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Fiscal 2021 RESEA grant operating guidance
Summary ETA gave state agencies operating guidance and projected funding for fiscal 2021 Reemployment Services and Eligibility Assessments grants. States seeking funds had to submit a plan and budget within 45 days of issuance. The PDF includes grant allocation and planning attachments, and the application period has passed.
Document
Federal guidance
Agency
U.S. Department of Labor, Employment and Training Administration (ETA)
Document number
UIPL No. 13-21
Date issued
January 19, 2021
Status
Active
ETA’s listing marks this letter Active, and its PDF prints “Rescissions: None” and “Expiration Date: Continuing.” The FY 2021 grant application period is historical.
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 19, 2021
ADVISORY: UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 13-21
TO: STATE WORKFORCE AGENCIES
FROM: JOHN PALLASCH
Assistant Secretary
SUBJECT: Fiscal Year (FY) 2021 Funding Allotments and Operating Guidance for
Unemployment Insurance (UI) Reemployment Services and Eligibility
Assessments (RESEA) Grants
1. Purpose. To provide guidelines for the FY 2021 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) 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 (ES); 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 2021 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.
a. Summary – This UIPL provides general operating guidance for the RESEA program for
FY 2021, including changes and clarifications to program operations, projected state-
level formula allocations based on the authorized funding level, 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 10 of this UIPL will serve as the state’s application for FY 2021 RESEA funding.
RESCISSIONS EXPIRATION DATE
None Continuing
This UIPL is published concurrently as a Training and Employment Guidance Letter
(TEGL) 12-20. 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.
b. Background – Since 2005, the Department and participating state UI agencies have been
addressing individual reemployment needs of unemployment compensation (UC)
claimants, 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
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 the requirement that RESEA funds be
used for interventions or service delivery strategies demonstrated to reduce the average
number of weeks participants receive benefits by improving participant employment
outcomes (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 phased
implementation continued into FY 2020 and included the submission of a RESEA state
plan, as required by Section 306(e), SSA, and the finalization of methodologies for
formula-based allocation of RESEA funds and distribution of outcome payments, as
required by Section 306(f), SSA.
All new requirements and flexibilities introduced in FYs 2019 and 2020 will continue in
FY 2021. New statutory requirements that will be implemented during FY 2021 include
the formula allocation of RESEA base funds (See Section 6 of this UIPL) and the
distribution of performance-based outcome payments which will occur in December
2021. Separate guidance dedicated to RESEA program performance and performance-
based outcome payments is forthcoming and will become effective upon publication.
Additional program requirements that directly link a portion of each state’s RESEA
funding to evidence-based interventions or service delivery strategies will be phased in
over FYs 2022-2023 and additional guidance regarding these new requirements will be
provided as they are developed.
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.
(https://wdr.doleta.gov/research/FullText_Documents/ETAOP_2012_08_REA_Nevada_Follow_up_Report.pdf and
https://wdr.doleta.gov/research/FullText_Documents/ETAOP_2012_08_Impact_of_the_REA_Initiative.pdf )
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.
Given the ongoing high-demand for reemployment services, states should strive to ensure
that coordinated services are effectively matched to each claimant’s specific needs. This
vision of collaboration, cooperation and, ultimately, seamless connection across the range
of available workforce development services offered at the Federal, state, and local levels
is referred to as “One Workforce.” One Workforce is an essential component of the
ongoing reopening of states’ economies and should be inclusive of all workforce
programs, including RESEA. The RESEA program now provides states with significant
opportunity for innovation in program design and targeting UI claimants for participation,
and it rewards new and innovative service delivery strategies and interventions. With
consideration for the program’s potential growth in future years, states are strongly
encouraged to seek, test, and/or evaluate innovative methods and to continuously revisit
their specific program interventions and service delivery strategies, how they staff the
program, and how to most effectively achieve the purposes of the RESEA program.
States are also strongly encouraged to fully integrate RESEA into the state’s One
Workforce efforts.
State workforce and UI agencies implementing RESEA are strongly encouraged to
engage their State Workforce Boards in support of the latter two RESEA purposes
(purposes (3) and (4) above), especially in the context of further integrating the RESEA
program into American Job Center (AJC) service delivery, WIOA State Plans, and your
state’s broader One Workforce vision.. RESEA participants must be co-enrolled in the ES
program. This required co-enrollment represents the minimal level of RESEA program
integration, and states are expected to increase integration with other workforce partners
to the greatest extent feasible.
