Fiscal year 2016 UI reemployment service grants

CLASSIFICATION
   EMPLOYMENT AND TRAINING ADMINISTRATION
                                                       UI RESEA
                                                       CORRESPONDENCE SYMBOL
                 ADVISORY SYSTEM
                                                       OUI/DUIO
          U.S. DEPARTMENT OF LABOR
             Washington, D.C. 20210                    DATE
                                                       January 7, 2016


ADVISORY:            UNEMPLOYMENT INSURANCE PROGRAM LETTER NO. 7-16

TO:                  STATE WORKFORCE AGENCIES

FROM:                PORTIA WU /s/
                     Assistant Secretary

SUBJECT:      Fiscal Year (FY) 2016 Unemployment Insurance (UI) Reemployment Services
              and Eligibility Assessment (RESEA) Grants

1. Purpose. To provide guidelines for the FY 2016 UI RESEA grants and to invite state
   workforce agencies to submit proposals for funding.

2. References.
   • Budget Control Act, 2016, Pub. L. No. 114-53;
   • Workforce Innovation and Opportunity Act of 2014, Pub. L. No. 113-128;
   • Unemployment Insurance Program Letter (UIPL) No. 19-15, Unemployment Insurance
      (UI) Supplemental Budget Request (SBR) Activities: Quarterly Program Reporting Form
      & Instructions;
   • UIPL No. 13-15, Fiscal Year (FY) 2015 Unemployment Insurance (UI) Reemployment
      Services and Eligibility Assessment (RESEA) Grants;
   • Information Collection Request for the ETA 9128, Reemployment and Eligibility
      Assessment Workloads Report, and the ETA 9129, Reemployment and Eligibility
      Assessments Outcomes Report (OMB number 1205-0456);
   • Employment and Training (ET) Handbook No. 401, 4th Edition, Revised ET Handbook
      No. 401, Unemployment Insurance Reports Handbook;
   • ET Handbook No. 402, 5th Edition, Revised ET Handbook No. 402, Unemployment
      Insurance Reports User Manual – Web Version;
   • Training and Employment Notice No. 31-09, Cross-Program Collaboration for
      Reemployment and Eligibility Assessment (REA) Grants;
   • Webinar - Nevada's Reemployment and Eligibility Assessment (REA) Program and
      Minnesota’s Advanced REA Automation Tool, available at Workforce3one.org;
   • Webinar - Reemployment and Eligibility Assessment (REA) Program Innovations in
      Tennessee and Utah, available at Workforce3one.org; and
   • ETA Occasional Paper 2012-08: Impact of the Reemployment and Eligibility Assessment
      REA Initiative.




 RESCISSIONS                                          EXPIRATION DATE
 None                                                 Continuing

3. Background. The federal-state UI program is an important core service in the
   comprehensive, integrated workforce system. Individuals who have lost employment
   through no fault of their own and have earned sufficient wage credits may receive UI benefits
   if they meet initial and continuing eligibility requirements. Since 2005, the
   U.S. Department of Labor (Department) and participating state UI workforce agencies have
   been addressing individual reemployment needs of UI claimants, and working to prevent and
   detect UI improper payments, through the voluntary UI REA program, and beginning in
   FY 2015 through the voluntary RESEA program. These programs have been considered
   high priorities for the Department’s Employment and Training Administration (ETA).
   RESEA participants are active job seekers who are referred to reemployment services best
   suited to meet their individual needs. In FY 2015, a total of 48 states operated a RESEA
   program. Four of these states are participating in the Department’s evaluation of the UI REA
   program.

   As announced last year in UIPL No. 13-15, UI claimants determined to be most likely to
   exhaust benefits under the methods established for the state’s Worker Profiling and
   Reemployment Services (WPRS) program, and transitioning veterans receiving
   Unemployment Compensation for Ex-servicemembers (UCX) are the target population for
   the RESEA program.

4. FY 2016 Funding. A total of $115 million was appropriated for continuation of the
   RESEA program for FY 2016. The FY 2016 RESEA funding period began January 1,
   2016 and will end on December 31, 2016.

5. Program Change Beginning in FY 2016. States are reminded that full implementation of
   the new RESEA model, including new target participants, must occur by January 1, 2016.
   ETA expects that, consistent with appropriations language in FY 2015, FY 2016 funds will
   be available again to fund reemployment service delivery in addition to the traditional former
   REA activities.

   Beginning in FY 2016, costs for processing RESEA scheduled appointments that are not
   completed due to the claimants’ failure to report for the RESEA may not exceed 20 minutes
   of staff time. A breakout of these activities and their individual costs must be included in the
   proposal. Further, funding for these activities may not exceed 30 percent of the total number
   of scheduled RESEAs. To determine the percentage of claimants failing to report as
   directed, states should use the data reported on the ETA 9128 workloads report. States that
   have rates lower than 30 percent of the total number of scheduled RESEAs should base their
   estimate on this positive accomplishment. This change in cost structure will better reflect the
   costs associated with the RESEA “no shows” and encourage states to address high “no show”
   levels. Reimbursement for adjudication of issues that result when a claimant fails to report to
   a scheduled RESEA continues to be provided through the regular funding for UI non-
   monetary determinations.

