Fiscal year 2008 reemployment and eligibility assessment grants

UIPL25-07acc.pdf (https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2007/UIPL25-07acc.pdf)

                                                  CLASSIFICATION
                                                  UI
      EMPLOYMENT AND TRAINING ADMINISTRATION
                                                  CORRESPONDENCE SYMBOL
                 ADVISORY SYSTEM
                                                  OWS/DUIO
              U. S. Department of Labor
               Washington, D.C. 20210             DATE
                                                  July 13, 2007

ADVISORY:               UNEMPLOYMENT INSURANCE PROGRAM LETTER 25-07

TO:                     STATE WORKFORCE AGENCIES

FROM:                   EMILY STOVER DeROCCO /s/
                        Assistant Secretary

SUBJECT:                Fiscal Year (FY) 2008 Unemployment Insurance (UI)
                        Reemployment and Eligibility Assessments (REA) Grants

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

2. References. Regional Office issuances regarding the Reemployment and Eligibility
   Assessments 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; Federal Register Notice - Volume 70, Number 163,
   dated August 24, 2005; ET Handbook 401; www.doleta.gov/wired; ETA Occasional Paper
   No. 2004-01, Internet Initial Claims Evaluation - Section V, Reemployment Assistance and
   Continuing Eligibility; ETA Occasional Paper No. 2002-09, Significant Improvement 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. Reemployment of UI claimants and minimizing erroneous payments are high
   priorities for the UI program. 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 19 states operated REA initiatives during FY 2007.

   The Department is actively fostering the Workforce Innovation in Regional Economic
   Development (WIRED) initiative, which stresses the critical role talent development plays in
   creating effective regional economic development strategies and is designed to expand
   employment and advancement opportunities for workers while simultaneously catalyzing the
   creation of high-skill, high-wage jobs. States applying for a continuing or new REA grant
   should consider how they may integrate REA activities with the WIRED initiative in their
   states.


 RESCISSIONS                                             EXPIRATION DATE
 None                                                    July 13, 2008

4. FY 2008 Funding. Funding for the REA initiative was requested in the President’s Budget
   for FY 2008. Based on the amount of funds anticipated, up to 34 additional states may be
   funded and/or existing REA programs could be expanded in states currently participating in
   this initiative. All states may submit proposals to implement or continue REA initiatives.

   The final appropriation will determine the number of states funded and the level of funding.
   States currently operating an REA initiative may submit proposals to continue at their same
   funding level or develop a proposal to expand their initiatives to a larger number of
   beneficiaries. Funds will be awarded in the following order until all available funds have
   been awarded:
       a. States continuing at their current funding level
       b. New states competing for funding to implement an REA initiative at the level of
           10,000
       c. States expanding their current REA initiative
       d. New states proposing to implement an REA initiative at a level greater than 10,000
           REAs (see Attachment A)

   States that are requesting continued funding at FY 2007 funding levels need only to submit
   information concerning proposed expenditures for the REA initiative along with a completed
   REA Cover Sheet (see Attachments B and C) and standard budget documents (see number 6
   below). If the state anticipates making changes to its FY 2007 REA initiative, a description
   of the proposed changes must be submitted with the state’s request for funding. As indicated
   above, if a state wishes to submit a proposal to expand its REA initiative, the portion of funds
   required to expand the state’s REA program will be considered if sufficient FY 2008 funds
   are available.

5. Guidelines. Funds must be used to determine the continuing 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, and
   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 a part of the UI program’s responsibilities for assuring that
   claimants are doing what a reasonable person in his or her circumstances should do to find
   suitable work, and are an integral part of the REA effort. However, providing reemployment
   services such as resume writing or interviewing workshops and job finding/placement
   activities are not permissible uses of UI grant funds, and these costs should not be included in
   the proposal.

   The following guidelines also apply:

       a. REAs must be staff-assisted and conducted in-person at One-Stop Career Centers. UI
          beneficiaries must be required to report in-person to the One-Stop Career Center
          within a specified period of time as a part of the assessment.

       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. A work-search plan development or review.
           4. A referral to employment services (e.g. job search assistance workshops or job
              placement services) or to skill or occupational training, when appropriate.

       c. A measure of program effectiveness will be derived by comparing outcomes for REA
          program participants with outcomes for 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. DOL will provide states with technical assistance in developing an
          appropriate comparison group methodology, if needed, to ensure that the comparison
          group will provide an accurate population for assessing the results of the state’s REA
          initiative against the comparison group.

       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. 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 already received the
          one-time funds for the development of these reports. The ETA 9128 and ETA 9129
          were approved by the Office of Management and Budget under Paperwork Reduction
          Project No. 1205-0456, which expires on March 31, 2009.

       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 provides the guidance
   for states that have previously received a REA grant. Attachment C is the Cover Sheet and is
   required for all requests/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, for example, expenditures for the number
   of REA interviews to be funded.

7. UI REA Grant Scoring Criteria. The REA scoring criteria are explained in Attachment A
   and apply to those 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 less 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 will work cooperatively in planning,
             developing, testing, and implementing this project;
         c. The proposed expenditures are appropriate; and
         d. The state can provide the required reports data.