4. RESEA and Coronavirus Disease 2019 (COVID-19)
ETA’s top priorities for FY 2021 are to maintain the competitiveness of the U.S. workforce
to meet the needs of job creators and to safely get America back to work by supporting the
rapid reemployment of American workers. As workers seek to reenter the workforce
following the economic disruption caused by COVID-19, RESEA will serve as an entry-point
to the public workforce system for many UC claimants, including those who have been
identified as needing additional assistance to meet their reemployment goals. To best support
UC claimants during this period of economic recovery, states are strongly encouraged to
customize services to meet the specific needs of UC claimants due to the COVID-19
pandemic. Additionally, the eligibility assessment components of RESEA remain an
essential resource that states must leverage in their ongoing efforts to ensure program
integrity and the prevention and detection of improper payments within their UI programs.
While developing FY 2021 RESEA state plans, states must consider the following areas
regarding RESEA operations in the context of COVID-19:
a. FY 2021 RESEA State Plans – To minimize reporting burden on states, ETA did not
require states to update their approved FY 2020 RESEA state plans to account for any
program changes resulting from COVID-19. As states develop their FY 2021 RESEA
state plans, the included state plan narratives must include both planned activities for FY
2021 and any contextual information from FY 2020 necessary for ETA to fully evaluate
the state’s proposed RESA program. This information should include previous
operational changes or impact on program performance resulting from COVID-19, and
any other information the state believes to be pertinent to ETA’s state plan review
process. Some states temporarily suspended operation of the RESEA program due to the
impact of COVID-19. If a state has suspended RESEA activities because of the
pandemic, the state plan must include a timeline for restarting RESEA either in-person,
remotely, or in a hybrid format. In order to meet the objectives of the RESEA program,
as stated in section 306(b), SSA, states must operate a program. RESEA state plans that
do not provide for a restart date before March 31, 2021, will not be approved absent
compelling evidence that the state can meet the program objectives despite not running a
RESEA program until after that date. Further, the Department strongly encourages each
state to restart its RESEA program as soon as possible before that date. See Section 10 of
this UIPL for more information about state plan requirements and the submission process.
Section 306(e)(1), SSA, requires that the state plan outline “how the State intends to
conduct a program of” RESEAs. Thus, the statute contemplates a prospective plan,
which in the case of a state that has suspended operating a RESEA program, necessarily
requires a restart date. On October 1, 2020, the Department notified states via email of its
intent to establish a March 31, 2021 deadline for states to restart suspended RESEA
programs during FY 2021. The Department set this deadline because many states
continue to address increased workloads in other UI program areas because of the
pandemic, and also regularly experience an influx of additional seasonal workload that
generally abates during the first quarter of each calendar year. This ensures a state would
operate RESEA for at least three-quarters of the calendar year, which ensures RESEAs
provide the maximum benefit feasible to UC recipients to meet the program purposes,
and also ensures enough data can be gathered to establish that outcome payments can be
fairly distributed. See Section 10 of this UIPL for more information about state plan
requirements and the submission process.
b. Required RESEA Evaluation Activities – FY 2020 RESEA operating guidance provided
that states were to begin evaluating RESEA interventions and service delivery strategies
during FY 2020 (See TEGL No. 09-19 and UIPL No. 08-20). ETA recognizes that due to
the economic effects of COVID-19 and the related impact on RESEA operations, many
planned evaluation activities were delayed, postponed, or modified. Any state that did
not begin evaluating its RESEA program during FY 2020 is expected to do so in FY
2021. Additionally, all states must include a detailed update regarding planned
evaluation activities as part their FY 2021 RESEA state plan. See Sections 9 and 6.e. of
this UIPL for more information about required evaluation activities.
c. Covered Populations – As described in Section 7.b. of this UIPL, RESEA eligibility is
limited to recipients of regular UC. Recipients of extended benefits (EB), or of
temporary UC programs that supplement or substitute for the regular UC program, are not
eligible for RESEA services. In planning for FY 2021, states should leverage their
ongoing One Workforce efforts to identify procedures and resources across available
workforce partners to ensure reemployment assistance is provided to recipients of EB or
these temporary UC programs, outside of the RESEA program.
d. Virtual and Telephone-based RESEA Services – As described in Section 7.e. of this
UIPL, the RESEA program allows states to conduct RESEA services remotely using
person-to-person technologies such as Skype, Zoom, FaceTime, or other similar products.
In response to COVID-19, ETA permitted states to provide services via telephone, under
the limited circumstances where using the person-to-person technologies is not possible.