   The percentage of claimants who fail to report for a scheduled RESEA remains high in some
   states; greater than 50 percent of the RESEAs scheduled. Conversely, many states report
   rates that are lower than 20 percent. States should take actions that will increase the number


    of completed RESEAs such as evaluating the profiling model used to select participants;
    revising call-in letters to stress the importance of attending the RESEA and advising that
    failure to report for these services will affect their benefit eligibility; making reminder phone
    calls when possible, assessing the reasons that claimants failed to report; and meeting with
    service providers to seek solutions. States that offer claimants the opportunity to schedule
    their own RESEAs report a higher participation rate. States should consider using automated
    scheduling systems that allow claimants to schedule their own RESEAs, if the state does not
    currently use one. Such automated systems allow claimants to schedule RESEAs on their
    own at times that do not conflict with other appointments such as scheduled job interviews.
    These automated systems may also reduce the staffing costs incurred in scheduling claimants
    and significantly reduce the number of claimants who must be rescheduled. When states
    utilize a self-scheduling system, claimants should be provided a specific deadline for
    scheduling and attending a RESEA and may only be referred to UI staff for adjudication after
    the deadline passes.

6. FY 2016 RESEA Proposals. The RESEA proposal requirements are the same for all states.
   Those states that are continuing to operate a RESEA program (continuing states) as well as
   returning states that participated in the REA program in the past but do not currently operate
   a RESEA program must complete the information outlined in Attachments A and B of this
   UIPL. The performance period for FY 2016 RESEA, the period during which states should
   obligate their RESEA grants, begins on January 1, 2016, and ends on December 31, 2016.
   However, to allow for potential changes that might occur in states’ ability to effectively use
   the RESEA grant funds during that period, the deadline specified by the Grant Officer on the
   Notice of Obligation for state obligation of these funds will be September 30, 2017.
   Obligations must be liquidated within 90 days of that obligation deadline; however, an
   extension to the liquidation period may be requested from the Grants Officer. All estimated
   cost figures for proposals for FY 2016 RESEA grants should be based on the time period
   ending December 31, 2016 1.

    The amount of each RESEA grant will be based upon the number of RESEAs that the state
    proposes to schedule and the costs estimated by the state to provide RESEAs including
    allowable costs for reemployment services. States that have not scheduled the number of
    RESEAs that were funded in FY 2015 should use the remaining FY 2015 funds to complete
    the projected FY 2016 RESEA workload and request funding for the remaining balance of
    the FY 2016 RESEA grant period.

    States experiencing ongoing difficulties in reaching the UI RESEA workload projected (e.g.,
    scheduled, completed, and failed to report) in their FY 2015 UI RESEA proposals should
    request a lower level of RESEAs in FY 2016 than was requested in FY 2015. Proposals will
    be reviewed based solely on the information required in the application and states should
    include only the required information.

    States that are not currently operating a RESEA program are strongly encouraged to consider
    applying for funding. ETA has proposed that the RESEA program become mandatory for all

    Awards will be made subject to the availability of funds. The dates in this UIPL are based upon the FY 2016
    President’s Budget request.

   states and funding for the program has continuously increased. Ramping up a program now
   will position states to easily implement a mandatory program, should it be enacted.

7. States Participating in the UI REA Program Evaluation. Four states are currently
   participating in an evaluation of the UI REA program and the Department expects those
   states to continue with their planned UI REA program delivery in accordance with their
   agreed upon evaluation design for a minimum of 12 months.

8. Basic RESEA Guidelines. RESEA funds must be used to assess the continued eligibility
   and reemployment needs of UI claimants. These funds may not supplant ongoing UI grant
   funds devoted to state UI eligibility review program activities.

   If a state does not implement RESEAs statewide, WPRS activities must be provided in the
   geographic locations where RESEAs are not available. 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.

   RESEA services may be delivered by UI staff or well-trained Wagner-Peyser staff,
   Workforce Innovation and Opportunity Act (WIOA) staff, or other American Job Center
   (AJC) staff. The UI eligibility review is a key part of the RESEA for program integrity
   purposes. Service delivery staff must receive training to identify eligibility issues and must
   refer all eligibility issues to UI merit staff for adjudication, as appropriate. As previously
   mentioned, all eligibility determinations and redeterminations are funded through the regular
   funding for non-monetary determinations and not through the RESEA grant.

   By applying for RESEA funding, states agree to integrate the RESEA program with WIOA
   and Wagner-Peyser funded reemployment services. WIOA collapses Workforce Innovation
   Act (WIA) “core and intensive activities” into combined “career services” and there is no
   required sequence for the delivery of services, which should allow job seekers to quickly
   access appropriate services. Career services are expected to be a key part of the success of
   the RESEA program. Each completed RESEA should include appropriate reemployment
   services and may include a referral to training or for a skills assessment; however, RESEA
   funds may not be used to pay for training services or to purchase or pay for licenses for an
   assessment tool, such as the Transferable Occupation Relationship Quotient.

   UI staff must be engaged in RESEA planning, administration, and oversight as well as all
   appropriate staff training on UI eligibility requirements. UI staff must be available and
   involved in the RESEA functions including reporting but a full time position is not required.
   Program staff delivering RESEAs must have sufficient training to conduct a thorough
   eligibility review and detect eligibility issues requiring adjudication. Further, states must
   have UI staff participation to ensure accurate data are provided in the RESEA required
   reports including the new Quarterly Narrative Progress Report (ETA 9165) for SBR project
   activities. Each calendar quarter the reports should be reviewed for accuracy prior to
   submission by the UI staff member of the RESEA team in addition to being reviewed by the
   RESEA program lead.



   RESEA programs are an integral part of states’ strategies for delivering reemployment
   services. States should develop a career service delivery model to ensure that UI claimants
   served through the RESEA program receive an appropriate level of service suited to each
   individual claimant.