9. Time Lines.
         a. States must submit proposals to the National Office by September 8, 2007.
         b. Award notifications will be made prior to December 1, 2007, or within 20 days
             after enactment of the FY 2008 appropriations for state UI operations.
         c. States must submit an SF 424, and SF 424A within 10 days of the award
             notification.
         d. Grant awards will be made with the final allocation of selected states’ FY 2008
             budget, if the appropriation includes such funds.
         e. The deadline for obligation of all REA grant funds not designated for automation
             acquisition is December 31, 2008, and the deadline for liquidation/expenditure is
             90 days later. The deadline for all funds that are designated for automation
             acquisition is September 30, 2010, and the deadline for liquidation/expenditure is
             90 days later.

10. Action Required. State Administrators are requested to:
          a. Provide information contained in this Unemployment Insurance Program Letter 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 September 8, 2007.
          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 [email protected].

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

UIPL25-07a1.pdf (https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2007/UIPL25-07a1.pdf)

                                                                            Attachment A


              UI 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 C.

2. Project Costs. Proposals must include a description of proposed expenditures and a
   projected schedule for significant project activities. Any proposed expenditures that do not
   include all of the required information requested 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. Incremental costs will be funded only if
       funding is available. If the state wishes to provide more than 10,000 REAs the costs for
       additional REAs should be identified as 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 one-time 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

             Any staff costs must be for staff in excess of staff funded by the state’s base grant.
             When staff is assigned to the UI REA grant project and the vacated position is
             backfilled by another individual who is not funded under the base grant, this
             results in the addition of a second staff member. In this case, the cost of the UI
             REA grant staff activities can be funded as the backfilled position incurs the base
             staff funding. Costs incurred by state staff assigned to the project on a temporary
             basis cannot be funded by the UI REA grant unless additional costs are incurred.

             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. 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 answer the following questions and address
   the type of interaction that will occur between the UI staff and any other One-Stop Career
   Center staff providing UI REA services:

         •   How will beneficiaries 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.
         •   What are the proposed staffing arrangements for conducting assessments at the
             One-Stop Career Center facility (e.g., assessments will be performed by UI staff,
             "contracted" staff or others)? States should ensure that proposed staffing
             arrangements have been agreed upon by all parties prior to submitting the REA
             proposal.
         •   How will beneficiaries be referred to reemployment services?
         •   How will staff training be conducted?
         •   How will eligibility issues be referred to UI adjudication staff, as appropriate?




       •   How will assessments be structured (e.g., describe how the beneficiaries will
           participate)?
       •   How will information be shared among UI staff and other staff and how will the
           work search/services plan and related activities be documented? For example, if
           service plans are developed, what will they include and what will be the
           beneficiaries' responsibilities? If service plans are not developed, how will
           information be documented?
       •   What feedback loop 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.
       •   How will REA services be integrated with the WIRED initiative in the state?

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):

   Provide 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 each significant milestones or
   steps 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.

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

UIPL25-07a2.pdf (https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2007/UIPL25-07a2.pdf)

                                                                           Attachment B


       UI REA PROPOSAL OUTLINE FOR SUBSEQUENT YEAR REA GRANTS


1. UI REA Grant Project Requirements. States that have previously received an REA grant
   should use this outline to develop a grant proposal. All proposals must include the Cover
   Sheet found in Attachment C.

   Please answer the following question:

   Is the state proposing to expand the number of REAs over the number conducted in FY
   2007? _____ NO             _____ YES

   If yes, please provide project costs and describe any program changes such as a change in the
   number of REA sites, number of REAs conducted per site, etc., in Number 3 below.

2. Project Costs. Please refer to Attachment A, Items Number 2 and 3 (scoring does not
   apply to subsequent year grants). The following information is required:

           •   Total Minimum Fixed Costs
           •   Total Incremental Costs (if applicable)
           •   Total Staff Costs (Please see Attachment A, Number 3, for the required format.
               Proposals must include position-title, # hours and cost per hour.)
           •   Other Costs:

3. REA Required Reports: States have been given funds to develop both the ETA 9128 and
   the ETA 9129 reports. Both reports are critical to evaluating the REA initiative. States that
   have not submitted timely reports should include both an explanation of the difficulties that
   have resulted in the delay and a timeline for submitting all reports due.

4. Project Design. States must describe any changes that they propose to implement based
   upon their experience with the program. If changes are proposed refer to Attachment A,
   Number 3 b. to describe the changes. Also, states should describe any change made or
   proposed in the composition of the REA comparison group.

   Describe how REA services might be integrated with the WIRED initiative in the state.

   If no changes are proposed for the REA initiative the state should indicate “no change” for
   this item.

5. Supporting Materials. States may attach additional information related to their REA
   initiative, e.g., the effectiveness of the state’s REA initiative, lessons learned, etc.

UIPL25-07a3.pdf (https://www.dol.gov/sites/dolgov/files/ETA/advisories/UIPL/2007/UIPL25-07a3.pdf)

                                                                            Attachment C
                         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           Telephone:
       REA proposal.
                                                               E-mail:

Total REA Project Cost.                                        $
        The total amount of funds requested for the REA
        initiative.
Total Service Delivery Staff Cost.                             $
        The total amount of funds requested for staff that
        will conduct the REAs and excludes other
        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 amount of time spent preparing for the
        REA, conducting the REA, recording results and
        other documentation.
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.
        Describe the staff that will conduct the REAs (e.g.,
        UI, One-Stop, Contract, or a combination of staff)