This practice may be continued during FY 2021.
In response to increased demand for reemployment services, states are strongly
encouraged to explore service-delivery models that use a combination of person-to-person
meetings, self-service tools, and other online workshops and resources that when
combined provide claimants with a comprehensive and individualized One Workforce
experience. One example of such a model is the “Online Work Registration and
Assessment” virtual service-delivery tool that was developed by Utah. Additional
information about Utah’s strategy is included in Section 7.e. of this UIPL.
e. Work Search Waivers – During FY 2020, many states used available flexibility to waive
claimant work search requirements when traditional work search activity was not feasible
due to COVID-19 (See UIPL No. 13-20 and 13-20, Change 1). Federal law, however,
does not permit the use of such flexibility indefinitely. As the country continues to re-
open, states must revisit whether such waivers are still necessary to respond to the spread
of COVID-19. If these work-search waivers do continue into FY 2021, or new work
search waivers are implemented during the FY 2021, states are strongly encouraged to
use RESEA to focus on helping claimants frame effective reemployment and work search
plans to be implemented when conditions allow traditional work search activity to
resume. Such assistance may include a discussion and informal review of the claimant’s
current work search activities, if available, and advising the claimant regarding the state’s
work search requirements in case the work search requirement suspension is lifted while
the claimant is still receiving UC. Each state is required to continue RESEA activities
while a state work search waiver is in effect.
Additionally, authority provided by section 306(g), SSA, allows the Department to change
the final allocation methodology for FY 2021 RESEA funding, but requires a 90-day
notification to Congress before the change may take effect. On October 1, 2020, the
Department notified Congress of its plan to change the allocation formula by delaying
implementation of the 30-percent carry-over limitation to FY 2022. The Department is
implementing this change immediately, because the required 90-day notification period ended
on December 30, 2020. The Department will apply the modified formula to the FY 2021
RESEA allocation. The Department intends this delay will provide states with additional
time and resources necessary to modify their RESEA programs in response to current
economic and other conditions. States must develop RESEA plans for FY 2021 that address
current carry-over balances and take into account the carry-over limitation that will now be
implemented in FY 2022. See section 6.b. of this UIPL for more information about this
change.
5. Definitions.
To reflect the increased opportunity for innovation provided by the permanently-authorized
RESEA program, and to assist states in conducting RESEA planning and performance
reporting, several definitions were introduced in FY 2020 that will continue, unchanged, in
FY 2021. These definitions identify minimum levels of service delivery, and states are
strongly encouraged to integrate a wide range of additional services 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 of this UIPL] and
ETA 9128, element 3 [see Section 8.c. of this UIPL]), the initial RESEA session is
“completed” when all of the following components exist:
1. A UC eligibility review that is conducted on a one-on-one basis, including review
of work search activities if such activities have not been waived 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;
3. Enrollment in the ES 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 the opportunity for
innovation 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 a RESEA
referral is reflected in the ETA 9128 report, elements 4-6. Sections 7 and 8 of this UIPL
provide additional information and requirements pertaining to RESEA services during FY
2021.
b. Subsequent RESEA – States will 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: (1) a UC eligibility assessment, and (2) a review of
the claimant’s work search activities to determine if additional assistance is needed to
support the claimant’s compliance with work search requirements and the claimant’s
return to work at the earliest possible time. If work search activities have been waived,
the review of the claimant’s work search is not required, but states are strongly
encouraged to provide the claimant with information regarding the state’s work search
requirements in case the waiver is lifted while the claimant is receiving UC.
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 to a claimant.
c. Reemployment Services – States must develop processes to refer RESEA participants to
reemployment services, including those services provided using RESEA funding and
those provided through other programs. In support of RESEA’s goal of greater alignment
with WIOA and the concept of One Workforce, reemployment services include, but are
not limited to, activities identified as career services under Section 134(c)(2), WIOA, and
further detailed at 20 CFR 678.430.
Each state will identify the types and quantity of reemployment services provided, but
must ensure that its respective RESEA program design and the services provided
supplement, rather than supplant, Federal, state, and local public funds that would
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 ES program 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 (elements 4
and 6). In the context of RESEA, training includes training services under Section
134(c)(3), WIOA, and 20 CFR 680.200. Training also includes any other training
program approved by the state’s UI agency. RESEA funds may not be used to support
training activities, and it is expected that training resulting from a RESEA referral will
align with the statutory purposes of RESEA by making use of available labor market
information, business services, and other resources to directly link the training to a
specific job or in-demand occupation. Training activities resulting from RESEA referrals
will be reported through the workforce program reporting structures for the training
activities to which the claimant is referred.
