Fiscal year 2009 reemployment and eligibility assessment grants

UIPL23-09acc.pdf (https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2009/UIPL23-09acc.pdf)

                                                    CLASSIFICATION
                                                    UI
      EMPLOYMENT AND TRAINING ADMINISTRATION
                 ADVISORY SYSTEM                    CORRESPONDENCE SYMBOL
              U. S. Department of Labor             OWS/DUIO
               Washington, D.C. 20210               DATE
                                                    April 20, 2009

ADVISORY:               UNEMPLOYMENT INSURANCE PROGRAM LETTER

TO:                     STATE WORKFORCE AGENCIES

FROM:                   DOUGLAS F. SMALL /s/
                        Deputy Assistant Secretary

SUBJECT:                Fiscal Year (FY) 2009 Unemployment Insurance (UI)
                        Reemployment and Eligibility Assessment (REA) Grants


1. Purpose. To invite the submission of proposals from State Workforce Agencies (SWAs) to
   implement or expand UI REA initiatives; to provide guidelines for developing the proposals;
   and to provide criteria governing the use of these funds.

2. References. Regional Office issuances regarding the REAs for FY 2005 and FY 2006;
   Unemployment Insurance Program Letter (UIPL) No. 30-06, Fiscal Year (FY) 2007
   Unemployment Insurance (UI) Reemployment and Eligibility Assessment (REA) Grants;
   UIPL No. 25-07, Fiscal Year (FY) 2008 Unemployment Insurance (UI) Reemployment and
   Eligibility Assessment (REA) Grants; Federal Register Notice - Volume 70, Number 163,
   dated August 24, 2005; ET Handbook No. 401; ET Handbook No. 402; 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; ETA
   Occasional Paper No. 2004-01 Internet Initial Claims Evaluation - Section V,
   Reemployment Assistance and Continuing Eligibility; ETA Occasional Paper No. 2002-09
   Evaluation of the Significant Improvement Demonstration Grants for the Provision of
   Reemployment Services for UI Claimants; and ETA Occasional Paper No. 2000-01
   Unemployment Insurance in the One-Stop Delivery System.

3. Background. The reemployment of UI claimants and the reduction of erroneous payments
   are high priorities for the UI program. The Department is promoting better integration of UI
   claims and reemployment services through the REA grants. A number of studies have found
   that attention to UI beneficiaries’ efforts to find new jobs and attention to their reemployment
   service needs result in shorter claim durations and fewer erroneous payments. The REA
   initiative was implemented to provide resources to states to focus such attention on UI
   beneficiaries. A total of 18 states are operating REA initiatives during FY 2009.


 RESCISSIONS                                               EXPIRATION DATE
 None                                                      April 20, 2010

4. FY 2009 Funding. A total of $50 million is available in FY 2009 for REAs and similar
   activities. This significant increase in funding availability gives states with current REA
   initiatives the opportunity to apply for funds to expand those initiatives to additional areas
   within the state and to provide assessments to a larger number of beneficiaries. In addition,
   states that are interested in implementing new REA initiatives have the opportunity to apply
   for funding.

   It is critical that REA initiatives, both continuing and newly implemented, are an integral part
   of their respective states’ strategies for Reemployment Services (RES) grants provided by the
   Recovery Act. RES funds available under the Recovery Act may be used to upgrade
   information technology and improve linkage, communication, and data transfer between UI,
   Wagner-Peyser, and One-Stop Career Center information systems (See TEGL-14-08). These
   funds, in combination with REA funds, offer states a unique opportunity to build the data and
   communication linkages needed to better target services, eliminate redundant data collection,
   and improve management information.

   Participating states were provided funds at the FY 2008 funding level under the 2009
   continuing resolution. These states may now submit proposals to provide REAs to a larger
   number of beneficiaries. If appropriate, states may provide notification that a lower amount
   of funding is needed in FY 2009 than was provided in FY 2008. This will not adversely
   impact future requests. To submit a request for additional funding, states with existing REA
   initiatives should update their 2008 proposals with the appropriate workload counts and the
   related costs. States that are not currently participating may submit proposals to implement
   the REA initiative.

   Additional funds for states with an existing REA initiative are to be obligated by March 31,
   2010. Funds for states wishing to implement a new REA initiative are to be obligated within
   one year of the projected date of implementation. The date of implementation is the date that
   the first REA participant is scheduled to report to a One-Stop Career Center.

5. Guidelines. Funds must be used to assess the continued eligibility and reemployment needs
   of UI beneficiaries and are not intended to supplant UI grant funds devoted to eligibility
   reviews. States do not have to implement the REA initiative statewide. Assessments are to
   be conducted only for UI beneficiaries who do not have a definite return-to-work date.

   Providing general information about the labor market, developing a work search plan,
   assessing an individual’s need for reemployment services, and making referrals to
   reemployment services are all an integral part of the REA effort. They are part of ensuring
   that claimants are doing what a reasonable person in his or her circumstances should do to
   find suitable work. However, providing reemployment services such as resume writing or
   interviewing workshops and job placement activities are not permissible uses of UI grant
   funds, and these costs should not be included in the state’s proposal.

   The Department is actively fostering the provision of services to UI claimants through funds
   for reemployment services available under the American Recovery and Reinvestment Act of
   2009. These Reemployment Services (RES) funds provide a unique opportunity to




   strengthen partnerships between the One-Stop Career Center and UI claimants which can
   continue after these funds end. States applying for a new or continuing REA grant should
   consider how they can integrate REA activities with the RES initiative in their state.