9. Required RESEA Services. Each RESEA must include the following minimum
   components, which are essentially unchanged from FY 2015 components and require the
   development of a focused individual reemployment plan to serve the needs of the claimant:

       •   UI eligibility assessment and referral to adjudication, as appropriate, if an issue or
           potential issues are identified;
       •   Requirement for the claimant to report to an AJC;
       •   The provision of labor market and career information that addresses the claimant’s
           specific needs;
       •   Registration with the state’s job bank;
       •   Orientation to AJC services;
       •   Development or revision of an individual reemployment plan that includes work
           search activities, accessing services provided through an AJC or using self-service
           tools, and/or approved training to which the claimant acknowledges agreement; and
       •   Referral to at least one reemployment service and/or referral to training if appropriate
           to the individual’s needs.

   States must provide each RESEA participant one-on-one services for the eligibility review
   and the development of an individual reemployment plan during the initial RESEA and
   during any subsequent RESEA. The individual reemployment plan must be developed
   during the initial RESEA and updated during any subsequent RESEAs and in collaboration
   with the claimant and tailored to their individual needs. It must contain specific steps to
   which the claimant agrees to adhere including reporting to and participating in the
   reemployment service(s) determined to be most likely to result in reemployment or referral to
   career related training. During the development of the individual reemployment plan,
   specific labor market information should be discussed, thus, ensuring that the claimant
   understands how labor market information can be used in an appropriate job search. All
   states should provide reemployment services as a component of each RESEA.

10. Service Delivery Design. In developing a service delivery design methodology for RESEA
    claimants, states are encouraged to consider how to most effectively leverage one-stop
    partner program resources and services as well as RESEA resources, particularly now that
    RESEA funds may now be used to pay for actual reemployment services. In the context of
    WIOA, RESEA services are a valuable one-stop resource as well, particularly given the new
    focus that the Wagner-Peyser Act now places on employment services for UI claimants.

   The RESEA program targets claimants who are most likely to exhaust benefits and all new
   UCX claimants. All states must target these populations. Last year, because profiling
   models are critical to effectively identifying those claimants that are more likely to exhaust
   benefits, the Department hosted a training session addressing the development of an effective
   WPRS model and plans to offer a future session. In addition, the Department will continue


to provide ongoing assistance to states to help ensure that their models select claimants who
are most in need of assistance to quickly return to work. Both targeted populations exclude
claimants who have a definite return-to-work date, claimants who are in approved training,
and claimants who seek work solely through a union hiring hall.

Both continuing states and new states have flexibility in staffing for the delivery of RESEAs.
Different skill sets are needed to conduct the UI eligibility assessment than those needed to
develop a reemployment plan and make appropriate referrals to reemployment services at
AJCs and/or training. Whether the state decides to use UI, Wagner-Peyser, WIA/WIOA,
and/or other AJC staff to conduct RESEAs, states must ensure that the staff members
assigned for each activity have the necessary training and that UI staff are involved in the
development of the staff training and delivery of such training, as appropriate. States are
encouraged to consider designating the same staff to provide both the required RESEA
activities and some or all of the reemployment services deemed appropriate for an individual
claimant, thus ensuring continuity for the claimant.

States that conduct multiple RESEAs for the same individual must provide cost estimates for
both the initial and the subsequent RESEAs. In general, subsequent RESEAs require less
time and resources because it is not necessary to repeat the orientation session, which is
conducted during the initial RESEA. Subsequent RESEAs must include the traditional
RESEA components: an eligibility review; review and updating of the claimant’s individual
reemployment plan; the provision of labor market information if changes so dictate; and
referral to reemployment services or training. These subsequent RESEAs should build upon
the services provided in the initial RESEA and address the needs of the claimant at this later
stage in the claim.

Once the state notifies a claimant that s/he has been selected for a RESEA, participation in
the RESEA is mandatory. UI claimants must report in person to an AJC for staff-assisted
services for the initial RESEA. If a subsequent RESEA is conducted remotely, state RESEA
staff must ensure that both they and the claimant have access to the claimant’s individual
reemployment plan for reviewing and updating. The proposal must identify activities that are
conducted by telephone and the associated costs. The claimant’s activities must be reviewed,
and any proposed changes, along with the concurrence of the claimant, must be documented.

Claimants who contact the appropriate agency before their RESEA appointment and request
to change the scheduled RESEA date or time for good reason, such as scheduled job
interviews, may be accommodated. They should be counted on the ETA 9128 only as a
“scheduled RESEA” rather than as a “rescheduled RESEA,” as explained in ET Handbook
No. 401, Unemployment Insurance Reports Handbook.

If a claimant fails to report for any RESEA without notifying the state beforehand, the state
must refer the issue of the claimant’s failure to report to the appropriate UI staff to be
adjudicated under state law.

States must select RESEA participants no later than the fifth week of the claim series and
promptly schedule them for a RESEA. The fifth week in the claim series is the fourth week


following the week in which the claimant files an initial claim. If the claimant has not yet
established monetary eligibility for benefits or is not yet eligible because, for example, a
nonmonetary issue is pending adjudication, the claimant may be selected during the first
week that s/he claims benefits after being determined eligible for benefits.

States are strongly encouraged to provide integrated RESEAs that combine a review of the
individuals UI eligibility with reemployment service delivery. Evidence in the ETA
Occasional Paper 2012-08: Impact of the Reemployment and Eligibility Assessment
REA Initiative shows that integrated delivery of these activities is more effective at getting
individuals to work faster in jobs with higher wages.