6. Funding. Allowable costs may not exceed the grant award, as provided in Attachment I, and
are subject to the limitations described in this section.
a. Funding Availability – The awards presented in this UIPL are subject to the availability of
Federal funds. The amounts identified in Attachment I are based on the appropriated FY
2021 funding level of $200,000,000. Of the projected funding level: eighty-nine (89)
percent ($178,000,000) will be awarded via the base-funding formula described below in
Section 6.b. of this UIPL; ten (10) percent ($20,000,000) will be set-aside for outcome
payments as required by Section 306(f)(2), SSA; and one (1) percent ($2,000,000) will be
reserved by the Department to conduct research and provide technical assistance, as
described in Section 306(f)(3), SSA.
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.
b. Base-Funding Formula – Beginning in FY 2021, each state’s maximum RESEA base
award will be determined using a formula allocation based on the Insured Unemployment
Rate (IUR) 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.
In addition to the IUR and the size of the civilian labor force in each state, the formula
includes provisions intended to stabilize funding from year to year and incentivize the
timely expenditure of RESEA funds. These provisions will be applied to the FY 2021
final formula allocation and are considered in the projected funding levels provided in
Attachment I. These provisions include:
1. Hold Harmless –Each state will receive no less than an amount equal to at least 97
percent of its grant award; and
2. Minimum Funding – No state will receive an amount less than 0.28 percent of the
total available funding for FY 2021, which is RESEA's base funding level, or
$498,400.
The final allocation methodology also includes a “Carry-Over Threshold” that would
limit the amount of FY 2020 funds a state may carry-over to FY 2021 to thirty (30)
percent of its FY 2020 grant award. As identified in Section 4 of this UIPL, the
Department used authority provided by Section 306(g), SSA, to delay implementation of
the carry-over provision to FY 2022. This change is in response to disruptions to state
RESEA operations resulting from the economic and other impacts of the COVID-19
pandemic, and the need to increase RESEA’s capacity to support state’s efforts to reopen
their economies. On October 1, 2020, the Department notified Congress of its plan to
change the allocation formula by delaying implementation of the 30-percent carry-over
limitation to FY 2022. This change takes effect immediately, because the required 90-day
Congressional notification period ended on December 30, 2020.
Attachment I provides projected state-level formula allocations of RESEA base funding.
These projections are based on authorized RESEA funding levels for FY 2021 and FY
2020 grant funds awarded as of September 30, 2020, and are subject to change. The
maximum grant awards provided in Attachment I reflect the delayed implementation of
the carry-over provision and do not include any carry-over based adjustments. The
allocation of RESEA outcome payments will be described in future guidance.
c. 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). By applying for RESEA funding, states agree to
integrate the RESEA program with other workforce partner programs, including WIOA-
funded and Wagner-Peyser Act-funded services, and to co-enroll all RESEA participants
into the ES program.
d. Administrative Costs Limit – In FY 2021, administrative costs for the RESEA program
are unchanged from FY 2020 and remain limited to 15 percent of the total grant award.
To help facilitate program alignment and integration across programs supporting the
reemployment of UC claimants, ETA uses the definition of WIOA administrative costs at
20 CFR 683.215 for RESEA grants.
In the context of the RESEA program, information technology (IT) costs that directly
support remote service delivery by facilitating person-to-person contact, such as video
conferencing, may be identified as program costs. The development of virtual tools that
automate portions of the RESEA session, such as developing pre-recorded orientations
for available services, or self-service tools to directly assist with the development of a
reemployment plan, also may be considered program costs if the resulting resources are
directly integrated into the RESEA sessions and supplement rather than supplant other IT
resources. To prevent redundancies and inefficiencies, any efforts to develop virtual or
automated tools should be completed in a manner that leverages or aligns with similar
activities being completed by other workforce partner programs.
All other IT costs associated with the RESEA program, including those identified at 20
CFR 683.215, are administrative costs.
States may request to use up to an additional $100,000 beyond the 15 percent
administrative costs limit to support information technology, which may include costs
associated with required performance reporting.
States must be mindful of the following:
1. Administrative costs include direct and indirect costs.
2. States requesting up to $100,000 in funds beyond the 15 percent administrative
costs limit for IT must identify the amount and describe planned activities in
element 8 of the RESEA State Plan template.
3. Administrative costs are not required to be identified separately from program
costs on the Standard Form-424A, Budget Information - Non-Construction
Programs.
