect to provide REAs at the
same level as the prior year or they may elect to expand the REA program. If the state is
implementing at the current level incremental costs are not needed.

As of the date of issuance of this UIPL, the Unites States Department of Labor (USDOL) has
been funded under a continuing resolution (CR) for REA activities for slightly less than one half
of the funding level of FY 2010. The current CR ends on March 4, 2011. Due to the uncertain
status of the budget it is necessary for states to provide funding levels for both a full year of REA
activities and for a six month period beginning April 1, 2011, and ending September 30, 2011. If
it is necessary to issue incremental funding to states due to an additional continuing
resolution(s), states will be advised of the funding status and the USDOL will address this in the
grant award letter(s).

States that implemented new REA programs in FY 2009 and FY 2010 were provided funds to be
utilized for a one-year period beginning with the date that the first claimant(s) were scheduled
for an REA(s). If any states have sufficient funds to cover some portion of the period covered by
the 2011 grants, such states should provide the implementation date of their REA project and
request funds to cover the balance of the time period covered by this solicitation. If funds are
not needed for the FY 2011 grants which extend through March 31, 2012, it is not necessary to
submit a proposal for FY 2011.

Fixed Costs: Include fixed costs related to conducting an equal number of REAs as funded in
FY 2010.

Incremental Costs: If the state proposes to increase the number of REAs, the proposal should
also include incremental costs. These costs should be expressed as costs per 10,000 assessments.

Types of REAs: The total projected number of individual initial and subsequent (if any) REAs
should be provided along with the projected cost for each type of REA. In addition, states
should provide the number of projected REAs for which the claimant does not report along with

the estimated cost of rescheduling the REA. Claimants who do not report as scheduled must be
referred for UI adjudication and/or they may be rescheduled, as appropriate.

   a. Staff Costs. The proposal should identify both state staffing needs (in excess of base
      staff) 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
      should reflect only actual hours to be worked. Staff costs for continuing states should
      primarily include costs for conducting the REA. States should include information in the
      following format for all staff requests.

                   Position Title     # Hours Cost Per Hour Total Cost
                   Claims Examiner       120            $50            $6,000

      States should charge all staff time utilized for the REA program to an REA project code.

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

   b. Other. 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 REAs for UI claimants.

3. Information about the REA program. States are asked to provide brief answers to the
   elements below. This information will be shared with states seeking assistance to implement
   or change an REA project. It will also be used to provide information, as needed, for UI
   management staff. The information will be compiled and will be available to all states. This
   information is not used for scoring purposes and an extensive narrative is not needed.

          a. REA Staffing and Time. Identify the following: 1) which staff conducts each of
             the REA key components for the initial REA; 2) whether the REA is conducted
             on an individual basis or in a group setting; and 3) indicate the average time
             required for each REA activity. Staff identification should contain the name of
             the program office for these staff such as UI, the Employment Service (ES), or
             other. Any additional key activities should be included in the table. The sum of
             the average time for each activity below should be equal to the time required to
             complete the initial REA.

                                                         Individual/
   Activity                                     Staff      Group          Average Time
    Eligibility Review
    Labor Market Information
    Individual Service Plan
    Orientation
    Referral to Reemployment Services

       If the state conducts multiple REAs for individual claimants provide the following: 1)
       identify which staff conducts the subsequent REA; 2) whether it is conducted on an

   individual basis or in a group setting; and 3) indicate the average time required for each
   REA activity. Staff identification should contain the name of the program office for these
   staff such as UI, the Employment Service (ES), or other. Any additional key activities
   should be included in the table. The sum of the average time for each activity below
   should be equal to the time required to complete the subsequent REA.

                                               Individual/                     Check if
Activity                               Staff     Group     Average Time       by Telephone
Eligibility Review
Labor Market Information
Individual Service Plan
Orientation
Referral to Reemployment
Services

b. Service Delivery Staff. Provide information about the type of staff conducting the REA;
   e.g., UI staff, Wagner-Peyser staff, Workforce Investment Act (WIA) staff, or some
   combination. .If Wagner-Peyser or WIA One-Stop Career Center staff members conduct
   the REA, briefly describe how they are trained to conduct the UI eligibility review.

c. Selection of REA Participants. Identify the pool from which REA participants and the
   comparison group are selected. Describe how claimants are assigned to these two
   groups. If the Worker Profiling and Reemployment Services (WPRS) program pool is
   utilized, states must explain which claimants in the WPRS pool are selected for the REA
   treatment and comparison groups.

d. Description of an REA. Provide a brief description of the state’s REA, including the
   elements of the REA and how the key components identified in section 5 of this UIPL are
   implemented. In addition, please describe the type of staff that will provide each of the
   components of the REA (provision of labor market information, development of the
   reemployment plan) and what format is used (group or individual).

e. Scheduling the REA in the Claims Series. Claimants must be contacted and
   notification must be sent to the claimant advising of a scheduled REA by the fifth week
   in the individual’s claim series. The fifth week in the claim series means the fourth week
   after 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 a nonmonetary
   issue is pending adjudication, the claimant should be selected during the first week that
   he/she claims after being determined eligible for benefits.

f. Single or Multiple REAs. Identify whether the state plans to conduct single or multiple
   REAs for each claimant and indicate the timing within the claim series when the REA
   and any subsequent REA(s) will be conducted. Multiple REAs that exceed one initial
   REA and two subsequent REAs per individual claimant will not be funded.

g. Failure to Report for an REA. Describe actions taken when claimants fail to report for
   REAs, including how claimants will be notified that they may be held ineligible for the
   week if they fail to report as scheduled and/or fail to participate in the REA. Also, states
   must describe how claimants are provided information such as a contact number to notify

       the state in advance that s/he will be unable to attend the scheduled REA. Describe the
       feedback system that is in place to notify appropriate UI adjudication staff when
       claimants fail to report for scheduled REAs. In addition, describe the states rescheduling
       policy and processes.

   h. Collaboration with Service Providers. An agreement or Memorandum of
      Understanding (MOU) is required to be developed by UI and appropriate service
      providers who partner with UI for the REA program. This ensures that the necessary
      partners commit to providing reemployment services as required by the grant. In
      addition, states in which the UI partner has entered into an agreement with One-Stop
      Career Center staff to provide the REA must gain a commitment of staff to perform the
      necessary tasks. States must submit a copy of the agreement or MOU. If the
      agreement/MOU has not been finalized, the state must provide the estimated date of
      submission. In addition, the agreement or MOU must contain:

              Names of all parties to the agreement;
              A brief description of the collaborative process jointly developed;
              Identification of those who will provide the specific services;
              Description(s) of how feedback will be provided; and
              Description(s) of the role of the service providers.

   i. Use of the REA Required Reports. States should provide a summary of their
      performance results to date by fiscal year. Also, states should provide any analyses of
      their REA data and any changes made in the REA program design as a result. States
      should include in their proposal confirmation that they are providing the required REA
      reports as described in Section 7 of this UIPL (See Handbook No. 401, 4th Edition.).
      States should also identify problems that they are having with any of the required reports
      and actions the state is taking to improve reporting accuracy and timeliness. If in the
      past, the state made significant corrections to these required reports, please identify the
      date the corrections were made and the date after which the state’s data was correct/valid
      as a result of the changes.

4. REA Activities to Share with Other States. If the state has implemented practices that
would be helpful to share with other states please provide a brief summary of the practice. This
information will be compiled and shared with other states.