Up to three integrated RESEAs for each individual claimant may be funded by the RESEA
grant. States should focus their RESEA programs on helping claimants return to work as
quickly as possible by providing comprehensive guidance and assistance to claimants during
the initial RESEA. During the initial and subsequent RESEAs, states must refer claimants to
appropriate reemployment services. Claimants who fail to report for reemployment services
as directed must be referred to adjudication. Additional RESEAs for an individual who has
received the initial RESEA and two subsequent RESEAs cannot be funded under this grant.

Funding for each individual RESEA may include individual staff time per RESEA. Time is
allowed for adequate delivery of appropriate reemployment services that meet the needs of
claimants in the RESEA program. This time includes all activities that are a part of the
delivery of the RESEA, including the provision of reemployment services if the state elects
to use RESEA funding to provide them, and the associated documentation of claims records
and correspondence. All staffing costs should be calculated based on the direct time charges
per activity. Costs for activities that involve multiple claimants are calculated on the basis of
the time that is required for the activity and the number of claimants participating. If a
portion of the RESEA is provided in a group setting, the staff time for that activity should be
divided by the number of RESEA participants who are likely to be a part of the group
activity. For example, if two staff members conduct a group orientation session that lasts one
and one half hours and ten RESEA participants are expected to attend, the staff time charged
for each RESEA participant for this activity would be 18 minutes. This is calculated as
follows:

                   90 minutes per member X 2 staff members = 180 minutes

                   180 minutes / 10 participants = 18 staff minutes per RESEA

States must report initial outcomes for 100 percent of the scheduled RESEAs that are
reported on the ETA 9128 report. Each claimant scheduled for an RESEA will either
participate in the RESEA or fail to participate; therefore, each scheduled RESEA must be
reported as one of these two outcomes. Rescheduled RESEAs should be counted as another
scheduled RESEA and the results reported when the claimant participates or fails to
participate in the rescheduled RESEA.




11. Administrative Processes. States must establish or renew an agreement or Memorandum of
    Understanding (MOU) with the selected workforce service provider organization to address
    the requirements of the FY 2016 RESEA program funded under this grant. The MOU must
    address the following services, as well as reemployment services if the state RESEA program
    is funding those services:

       •   Orientation to help claimants access career services offered at AJCs through the
           resource room or virtually, with particular emphasis on accessing available labor
           market and career information;
       •   Registration with the state’s job bank;
       •   Referrals to appropriate services offered through AJCs such as resume writing
           workshops, self-assessments, education and training information, interviewing
           techniques, networking, career exploration, and online job and occupations resources;
           and
       •   Support in the development of the claimant’s tailored individual reemployment plan
           that must include work search activities, workshops on topics such as resume writing,
           job search strategies if needed, and/or approved training.

   States that did not operate a RESEA program in FY 2015 must submit a copy of the MOU or
   provide the date when it will be submitted. States that are continuing RESEA states do not
   need to submit a copy of the MOU, but must certify that an MOU or other agreement has
   been signed by all service partners for the RESEA program. The agreement or MOU must
   confirm that the UI and workforce service providers, including state and local service
   partners, have agreed to collaborate to ensure that the requirements of the RESEA program
   will be met. This includes providing appropriate reemployment services to RESEA
   participants by the designated party and providing the data that is needed for the ETA
   required reports.

       A. 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 of these issues under applicable state law. States must
          include a description in their proposals for the:

           •   Feedback loop from the AJC to the UI system on whether the claimants reported
               as directed and participated in the minimum activities outlined in their
               reemployment plan;
           •   Feedback loop established to refer any UI eligibility issues identified in the
               eligibility review for adjudication; and
           •   Process for referring to adjudication UI claimants selected for RESEAs who
               failed to report for the RESEA without contacting the agency.

       B. Performance and Reporting. States must submit timely required reports, which are
          the ETA 9128 and ETA 9129, and once developed for UCX, the ETA 9128 X and
          ETA 9129 X. These reports are due on the 20th day of the second month following
          the end of the reporting quarter. Schedules for the submission of each report are


           provided in ET Handbook No. 401. These reports capture specific data about the
           program participants. States must continue the necessary cross-program coordination
           that ensures data quality.

   Continuing states must review reported data for the most recent four-quarter period and
   confirm the accuracy of the data in a narrative attached to the FY 2016 RESEA grant
   proposal. The narrative should explain the steps the state is taking to correct any errors in the
   data identified by the Department and the state. The narrative should address planned
   changes that will be implemented to improve data quality. Attachment C was developed to
   help continuing states identify reporting problems. The quarterly summary of data includes
   comparisons of the workload activities and outcomes. States should use these summaries in
   preparing the narratives for their proposals, and the National Office will use these summaries
   to evaluate the state’s proposal for a FY 2016 RESEA grant.

12. RESEA Methodology and Required Reports. Accurate reporting is critical to the success
    of the RESEA program. These data have been used for reports to Congress on the RESEA
    program and for budgeting purposes, and have clearly demonstrated the importance of the
    program. States submit reports on a quarterly basis and are responsible for ensuring that the
    data reported are accurate and the reports are submitted timely. These data are entered into
    the UI Web-based reporting system. Reporting instructions for both reports are contained in
    ET Handbook No. 401, and the edit checks for these reports are contained in ET Handbook
    No. 402. In addition states must complete the Quarterly Narrative Progress Report (ETA
    9165).

13. Proposal Format and Instructions. The format and instructions for preparing the RESEA
    grant proposals are provided in the attachments to this UIPL. Attachment A provides an
    abstract that must accompany all proposals. Attachment B provides guidance to states
    submitting proposals. Attachment C provides information related to reporting for those
    states currently operating an RESEA program. States must provide the information
    requested in all of these attachments.