4. Administrative costs 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.
e. 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-state basis, states are encouraged
to collaborate and pool their funds to support more rigorous RESEA evaluations that
examine program components or interventions across states. The Department may also
engage with states to support RESEA evaluations. 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].
Evaluation costs must be reported quarterly in the comment section of the ETA-9130
Financial Report which is available at
https://www.dol.gov/agencies/eta/grants/management/reporting.
f. 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. Beginning in FY 2020, these limits were removed because
RESEA provides states with opportunity for innovation in how their RESEA programs
are designed and the types of service delivery strategies and interventions permitted.
g. 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 2021 RESEA funds will be January 1, 2021,
through September 30, 2022. Funding must be liquidated by December 31, 2022.
7. Program Design.
a. State Innovation in Targeting RESEA Services to UC Claimants – Section 306(a), 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, like FY 2019, the Department’s appropriation acts for FY 2020 contained a
provision providing states with discretion in identifying appropriate claimant populations
among recipients of regular UC, thus removing the requirement that states must target UC
claimants determined most likely to exhaust UC under Section 303(j), SSA. The
Department’s FY 2021 appropriations act also includes a provision allowing states to
identify appropriate claimant populations among recipients of regular UC and states are
encouraged to develop RESEA state plans that 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. Covered 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 recipiency 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 may be included in RESEA if they are required to conduct
work search activities under the state’s UC work search requirements.
Please note that RESEA eligibility is limited to recipients of regular UC. Therefore,
recipients of EB or temporary UC programs that supplement or substitute for regular UC,
such as the temporary programs established by the CARES Act in response to the
economic effects of COVID-19, are not eligible for RESEA services. States should
leverage partnerships across available workforce partners to ensure reemployment
assistance is made available to recipients of these temporary programs.
c. Intersection of the RESEA and Worker Profiling and Reemployment Services (WPRS)
programs – Absent an appropriations provision permitting otherwise, states are required
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 under the WPRS program, set out at Section 303(j), SSA. 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.
Since the RESEA program was permanently authorized, Department of Labor
appropriations act provisions have provided states with flexibility regarding the targeting
of RESEA services, and allowed states to use a participant selection methodology other
than the state’s WPRS profiling model. The Department anticipates the continuation of
this flexibility during FY 2021, but strongly encourages states to consider the benefits of
RESEA and WPRS integration. For state agencies, this integration reduces the
performance reporting burden by consolidating WPRS and RESEA reporting into one set
of reports, and allows the state to leverage RESEA funding to conduct statutorily required
WPRS services (which do not have a devoted funding stream). Such integration may also
improve the state’s RESEA performance outcomes by identifying claimants that are likely
both to exhaust UC and to 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 RESEA program.
A state with a RESEA program that incorporates its WPRS profiling models in
identifying individuals who are most likely to exhaust benefits as part of its RESEA
selection process will have met the WPRS requirements and does not need to provide a
separate WPRS program. Recognizing that RESEA is now a permanent program with
increasing scope and capacity, states that incorporate the WPRS profiling model are
strongly encouraged to include additional target populations based on state-specific
economic trends and claimants’ needs. If the RESEA program targets several claimant
populations, including those identified by the WPRS selection methods, the state will
have met the WPRS requirements if claimants selected under WPRS are provided priority
over the other populations, and RESEA services are provided statewide.
States that include the WPRS profiling model in their RESEA selection process, but do
not provide RESEA statewide, must continue to provide a WPRS program in areas not
served by RESEA. A state is considered to be operating RESEA statewide if RESEA
services are available in each WIOA-designated local workforce development area (see
Section 106, WIOA). Additionally, states that do not serve individuals identified as most
likely to exhaust 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.
Having a strong and updated profiling model is important to identify claimants who are
most likely to exhaust benefits and direct resources to them. 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 with complete model building. 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 – Two of the primary goals for the RESEA program are to
reduce duration of UC receipt through improved employment outcomes, and to ensure
that individuals claiming UC continue to meet eligibility requirements. To support these
goals, every RESEA participant must be scheduled for an initial RESEA meeting. States
may choose to also include a combination of subsequent RESEAs and reemployment
services. Initial RESEA, subsequent RESEA, and reemployment services are defined in
Section 4 of this UIPL.