   The following guidelines also apply:
      a. UI beneficiaries must be required to report in person to the One-Stop Career Center
          for staff-assisted services as a part of the REA.

       b. Assessments must include:
          1. A review of continued eligibility and referral to adjudication, as appropriate,
             when a potential issue is identified.
          2. The provision of labor market information.
          3. Development or review of a work search plan.
          4. A referral to employment services (e.g. job search assistance workshops or job
             placement services) or to occupational or skills training, when appropriate.

       c. 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. However, the
          specific methodology to be utilized is not required to be included in the state’s REA
          proposal. If needed, the Department 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 initiative.

       d. The state must submit required REA reports. These reports are the ETA 9128 -
          Reemployment and Eligibility Assessments Activities report and the ETA 9129 -
          Reemployment and Eligibility Assessments Outcomes report (OMB Approval No.
          1205-0456). These reports capture specific data about the REA program participants
          and the comparison group. States submitting REA proposals for the first time may
          request funds to develop these required reports. States that currently operate a REA
          initiative received the funds for the development of these reports.

       e. The state must agree to participate in any U.S. Department of Labor (DOL) funded
          studies of the effectiveness of this UI REA initiative. Results may be used to prepare
          a report to Congress.

6. Proposal Format and Instructions. The format and instructions for preparing the UI REA
   grant proposals are provided in the following attachments. Attachment A provides the
   guidance for states that have not received a REA grant. Attachment B is the Cover Sheet and
   is required for all proposals. 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.

   Completed Standard Form (SF) 424 (Revised 10-2005), and SF 424A must be 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.

7. 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 initiative. 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.

8. Supplemental Budget Request (SBR) Procedures. States are encouraged to work with
   Regional Office staff while they are developing their proposals. States should ensure that:
         a. The UI REA project design meets the needs of UI beneficiaries;
         b. UI and One-Stop Career Center staff work cooperatively in planning, developing,
             testing, and implementing this project;
         c. The proposed expenditures are appropriate; and
         d. The state can provide data for the required reports.

9. Timelines.
         a. States must submit proposals to the National Office by May 8, 2009.
         b. Award notifications will be issued by May 29, 2009.
         c. States must submit an SF 424 and an SF 424A within 10 days of the award
              notification.

10. 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] no later than May 8, 2009.
           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.

11. Inquiries. Direct questions to Diane Wood at 202-693-3212, or to [email protected].

12. Attachments.
          A. UI REA Proposal Outline for First Year REA Grants
          B. Unemployment Insurance Reemployment and Eligibility Assessment Cover Sheet

UIPL23-09aA.pdf (https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2009/UIPL23-09aA.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 proposals to
   implement the UI REA initiative. All proposals must include the 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 initiative and the costs of developing the
   ETA 9128 and the ETA 9129. Any proposed expenditures that do not include all of the
   required information will not be funded.

       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 UI
       REA program and conduct the first 10,000 assessments. 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 and edits for these
       two reports can be found in ET Handbook No. 402. 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 service delivery (i.e., 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 as it may be possible to increase partially, but not possible to fund very large
       numbers of REAs.

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):

      i.   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. 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 initiative 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.

     ii.   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 UI REA initiative should address all key aspects of the design.
   States should explain what will occur when the claimant reports to the One-Stop Career
   Center for an REA. The description should include the elements below.

       •   How beneficiaries will be selected for the assessments. The proposal should
           identify the target group for their REA initiative. For example, states have tried
           varied 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 proposed staffing arrangements for conducting assessments at the One-Stop
           Career Center facility. States should ensure that proposed staffing arrangements
           have been agreed upon by all parties prior to submitting the REA proposal.
       •   How beneficiaries will be referred to reemployment services.
       •   How staff training will be conducted.
       •   How eligibility issues will be referred to UI adjudication staff.
       •   How assessments will be structured.
       •   How information will be shared among UI staff and other staff and how the work
           search plan and related activities will be documented.



       •   Identify the feedback loop that will provide information to the UI program staff
           about the results of referrals to reemployment services.
       •   Describe any additional factors not covered in this list that will be a part of the
           project.
       •   Explain how REA services will be integrated with RES funds or other available
           funding for reemployment services.

c. Projected Performance Improvements (15 percent of total score):

   The proposal must identify areas in which UI program performance is expected to
   improve as a result of the REA initiative. It should explain the proportion of claimants to
   be served in terms of the total UI beneficiary population. The proposal should describe
   which services are currently provided to the selected beneficiary population. If the state
   has conducted a study of unmet service needs of this population, the study’s findings
   should be included. If the state can show that the projected assessments should lead to a
   reduction in UI overpayments, a reduction in the average benefit duration, or faster
   reemployment, such information should be included in the proposal’s narrative. The
   proposal should also explain how expected performance improvements will be measured.

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., beneficiaries who are determined to be “job ready” may cost less to
   serve. 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 initiative, including project design, and any staff training.
   Programming requirements that may be necessary to select and track participating
   beneficiaries or to measure outcomes related to program improvements should be
   included in the timeline, completion of 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. Supporting Materials:

   States may attach additional materials that will support the proposal.

UIPL23-09aB.pdf (https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2009/UIPL23-09aB.pdf)

                                                                              Attachment B

                         UNEMPLOYMENT INSURANCE
                   REMPLOYMENT and ELIGIBILITY ASSESSMENTS
                               COVER SHEET

State Name:

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

REA Project Contact                                              Name:

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

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 per REA                               $
    The sum of service delivery staff costs and management
    costs divided by the number of planned REAs
Staff Training Costs                                             $
    The total amount of funds requested for staff training to
    conduct REAs
Projected Time for REA, including Paperwork
    The total time spent preparing for and conducting the
    REA, recording results and other documentation
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)