   Each proposal should contain both the name and telephone number of the state agency
   administrator who is to be notified of approval of the grant and the name, telephone number,
   and e-mail address of the individual who can respond to questions about the proposal.

   Standard Form (SF) 424, Application for Federal Assistance, and SF-424A, Budget
   Information – Non-Construction Programs, must be submitted for all RESEA grants. 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.


14. Funding Priority. Grants will be awarded in the following priority, as feasible to fund:

       •   Continuing state RESEA (formerly UI REA) programs at their current level;
       •   Returning states implementing an RESEA program at 10,000 RESEAs or less;



       •   Continuing state RESEA programs currently funded at 10,000 RESEAs or below
           proposing to expand to a higher level in increments of 10,000 RESEAs or less;
       •   Returning states proposing a RESEA program at a level greater than 10,000 RESEAs
           in increments of 10,000 or less; and
       •   Continuing state RESEA programs currently funded in excess of 10,000 RESEAs to
           expand to a higher level in increments of 10,000 RESEAs or less.

15. Grant Proposals. States should submit an abstract containing the information in Attachment
    A and provide the information requested in Attachment B.

16. RESEA Proposal Procedures. We encourage states to work with ETA regional office staff
    in developing their proposals to ensure that:

       •   The RESEA program is designed to meet the needs of the targeted UI claimant
           populations;
       •   UI and AJC staff work cooperatively in planning, developing, testing, and
           implementing this program;
       •   The proposed expenditures are justified and appropriate; and
       •   The state is prepared or will be prepared to develop systems for collecting data for the
           required reports once these new reports have been developed.

17. Timeline.

       •   States must submit proposals electronically to the National Office by February 8,
           2016 with a copy to the appropriate regional office.
       •   States must submit an SF-424, Application for Federal Assistance, signed by the state
           agency administrator and an SF-424A, Budget Information – Non-Construction
           Programs, with the proposal. If any changes are required after review of the
           proposal, revised forms or proposals will be required before award of the grant funds.

18. Action Requested. State agency administrators are requested to:

       •   Provide information contained in this UIPL to appropriate staff.
       •   Send, via e-mail, an electronic copy of the proposal to [email protected] and a copy to
           the appropriate regional office using the title RESEA 2016 state name abbreviation
           such as RESEA 2016 AK.

19. Inquiries. Please direct questions to the appropriate Regional Office.

20. OMB Information Collection. OMB Information Collection No 1225-0086, Expires
    January 31, 2016. According to the Paperwork Reduction Act of 1995, no persons are
    required to respond to a collection of information unless such collection displays a valid
    OMB control number. Public reporting burden for this collection of information is estimated
    to average 20 hours per response, including time for reviewing instructions, searching
    existing data sources, gathering and maintaining the data needed, and completing and
    reviewing the collection of information. Send comments about the burden estimated or any

   other aspect of this collection of information, including suggestions for reducing this burden,
   to the U.S. Department of Labor, to the attention of the Departmental Clearance Officer, 200
   Constitution Avenue NW, Room N130; Washington, DC 20210. Comments may also be
   emailed to: [email protected]. PLEASE DO NOT RETURN THE
   COMPLETED APPLICATION TO THIS ADDRESS. SEND IT TO THE SPONSORING
   AGENCY AS SPECIFIED IN THIS ANNOUNCEMENT.

21. Attachments.

      •   Attachment A - Elements of an Unemployment Insurance (UI) Reemployment
          Services and Eligibility Assessment (RESEA) Grant Proposal Abstract
      •   Attachment B - Unemployment Insurance (UI) Reemployment Services and
          Eligibility Assessment (RESEA) Proposal Outline
      •   Attachment C - Unemployment Insurance Reemployment Services and Eligibility
          Assessment (RESEA) Data Concerns

ATTACHMENT A

         ELEMENTS OF AN UNEMPLOYMENT INSURANCE (UI)
 REEMPLOYMENT SERVICES AND ELIGIBILITY ASSESSMENT (RESEA) GRANT
                       PROPOSAL ABSTRACT



State Name:

Name and Title of the State Agency Administrator:
Name:
Title:
Address:
RESEA Program Lead/Contact                                      Name:
The person who can answer questions about the RESEA
    proposal.                                                   Telephone:

                                                                E-mail:

UI Program Lead/Contact                                         Name:
The person who can answer questions about the UI
   aspects of the RESEA proposal. This person may also          Telephone:
   be the RESEA Program Lead/Contact.
                                                                E-mail:


Total Funds From Prior RESEA Grants Projected to                $
Remain after December 31, 2015

Total RESEA Project Cost                                        $
The total amount of funds requested in this grant. Do not
    include funds carried forward from 2015.
Staff Benefit Cost Percentage Rate
Indirect Cost Percentage Rate
Total Service Delivery Staff Cost                               $
The total amount of funds requested for staff solely to
    conduct the RESEAs excluding management costs and
    other costs that are not related to service delivery such
    as programming.
Total Management Costs                                          $
The total amount of funds requested for program
    management costs excluding cost of staff who will
    conduct the RESEAs.
Total Information Technology (IT) Staff Costs                   $
The total amount of funds requested for programming and
    other IT staff costs.