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. Remote Service Delivery and Virtual Resources - States may provide remote services,
including the initial and subsequent RESEA sessions, using person-to-person
technologies such as Skype, Zoom, FaceTime, or other similar products. The level and
timeliness of these remote services must be comparable to assistance an individual would
receive if staff were assisting such individual in-person. As described in Section 4 of this
UIPL, states may continue to provide RESEA services via telephone when in-person
service or person-to-person technologies are not available. This may be continued during
FY 2021 to help states maintain RESEA services during the COVID-19 pandemic.
States are also encouraged to leverage virtual service delivery tools that allow portions of
the RESEA sessions to be automated and accessed through self-service. One example of
a virtual service-delivery tool is the “Online Work Registration and Assessment” that was
developed by Utah. This virtual service delivery tool required UC claimants to create a
profile with the state labor exchange and answer a series of questions intended to help
identify appropriate reemployment services. A series of online workshops were also
integrated into the tool to assist claimants after specific reemployment needs were
identified. Additional information about the Online Work Registration and Assessment
tool is available at
https://rc.workforcegps.org/resources/2020/12/18/15/56/Utah_ReemploymentOnlineWor
kshops.
Other examples of virtual service tools include pre-recorded orientations to American Job
Center Services and online registration, and assessment tools that assist a UC claimant
prepare for the initial RESEA meeting. These virtual service delivery tools should be
designed to increase RESEA program efficiencies, enhance the participants’ experience
with RESEA services, complement the resources and services provided during the initial
or subsequent RESEA meetings, and massively expand the number of customers who can
be served under the RESEA program. A listing of national internet-based virtual tools is
maintained on ETA’s technical assistance platform, Workforce GPS at:
https://www.workforcegps.org/resources/2020/01/16/13/21/Service-Delivery-Virtual-
Tools and states are invited to share promising practices related to remote and virtual
RESEA by contacting [email protected].
f. Integration with WIOA, Wagner-Peyser, and other workforce-funded services – One of
the statutory goals of the RESEA program is that it serve as an entry point for individuals
receiving UC into other workforce system partner programs. State RESEA programs
must support this goal by ensuring that the RESEA program is integrated into the
workforce system broadly so as to enable RESEA participants full access to the full range
of services offered through the state’s one-stop delivery system. States are particularly
encouraged to consider how RESEA should be integrated with the ES program (co-
enrollment is required with the ES program) and the WIOA Adult and Dislocated Worker
programs.
8. Program Operations.
a. Service Delivery Staff – States are encouraged to take full advantage of the staffing
flexibilities created by DOL through the recent rules on Wagner-Peyser (85 Fed. Reg. 592
(Jan. 6, 2020)) and Trade Adjustment Assistance (TAA) (85 Fed. Reg. 51,896 (Aug. 21,
2020)). Similar to the Wagner-Peyser, TAA, and WIOA staffing flexibilities, RESEA
services may be delivered by UI staff or qualified and trained ES staff, WIOA staff, or
other AJC staff. There is no merit-staffing requirement for RESEA service providers. To
this end, states are encouraged to explore options to consolidate staffing for all of these
programs into one cohort of staff. This will allow states to deploy staff in a more
organized manner as workloads increase and decrease across the various programs.
However, staff providing RESEA services must receive sufficient training from UI staff,
consistent with guidance provided in Section 4.A of UIPL No. 14-18 in the context of
providing meaningful assistance, to conduct a thorough eligibility review, detect
eligibility issues, and make appropriate referrals (as described below) to UI merit staff for
adjudication. As states develop their RESEA state plans, they are encouraged to explore
innovative approaches to how the program is staffed and to review the final rule regarding
increased flexibility in the administration of ES activities (85 Fed. Reg. 592 (Jan. 6,
2020)) and the final rule regarding Trade Adjustment Assistance for Workers (85 Fed.
Reg. 163 (Aug. 21, 2020)).
Advising a claimant regarding his or her eligibility for benefits based on his or her
specific circumstances and determinations or redeterminations of benefit eligibility must
be referred to and completed by UI merit staff. Eligibility determinations and
redeterminations resulting from issues identified through the RESEA, must be completed
by UI merit staff. Eligibility determinations and redeterminations resulting from RESEA
must be funded through the regular UI administrative grant (or state funds), not through
the RESEA grant.
b. Required Engagement of UI Staff – UI staff must be engaged in the administration of the
RESEA program. This includes, but is not limited to:
1. Participating in the RESEA planning, administration, and oversight;
2. Providing all appropriate staff training on UC eligibility requirements;
3. Ensuring accurate data are provided in the RESEA-required reports (refer to
Section 8.f. of this UIPL) and;
4. Conducting eligibility determinations and redeterminations resulting from issues
identified through the RESEA
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 as a condition of UC eligibility. A claimant who contacts the
appropriate agency before the RESEA appointment and requests 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 states to use this option due to its 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 circumvent, participation in RESEA
activities, which is a condition of UC eligibility.
To mitigate instances of excessive rescheduling, some state UC laws provide that UC be
denied for failure to report as directed until the individual actually reports. The
Department issued UIPL No. 01-16 to remind states of the requirements of Federal law
pertaining to protecting individual rights in state procedures. As discussed in Section 4.h.
of this UIPL: “If an individual fails to report as required, the state may apply (subject to
any applicable procedural protections for individuals) its law’s provisions on ineligibility
for UC due to failure to report until the individual complies with the reporting
requirement.” States are advised that an individual may not be found ineligible for UC
for failure to report for any week in which no services were available.
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 a
rescheduled RESEA with a disqualification must be counted as another scheduled
RESEA in Item 2 of the ETA 9128. Each claimant scheduled for a 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 program must result in referral to the UI agency for
adjudication under the applicable state law.
e. Required Co-Enrollment in ES – To promote integrated service delivery described in
Section 6.f. of this UIPL 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 the ES
program as part of the initial RESEA. As part of this enrollment, each RESEA
participant must be appropriately identified in ES 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 2021 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.
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 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 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.
9. Implementation of Evidence-based Interventions and Strategies and Evaluation
Requirements.
Section 306(c), SSA, includes a tiered evidence approach for the RESEA program to
encourage the use of evidence-based strategies where such evidence exists, 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. 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, as set out in Section 306(c)(1), SSA.
While there is currently a modest and growing evidence base from which to synthesize and
draw conclusions about RESEA’s effectiveness, there remains a continuing need to grow and
expand evidence to address these forthcoming RESEA requirements. As described in
Section 6.e. of this UIPL, states may use up to 10 percent of their annual RESEA grant funds
to conduct, or cause to be conducted, evaluations of interventions and service delivery
strategies used in carrying out the program. The evaluation activities funded using the
current evaluation set-aside will be essential to building the evidence base necessary to
support states’ RESEA programs in future years.
Beginning in FY 2023 and continuing into 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. This percentage increases in FYs 2025 and
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 or service delivery strategies that have strong evidence of success and
test promising new interventions and service-delivery strategies.
2026 to no less than 40 percent of each state’s RESEA funds and will be adjusted to no less
than 50 percent of RESEA funds for FYs 2027 and beyond.
FY 2020 RESEA operating guidance provided that states were to begin evaluating RESEA
interventions and service delivery strategies no later than during FY 2020. We recognize that
due to the economic effects of COVID-19 and the related impact on RESEA operations,
many planned evaluation activities were delayed, postponed, or modified. Any state that did
not begin evaluating its RESEA program during FY 2020 is expected to do so in FY 2021.
Additionally, all states must include a detailed update regarding planned evaluation activities
as part their FY 2021 RESEA state plan.
ETA provided preliminary guidance with regard to the evidence-based strategies and
evaluation provisions in UIPL No. 07-19. Building on this, UIPL No. 01-20 and TEGL No.
06-19 provide further information on the 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. These documents also identify resources that provide
additional details on existing evidence and can help states initiate rigorous high quality
evaluations. States must align FY 2021 RESEA State Plans and program design with the
requirements and guidance identified in UIPL 01-20 and TEGL No. 06-19.
Technical assistance remains available for RESEA evaluation activities, and states are
encouraged to submit any technical assistance requests to [email protected].
10. FY 2021 RESEA State Plan Submission Process.
Each state must submit a plan that outlines how the state intends to conduct its RESEA
program, as required under Section 306(e), SSA, to receive RESEA funds. Attachment II
includes the RESEA state plan template.
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 13-21” 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/office-of-the-senior-
procurement-executive/cost-price-determination-division.
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 Friday, March 5, 2021.
We recognize that many states modified their RESEA programs during FY 2020 in response
to COVID-19. As part of the FY 2021 state plan submission process, we strongly encourage
states to provide information about unplanned RESEA changes that were made during FY
2020 and any impact those changes had or continue to have on the performance, staffing, and
operations of the state’s RESEA program. If the state has suspended RESEA activities
because of the COVID-19 pandemic, the state-submitted plan must include a timeline for
restarting RESEA either in-person, remotely, or in a hybrid format that combines remote and
in-person services. As explained above, the Department will not approve a RESEA state plan
with a restart date after March 31, 2021, absent compelling evidence that the state can meet
the program objectives despite not running a RESEA program until after that date. Further,
the Department strongly encourages each state to restart its RESEA program as soon as
possible before that date.