Staff and Management Costs for a Single Completed              $
    Initial RESEA
The sum of service delivery staff costs and management
    costs divided by the number of initial RESEAs
    projected to be completed.
Staff and Management Costs for a Single Completed              $
    Subsequent RESEA
The sum of service delivery staff costs and
    management costs divided by the number of
    subsequent RESEAs projected to be completed, not to
    exceed two subsequent RESEAs per claimant. If costs
    for the second and third RESEA are expected to differ
    please provide both.
Staff Training Costs                                           $
The total amount of funds requested for staff training to
    conduct RESEAs.
Projected Time for a Single Initial RESEA, Including
    Paperwork
The total time spent preparing for and conducting a single
    initial RESEA, recording results, and other
    documentation.
Projected Time for a Single Subsequent RESEA,
    Including Paperwork
The total time spent preparing for and conducting a single
    subsequent RESEA, recording results and other
    documentation. If times for the second and third
    RESEA are expected to differ please provide both.
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.
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.

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. (If the
   state does not conduct subsequent RESEAs this
   number will be zero.)


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.
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.
Total number of RESEA Sites
The total number of sites where RESEAs will be
     conducted. States requesting funds to expand the
     numbers of RESEAs should provide the number of
     sites at both the current and the expanded levels.
Type of staff conducting RESEAs
Description of the staff that will conduct the RESEAs (e.g.,
     UI, American Job Center, or a combination).
Memorandum of Understanding (MOU)
Is it signed and operational? (Yes or No)
If no, provide the estimated date that the MOU will be
     signed and operational. New states should submit a
     copy of the MOU when it has been signed and
     continuing states should submit a copy of the MOU if
     it has changed.
RESEA Required Reports
If a state does not include a narrative regarding how it
     will address any data problems, the Supplemental
     Budget Request will not be funded. Please confirm
     that a narrative has been included by indicating
     “yes.”

ATTACHMENT B

      UNEMPLOYMENT INSURANCE (UI) REEMPLOYMENT SERVICES AND
           ELIGIBILITY ASSESSMENT (RESEA) PROPOSAL OUTLINE

RESEA Grant Project Summary. States should follow this outline to develop RESEA grant
proposals. All proposals must include Attachment A, Elements of the Unemployment Insurance
Reemployment and Eligibility Assessment (RESEA) Proposal Abstract. Proposals should include
only the information required in this outline. Additional narrative is not helpful and does not
enhance the state’s proposal. All pages in the state’s proposal should be numbered.

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

   A. Fixed Costs: Include fixed costs related to conducting the number of RESEAs the state
      projects to schedule during the grant period through December 31, 2016.

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

   C. Initial and Subsequent RESEAs: The total projected number of individual initial and
      subsequent (if any) RESEAs should be provided along with the projected cost for each
      type of RESEA. In addition, states should provide the number of projected RESEAs for
      which the claimant does not report along with the estimated cost of rescheduling the
      RESEA. Claimants who do not report as scheduled must be referred to UI adjudication.
      They may also be rescheduled, as appropriate.

       a. Staff Costs. The proposal should identify both state staffing needs and any contract
          staff needs. Staff needs should include the type of position, the expected number of
          staff hours, and the projected hourly cost. Staff cost estimates should reflect only
          actual hours to be worked. Staff may work on the RESEA program part-time and on
          other projects part-time and must charge their time to each task based on hours
          worked. Staff costs for continuing states should include costs for conducting the
          RESEA and costs for programming proposed changes to the RESEA program to be
          implemented in 2016. Management costs should also be identified, as appropriate.
          States should include information in the following format for all staff requests:



                 Position Title        # Hours Cost Per Hour      Total Cost
                 RESEA Interviewer 120           $50              $6,000

          States must charge all staff time used for the RESEA program to a RESEA project
          code. Both management and other staff may be working on the RESEA program on a
          part-time basis while assuming other duties. Only the portion of work that accrues to
          the RESEA initiative may be funded under this grant. Thus, the proposal should
          identify only the project time that will be devoted solely to the RESEA program for
          all staff hours for which funding is requested.

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

       b. Other. The proposal should include costs for other activities and/or equipment not
          identified above. Each cost should be broken down to the specific cost item with a
          description of each cost and the associated costs for each item requested. All costs
          must be related to conducting RESEAs for UI claimants.

       c. Total Costs. The proposal should include the total funding request. Spreadsheets
          used to calculate and total these costs should be included.

2. Information about the RESEA Program. States should provide brief descriptions of the
   elements below. This information will be shared with states seeking assistance to implement
   or change a RESEA program. It will also be used to provide information, as needed, for UI
   management staff. The information will be compiled and will be available to all states. An
   extensive narrative is not needed.

   A. RESEA Staffing and Time. Identify the following: 1) the type of staff conducting each
      of the RESEA key components for the initial RESEA; 2) which, if any, RESEA activity
      is conducted on an individual basis or in a group setting (the eligibility review and the
      development of the individual reemployment plan must be done on an individual basis);
      and 3) the average time required for each RESEA activity. Claimants may be provided
      forms in a group setting which they will discuss with staff on an individual basis after
      completion. Staff identification should contain the name of the program office for these
      staff such as UI, the Employment Service (ES), or other. Any additional key activities
      should be included in the table. The sum of the average time for each activity below
      should be equal to the time required to complete the initial RESEA.





                                     Initial RESEA


                 Activity                         Staff      Individual/      Average
                                                               Group           Time
Eligibility Review
Labor Market Information
Individual Reemployment Plan
Orientation
Referral to Reemployment Services
Reemployment Services*
Total Average Time for Initial
    RESEAs
*Note: States that are participating in the evaluation of the UI REA program must continue
with their planned UI REA program delivery as agreed to in the evaluation design in
addition to projecting participation in the RESEA program for the balance of FY 2016.

States requesting funds to provide reemployment services to RESEA participants should
describe the proposed services that will be provided to participants. Claimants have
differing needs and services will vary. Funding requests should be based on the average
number of claimants that are projected to receive each service and the time and cost per
service. Group reemployment services should be calculated based upon the example and
formula provided in Section 10 of this UIPL.

                               Reemployment Services


      Activity               Staff        Individual,         In-Person,         Direct
                                         Group or Both        Internet or      Staff Time
                                                              Telephone


Total Average Time
   Per RESEA

If the state conducts multiple RESEAs for individual claimants, provide the following:
1) the type of staff conducting the subsequent RESEA; 2) whether it is conducted on an
individual basis or in a group setting; and 3) the average time required for each RESEA
activity. Staff identification should contain the name of the program office for these staff
such as UI, the ES or other. Any additional key activities should be included in the table.
The sum of the average time for each activity below should be equal to the time required
to complete the subsequent RESEA.





                                   Subsequent RESEA


          Activity                Staff       Individual,       In-Person,         Direct
                                               Group or         Internet or      Staff Time
                                                 Both           Telephone
Eligibility Review
Labor Market Information
Individual Reemployment
    Plan
Referral to Reemployment
    Services
Total Average Time Per
    Subsequent RESEA

                                 Reemployment Services


          Activity                Staff          Individual,     In-Person,        Direct
                                                  Group or       Internet or     Staff Time
                                                    Both         Telephone


Total Average Time Per
   Subsequent RESEA

B. Service Delivery Staff. Provide information about the type of staff managing the
   RESEA project and the type of staff conducting the RESEA. In accordance with RESEA
   guidelines, a UI staff member must be available to work on the RESEA program
   management. Provide an explanation of the UI staff role in the program management.
   The delivery of the RESEA may be assigned to the staff designated by the state, e.g., UI
   staff, Wagner-Peyser staff, Workforce Innovations Act (WIA)/Workforce Innovation and
   Opportunity Act (WIOA) staff or some combination. If Wagner-Peyser or WIA/WIOA
   American Job Center (AJC) staff members conduct the RESEA, briefly describe how
   they are trained by or with the assistance of, UI staff to conduct the UI eligibility review.

C. Selection of RESEA Participants. Identify the pool from which RESEA participants
   are selected. Describe how claimants are selected and at what point in the claims series
   these selections are made. If the WPRS program is used to target claimants who are most
   likely to exhaust UI benefits, states must explain which claimants in the WPRS pool are
   selected for the RESEA.

D. Description of a RESEA. Provide a brief description of the state’s RESEA, including
   the elements of the RESEA and how the key components identified in this UIPL are
   implemented. In addition, please describe the type of staff that will provide each of the
   components of the RESEA (e.g., provision of labor market information, development of


   the reemployment plan) and what format is used (group or individual). Please include a
   copy of the form that is used to develop the individual reemployment plan.

E. Scheduling the RESEA in the Claims Series. Claimants must be contacted and
   notification must be sent to the claimant advising of a scheduled RESEA by the fifth
   week in the individual’s claim series. The fifth week in the claim series means the fourth
   week after the week in which the claimant files an initial claim. If the claimant has not
   yet established monetary eligibility for benefits or is not yet eligible because, for
   example, a nonmonetary issue is pending adjudication, the claimant may be selected
   during the first week that s/he claims benefits after being determined eligible for benefits.
   Benefits must not be withheld pending that reporting date.

F. Single or Multiple RESEAs. Identify whether the state conducts single or multiple
   RESEAs for each claimant and indicate the timing within the claim series when the
   RESEA and any subsequent RESEA(s) will be conducted. Multiple RESEAs that exceed
   one initial RESEA and two subsequent RESEAs per individual claimant will not be
   funded.

G. Failure to Report for a RESEA. Describe the actions taken when claimants fail to
   report for RESEAs, including how claimants will be notified of the potential
   consequences of their failure to report as scheduled and/or failure to participate in the
   RESEA. Also, states must describe how information is provided to claimants such as a
   contact number to notify the state in advance that s/he will be unable to attend the
   scheduled RESEA. Describe the feedback system that is in place to notify appropriate UI
   adjudication staff when claimants fail to report for scheduled RESEAs. In addition,
   describe the state’s rescheduling policy and processes.

H. Collaboration with Workforce Service Providers. An agreement or Memorandum of
   Understanding (MOU) must be renewed by UI and appropriate workforce service
   providers who partner with UI for the RESEA program. This ensures that the necessary
   partners commit the staff necessary to provide reemployment services as required by the
   grant. States that have previously submitted a copy of the agreement do not need to
   submit a copy of the agreement or MOU; however, they must certify that a MOU or other
   agreement has been signed by all service partners for the RESEA program. If the
   agreement/MOU has not been finalized, the state must provide the estimated date of
   submission. In addition, the agreement or MOU must contain:

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

I. RESEA Required Reports. Through FY 2016, states that are currently operating a
   program must review both the ETA 9128s and the ETA 9129s focusing primarily on the
   most recent four calendar quarters to address the accuracy of the reports. Attachment C,


   Unemployment Insurance Reemployment Services and Eligibility Assessment (RESEA)
   Data Concerns, provides some guidelines for detecting current reporting problems.
   States have been provided a quarterly summary that includes calculations of some of the
   relationships between the data elements and the probable outcomes. In addition, the ETA
   National Office sends a quarterly summary of RESEA data to each state and the ETA
   Regional Offices, which includes some calculations of outcomes and data relationships.
   This quarterly summary will be used during the review of the proposal. In addition the
   RESEA program must be addressed in the Quarterly Narrative Progress Report (ETA
   9165).

J. Narrative Description of Data Reporting Problems. In a narrative, states should
   identify problems that they are having with any of the required reports and provide a plan
   to improve their reporting accuracy and timeliness. If in the past the state made
   significant corrections to these required reports, the date the corrections were made and
   the date after which the state’s data was correct/valid as a result of the changes should be
   included.