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
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.
11. Inquiries.
Please direct inquiries to the appropriate ETA Regional Office.
12. References.
Consolidated Appropriations Act, 2021, Pub. L. 116-260, Division H, Title I;
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;
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. 13-20, Families First Coronavirus Response Act, Division D Emergency
Unemployment Insurance Stabilization and Access Act of 2020;
UIPL No. 13-20, Change 1, Families First Coronavirus Response Act, Division D
Emergency Unemployment Insurance Stabilization and Access Act of 2020- (EUISAA)
Reporting Instructions, Modification to Emergency Administrative Grants Application
Requirement, and Questions and Answers;
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
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. 12-20, Fiscal Year (FY) 2021 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.
13. Attachments.
Attachment I: Maximum Fiscal Year (FY) 2021 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
Attachment I
Maximum Fiscal Year (FY) 2021 Unemployment Insurance (UI) Reemployment Services
and Eligibility Assessment (RESEA) Grant Awards by State
State FY 2020 FY 2021
Funding Funding
Limit Limit
ALABAMA $1,192,995 $1,460,327
ALASKA $373,907 $498,400
ARIZONA $1,062,986 $1,178,577
ARKANSAS $650,421 $796,170
CALIFORNIA $18,560,826 $22,720,015
COLORADO $595,320 $728,722
CONNECTICUT $2,228,298 $2,727,625
DELAWARE $796,881 $772,975
DISTRICT OF COLUMBIA $848,451 $822,997
FLORIDA $7,621,357 $7,392,716
GEORGIA $1,222,980 $1,497,031
HAWAII $1,054,756 $1,023,113
IDAHO $962,823 $933,938
ILLINOIS $1,999,134 $2,447,109
INDIANA $5,967,676 $5,788,646
IOWA $2,274,884 $2,206,637
KANSAS $1,076,364 $1,044,073
KENTUCKY $1,323,023 $1,619,492
LOUISIANA $2,263,029 $2,470,761
MAINE $868,626* $823,061
MARYLAND $1,773,617 $2,171,057
MASSACHUSETTS $7,985,509 $7,564,554
MICHIGAN $3,161,433 $3,869,861
Attachment I
Maximum Fiscal Year (FY) 2021 Unemployment Insurance (UI) Reemployment Services
and Eligibility Assessment (RESEA) Grant Awards by State
MINNESOTA $2,172,626 $2,659,478
MISSISSIPPI $1,320,748 $1,453,156
MISSOURI $1,134,072 $1,388,200
MONTANA $876,554 $850,257
NEBRASKA $678,168 $657,823
NEVADA $2,842,989 $2,765,182
NEW HAMPSHIRE $1,777,718 $1,724,386
NEW JERSEY $2,826,848 $3,460,301
NEW MEXICO $844,874 $950,271
NEW YORK $26,436,077 $25,642,995
NORTH CAROLINA $5,924,486 $5,746,751
NORTH DAKOTA $592,813* $498,400
OHIO $4,818,617 $5,594,896
OKLAHOMA $1,275,183 $1,547,187
OREGON $6,315,854 $6,126,378
PENNSYLVANIA $2,208,674 $2,703,604
PUERTO RICO $443,484 $542,862
RHODE ISLAND $1,511,154 $1,465,819
SOUTH CAROLINA $1,867,511 $2,089,391
SOUTH DAKOTA $476,237 $498,400
TENNESSEE $3,584,371 $3,476,840
TEXAS $11,217,813 $11,745,300
UTAH $2,368,050 $2,297,009
VERMONT $950,487 $921,972
VIRGIN ISLANDS $461,984 $498,400
Attachment I
Maximum Fiscal Year (FY) 2021 Unemployment Insurance (UI) Reemployment Services
and Eligibility Assessment (RESEA) Grant Awards by State
VIRGINIA $2,226,777 $2,725,763
WASHINGTON $10,889,152 $10,562,477
WEST VIRGINIA $255,486 $498,400
WISCONSIN $3,970,974 $3,851,845
WYOMING $644,623* $498,400
* State did not participate in RESEA program during FY 2020.
Attachment II
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 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 Data Universal Number System (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.
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 either has 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.
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 12/31/2022, 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
• 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.
What does federal law require in your situation?
Ezel checks current federal labor law against your facts and answers with citations.
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