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

ATTACHMENT C

UNEMPLOYMENT INSURANCE REEMPLOYMENT SERVICES AND ELIGIBILITY
               ASSESSMENT (RESEA) DATA CONCERNS

The list below has been developed to help continuing states in reviewing their current ETA
required reports. The list identifies data problems that have occurred in some states and that
must be corrected. Each quarter, the ETA National Office provides states and regional offices a
spreadsheet that summarizes the program data. States should use the spreadsheets and the list
below to assess whether there are data problems. Proposals by states must address, in the
narrative description of data reporting problems, all problems identified in these data
spreadsheets. The state’s response to these concerns will be evaluated before funding the
RESEA grant for Fiscal Year 2016. States must describe their plans to implement corrections
and include a projected timeline for completion in the supplemental budget request.

States should account for 100 percent of the scheduled and rescheduled UI REAs or RESEAs on
the ETA 9128 forms submitted. If the state is not meeting this percentage, a narrative should
explain the steps that will be taken to correct this problem.

Each claimant that is scheduled for a UI RESEA (or REA) may participate or fail to participate.
If the claimant fails to participate, the claimant may or may not be disqualified depending on the
reason the claimant failed to participate and how the issue was addressed by the state. For
example, claimants who have returned to work or could not report due to a job interview are also
not disqualified. States are currently required to use the National Directory of New Hires to
determine whether the claimant failed to report due to employment. If the claimant fails to
participate in the UI RESEA, states are required to adjudicate the issue that results. It is not
required that the claimant be rescheduled. The number of claimants scheduled for a UI RESEA
must be equal to the number of claimants who completed a UI RESEA and the number of
claimants who failed to complete a UI RESEA. If this total is not 100 percent of the scheduled
UI RESEAs, the state should examine the population that is not explained by the data. Since the
UI RESEA may be scheduled in one quarter and the claimant may report or fail to report in a
subsequent quarter, these percentages should average out to 100 percent over multiple calendar
quarters.

                                 ETA 9128 Workloads Report

A. UI RESEAs Scheduled (Item 2)

   This number should include the number of scheduled initial and subsequent RESEAs and
   should be compared to the number of UI REAs or RESEAs for which the state received
   funding. States should be scheduling quarterly UI RESEAs at a sufficient level to ensure that
   the state will reach its funding level at the end of the year.

   UI RESEAs Scheduled should be approximately the sum of Item 3 UI RESEAs Completed
   and Item 15 No-shows. Note: Although there is some variation between quarters, this
   difference should even out over the year.

B. Reemployment Services or Training (Item 4)

   All UI RESEAs must include referral to a reemployment service. If the count in this item
   (Item 4) is significantly less than the count in Item 3 UI RESEAs Completed, claimants may
   not be reporting as directed, they may not be referred as required, or the reemployment
   service providers may not be providing the appropriate workload count.

C. Disqualifications or Overpayments (Item 7)

   If this number is large compared to the number of UI RESEAs completed it is possible that
   the state is counting disqualifications or overpayments that are not a part of the UI RESEA.
   Both disqualifications and overpayments must be based on issues that were discovered as a
   result of the UI RESEA.

D. Separation Issues (Item 8)

   If this number is large compared to the number of UI RESEAs completed, it is possible that
   the state is counting disqualifications that are not a part of the UI RESEA. If the number is
   correct, the state should evaluate the initial claims process to determine if questions asked are
   not sufficient to identify separation issues.

E. Other Disqualifications (Item 12)

   If this number is large compared to the number of UI RESEAs completed, the state should
   review the disqualification codes to ensure that these issues should not instead be counted in
   items 8, 9, 10, or 11. The category Other should be used only when the disqualification does
   not fit in these other categories.

F. No-Shows (Item 15)

   Each claimant who fails to report for a UI RESEA must be referred to adjudication to
   determine whether they had good cause for failing to report and if they were able and
   available for work. This item should be approximately equal to the sum of items 16, 17, 18
   and 21.

G. Disqualifications for Failure to Report (Item 17)

   If the count is significantly lower than the number of no-shows, the state should ensure that
   those claimants who fail to report are being referred to adjudication.

H. No Disqualification (Item 21)

   All claimants who failed to report and were not disqualified and not rescheduled should be
   counted.

I. Returned to Work (Item 22)


   The Social Security number of claimants counted in Item 21 should be matched to the
   National Directory of New Hires to determine whether they have returned to work.

                                   ETA 9129 Outcomes Report

The average duration is calculated by dividing the Total Weeks Compensated by the Number
Who Established a UI Benefit Year in the Report Quarter. These elements are located in items
1a and 1b. The exhaustion rate is calculated by dividing the Number Exhausting Benefits by the
Number Who Established a Benefit Year in the Report Quarter. These elements are located in
items 1a and 1e. Both the average duration and exhaustion rate should be reasonably similar to
the state’s average duration and exhaustion rate for the report quarter. If the duration is higher
than the maximum number of regular UI weeks, the program may be incorrectly including
Extended Benefit payments. If the duration and exhaustion rate are very low, the program may
be incorrectly including only one calendar quarter rather than the complete benefit year.

There should be some correlation between the average duration and the benefits per claimant.
For example, if the average duration differs between the two groups by one week, then the
benefits per claimant should differ by an amount approximately equal to the average weekly
benefit amount for the state. If not, it is likely that there are programming problems.

If there are very large variances in the percentages between quarters, it is likely that there are
programming problems.